vvEPA
Unit«d Strtei
Envhtmrnentti Protection
Office of Water
(41041
EPA 833-R-00-002
March 2CXJO
Storm Water Phase II
Compliance Assistance
Guide
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Compliance Guide Notice
The statements in this document are intended solely as guidance to aid regulated
entities in complying with the Storm Water Phase II final rule. The guidance is not a
substitute for reading the regulation and understanding all its requirements as it applies
to your facility. 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. EPA may decide to update this guide without public notice to
reflect changes in EPA's approach to implementing Storm Water Phase II or to clarify
and update text. To determine whether EPA has revised this document and/or to
obtain copies, go to EPA's web site at www.epa.gov/owm/sw/phase2.
Storm Water Phase II Compliance Assistance Guide
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1.0 Introduction
1.0 INTRODUCTION
After reading this introduction, you should know whether you need to use
this guide, what the guide covers, and where to get the latest information
on the regulation.
The U.S. Environmental Protection Agency (EPA) published the regulation entitled
"National Pollutant Discharge Elimination System - Regulations for Revision of the
Water Pollution Control Program Addressing Storm Water Discharges" (Federal
Register, Volume 64, Number235, pages 68722-68852) on Decembers, 1999 as
required by Section 402(p) of the Clean Water Act (CWA). This guide explains how to
tell if you are subject to the regulation and what to do if you are required to comply.
1.1 Who should use this guide?
This new rule regulates storm water discharges from two categories:
First, the rule covers storm water discharges to certain municipal separate
storm sewer systems (MS4s). Public entities which operate these MS4s, such
as cities, counties, States, and the Federal government, could be regulated
under this rule. MS4 operators should read section 4 for more information.
Second, the rule also covers storm water discharges from construction activity
generally disturbing between 1 and 5 acres. A construction operator could
include the site owner, developer, contractor, or subcontractor. Construction site
operators should read section 5 for more information.
The storm water Phase II final rule also provide regulatory relief for certain
industrial facilities (currently permitted under EPA's storm water regulations) where
storm water runoff is not exposed to industrial activities. Operators of industrial facilities
interested in the no exposure exclusion should read section 6.
1.2 What Does this Guide Cover?
The purpose of this guide is to help the regulated community comply with the Storm
Water Phase II Rule. This guide answers the following basic questions:
- Why is the Storm Water Phase II Rule important?
- Am I subject to the Storm Water Phase II Rule?
- What must I do to comply with the Storm Water Phase II Rule?
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1.0 Introduction
1.3 How Do I Use this Guide?
This guide is organized into seven major sections plus three appendices.
Section 1.0 Introduces you to this guide and the Storm Water Phase II Rule.
Describes basic types of entities regulated so you can determine if
you are affected by the rule.
Section 2.0 Provides background on why the Storm Water Phase II Rule is
needed. Topics such as the environmental impacts of storm water
and why storm water should be controlled are discussed. The
history of the NPDES Storm Water program is briefly described.
Section 3.0 Delivers an overview of the Storm Water Phase II requirements.
The basic components of the program are described and
schedules and timelines are highlighted.
Section 4.0 Gives step-by-step procedures for operators of small MS4s to
determine if they are subject to the regulation and provides
information on how to demonstrate compliance.
Section 5.0 Gives step-by-step procedures for operators of small construction
activities to determine if they are subject to the regulation and
provides information on how to demonstrate compliance.
Section 6.0 Provides a discussion of how the Rule affects industrial facilities,
including which industrial facilities are covered, and an explanation
of the No Exposure exclusion and how to determine if you qualify.
Section 7.0 Documents the Compliance Assurance Process - Discusses how
EPA will determine compliance, what happens if you or EPA
discovers noncompliance, and the legal status of the guide.
Appendices Provides additional references and where to go for more
information on storm water.
1.4 Where Can I Get More Information on the Storm Water Phase II Rule?
Additional information on the NPDES storm water Phase II rule, including a series of
fact sheets and a full copy of the final rule, can be found on EPA's web pages at
http://www.epa.gov/owm/sw/phase2.
Compliance assistance will be covered in Section 7 of the guide. One source for
compliance assistance and information on the rule is the Local Government
Environmental Assistance Network (LGEAN). LGEAN is one of EPA's compliance
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1.0 Introduction
assistance centers and can be found on the web at www.lgean.org or contacted by
phone at 1-877-TO-LGEAN.
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2.0 Background
2.0 BACKGROUND
of storm water and the history of the storm water program, including
existing regulations to control storm water (Phase I).
2.1 What are the Environmental Impacts from Storm Water Discharges?
SURVEYED River Miles: Pollutants and Sources
TtitJl rivers = 1.6 million milts
Storm water runoff from lands modified by human activities can harm surface water
and, in turn, cause or contribute to an exceedance of water quality standards by
changing natural hydrologic patterns, accelerating natural stream flows, destroying
aquatic habitat, and elevating pollutant concentrations and loadings. Such runoff may
contain high levels of contaminants, such as sediment, suspended solids, nutrients
(phosphorus and nitrogen), heavy metals, pathogens, toxins, oxygen-demanding
substances (organic material), and
floatables (U.S. EPA. 1992.
Environmental Impacts of Storm
Water Discharges: A National
Profile. EPA 841 -R-92-001. Office
of Water. Washington, DC). After
a rain, storm water runoff carries
these pollutants into nearby
streams, rivers, lakes, estuaries,
wetlands, and oceans.
Individually and combined, these
pollutants impair water quality,
threatening designated beneficial
uses and causing habitat
alteration and destruction.
Tur.il surveyed = ey i.yui miles
Good
<12)
Surveyed 1 9%
Impaired
The 1996 305(b) Report (U.S.
EPA. 1998. The National Water
Quality Inventory, 1996 Report to
Congress. EPA 841-R-97-008.
Office of Water. Washington, DC),
provides a national assessment of
water quality based on biennial
reports submitted by the States as
required under CWA section
305(b) of the CWA. In the CWA
305(b) reports, States, Tribes, and
Territories assess their individual
water quality control programs by
examining the attainment or
Leading
.: i 1 1
' .. i i i ii
Bacteria
Oxy^m-Depkrting Subrianus
Pesticides
olids
Motilf
Surveyed
I"
1-1
i;
11.1
7
'
5 1(3 15 ZO
Percent of StMveyed River MMes
Leading Sources
AgriLulLure
Municipal liolnt Sources
HydriMnudiliLiiCion
Habitat Modification
Re*ourcje Hxlidi. liui i
Urban KunonVMjorm Sew
feni'jvdl ol SlrtuiriMde
Industrial Parit S&urcti
i 10 15 2tt
Percent ol Swveyed River Mries
Nr.il t
m-ay impair a rri^er
not a(W uoto nw* because more (Kin «iie (»iut*ntor »i«e
Figure 2-1 . Pollutants and Sources in Surveyed River Miles (EPA, 1998)
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2.0 Background
SURVEYED Estuaries: Pollutants and Sources
Not Surveyed
Total cituario - }9,83? square
milrs
Leading PolluUmts/Slressors
Nulritfili
Priority Toxic Organic Chemicals
0*yi|t!i i- Deputing SubiUfiLti
Oil Jiul Grr-aw!
Salinity
Habitat Alterations
5 10 1i
Percent o< Surveyed
Square Mies
20
Leading Sources
nonattainment of the designated
uses assigned to their rivers,
lakes, estuaries, wetlands, and
ocean shores. The 1996
Inventory indicated that
approximately 40 percent of the
Nation's assessed rivers, lakes,
and estuaries are impaired.
The 1996 Inventory also found
urban runoff/discharges from
storm sewers to be a major
source of water quality
impairment nationwide. Urban
runoff/storm sewers were found to
be a source of pollution in 13
percent of impaired rivers; 21
percent of impaired lakes, ponds,
and reservoirs; and 45 percent of
impaired estuaries (second only
to industrial discharges). See
Figures 2-1 and 2-2 for an
illustration of the pollutants and
sources of pollution for both rivers
and estuaries. In addition to
these waterbodies, urban runoff
was found to be the leading
cause of ocean impairment for
those ocean miles surveyed.
Urbanization alters the natural
infiltration capability of the land
and generates a host of pollutants
that are associated with the
activities of dense populations,
thus causing an increase in storm
water runoff volumes and pollutant loadings in storm water discharged to receiving
waterbodies (U.S. EPA, 1992). Urban development increases the amount of
impervious surface in a watershed as farmland, forests, and meadowlands are
converted into buildings with rooftops, driveways, sidewalks, roads, and parking lots
with virtually no ability to absorb storm water. Storm water and snow-melt runoff wash
over these impervious areas, picking up pollutants along the way while gaining speed
and volume because of their inability to disperse and filter into the ground (see Figure
2-3 which illustrates the increased runoff resulting from increased impervious area).
The resulting storm water flows are higher in volume, pollutants, and temperature than
the flows in less impervious areas, which have more natural vegetation and soil to filter
the runoff (U.S. EPA, 1997. Urbanization and Streams: Studies ofHydrologic Impacts.
Industrial Discharges
Urtun Rundfli'Slarm Sew«r\
Municipal Point Sources
Ufihlrr-jm SOIJK.H
Agriculture
CambinisJ Sewer Overflow*
Land Disposal of Wastes
5 10 15 ID
'-,- of Surveyed I MM.nin?
Square Milei
NO 11; PirtenU^fs do not add up ID TWft b«*u«* mor* tn*n one poiutwit or»i«:*
i-ii.iv Impair in
Figure 2-2. Pollutants and Sources in surveyed Estuaries (EPA, 1998)
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2.0 Background
EPA 841-R-97-009. Office of
Water. Washington, DC).
Short high ydume
peak discharge
Increased total runoff volume
Post-Development
Gradual recession
Higher
baseflow
TIME
Figure 1.
1987).
Impacts of urbanization on stream flow (Schueler.
In addition to the pollutants
picked up by storm water
runoff before it enters a storm
drain, studies have shown that
discharges from a storm drain
system often include wastes
and wastewater from non-
storm water sources, referred
to as illicit discharges. These
discharges are 'illicit' because
municipal storm sewer
systems are not designed to
accept, process, or discharge
such wastes. Sources of illicit discharges can include sanitary wastewater illegally
connected to the storm drain system; effluent from septic tanks; car wash, laundry, and
other industrial wastewaters; improper disposal of auto and household toxics, such as
used motor oil and pesticides; and spills from roadways.
Illicit discharges enter the system through either direct connections (e.g., wastewater
piping either mistakenly or deliberately connected to the storm drains) or indirect
connections (e.g., infiltration into the MS4 from cracked sanitary systems, spills
collected by drain outlets, and paint or used oil dumped directly into a drain). The result
is untreated discharges that contribute high levels of pollutants, including heavy metals,
toxics, oil and grease, solvents, nutrients, viruses and bacteria into receiving
waterbodies.
2.2 Summary of EPA's Storm Water Program
In 1972, Congress amended the Federal Water Pollution Control Act (commonly
referred to as the Clean Water Act (CWA)) to prohibit the discharge of any pollutant to
waters of the United States from a point source unless the discharge is authorized by
an NPDES permit. The NPDES program is designed to track point sources and require
the implementation of the controls necessary to minimize the discharge of pollutants.
Initial efforts to improve water quality under the NPDES program primarily focused on
reducing pollutants in industrial process wastewater and municipal sewage. These
discharge sources were easily identified as responsible for poor water quality.
As pollution control measures for industrial process wastewater and municipal
sewage were implemented and refined, it became increasingly evident that more
diffuse sources of water pollution were also significant causes of water quality
impairment. Specifically, storm water runoff was found to be a major cause of water
quality impairment.
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2.0 Background
In 1987, Congress amended the CWA to require implementation, in two phases, of
a comprehensive national program for addressing storm water discharges. The first
phase of the program, commonly referred to as "Phase I," was promulgated on
November 16, 1990 (55 FR 47990). Phase I requires NPDES permits for storm water
discharge from a large number of priority sources including medium and large municipal
separate storm sewer systems ("MS4s") generally serving populations of 100,000 or
more and several categories of industrial activity, including construction activity that
disturbs five or more acres of land.
The Phase I permits for municipal separate storm sewer systems mostly covere
larger cities, and require them to develop a storm water management program, track
and oversee industrial facilities regulated under the NPDES storm water program,
conduct some monitoring, and submit periodic reports.
The operators of construction activities disturbing greater than 5 acres have been
required to obtain NPDES permit coverage since 1992. General permits for large
construction activity require construction operators to develop and implement a storm
water pollution prevention plan to control erosion, sediment and other wastes on the
site.
The Phase I industrial storm water program also regulates the following industrial
sectors:
- facilities subject to EPA storm water effluent guidelines, new source performance
standards, or toxic pollutant effluent standards
- heavy manufacturing facilities
- mining/oil and gas
- hazardous waste faciliites
- landfills
- recycling facilities
- steam electric power
- transportation facilities
- sewage treatment plants
- construction activity (described above), and
- light manufacturing facilities.
The second phase of the storm water program, which this guide addresses, requires
permits for storm water discharges from certain small municipal separate storm sewer
systems and construction activity generally disturbing between 1 and 5 acres. See
Figure 2-4 for a summary of the federal storm water permit requirements under Phases
I and II.
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Figure 2-4. Summary of Federal Permit Requirements Under the NPDES Storm Water Program
Municipal Separate Storm Sewer Systems (MS4s)
Construction Activity
Industrial Activity
Requirement
s
in Effect
Now
(Phase I)
Medium and Large MS4s (§ 122.26(d))
Storm Water Management Program:
- Public education and outreach
- Public participation efforts
- Illicit discharge detection and elimination program
- Construction and post-construction runoff control
program for all construction activity (no size threshold)
- BMPs to reduce pollutants from industrial, commercial,
and residential areas
Track/oversee industrial facilities regulated under the
NPDES storm water program
Conduct analytical and visual monitoring of MS4
discharges
Submit periodic program assessment reports
Category (x) Construction
Activity (5+ Acres)*
CGP:
Storm Water Pollution
Prevention Plan (SWPPP)
- Site description
- Description of BMPs for
erosion and sediment, post-
construction storm water
management, and other
controls
- Self-evaluation and reporting
* Category (x) is one of the categories of
"storm water discharges associated with
industrial activity." Temporarily excluded
from permitting: Category (x) construction
activity operated by a municipality of
<100,000 (ISTEA moratorium).
Ten Categories of Industrial
Activity (Categories (i)-(ix),(xi))*
MSGP:
SWPPP
- Site evaluation
-Description of appropriate
storm water management
BMPs
- Self-evaluation, monitoring,
and reporting
If discharging into a medium or
large MS4, notify the MS4
operator
'Temporarily excluded from permitting:
Industrial activity operated by a municipality of
<100,000, except for power plants, airports,
and uncontrolled sanitary landfills (ISTEA
moratorium).
Requirement
sthat
Will Be
in Effect
by 2003
(Phase II)
Regulated Small MS4s (§ 122.34 outlined here, but may
choose permit coverage under § 122.26(d) instead)
Storm Water Management Program:
- Public education and outreach
- Public participation efforts
- Illicit discharge detection and elimination program
- Construction runoff control program for construction
activity disturbing 1 acre or greater
- Post-construction runoff control program for
construction activity disturbing 1 acre or greater
- Good housekeeping/pollution prevention for municipal
operations
Conduct assessment of identified BMPs and measurable
goals for each minimum control measure
Submit annual program assessment reports
Small Construction Activity
(<1 and <5 Acres)
Expected to be similar to
Category (x) Construction
Activity requirements above
Category (x) Construction
Activity Operated by a
Municipality of < 100,000
Same requirements as for
Category (x) Construction
Activity above
Industrial Activity Operated by
a Municipality of <100,000*
Same requirements as for Ten
Categories of Industrial Activity
above
*Does not include: Power plants, airports, and
uncontrolled sanitary landfills
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3.0 Regulation Requirements
3.0 REGULATION REQUIREMENTS
After reading section 3.0, you should understand the basic components
and requirements of the Storm Water Phase II Rule and the rule's
compliance schedule/timeline. This information is meant to serve as a
basis for understanding the details of the Rule as discussed in further
sections of this guidance.
3.1 What Does The Storm Water Phase II Rule Require?
This regulation can be divided into three main components, each with distinct
requirements, affecting three types of entities. These components and the
requirements for each are summarized below.
Regulated Small MS4s (see section 4.0)
A certain subset of operators of small MS4s (primarily those located in urbanized
areas) are required to implement programs and practices to control polluted storm
water runoff from the jurisdiction serviced by the MS4. The operator must design its
storm water management program to satisfy applicable CWA water quality
requirements and technology standards. The program must include the development
and implementation of best management practices (BMPs) and measurable goals for
the following six minimum measures, and include evaluation and reporting efforts:
Public education and outreach,
Public participation/involvement,
Illicit discharge detection and elimination,
Construction site runoff control,
Post-construction runoff control, and
Pollution prevention/good housekeeping for municipal operations.
Two waivers from coverage are available for small MS4s brought into the program
by the Phase II regulation.
Small Construction Activity (see section 5.0)
All construction operators disturbing more than 1 acre and less than 5 acres are
required to apply for an NPDES storm water permit for small construction activity. EPA
already regulates construction activity disturbing more than 5 acres. A construction
operator is usually the developer or landowner, but can also be the contractor or
another party responsible for the operational control of erosion and sediment control
practices on site.
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3.0 Regulation Requirements
Unlike the requirements for regulated small MS4s, the requirements for small
construction activity (primarily activity disturbing between 1 and 5 acres of land) are not
detailed in the Phase II regulation. Rather, the requirements are left to the discretion of
the NPDES permitting authority when it develops the small construction activity permit.
EPA expects the permit for small construction activity to be similar to the existing storm
water general permits for large construction activity regulated under the Phase I
program. EPA's existing Construction General Permit includes requirements to:
Submit a Notice of Intent (NOI);
Develop and implement a Storm Water Pollution Prevention Plan (SWPPP).
The SWPPP includes erosion and sediment controls, controls on waste at the
site, self-inspection/monitoring, and reporting efforts; and
Submit a Notice of Termination (NOT) when permit coverage is no longer
necessary.
Two waivers from coverage are available for small construction activity.
Industrial Activity (see section 6.0)
Eleven categories of industrial activity are regulated under Phase I of the NPDES
Storm Water Program. Under the Phase II Rule, no new categories of industrial activity
are designated into the storm water program. The Rule does, however, include a
revised no exposure exclusion that is available to all regulated categories of industrial
activity (except category (x) - large construction activity) if the facility operator can certify
that storm water runoff is not exposed to industrial activities.
Also, this regulation further extends the deadline to obtain permit coverage for those
industrial activities operated by municipalities with populations of less than 100,000 that
were temporarily exempted from permitting under the Intermodal Surface
Transportation Enforcement Act (ISTEA) of 1991.
3.2 What Is the Phase II Rule's Compliance Schedule/Timeline?
The Phase II Final Rule was published in the Federal Register on December 8,
1999 (64 FR 68722). The following table lists milestones for EPA, the NPDES
permitting authorities, and the regulated community under this program.
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3.0 Regulation Requirements
Storm Water Phase II Program Compliance Timeline
ACTIVITY
Conditional No Exposure Exclusion option available in States
where EPA is the NPDES permitting authority
Submission of No Exposure Certification
EPA issues a menu of BMPs for small MS4 programs
EPA issues a model general permit for small MS4s
EPA issues guidance on measurable goals for small MS4
programs
NPDES permitting authority determines designation of small MS4s
located outside of an urbanized area that serve a jurisdiction with
a population of 10,000 and population density of 1 ,000
NPDES permitting authority determines waivers for regulated
small MS4s in urbanized areas
NPDES permitting authority issues general permits for regulated
small MS4s and small construction activity
Operators of regulated small MS4s and small construction activity
designated by the rule must obtain permit coverage
Operators of regulated small MS4s and small construction activity
designated by NPDES permitting authority must obtain permit
coverage
Temporarily exempted municipal operators of industrial activity
must obtain permit coverage (ISTEA moratorium)
The NPDES permitting authority may phase in coverage for small
MS4s serving jurisdictions with a populations less than 10,000 on
a schedule consistent with a State watershed permitting approach
The regulated small MS4s must fully implement their storm water
management programs
Re-evaluation of the Phase II small MS4 regulations by EPA
NPDES permitting authority determination on a petition for
desicmation of a non-reaulated storm water discharaer
DEADLINE
February 7, 2000
Every 5 years
October 2000
October 2000
October 2001
By December 9, 2002; or by
Decembers, 2004 if apply
designation criteria on a
watershed basis under a
comprehensive watershed plan
By December 9, 2002
By December 9, 2002
By March 10,2003
Within 1 80 days of notice
By March 10,2003
Completion of phase-in by
March 8, 2007
By the end of the first permit
term - typically a 5-year period
By December 201 2
Within 1 80 days of receipt
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4.0 Regulated Small MS4s
4.1
4.0 REGULATED SMALL MS4S
After reading section 4.0, you should understand what an MS4 is, which
operators of MS4s are subject to the Phase II small MS4 regulations
(including who may be waived from coverage), the small MS4 permit
options, and the permit requirements for a small MS4 storm water
management program. The discussion of these elements concludes with
a step-by-step review of the process for compliance with the small MS4
program and possible funding options. Special concerns regarding
Federal and State-operated small MS4s are also addressed.
MS4 DEFINITIONS
EPA's National Pollutant Discharge Elimination System (NPDES) storm water
permitting program labels municipal separate storm sewer systems (MS4s) as either
"small,"" medium," or "large" for the purposes of regulation. The definitions of each are
included herein. The Phase I storm water program covers medium and large MS4s.
The Phase II storm water regulation covers a certain subset of small MS4s, known as
"regulated small" MS4s. Regulated small MS4 coverage under the rule is discussed in
section 4.2.
4.1.1
What is an "MS4"?
What constitutes a municipal separate storm sewer system (MS4) is often
misinterpreted and misunderstood. The term MS4 does not solely refer to municipally-
owned storm sewer systems, but rather is a term of art with a much broader application
that can include, in addition to local jurisdictions, State departments of transportation,
universities, local sewer districts, hospitals, military bases, and prisons. An MS4 also is
not always just a system of underground pipes - it can include roads with drainage
systems, gutters, and ditches. The regulatory definition of an MS4 is provided in the
text box below.
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4.0 Regulated Small MS4s
According to 40 CFR 122.26(b)(8), "municipal separate storm sewer means 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)...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 Clean Water
Act that discharges into waters of the United States.
(ii) Designed or used for collecting or conveying storm water;
(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."
4.1.2 What is a "large" MS4?
A large MS4 is any MS4 located in an incorporated place or county with a
population of 250,000 or greater as of the 1990 Census. The Phase II Final Rule
revised the original large MS4 definition (found in the 1990 Phase I regulations) by
freezing it as of the 1990 Census so that no new large MS4s could be automatically
designated based on the 2000 Census, or any subsequent Census. Listings of
incorporated places and counties with populations of 250,000 or greater as of the 1990
Census are included in the revised Appendices F and H to Part 122, found in the Phase
II Final Rule.
4.1.3 What is a "medium" MS4?
A medium MS4 is any MS4 located in an incorporated place or county with a
population between 100,000 - 249,999 as of the 1990 Census. The Phase II Final Rule
revised the original medium MS4 definition (found in the 1990 Phase I regulations) by
freezing it as of the 1990 Census so that no new medium MS4s could be automatically
designated based on the 2000 Census, or any subsequent Census. Listings of
incorporated places and counties with populations between 100,000 - 249,999 as of the
1990 Census are included in the revised Appendices G and I to Part 122, found in the
Phase II Final Rule.
Important Note: Many MS4s in areas below 100,000 in population have been
individually brought into the Phase I program by NPDES permitting authorities.
Such already regulated MS4s are considered Phase I MS4s and are not required
to develop a Phase II program.
4.1.4
What is a "small" MS4?
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4.0 Regulated Small MS4s
A small MS4 is any MS4 that is not already regulated under the Phase I storm water
program. Unlike the definitions of medium and large MS4s, the definition of a small
MS4: 1) is not dependant on a population threshold, and 2) includes Federally-owned
systems, such as military bases and veterans hospitals.
4.2 COVERAGE: Who Is Subject to the Phase II Final Rule?
4.2.1 Are All Small MS4s Covered by the Phase II Final Rule?
No. The universe of small MS4s is quite large since it includes every MS4 except
for the approximately 900 medium and large MS4s already regulated under the Phase I
storm water program. Only a select sub-set of small MS4s, referred to as regulated
small MS4s, are covered by the Phase II Final Rule, either through automatic
nationwide designation by the rule or designation on a case-by-case basis by the
NPDES permitting authority.
4.2.2 How Is A Small MS4 Designated as a Regulated Small MS4 under
Phase II?
A small MS4 can be designated as a regulated small MS4, and thereby be subject
to the Phase II rule, in any one of the three ways explained in the following
subsections.
4.2.2.1 Automatic Nationwide Designation by the Rule
The Phase II Final Rule requires "automatic" nationwide coverage of all operators of
small MS4s that are located within the boundaries of a Bureau of the Census-
delineated "urbanized area" (UA) based on the latest decennial Census. This doesn't
just include municipal operators of small MS4s, but also universities, highway
departments, and any other operator of a storm sewer system that is located fully or
partially within the UA. Refer to section 4.3 for more information on how to
determine if a particular small MS4 is located within a UA.
Important Note: Only the portion of the small MS4 that is located within the UA
boundaries is regulated under Phase II. For example, if a county operates a
small MS4 that serves the whole county but only half of the MS4 falls within the
UA boundary, then the county must obtain permit coverage (and implement a
storm water management program) only for the half of the MS4 in the UA.
Once a small MS4 is designated into the program based on the UA boundaries, it
cannot be waived from the program if in a subsequent UA calculation the small MS4 is
no longer within the UA boundaries. An automatically designated small MS4 remains
regulated unless, or until, it meets the criteria for a waiver. See section 4.4 for more
information on waivers from coverage for regulated small MS4s in urbanized areas.
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An operator of a small MS4 located outside of a UA boundary may be designated as
a regulated small MS4 if the NPDES permitting authority determines that the small
MS4's discharges cause, or have the potential to cause, an adverse impact on water
quality. See sections 4.2.2.2 and 4.2.2.3 below for more information on designations by
the permitting authority.
Preamble of the Phase II Final Rule: Appendix 6
A listing of governmental entities that are located either fully or partially within a UA
according to the 1990 Census can be found in Appendix 6 to the Preamble of the
Phase II Final Rule. The list is a general geographic reference intended to help
operators of small MS4s determine whether or not they are located in a UA and,
consequently, required to comply with the regulation; it is not a list of all Phase II
regulated MS4s and it may contain errors. For example, the list does not include small
MS4 operators such as colleges and universities, Federal prison complexes, and State
highway departments located within a UA.
4.2.2.2 Potential Designation by the NPDES Permitting Authority Required
Evaluation of 10,000/1,000 Areas
The Phase II Final Rule requires the NPDES permitting authority to develop a set of
designation criteria and apply them, at a minimum, to all small MS4s located outside of
a UA that serve a jurisdiction with a population of at least 10,000 and a population
density of at least 1,000 people/square mile. The permitting authority is required to
evaluate such small MS4s but is not required to designate them into the program
unless they meet the designation criteria.
Recommended Designation Criteria
EPA recommends in the Phase II regulations that the NPDES permitting authority
use a balanced consideration of the following designation criteria on a watershed or
other local basis:
Discharge to sensitive waters;
High population density;
High growth or growth potential;
Contiguity to a UA;
Significant contributor of pollutants to waters of the United States; and
Ineffective protection of water quality concerns by other programs.
Preamble of the Phase II Final Rule: Appendix 7
A listing of governmental entities located outside of a UA that have a population of
at least 10,000 and a population density of at least 1,000 people per square mile, can
be found in Appendix 7 to the Preamble of the Phase II Final Rule. Similar to Appendix
6, the list is a geographic reference only - it is not a list of regulated entities and it may
contain errors. Operators of small MS4s located within a listed area could be
examined by their NPDES permitting authority for potential designation into the Phase II
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4.0 Regulated Small MS4s
program. Furthermore, the NPDES permitting authority reserves the right to designate
for regulation any small MS4 that is contributing pollutants to waters of the United
States, whether or not its jurisdiction is found in Appendix 7.
Deadline for Designation
The NPDES permitting authority is required to designate small MS4s meeting the
designation criteria by December 9, 2002, or by December 8, 2004 if a comprehensive
State watershed plan is in place and the criteria are being applied on a watershed
basis.
4.2.2.3 Potential Designation by the NPDES Permitting Authority Physically
Interconnected
The Phase II Final Rule requires the NPDES permitting authority to designate any
small MS4 located outside of a UA that contributes substantially to the pollutant
loadings of a physically interconnected MS4 that is permitted by the NPDES storm
water program. This means the other MS4 could be a large, medium, or regulated
small MS4.
Small MS4s located right outside the boundary of an urbanized area are the ones
most likely to meet this criterion for designation and, therefore, should make an effort to
become aware of whether they discharge pollutants directly into a regulated MS4. The
sooner a small MS4 operator is prepared for potential designation and implementation
of the Phase II program, the better.
Physically interconnected means that one MS4 is connected to a second MS4
in such a way that it allows for direct discharges into the second system.
Deadline for Designation
The final rule does not set a deadline for designation of small MS4s meeting this
criterion.
4.3 URBANIZED AREAS: What Are They and How Does a Small MS4
Operator Determine If It Is Located in One?
As discussed in section 4.2, the Phase II Final Rule covers all small municipal
separate storm sewer systems (MS4s) located within an "urbanized area" (UA). Based
on the 1990 Census, there are 405 UAs in the United States that cover 2 percent of
total U.S. land area and contain approximately 63 percent of the Nation's population.
These numbers include Puerto Rico the only U.S. Territory with UAs.
UAs constitute the largest and most dense areas of settlement. UA calculations
delineate boundaries around these dense areas of settlement and, in doing so, identify
the areas of concentrated development. UA designations are used for several
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purposes in both the public and private sectors. For example, the Federal Government
has used UAs to calculate allocations for transportation funding, and some planning
agencies and development firms use UA boundaries to help ascertain current, and
predict future, growth areas.
4.3.1. What Is the Definition of an Urbanized Area (UA)?
The Bureau of the Census determines UAs by applying a detailed set of published
UA criteria (see 55 FR 42592, October 22, 1990) to the latest decennial census data.
Although the full UA definition is complex, the Bureau of the Census' general definition
of a UA, based on population and population density, is provided below.
An urbanized area (UA) is 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 square mile. It is a calculation used by the Bureau of the Census to determine
the geographic boundaries of the most heavily developed and dense urban areas.
UA Facts:
The basic unit for delineating the UA boundary is the census block. Census
blocks are based on visible physical boundaries, such as the city block, when
possible, or on invisible political boundaries, when not. An urbanized area can
comprise places, counties, Federal Indian Reservations, and minor civil divisions
(MCDs - towns and townships).
A UA can include governmental entities of every population size: 200; 7,000;
15,000; 30,000, 200,000; or 3 million! Entities with small populations are
commonly found in the urban fringe of the UA.
Before the time of permit issuance (by December 9, 2002), new UA calculations
based on the 2000 Census should be published. The regulated small MS4
universe then will be based on these new calculations.
4.3.2. What Does A UA Look Like?
The drawing below (see Figure 4-1) is a simplified UA illustration that demonstrates
the concept of UAs in relation to the Phase II Final Rule. This "urbanized area"
includes within its boundaries incorporated places, a portion of a Federal Indian
reservation, an entire MCD, a portion of another MCD, and portions of two counties.
Any and all operators of small MS4s located within the boundaries of the UA are
covered under the Phase II Final Rule, regardless of political boundaries. Operators of
small MS4s located outside of the UA are subject to potential designation into the
Phase II MS4 program by the NPDES permitting authority, as explained in section 4.2.
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Figure 4-1
Central Place
( J Incorporated Place
/ \ Federal Indian Reservation (FIR)
Unincorporated "Urbanized
Area" Portion of a Town
(MCD) or County
... Urbanized Area
Town or Township as a
functioning Minor Civil Division
(MCD). An MCD is the primary
subdivision of a County.
County
4.3.3 How Can An Operator of a Regulated Small MS4 Determine If It Is
Located Within a UA?
Operators of small MS4s can determine if they are located within a UA, and
therefore covered under the Phase II storm water program, through the following two
steps:
STEP 1
Refer to a listing of incorporated places, MCDs, and counties that are
located entirely or partially within a UA. Such a listing, based on the 1990
Census and including only those entities not regulated under Phase I, can
be found in Appendix 6 to the Preamble of the Phase II Final Rule. If a
small MS4 is located in a listed incorporated place, MCD, or county, then
the operator of the small MS4 should follow step (2) below. It is important
to note that Appendix 6 is general guidance only and may contain errors.
For this reason, even if a particular small MS4 isn't located in a listed
area, EPA recommends that the small MS4 operator follow Step 2.
STEP 2
Some operators of small MS4s may find that they are located within an
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4.0 Regulated Small MS4s
entity listed in Appendix 6 but not know if their systems are within the
urbanized portion of the listed entity, or they are not on the list but want to
confirm their status as recommended above. In such cases, they should
contact one or more of the following institutions for more detailed
information on the location of UA boundaries:
Q The State or NPDES Permitting Authority
Storm Water Coordinators: The NPDES permitting authority may be the State or
the U.S. EPA Region. The Storm Water Coordinators for each U.S. EPA Region
are listed in Section 8. These regional contacts can assist with UA information and
provide the names of State storm water contacts.
State Data Centers: Each State's Data Center receives listings of all entities that
are located in UAs, as well as detailed maps and electronic files of UA boundaries.
The Bureau of the Census web site includes a list of contact names and phone
numbers for the Data Center in each State at www.census.gov/sdc/www.
State Planning/Economic/Transportation Agencies: These agencies typically
use UAs to assess current development and forecast future growth trends and,
therefore, should have detailed UA information readily available to help determine
the UA boundaries in any given area.
_i County or Regional Planning Commissions/ Boards
As with State agencies, these entities are likely to have detailed UA data and maps
to help determine UA boundaries.
Q The Bureau of the Census
Urbanized Areas Staff: 301457-1099
Web Site: www.census.gov
The site provides information on purchasing UA maps and electronic files for use
with computerized mapping systems. Obtain free UA cartographic boundary files
(Arc/Info export format) for Geographical Information System (CIS) use at:
www.census.gov:80/geo/www/cob/ua.html.
UA Maps: Detailed UA maps are available for purchase with a $25 minimum order
($5 per map sheet). Each map sheet measures 36 by 42 inches. For prices and a
listing of UAs, visit www.census.gov/mp/www/geo/msgeo12.html. Order from the
Department of Commerce, Bureau of the Census (MS 1921), P.O. Box 277943,
Atlanta, GA 30384-7943 (Phone: 301 457-4100; Toll-free fax: 1-888-249-7295).
Q U.S. EPA
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EPA is currently modifying a web-based geographic program called Enviromapper
for use in determining UA boundaries. This program will allow users to enter a
location (by name, zip code, or street address) and see a map that will show if the
location is within a UA boundary. EPA is committed to using Enviromapper to
create a tool that, someday, will be the only tool necessary to determine the location
of UA boundaries. Information about Enviromapper will be available at
www. epa.gov/owm/phase2.
4.3.4 How Will the Year 2000 Census Affect the Determination of Status as a
Regulated Small MS4?
The listing of incorporated places, MCDs, and counties located within UAs in the
United States and Puerto Rico, found in Appendix 6, is based on the 1990 Census.
New listings for UAs based on the 2000 Census are scheduled to be available by
August of 2001. Once the official 2000 Census listings are published by the Bureau of
the Census, operators of small MS4s located within the revised boundaries of former
1990 UAs, or in any newly defined 2000 UAs, become regulated small MS4s and must
develop a storm water management program.
Any additional automatic designations of small MS4s based on subsequent census
years is governed by the Bureau of the Census' definition of a UA in effect for that year
and the UA boundaries determined as a result of the definition.
Once a small MS4 is designated into the Phase II storm water program based on
the UA boundaries, it can not be waived from the program if in a subsequent UA
calculation the small MS4 is no longer within the UA boundaries. An automatically
designated small MS4 will remain regulated unless, or until, it meets the criteria for a
waiver.
4.4 WAIVERS: Which Regulated Small MS4s May Obtain a Waiver From
Coverage?
Two waiver options are available to operators of regulated small MS4s in urbanized
areas if the NPDES permitting authority determines that their discharges do not cause,
or have the potential to cause, water quality impairment.
Important Note: The waivers are granted by the NPDES permitting
authority, the operator of the regulated small MS4 can not determine for
itself that it meets the waiver criteria. If the permitting authority is not
proactive in assessing small MS4s for potential waivers, an operator may
petition for a waiver assessment.
If a permitting authority decides to grant waivers, it is required to do so by December
9, 2002 to coincide with the expected date of the small MS4 permit issuance. The
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permitting authority is also required to periodically review any waivers granted to small
MS4 operators to determine whether any information required for granting the waiver
has changed. Minimally, such a review needs to be conducted once every five years.
The waiver options are described in the following two subsections.
Deadline for Waivers
The NPDES permitting authorities are required to make their waiver determinations
by March 9, 2002 to coincide with the expected issuance of their small MS4 general
permit. If the permit authority chooses to phase in permit coverage based on a
comprehensive watershed plan (see section 4.5.2.2), then regulated small MS4s may
be waived on the same schedule. The phase-in of permit coverage and waivers is to
be completed no later than March 8, 2007.
4.4.1 Option 1: Less than 1,000 Population in a UA
The first waiver option applies where:
(1) the jurisdiction served by the system is less than 1,000 people;
(2) the system is not contributing substantially to the pollutant loadings of a
physically interconnected regulated MS4; and
(3) if the small MS4 discharges any pollutants identified as a cause of impairment of
any water body to which it discharges, storm water controls are not needed
based on wasteload allocations that are part of an EPA approved or established
"total maximum daily load" (TMDL) that addresses the pollutant(s) of concern.
TMDLs are water quality assessments that determine the source or sources of
pollutants of concern for a particular waterbody, consider the maximum amount of
pollutants the waterbody can assimilate, and then allocate to each source a set level of
pollutants that it is allowed to discharge (i.e., a "wasteload allocation"). Small MS4s
that are not given a wasteload allocation would meet the third criterion above.
The third criterion of this waiver option need only be met if the small MS4 is discharging
into a impaired water body and the discharge contains a pollutant or pollutants that are
the cause of the impairment (i.e., the "pollutants of concern").
4.4.2 Option 2: Less than 10,000 Population in a UA
The second waiver option applies where:
(1) the jurisdiction served by the system is less than 10,000 people;
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(2) an evaluation of all waters of the U.S. that receive a discharge from the system
shows that storm water controls are not needed based on wasteload allocations
that are part of an EPA approved or established TMDL that addresses the
pollutant(s) of concern or an equivalent analysis; and
(3) it is determined that future discharges from the small MS4 do not have the
potential to result in exceedances of water quality standards.
Pollutants of Concern include biochemical oxygen
demand (BOD), sediment or a parameter that addresses
sediment (such as total suspended solids, turbidity or
siltation), pathogens, oil and grease, and any pollutant that
has been identified as a cause of impairment in any water
body to which the MS4 discharges.
This waiver option differs from the first option in that: 1) it applies to a larger jurisdiction
size (up to 10,000 rather than 1,000), 2) it requires a determination that the discharges
are not affecting the receiving water body, whether the water body is impaired or not (in
the first option an assessment is only necessary if the water body is impaired and the
MS4 is discharging a pollutant of concern), 3) the determination must be based on a
TMDL or an equivalent analysis (the first option does not allow for an equivalent
analysis), and 4) an assessment of the impacts of future discharges must be performed
(no such assessment is necessary under the first option).
4.5 PERMITTING OPTIONS: What Permitting Choices are Available?
The Storm Water Phase II Final Rule requires operators of a particular subset of
small MS4s in urbanized areas to obtain National Pollutant Discharge Elimination
System (NPDES) permit coverage because their storm water discharges are
considered "point sources" of pollution. All point source discharges, unlike nonpoint
sources such as agricultural runoff, are required under the Clean Water Act (CWA) to
be covered by federally enforceable NPDES permits. Those MS4s already permitted
under the NPDES Phase I storm water program, even MS4s serving less than 100,000
people, are not required to be permitted under the Phase II storm water program.
NPDES storm water permits are issued by an NPDES permitting authority, which
may be an NPDES-authorized State or a U.S. EPA Region in non-authorized States.
Once a permit application is submitted by the operator of a regulated small MS4 and a
permit is obtained, the conditions of the permit must be satisfied (i.e., development and
implementation of a storm water management program) and periodic reports must be
submitted on the status and effectiveness of the program. This section addresses the
flexible permit options the Phase II regulations allow for the regulated small MS4
operator, as well as for the permitting authority. The permit requirements are discussed
in section 4.6.
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4.5.1 For Regulated Small MS4 Operators
4.5.1.1 The Types of Permit Coverage Available
Unlike the Phase I program that requires individual permits for medium and large
MS4s, the Phase II approach allows operators of regulated small MS4s to choose from
as many as three permitting options as listed below. Each NPDES permitting authority
reserves the authority to determine, however, which options are available to the
regulated small MS4s in their jurisdiction.
1) General Permits
# General permits are strongly encouraged by EPA. The Phase II program has
been designed specifically to accommodate a general permit approach.
# General permits prescribe one set of requirements for all applicable permittees.
General permits are drafted by the NPDES permitting authority, then published
for public comment before being finalized and issued.
# A Notice of Intent (NOI) serves as the application for the general permit. The
regulated small MS4 operator complies with the permit application requirements
by submitting an NOI to the NPDES permitting authority that describes the storm
water management plan, including best management practices (BMPs) and
measurable goals. The operator has the flexibility to develop an individualized
storm water program that addresses the particular characteristics and needs of
its system, provided the requirements of the general permit are satisfied.
# For general permit coverage, the regulated small MS4 operator must follow the
Phase II permit application requirements (see section 4.6.2).
2) Individual Permits
# Individual permits are required for Phase I medium and large MS4s, but not
recommended by EPA for Phase II program implementation.
# Individual permits prescribe a particular set of requirements for a particular
permittee or a group of co-permittees. Individual permits require the submission
of a more comprehensive permit application than an NOI that is submitted under
a general permit. Once the permit application is received, an individual permit is
drafted by the NPDES permitting authority, then published for public comment
before being finalized and issued.
# The Phase II rule allows a regulated small MS4 to submit an individual
application for coverage under either the:
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4.0 Regulated Small MS4s
Phase II MS4 regulation (see § 122.34 of the Phase II rule), or
Phase I MS4 regulation (see 40 CFR §122.26(d)).
3) Modification of an Existing Phase I Individual Permit - A Co-Permittee Option
with Medium and Large MS4s
# The operator of a regulated small MS4 could participate as a limited co-permittee
in a neighboring Phase I MS4's storm water management program by seeking a
modification of the existing Phase I individual permit. As a limited co-permittee
the small MS4 operator would be responsible for compliance with the permit's
conditions applicable to its jurisdiction.
Note: A list of Phase I medium and large MS4s can be obtained from the
EPA Office of Wastewater Management (OWM) or downloaded
from the OWM web site.
# The permittee must comply with the applicable terms of the modified Phase I
individual permit rather than the minimum control measures in the Phase II Final
Rule.
4.5.1.2 Co-permittee with Another Operator of a Regulated Small MS4
Section 4.5.1.1 explained the permitting option of a modification of an existing
Phase I individual permit in order to be a co-permittee with a medium or large MS4.
Regulated small MS4 operators may also choose to share responsibilities for meeting
the Phase II program requirements with another regulated small MS4 operator under a
general or individual permit. Those operators choosing to do so may submit jointly an
NOI or individual permit application that identifies who will implement which minimum
measures within the area served by the MS4s.
4.5.1.3 Relying on Another Entity to Satisfy One or More of the Minimum
Control Measures
Under either a general or individual permit, the Phase II small MS4 permittee has
the option of relying on other entities that are already performing one or more of
the minimum control measures to implement the measure(s) on the permittee's behalf.
This is only allowable where the existing control measure, or component thereof, is at
least as stringent as the Phase II rule requirements (under § 122.34(b)) and the other
entity has agreed to the arrangement.
For example, a county may already have an illicit discharge detection and
elimination program in place and may allow an operator of a regulated small MS4 within
the county's jurisdiction to rely on the county program instead of formulating and
implementing a new program. In such a case, the permittee would not need to
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implement the particular measure, but would still be ultimately responsible for its
effective implementation. For this reason, EPA recommends that the permittee enter
into a legally binding agreement with the other entity. If the permittee chooses to rely
on another entity, they must note this in their permit application and subsequent
reports.
Note: Also, the other entity does not necessarily need to be a
governmental entity. For example, a permittee could rely on a non-
profit organization that is performing public education efforts on
environmental issues to satisfy the public education and outreach
minimum measure.
A Phase II permittee also has the option to rely on another entity to satisfy aN of the
permittee's small MS4 permit obligations - but only if the other entity is a governmental
entity permitted under the NPDES storm water program. Should this option be chosen,
the permittee must note this in its NOI, but does not need to file the otherwise required
periodic reports on the status of the program. Again, it is important to note that the
permittee would remain ultimately liable under the small MS4 permit. This option is
particularly beneficial for operators that serve a low population, have limited resources
or legal authority, or are surrounded by an NPDES regulated municipality. For
example, let's assume a college campus or a veteran's hospital are operators of small
MS4s and they are located in the middle of a Phase II regulated city. Negotiating with
the city to implement the storm water management program for them in their
jurisdictions could be a cost-effective and less burdensome option than for each to
implement their own programs.
4.5.2 For the NPDES Permitting Authority
4.5.2.1 Alternative Options for Writing Permit Requirements
Two permitting options tailored to minimize duplication of effort by the regulated
small MS4 permittee can be incorporated into the general or individual permit by the
NPDES permitting authority:
1) Recognizing Another Governmental Entity's Program
The permitting authority can recognize in a small MS4 permit that another
governmental entity is responsible under an NPDES permit for implementing any or all
of the minimum control measures. In such a case, responsibility for implementation of
the measure(s) would rest with the other governmental entity, thereby relieving the
small MS4 permittee of its responsibility to implement that particular measure(s). See
Table 4-1 for examples of both this option and the following option.
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STORM WATER PHASE II RULE SMALL MS4 FLEXIBLE PERMITTING OPTIONS
Referencing a
QUALIFYING LOCAL PROGRAM (QLP)
RECOGNIZING
an NPDES-Regulated Entity
RELYING
on Another Entity
CO-PERMITTEE with
an NPDES-Regulated
Entity
o =
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4.0 Regulated Small MS4s
2) Referencing a Qualifying Local Program
The NPDES permitting authority can include conditions in a small MS4 permit that
direct a permittee to follow the requirements of an existing qualifying local program
rather than the requirements of particular minimum control measure(s). A qualifying
local program is defined as a local, State or Tribal municipal storm water program that
imposes requirements that are equivalent to those of the Phase II MS4 minimum
measures (as found in § 122.34(b) of the rule). Unlike in Option 1 above, under this
option the permittee remains responsible for the implementation of the minimum
measure through its compliance with the qualifying local program.
4.5.2.2. Alternative Option for Permit Coverage: Phase-in Coverage for
Regulated Small MS4s with Populations under 10,000
Permitting authorities may phase-in permit coverage for regulated small MS4s
serving jurisdictions with a population under 10,000 on a schedule consistent with a
State watershed permitting approach. Under this alternative option, the permitting
authority must develop and implement a schedule to phase-in permit coverage for
approximately 20 percent annually of all regulated small MS4s that qualify, completing
the phase-in schedule in no more than five years. In such a case, the regulated small
MS4 operators would be notified by the permitting authority concerning the operator's
deadlines for permit coverage.
Deadlines for Phase-In
Permitting authorities are required to have their phase-in schedule approved by the
USEPA Regional Administrator no later than December 10, 2001.
Under the phase-in option, all regulated small MS4s are required to have coverage
under an NPDES permit no later than March 8, 2007.
4.6 REQUIREMENTS: What Requirements Are Regulated Small MS4s
Subject To?
A regulated small MS4 operator is required to submit a permit application and obtain
coverage under a NPDES storm water permit. Under the permit, the operator will be
required to develop and implement a storm water management program that includes
six minimum control measures, evaluation/assessment and reporting efforts, and
recordkeeping, as described herein. This section begins by highlighting the standards
an operator must meet to ensure compliance with the Phase II regulations.
4.6.1 Applicable Standards
A Phase II small MS4 operator must design a storm water management program so
that it:
Q Reduces the discharge of pollutants to the "maximum extent practicable"
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(MEP);
Q Protects water quality; and
Q Satisfies the appropriate water quality requirements of the Clean Water
Act.
The standard of MEP is the same standard applied to Phase I medium and large
MS4 programs. There is no regulatory definition of MEP in order to allow the permitting
authority and regulated MS4s maximum flexibility in their interpretation of it as
appropriate.
Compliance with the technical standard of MEP requires the successful
implementation of approved BMPs. The Phase II Final Rule considers narrative
effluent limitations that require the implementation of BMPs and the achievement of
measurable goals as the most appropriate form of effluent limitations to achieve the
protection of water quality, rather than requiring that storm water discharges meet
numeric effluent limitations.
EPA intends to issue Phase II NPDES permits consistent with its August 1, 1996,
Interim Permitting Approach policy, which calls for BMPs in first-round storm water
permits and expanded or better tailored BMPs in subsequent permits, where necessary,
to provide for the attainment of water quality standards. In cases where information
exists to develop more specific conditions or limitations to meet water quality standards,
these conditions or limitations should be incorporated into the storm water permit.
Monitoring is not required under the Phase II Rule, but the NPDES permitting authority
has the discretion to require monitoring if deemed necessary.
4.6.2 Permit Application Requirements
The permit application requirements differ depending on the type of permit chosen.
The following subsections describe the applicable requirements for each type of permit
option allowable under the Phase II regulation.
Deadline for Submission of Permit Application
The deadline for submission of each type of permit application is the same - it must
be done no later than March 10, 2003 unless the NPDES permitting authority chooses
to phase-in permit coverage on a watershed basis and establishes other deadlines (see
section 4.5.2.2).
4.6.2.1 General Permit Under Phase II Regulations
Operators of regulated small MS4s are required to submit in their NOI the following
information:
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Q Best management practices (BMPs) for each of the six minimum control
measures:
O Public education and outreach on storm water impacts
© Public participation/involvement
© Illicit discharge detection and elimination
@ Construction site storm water runoff control
Post-construction storm water management in new development/
redevelopment
© Pollution prevention/good housekeeping for municipal operations
Q Measurable goals for each minimum control measure (i.e, narrative or
numeric standards used to gauge program effectiveness);
Q Estimated months and years in which actions to implement each measure
will be undertaken, including interim milestones and frequency; and
Q The person or persons responsible for implementing or coordinating the
storm water program.
The operator of a regulated small MS4 has the flexibility to determine the BMPs and
measurable goals, for each minimum control measure, that are most appropriate for the
system. The chosen BMPs and measurable goals, submitted in the permit application,
become the required storm water management program; however, the NPDES
permitting authority can require changes in the mix of chosen BMPs and measurable
goals if all or some of them are found to be inconsistent with the provisions of the
Phase II Final Rule. Likewise, the permittee can change its mix of BMPs if it
determines that the program is not as effective as it could be. Section 4.6.2 fully
describes the minimum control measures, including sample BMPs and measurable
goals for each, while section 4.6.3 describes the permit requirements concerning
evaluation/assessment and recordkeeping activities.
4.6.2.2 Individual Permit Under the Phase II Regulation
For individual permit coverage under Phase II, the regulated small MS4 operator
must follow the requirements of 40 CFR § 122.21(f) and the Phase II permit application
requirements as described in section 4.6.2.1 above. The operator must also provide an
estimate of the square mileage served by the system and any additional information
requested by the NPDES permitting authority. A storm sewer map that satisfies the
requirements of § 122.34(b)(3)(i) of the Phase II rule will satisfy the map requirements
of §122.21 (f)(7).
4.6.2.3 Individual Permit Under the Phase I Regulation
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For individual permit coverage under Phase I, the regulated small MS4 operator
must follow the permit application requirements detailed at 40 CFR § 122.26(d). The
operator must submit both Part 1 and Part 2 of the application requirements in
§§ 122.26(d)(1) and (2) by March 10, 2003. The operator would not need to submit the
information required by §§ 122.26(d)(1)(ii) and (d)(2) regarding legal authority unless it
wanted the permitting authority to take that information into account when developing
the individual permit.
4.6.2.4 Modification of an Existing Phase I Individual Permit
Under this permit option, the operator of a regulated small MS4 must follow Phase I
permit application requirements in § 122.26(d), with some exclusions, rather than
Phase II permit application requirements. The operator would not need to follow the
application requirements of §§ 122.26(d)(1)(iii) and (iv) and (d)(2)(iii) - discharge
characterization. The operator may satisfy the requirements in §§ 122.26(d)(1)(v) and
(d)(2)(iv) - identification of a management program - by referring to the Phase I MS4's
storm water management program.
EPA Recommendations
In referencing a Phase I's MS4's storm water management program, the operator
should briefly describe how the existing plan will address discharges from the small
MS4 or would need to be supplemented in order to adequately address the small MS4
discharges. The small MS4 operator should explain their role in coordinating storm
water pollutant control activities in their MS4 service area and detail the resources
available to accomplish the plan.
If a small MS4 is considering this option, it should find out when the Phase I MS4's
permit is scheduled for renewal and become thoroughly familiar with the Phase I MS4's
permit conditions. This co-permitting approach will be most successful if both MS4s
have had thorough discussions of their storm water programs and if the small MS4
submits it's application at the time that the Phase I MS4 is submitting its reapplication.
4.6.2 Program Requirements: The Six Minimum Control Measures
If coverage is obtained under a general permit or an individual permit under the
Phase II regulations, the operator of a regulated small MS4 is required to implement a
storm water management program that includes, at a minimum, the six minimum
control measures described in the following subsections. As you read these
subsections, keep in mind that the operator has a great deal of flexibility in determining
the best management practices they will use to accomplish each measure. The rule
allows the operators to chose the BMPs and measurable goals for each measure as
appropriate for their particular MS4 service area - as long as the chosen BMPs and
measurable goals result in effective control of pollutants in storm water runoff.
Otherwise, the permitting authority may require changes in the chosen mix of BMPs
and measurable goals to result in a more effective program.
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4.6.2.1 Public Education and Outreach on Storm Water Impacts
Why Is Public Education and Outreach Necessary?
An informed and knowledgeable community is crucial to the success of a storm
water management program since it helps to ensure the following:
Greater support for the program as the public gains a greater understanding of the
reasons why it is necessary and important. Public support is particularly beneficial
when operators of small MS4s attempt to institute new funding initiatives for the
program or seek volunteers to help implement the program; and
Greater compliance with the program as the public becomes aware of the personal
responsibilities expected of them and others in the community, including the
individual actions they can take to protect or improve the quality of area waters.
What Is Required?
To satisfy this minimum control measure, the operator of a regulated small MS4 must:
Q Implement a public education program to distribute educational materials to
the community, or conduct equivalent outreach activities about the impacts
of storm water discharges on local waterbodies and the steps that can be
taken to reduce storm water pollution; and
Q Determine the appropriate best management practices (BMPs) and
measurable goals for this minimum control measure. Some program
implementation approaches, BMPs (i.e., the program actions/activities), and
measurable goals are suggested below.
What Are Some Guidelines for Developing and Implementing This Measure?
Three main action areas are important for successful implementation of a public
education and outreach program:
O Forming Partnerships
Operators of regulated small MS4s are encouraged to enter into partnerships with
other governmental entities to fulfill this minimum control measure's requirements. It
is generally more cost-effective to use an existing program, or to develop a new
regional or state-wide education program, than to have numerous operators
developing their own local programs. Operators also are encouraged to seek
assistance from non-governmental organizations (e.g., environmental, civic, and
industrial organizations), since many already have educational materials and
perform outreach activities.
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@ Using Educational Materials and Strategies
Operators of regulated small MS4s may use storm water educational information
provided by their State, Tribe, EPA Region, or environmental, public interest, or
trade organizations instead of developing their own materials. Operators should
strive to make their materials and activities relevant to local situations and issues,
and incorporate a variety of strategies to ensure maximum coverage. Some
examples include:
Brochures or fact sheets for general public and specific audiences;
Recreational guides to educate groups such as golfers, hikers, paddlers, climbers,
fishermen, and campers;
Alternative information sources, such as web sites, bumper stickers, refrigerator
magnets, posters for bus and subway stops, and restaurant placemats;
A library of educational materials for community and school groups;
Volunteer citizen educators to staff a public education task force;
Event participation with educational displays at home shows and community
festivals;
Educational programs for school-age children;
Storm drain stenciling of storm drains with messages such as "Do Not Dump -
Drains Directly to Lake;"
Storm water hotlines for information and for citizen reporting of polluters;
Economic incentives to citizens and businesses (e.g., rebates to homeowners
purchasing mulching lawnmowers or biodegradable lawn products);and
Tributary signage to increase public awareness of local water resources.
© Reaching Diverse Audiences
The public education program should use a mix of appropriate local strategies to
address the viewpoints and concerns of a variety of audiences and communities,
including minority and disadvantaged communities, as well as children. Printing
posters and brochures in more than one language or posting large warning signs
(e.g., cautioning against fishing or swimming) near storm sewer outfalls are methods
that can be used to reach audiences less likely to read standard materials. Directing
materials or outreach programs toward specific groups of commercial, industrial,
and institutional entities likely to have significant storm water impacts is also
recommended. For example, information could be provided to restaurants on the
effects of grease clogging storm drains and to auto garages on the effects of
dumping used oil into storm drains.
What Are Appropriate Measurable Goals?
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Measurable goals, which are required for each minimum control measure, are
intended to gauge permit compliance and program effectiveness. The measurable
goals, as well as the BMPs, should reflect the needs and characteristics of the operator
and the area served by its small MS4. Furthermore, they should be chosen using an
integrated approach that fully addresses the requirements and intent of the minimum
control measure. An integrated approach for this minimum measure could include the
following measurable goals:
Target Date Activity
1 year Brochures developed (bilingual, if appropriate) and distributed in water
utility bills; a storm water hotline in place; volunteer educators trained.
2 years A web site created school curricula developed; storm drains stenciled.
3 years A certain percentage of restaurants no longer dumping grease and other
pollutants down storm sewer drains.
4 years A certain percentage reduction in litter or animal waste detected in
discharges.
4.6.2.2 Public Participation/Involvement
Why Is Public Participation and Involvement Necessary?
EPA believes that the public can provide valuable input and assistance to a
regulated small MS4's municipal storm water management program and, therefore,
suggests that the public be given opportunities to play an active role in both the
development and implementation of the program. An active and involved community is
crucial to the success of a storm water management program because it allows for:
Broader public support since citizens who participate in the development and
decision making process are partially responsible for the program and, therefore,
may be less likely to raise legal challenges to the program and more likely to take an
active role in its implementation;
Shorter implementation schedules due to fewer obstacles in the form of public
and legal challenges and increased sources in the form of citizen volunteers;
A broader base of expertise and economic benefits since the community can be
a valuable, and free, intellectual resource; and
A conduit to other programs as citizens involved in the storm water program
development process provide important cross-connections and relationships with
other community and government programs. This benefit is particularly valuable
when trying to implement a storm water program on a watershed basis, as
encouraged by EPA.
What Is Required?
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To satisfy this minimum control measure, the operator of a regulated small MS4 must:
Q Comply with applicable State, Tribal, and local public notice requirements; and
Q Determine the appropriate best management practices (BMPs) and measurable
goals for this minimum control measure. Possible implementation approaches,
BMPs (i.e., the program actions and activities), and measurable goals are
described below.
What Are Some Guidelines for Developing and Implementing This Measure?
Operators of regulated small MS4s should include the public in developing,
implementing, and reviewing their storm water management programs. The public
participation process should make every effort to reach out and engage all economic
and ethnic groups. EPA recognizes that there are challenges associated with public
involvement. Nevertheless, EPA strongly believes that these challenges can be
addressed through an aggressive and inclusive program. Challenges and example
practices that can help ensure successful participation are discussed below.
Implementation Challenges
The best way to handle common notification and recruitment challenges is to know
the audience and think creatively about how to gain its attention and interest.
Traditional methods of soliciting public input are not always successful in generating
interest, and subsequent involvement, in all sectors of the community. For example,
municipalities often rely solely on advertising in local newspapers to announce public
meetings and other opportunities for public involvement. Since there may be large
sectors of the population who do not read the local press, the audience reached may be
limited. Therefore, alternative advertising methods should be used whenever possible,
including radio or television spots, postings at bus or subway stops, announcements in
neighborhood newsletters, announcements at civic organization meetings, distribution
of flyers, mass mailings, door-to-door visits, telephone notifications, and multilingual
announcements. These efforts, of course, are tied closely to the efforts for the public
education and outreach minimum control measure.
In addition, advertising and soliciting for help could and should be targeted at
specific population sectors, including ethnic, minority, and low-income communities;
academia and educational institutions; neighborhood and community groups; outdoor
recreation groups; and business and industry. The goal is to involve a diverse cross-
section of people who could offer a multitude of concerns, ideas, and connections
during the program development process.
Possible Practices (BMPs)
There are a variety of practices that could be incorporated into a public participation
and involvement program, such as:
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Public meetings/citizen panels allow citizens to discuss various viewpoints and
provide input concerning appropriate storm water management policies and BMPs;
Volunteer water quality monitoring gives citizens first-hand knowledge of the
quality of local water bodies and provides a cost-effective means of collecting water
quality data;
Volunteer educatorsispeakers who can conduct workshops, encourage public
participation, and staff special events;
Storm drain stenciling is an important and simple activity that concerned citizens,
especially students, can do;
Community clean-ups along local waterways, beaches, and around storm drains;
Citizen watch groups can aid local enforcement authorities in the identification of
polluters; and
"Adopt A Storm Drain" programs encourage individuals or groups to keep storm
drains free of debris and to monitor what is entering local waterways through storm
drains.
What Are Appropriate Measurable Goals?
Measurable goals, which are required for each minimum control measure, are
intended to gauge permit compliance and program effectiveness. The measurable
goals, as well as the BMPs, would greatly depend on the needs and characteristics of
the operator and the area served by its small MS4. Furthermore, they should be
chosen using an integrated approach that fully addresses the requirements and intent
of the minimum control measure. An integrated approach for this minimum measure
could include the following measurable goals:
Target Date Activity
1 year Notice of a public meeting in several different print media and bilingual
flyers; citizen panel established; volunteers organized to locate
outfalls/illicit discharges and stencil drains.
2 years Final recommendations of the citizen panel; radio spots promoting
program and participation.
3 years A certain percentage of the community participating in community clean-
ups.
4 years Citizen watch groups established in a certain percentage of
neighborhoods; outreach to every different population sector completed.
4.6.2.3 Illicit Discharge Detection and Elimination
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What Is An "Illicit Discharge"?
Federal regulations define an illicit discharge as "...any discharge to an MS4 that is
not composed entirely of storm water..." with some exceptions. These exceptions
include discharges from NPDES-permitted industrial sources and discharges from fire-
fighting activities. Illicit discharges (see Table 4-2) are considered "illicit" because MS4s
are not designed to accept, process, or discharge such non-storm water wastes. It is
important to note that "illicit" does not mean "illegal." Not every illicit discharge is
necessarily a prohibited illegal discharge.
Table 4-2
Sources of
Illicit Discharges
Sanitary wastewater
Effluent from septic tanks
Car wash wastewaters
Improper oil disposal
Radiator flushing disposal
Laundry wastewaters
Spills from roadway accidents
Improper disposal of auto and
household toxics
Why Are Illicit Discharge Detection and Elimination
Efforts Necessary?
Discharges from MS4s often include wastes and
wastewater from non-storm water sources. A study
conducted in 1987 in Sacramento, California, found that
almost one-half of the water discharged from a local MS4
was not directly attributable to precipitation runoff. A
significant portion of these dry weather flows were from
illicit and/or inappropriate discharges and connections to
the MS4.
Illicit discharges enter the system through either direct
connections (e.g., wastewater piping either mistakenly or
deliberately connected to the storm drains) or indirect
connections (e.g., infiltration into the MS4 from cracked
sanitary systems, spills collected by drain outlets, or paint
or used oil dumped directly into a drain). The result is
untreated discharges that contribute high levels of pollutants, including heavy metals,
toxics, oil and grease, solvents, nutrients, viruses, and bacteria to receiving
waterbodies. Pollutant levels from these illicit discharges have been shown in EPA
studies to be high enough to significantly degrade receiving water quality and threaten
aquatic, wildlife, and human health.
What Is Required?
Recognizing the adverse effects illicit discharges can have on receiving waters, the
final rule requires an operator of a regulated small MS4 to develop and implement an
illicit discharge detection and elimination program. This program must include the
following:
A storm sewer system map, showing the location of all outfalls and the names
and location of all waters of the United States that receive discharges from those
outfalls;
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Q Through an ordinance, or other regulatory mechanism, a prohibition (to the
extent allowable under State, Tribal, or local law) on non-storm water discharges
into the MS4, and appropriate enforcement procedures and actions;
Q A plan to detect and address non-storm water discharges, including illegal
dumping, into the MS4;
Q The education of public employees, businesses, and the general public about
the hazards associated with illegal discharges and improper disposal of waste;
and
Q The determination of appropriate best management practices (BMPs) and
measurable goals for this minimum control measure. Some program
implementation approaches, BMPs (i.e., the program actions/activities), and
measurable goals are suggested below.
Does This Measure Need to Address All Illicit Discharges?
No. The illicit discharge detection and elimination program does not need to
address the following categories of non-storm water discharges or flows unless the
operator of the regulated small MS4 identifies them as significant contributors of
pollutants to its MS4:
Water line flushing
Landscape irrigation
Diverted stream flows
Rising ground waters
Uncontaminated ground water
infiltration
Uncontaminated pumped ground
water
Discharges from potable water
sources
Foundation drains
Air conditioning condensation
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.
What Are Some Guidelines for Developing and Implementing This Measure?
The objective of the illicit discharge detection and elimination minimum control
measure is to have regulated small MS4 operators gain a thorough awareness of their
systems. This awareness allows them to determine the types and sources of illicit
discharges entering their system, and establish the legal, technical, and educational
means needed to eliminate these discharges. Permittees could meet these objectives
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in a variety of ways depending on their individual needs and abilities, but some general
guidance for each requirement is provided below.
The Map
The storm sewer system map is meant to demonstrate a basic awareness of the
intake and discharge areas of the system. It is needed to help determine the extent of
discharged dry weather flows, the possible sources of the dry weather flows, and the
particular waterbodies these flows may be affecting. An existing map, such as a
topographical map, on which the location of major pipes and outfalls can be clearly
presented would demonstrate such an awareness.
EPA recommends collecting all existing information on outfall locations (e.g., review
city records, drainage maps, storm drain maps), and then conducting field surveys to
verify locations. It probably will be necessary to walk (i.e., wade through small receiving
waters or use a boat for larger waters) the streambanks and shorelines for visual
observation. More than one trip may be needed to locate all outfalls.
Legal Prohibition and Enforcement
EPA recognizes that some permittees may have limited authority under State, Tribal
or local law to establish and enforce an ordinance, or other regulatory mechanism,
prohibiting illicit discharges. In such a case, the permittee is encouraged to obtain the
necessary authority, if at all possible. Otherwise, the NPDES permitting authority
assumes responsibility for implementation of this component of the minimum measure,
yet the permittee would remain ultimately responsible for the quality of its MS4
discharge. Model ordinances, including examples of amendments to local codes or
existing ordinances, will be provided in the Phase II storm water guidance for regulated
small MS4s, which is part of EPA's planned implementation "tool box" for the rule.
The Plan
The plan to detect and address illicit discharges is the central component of this
minimum control measure. The plan is dependant upon several factors, including the
permittee's available resources, size of staff, and degree and character of its illicit
discharges. EPA envisions a plan similar to the one recommended for use in meeting
Michigan's general storm water NPDES permit for small MS4s. As guidance only, the
four steps of a recommended plan are outlined below:
O Locate Problem Areas
EPA recommends that priority areas be identified for detailed screening of the
system based on the likelihood of illicit connections (e.g., areas with older
sanitary sewer lines). Some methods that could be used to locate problem areas
include: public complaints; visual screening; water sampling from manholes and
outfalls during dry weather; and use of infrared and thermal photography.
© Find the Source
Once a problem area or discharge is found, additional efforts usually would be
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necessary to determine the source of the problem. Some methods that could be
used to find the source of the illicit discharge include: dye-testing buildings in
problem areas; dye- or smoke-testing buildings at the time of sale; tracing the
discharge upstream in the storm sewer; employing a certification program that
shows that buildings have been checked for illicit connections; implementing an
inspection program of existing septic systems; and using video to inspect the
storm sewers.
© Remove/Correct Illicit Connections
Once the source is identified, the offending discharger should be notified and
directed to correct the problem. Education efforts and working with the
discharger can be effective in resolving the problem before taking legal action.
O Document Actions Taken
As a final step, all actions taken under the plan should be documented. Doing
so would illustrate that progress is being made to eliminate illicit connections and
discharges. Documented actions should be included in the required annual
reports and include information such as: the number of outfalls screened; any
complaints received and corrected; the number of discharges and quantities of
flow eliminated; and the number of dye or smoke tests conducted.
Educational Outreach
Outreach to public employees, businesses, property owners, the general
community, and elected officials regarding ways to detect and eliminate illicit discharges
is an integral part of this minimum measure that will help gain support for the
permittee's storm water program. Suggested educational outreach efforts include:
Developing informative brochures, and guidances for specific audiences (e.g.,
carpet cleaning businesses) and school curricula;
Designing a program to publicize and facilitate public reporting of illicit
discharges;
Coordinating volunteers for locating, and visually inspecting, outfalls or to
stencil storm drains; and
Initiating recycling programs for commonly dumped wastes, such as motor oil,
antifreeze, and pesticides.
What Are Appropriate Measurable Goals?
Measurable goals, which are required for each minimum control measure, are
intended to gauge permit compliance and program effectiveness. The measurable
goals, as well as the BMPs, should reflect the needs and characteristics of the operator
and the area served by its small MS4. Furthermore, they should be chosen using an
integrated approach that would fully address the requirements and intent of the
minimum control measure. An integrated approach for this minimum measure could
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include the following measurable goals:
Target Date Activity
1 year Sewer system map completed; recycling program for household
hazardous waste in place.
2 years Ordinance in place; training for public employees completed; a certain
percentage of sources of illicit discharges determined.
3 years A certain percentage of: illicit discharges detected; illicit discharges
eliminated; and households participating in quarterly household
hazardous waste special collection days.
4 years Most illicit discharge sources detected and eliminated.
The educational outreach measurable goals for this minimum control measure could be
combined with the measurable goals for the Public Education and Outreach minimum
control measure.
4.6.2.4 Construction Site Storm Water Runoff Control
Why Is The Control of Construction Site Runoff Necessary?
Polluted storm water runoff from construction sites often flows to MS4s and
ultimately is discharged into local rivers and streams. Of the pollutants listed in Table 4-
3, sediment is usually the main pollutant of concern. Sediment runoff rates from
construction sites are typically 10 to 20 times greater than
those of agricultural lands, and 1,000 to 2,000 times greater Table 4~3
than those of forest lands. During a short period of time,
construction sites can contribute more sediment to streams
than can be deposited naturally during several decades.
The resulting siltation, and the contribution of other
pollutants from construction sites, can cause physical, _ ... .
r. . , ,,.,.,, , , , ,- Solid and sanitary wastes
chemical, and biological harm to our nation s waters. For
. ,. , ... ..... . ... Phosphorous (fertilizer)
example, excess sediment can quickly fill rivers and lakes,
requiring dredging and destroying aquatic habitats. 'rogen
Pollutants
Commonly Discharged
From Construction Sites
Sediment
Pesticides
Oil and grease
Concrete truck washout
Construction chemicals
Construction debris
What Is Required?
The Phase II Final Rule requires an operator of a
regulated small MS4 to develop, implement, and enforce a
program to reduce pollutants in storm water runoff to their
MS4 from construction activities that result in a land
disturbance of greater than or equal to one acre. The small MS4 operator is required
to:
Q Have an ordinance or other regulatory mechanism requiring the implementation
of proper erosion and sediment controls, and controls for other wastes, on
applicable construction sites;
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Q Have procedures for site plan review of construction plans that consider potential
water quality impacts;
Q Have procedures for site inspection and enforcement of control measures;
Q Have sanctions to ensure compliance (established in the ordinance or other
regulatory mechanism);
Q Establish procedures for the receipt and consideration of information submitted
by the public; and
Q Determine the appropriate best management practices (BMPs) and measurable
goals for this minimum control measure. Suggested BMPs (i.e., the program
actions/activities) and measurable goals are presented below.
What Are Some Guidelines for Developing and Implementing This Measure?
Further explanation and guidance for each component of a regulated small MS4's
construction program is provided below.
Regulatory Mechanism
Through the development of an ordinance or other regulatory mechanism, the small
MS4 operator needs to establish a construction program that requires controls for
polluted runoff from construction sites with a land disturbance of greater than or equal
to one acre. Because there may be limitations on regulatory legal authority, the small
MS4 operator is required to satisfy this minimum control measure only to the maximum
extent practicable and allowable under State, Tribal, or local law. If an operator is
unable to establish an enforceable construction program due to a lack of legal authority,
and is unsuccessful in trying to obtain the necessary authority, the NPDES permitting
authority would then assume responsibility.
EPA intends to develop a model ordinance that a small MS4 operator could use as
a basis for its construction program. Alternatively, amendments to existing erosion and
sediment control programs, or other ordinances, can also provide the basis for the
program.
Site Plan Review
The small MS4 operator is required to include in its construction program
requirements for the implementation of appropriate BMPs on construction sites to
control erosion and sediment, as well as waste at the site. To determine if a
construction site is in compliance with such provisions, the small MS4 operator should
review the site plans submitted by the construction site operator before ground is
broken.
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Site plan review aids in compliance and enforcement efforts since it alerts the small
MS4 operator early in the process to the planned use or non-use of proper BMPs and
provides a way to track new construction activities. The tracking of sites is useful not
only for the small MS4 operator's recordkeeping and reporting purposes, which will be
required activities under their NPDES storm water permit (see Fact Sheet 2.9), but also
for members of the public interested in ensuring that the sites are in compliance.
Inspections and Penalties
Once construction commences, the BMPs should be in place and the small MS4
operator's enforcement activities should begin. To ensure that the BMPs are properly
installed, the small MS4 operator is required to develop procedures for site inspection
and enforcement of control measures to deter infractions. Procedures could include
steps to identify priority sites for inspection and enforcement based on the nature and
extent of the construction activity, topography, and the characteristics of soils and
receiving water quality. Inspections give the MS4 operator an opportunity to provide
additional guidance and education, issue warnings, or assess penalties. To conserve
staff resources, one possible option for small MS4 operators could be to have these
inspections performed by the same inspector that visits the sites to check compliance
with health and safety building codes.
Information Submitted by the Public
A final requirement of the small MS4 program for construction activity is the
development of procedures for the receipt and consideration of public inquiries,
concerns, and information submitted regarding local construction activities. This
provision is intended to further reinforce the public participation component of the
regulated small MS4 storm water program and to recognize the crucial role that the
public can play in identifying instances of noncompliance.
The small MS4 operator is required only to consider the information submitted, and
may not need to follow-up and respond to every complaint or concern. Although some
form of enforcement action or reply is not required, the small MS4 operator is required
to demonstrate acknowledgment and consideration of the information submitted. A
simple tracking process in which submitted public information, both written and verbal,
is recorded and then given to the construction site inspector for possible follow-up
would suffice.
What Are Appropriate Measurable Goals?
Measurable goals, which are required for each minimum control measure, are
intended to gauge permit compliance and program effectiveness. The measurable
goals, as well as the BMPs, should reflect the needs and characteristics of the operator
and the area served by its small MS4. Furthermore, they should be chosen using an
integrated approach that fully addresses the requirements and intent of the minimum
control measure. An integrated approach for this minimum measure could include the
following measurable goals:
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Target Date Activity
1 year Ordinance or other regulatory mechanism in place; procedures for
information submitted by the public in place.
2 years Procedures for site inspections implemented; a certain percentage rate of
compliance achieved by construction operators.
3 years Maximum compliance with ordinance; improved clarity and reduced
sedimentation of local waterbodies.
4 years Increased numbers of sensitive aquatic organisms in local waterbodies.
Am I Correct in Thinking that Construction Sites Are Already Covered Under the
NPDES Storm Water Program?
Yes. EPA's Phase I NPDES storm water program requires operators of construction
activities that disturb five or more acres to obtain a NPDES construction storm water
permit. General permit requirements include the submission of a Notice of Intent and
the development of a storm water pollution prevention plan (SWPPP). The SWPPP
must include a site description and measures and controls to prevent or minimize
pollutants in storm water discharges. The Phase II Final Rule similarly regulates
discharges from smaller construction sites disturbing equal to or greater than one acre
and less than five acres.
Even though all construction sites that disturb more than one acre are covered
nationally by an NPDES storm water permit, the construction site runoff control
minimum measure for the small MS4 program is needed to induce more localized site
regulation and enforcement efforts, and to enable operators of regulated small MS4s to
more effectively control construction site discharges into their MS4s.
To aid operators of regulated construction sites in their efforts to comply with both
local requirements and their NPDES permit, the Phase II Final Rule includes a provision
that allows the NPDES permitting authority to reference a "qualifying State, Tribal or
local program" in the NPDES general permit for construction. This means that if a
construction site is located in an area covered by a qualifying local program, then the
construction site operator's compliance with the local program would constitute
compliance with their NPDES permit. A regulated small MS4's storm water program for
construction could be a "qualifying program" if the MS4 operator requires a SWPPP, in
addition to the requirements summarized in this fact sheet.
The ability to reference other programs in the NPDES permit is intended to reduce
confusion between overlapping and similar requirements, while still providing for both
local and national regulatory coverage of the construction site. The provision allowing
NPDES permitting authorities to reference other programs has no impact on, or direct
relation to, the small MS4 operator's responsibilities under the construction site runoff
control minimum measure profiled in this fact sheet.
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Is a Small MS4 Operator Required to Regulate Construction Sites that the
Permitting Authority has Waived from the NPDES Construction Program?
No. If the NPDES permitting authority waives requirements for storm water
discharges associated with small construction activity (see § 122.26(b)(15) of the Phase
II rule), the small MS4 operator is not required to develop, implement, and/or enforce a
program to reduce pollutant discharges from such sites.
4.6.2.5 Post-construction Storm Water Management in New Development/
Redevelopment
Why Is The Control of Post-Construction Runoff Necessary?
Post-construction storm water management in areas undergoing new development
or redevelopment is necessary because runoff from these areas has been shown to
significantly effect receiving waterbodies. Many studies indicate that prior planning and
design for the minimization of pollutants in post-construction storm water discharges is
the most cost-effective approach to storm water quality management.
There are generally two forms of substantial impacts of post-construction runoff.
The first is caused by an increase in the type and quantity of pollutants in storm water
runoff. As runoff flows over areas altered by development, it picks up harmful sediment
and chemicals such as oil and grease, pesticides, heavy metals, and nutrients (e.g.,
nitrogen and phosphorus). These pollutants often become suspended in runoff and are
carried to receiving waters, such as lakes, ponds, and streams. Once deposited, these
pollutants can enter the food chain through small aquatic life, eventually entering the
tissues of fish and humans. The second kind of post-construction runoff impact occurs
by increasing the quantity of water delivered to the waterbody during storms. Increased
impervious surfaces interrupt the natural cycle of gradual percolation of water through
vegetation and soil. Instead, water is collected from surfaces such as asphalt and
concrete and routed to drainage systems where large volumes of runoff quickly flow to
the nearest receiving water. The effects of this process include streambank scouring
and downstream flooding, which often lead to a loss of aquatic life and damage to
property.
What Is Required?
The Phase II Final Rule requires an operator of a regulated small MS4 to develop,
implement, and enforce a program to reduce pollutants in post-construction runoff to
their MS4 from new development and redevelopment projects that result in the land
disturbance of greater than or equal to 1 acre. The small MS4 operator is required to:
Q Develop and implement strategies which include a combination of structural
and/or non-structural best management practices (BMPs);
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Q Have an ordinance or other regulatory mechanism requiring the implementation
of post-construction runoff controls to the extent allowable under State, Tribal or
local law;
Q Ensure adequate long-term operation and maintenance of controls;
Q Determine the appropriate best management practices (BMPs) and measurable
goals for this minimum control measure.
What Is Considered a "Redevelopment" Project?
The term "redevelopment" refers to alterations of a property that change the
"footprint" of a site or building in such a way that the disturbance of equal to or greater
than 1 acre of land results. The term does not include such activities as exterior
remodeling. Because redevelopment projects may have site constraints not found on
new development sites, the rule provides flexibility for implementing post-construction
controls on redevelopment sites that consider these constraints.
What Are Some Guidelines for Developing and Implementing This Measure?
This section includes some sample non-structural and structural BMPs that could be
used to satisfy the requirements of the post-construction runoff control minimum
measure. It is important to recognize that many BMPs are climate-specific, and not all
BMPs are appropriate in every geographic area. Because the requirements of this
measure are closely tied to the requirements of the construction site runoff control
minimum measure (see Fact Sheet 2.6), EPA recommends that small MS4 operators
develop and implement these two measures in tandem. Sample BMPs follow.
_i Non-Structural BMPs
Planning and Procedures. Runoff problems can be addressed efficiently with
sound planning procedures. Master Plans, Comprehensive Plans, and zoning
ordinances can promote improved water quality by guiding the growth of a
community away from sensitive areas and by restricting certain types of growth
(industrial, for example) to areas that can support it without compromising water
quality.
Site-Based Local Controls. These controls can include buffer strip and riparian
zone preservation, minimization of disturbance and imperviousness, and
maximization of open space.
_i Structural BMPs
Storage Practices. Storage or detention BMPs control storm water by gathering
runoff in wet ponds, dry basins, or multichamber catch basins and slowly
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releasing it to receiving waters or drainage systems. These practices both
control storm water volume and settle out particulates for pollutant removal.
Infiltration Practices. Infiltration BMPs are designed to facilitate the percolation
of runoff through the soil to ground water, and, thereby, result in reduced storm
water quantity and reduced mobilization of pollutants. Examples include
infiltration basins/trenches, dry wells, and porous pavement.
Vegetative Practices. Vegetative BMPs are landscaping features that, with
optimal design and good soil conditions, enhance pollutant removal,
maintain/improve natural site hydrology, promote healthier habitats, and increase
aesthetic appeal. Examples include grassy swales, filter strips, artificial
wetlands, and rain gardens.
What Are Appropriate Measurable Goals?
Measurable goals, which are required for each minimum control measure, are
intended to gauge permit compliance and program effectiveness. The measurable
goals, as well as the BMPs, should reflect needs and characteristics of the operator and
the area served by its small MS4. Furthermore, the measurable goals should be
chosen using an integrated approach that fully addresses the requirements and intent
of the minimum control measure. An integrated approach for this minimum measure
could include the following goals:
Target Date Activity
1 year Strategies developed that include structural and/or non-structural
BMPs.
2 years Strategies codified by use of ordinance or other regulatory mechanism.
3 years Reduced percent of new impervious surfaces associated with new
development projects.
4 years Improved clarity and reduced sedimentation of local waterbodies.
4.6.2.6 Pollution Prevention/Good Housekeeping for Municipal Operations
Why Is Pollution Prevention/Good Housekeeping Necessary?
The Pollution Prevention/Good Housekeeping for municipal operations minimum
control measure is a key element of the small MS4 storm water management program.
This measure requires the small MS4 operator to examine and subsequently alter own
actions to help ensure a reduction in the amount and type of pollution that (1) collects
on streets, parking lots, open spaces, and storage and vehicle maintenance areas and
is discharged into local waterways; and (2) results from actions such as environmentally
damaging land development and flood management practices or poor maintenance of
storm sewer systems.
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While this measure is meant primarily to accomplish the goal of improving or
protecting the quality of receiving waters by altering the performance of municipal or
facility operations, it also can result in a cost savings for the small MS4 operator, since
proper and timely maintenance of storm sewer systems can help avoid repair costs
from damage caused by age and neglect.
What Is Required?
Recognizing the benefits of pollution prevention practices, the rule requires an
operator of a regulated small MS4 to:
Q Develop and implement an operation and maintenance program with the ultimate
goal of preventing or reducing pollutant runoff from municipal operations into the
storm sewer system;
Q Include employee training on how to incorporate pollution prevention/good
housekeeping techniques into municipal operations such as park and open
space maintenance, fleet and building maintenance, new construction and land
disturbances, and storm water system maintenance. To minimize duplication of
effort and conserve resources, the MS4 operator could use training materials
that are available from EPA, their State or Tribe, or relevant organizations;
Q Determine the appropriate best management practices (BMPs) and measurable
goals for this minimum control measure. Some program implementation
approaches, BMPs (i.e., the program actions/activities), and measurable goals
are suggested below.
What Are Some Guidelines for Developing and Implementing This Measure?
The intent of this control measure is to ensure that existing municipal, State or
Federal operations are performed in ways that will minimize contamination of storm
water discharges. EPA encourages the small MS4 operator to consider the following
components when developing their program for this measure:
Maintenance activities, maintenance schedules, and long-term inspection
procedures for structural and non-structural controls to reduce floatables and
other pollutants discharged from the separate storm sewers;
Controls for reducing or eliminating the discharge of pollutants from areas
such as roads and parking lots, maintenance and storage yards (including
salt/sand storage and snow disposal areas), and waste transfer stations. These
controls could include programs that promote recycling (to reduce litter),
minimize pesticide use, and ensure the proper disposal of animal waste;
Procedures for the proper disposal of waste removed from the separate
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storm sewer systems and the areas listed in the bullet above, including dredge
spoil, accumulated sediments, floatables, and other debris; and
Ways to ensure that new flood management projects assess the impacts
on water quality and examine existing projects for incorporation of additional
water quality protection devices or practices. EPA encourages coordination with
flood control managers for the purpose of identifying and addressing
environmental impacts from such projects.
The effective performance of this control measure hinges on the proper
maintenance of the BMPs used, particularly for the first two bullets above. For
example, structural controls, such as grates on outfalls to capture floatables, typically
need regular cleaning, while non-structural controls, such as training materials and
recycling programs, need periodic updating.
What Are Appropriate Measurable Goals?
Measurable goals, which are required for each minimum control measure, are
meant to gauge permit compliance and program effectiveness. The measurable goals,
as well as the BMPs, should consider the needs and characteristics of the operator and
the area served by its small MS4. The measurable goals should be chosen using an
integrated approach that fully addresses the requirements and intent of the minimum
control measure. An integrated approach for this minimum measure could include the
following measurable goals:
Target Date Activity
1 year Pollution prevention plan (the new BMPs and revised procedures)
completed; employee training materials gathered or developed;
procedures in place for catch basin cleaning after each storm and
regular street sweeping.
2 years Training for appropriate employees completed; recycling program fully
implemented.
3 years Some pollution prevention BMPs incorporated into master plan; a certain
percentage reduction in pesticide and sand/salt use; maintenance
schedule for BMPs established.
4 years A certain percentage reduction in floatables discharged; a certain
compliance rate with maintenance schedules for BMPs; controls in place
for all areas of concern.
4.6.3 Program Requirements: Evaluation/Assessment & Reporting
If coverage is obtained under a general permit or an individual permit under the
Phase II regulations, the operator of a regulated small MS4 is required to comply with
the evaluation/assessment and reporting requirements summarized in this section.
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Frequency of Reports
Reports must be submitted annually during the first permit term - permit terms are
typically a 5-year period. For subsequent permit terms, reports must be submitted in
years 2 and 4 only, unless the NPDES permitting authority requests more frequent
reports. Reports do not need to be submitted if the operator of the regulated small MS4
is relying on another entity to satisfy all permit obligations (see section 4.5.1.3)
Required Report Content
The reports must include the following:
Q The status of compliance with permit conditions, including an assessment
of the appropriateness of the selected BMPs and progress toward achieving
the selected measurable goals for each minimum measure;
Q Results of any information collected and analyzed, including monitoring
data, if any;
Q A summary of the storm water activities planned for the next reporting cycle;
Q A change in any identified best management practices or measurable goals
for any minimum measure; and
Q Notice of relying on another governmental entity to satisfy some of the
permit obligations (if applicable - see section 4.5.1.3 ).
A Change in Selected BMPs
If, upon evaluation of the program, improved controls are identified as necessary,
permittees should revise their mix of BMPs to provide for a more effective program.
Such a change, and an explanation of the change, must be noted in a report to the
NPDES permitting authority.
Recordkeeping Requirements
Records required by the NPDES permitting authority must be kept for at least 3
years and made accessible to the public at reasonable times during regular business
hours. Records need not be submitted to the NPDES permitting authority unless the
permittee is requested to do so.
4.7 SMALL MS4 PROGRAM COMPLIANCE PROCESS: What Do I Need to
Do To Comply?
Sections 4.1 through 4.6 of this guidance have provided a details on who's covered and
what's required under the Phase II regulations for regulated small MS4s. Now that you
are familiar with the Phase II program, this section walks you through the process, from
beginning to end, that an operator of a regulated small should take to comply with the
regulation. This step-by-step "walk-through" references the appropriate sections of the
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guidance along the way as a means for understanding how the information in sections
4.1 through 4.6 fits together.
The last page of this section includes a permitting decision tree to help operators of
MS4s determine if they need an NPDES storm water permit. By starting in the upper
left hand corner, an operator can follow the decision tree to determine if they fall under
Phase I or Phase II, and if they are eligible for a waiver.
Step 1: Determ ine if you are an operator of an MS4 (see section 4.1.1).
Step 2: As an operator of an MS4, determine if you are an operator of a small MS4
(see section 4.1.4).
Step 3: As an operator of a small MS4, determine if you are an operator of a
regulated small MS4 (see section 4.2). You need to find out if you are:
A. Automatically designated by the rule
First, determine if your system is located partially or fully within an
urbanized area (See section 4.3),
Second, determine if you may qualify for a waiver (waivers are at the
discretion of the permitting authority). If you qualify for a waiver, stop
here. (See section 4.4)
B. Potentially designated by the NPDES permitting authority
Determine if your system, located outside of a UA, may fit the criteria
for potential designation. Since designations are at the discretion of
the permitting authority, a final determination is made by the permitting
authority and not the small MS4 operator. If designated, continue with
Step 4.
Step 4: Read Phase II Rule and guidance materials to get a sense of the permitting
options (see section 4.5 ) and program requirements (see section 4.6 ).
Step 5: Determine which neighbors are regulated as Phase I MS4s (refer to list on
the EPA web site) or Phase II MS4s (refer to Appendix 6 and maps of your
UA). This information will be used to base your decision as to whether to:
Be a co-permittee with another regulated MS4. (See section 4.5.1.2 )
Rely on another regulated MS4 for partial or full implementation of the
minimum measures on your behalf. (See section 4.5.1.3 )
Step 6: Determine if programs similar to one or more of the minimum measures is
already being performed by another entity. This information will be used to
decide whether you wish to rely on another entity for partial implementation
of the minimum measures on your behalf. (See section 4.5.1.3 )
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Step 7: Determine which permit option to choose (depends on which are made
available by the your NPDES permitting authority) (See section 4.5.1)
General permit under the Phase II regulation
Individual permit under the Phase I or Phase II regulation
Modification of a Phase I individual permit (Co-permittee with a large or
medium MS4)
In determine which option to choose, think about...
If you wish to be a co-permittee and share responsibilities based on
information from Step 5
If, instead of the co-permittee option, you wish to have own permit but
rely on another entity for implementing a measure or measures based
on information from Steps 5 & 6.
Step 8: Begin planning and development of your storm water management program
Use menu of BMPs as a guide (provided by EPA or the permitting
authority). The EPA web site will also have references and links to
helpful guidance on every facet of a storm water management program
for MS4s.
Meet with staff who will be responsible for implementing the storm water
management program (may be a multi-departmental team). Task them
with:
Assessing the storm water management characteristics and needs
of the area served by the regulated small MS4.
Determining appropriate BMPs and measurable goals
Determining who will be responsible for what under the program
Form a citizen advisory panel to help develop the program and give them
similar tasks as those given to the staff.
Meet with local Phase I and Phase II MS4 operators to discuss co-
permittee status or sharing of resources, such as: hiring one enforcement
inspector for multiple areas, co-sponsoring household hazardous waste
collection events, or sharing a street sweeper, recycling truck, illicit
discharge detection cameras, or any other equipment. (Note: Nothing
listed here is required by the Phase II rule - they are only examples)
Meet with other entities that you may rely on to implement one or more of
the minimum measures to discuss the arrangement and any legal
agreements.
Step 9: A. Under a General Permit:
1) Once a general permit is issued, read it carefully. You may not be
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required to implement every minimum measure due to the permitting
authority recognizing or referencing other similar programs (see section
4.5.2.1). For this reason, before the permit is issued (which is expected
to be no later than December 9, 2002) follow Step 8 but only do a
preliminary storm water management program until the final permit
requirements are know. Once the permit is issued, if you have chosen
this option you will need to make final decisions on the following issues
and complete the development of your storm water management plan:
Do you want to be a co-permittee with another regulated small
MS4?
Do you want to rely on another entity for some or all of the permit
requirements?
Which BMPs and measurable goals will you use for each minimum
measure you will be implementing?
2) Fill out an NOI in accordance with the Phase II regulation. (See
section 4.6.2.1)
B. Under an Individual Permit (new or modified):
If you have chosen one of the individual permit options (i.e., under Phase II,
under Phase I, or modified existing Phase I), you will need to continue
efforts in Step 8, as applicable, and complete development of your permit
application in accordance with the Phase II regulation. (See sections 4.6.2.2
through 4.6.2.4)
Step 10: Submit your NOI under a general permit or your individual permit
application to the NPDES permitting authority by March 10, 2003: unless
your NPDES permitting authority phases-in permit coverage and
establishes alternative deadlines (see section 4.5.2.2).
Step 11: Implement your storm water management program in accordance with
applicable standards (see section 4.6.1). The Phase II rule allows you up
to five years to fully implement your program, although the exact timeframe
is at the discretion of the your NPDES permitting authority.
Step 12: Write annual reports in your first permit term assessing the effectiveness of
BMPs and if measurable goals were met, and submit the reports to your
NPDES permitting authority. You may change the mix of BMPs originally
selected if you find that such a change is necessary to ensure a more
effective program. This step, as required in the Phase II regulations at
§ 122.34(g) and described in section 4.6.3, is not applicable if you sought
coverage under an individual permit under the Phase I regulations or under
a modification of an existing Phase I MS4 permit.
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Step 13: Be aware that you may need to take over implementation of a minimum
control measure if you are relying on another entity for its implementation
and the other entity fails to perform it effectively. This is why EPA
encourages a legally-binding agreement when choosing to rely on another
entity. Also, the permitting authority may chose to change your mix of
BMPs and measurable goals as submitted in you permit application if it
determines that your program is not effectively controlling pollutant
discharges.
4.8 FEDERAL AND STATE-OPERATED REGULATED SMALL MS4S: Unique
Program Implementation Issues
In addition to local government jurisdictions, small MS4s include certain Federal and
State-operated MS4s. Federal facilities were not designated for regulation by the
NPDES Phase I storm water program for MS4s. The Phase II Final Rule, however,
includes the "United States" in the definition of a small MS4, thereby including Federal
MS4 operators in the NPDES Phase II storm water program. Federal and State-
operated small MS4s can include universities, prisons, hospitals, roads (i.e.,
departments of transportation), military bases (e.g., State Army National Guard
barracks), parks, and office buildings/complexes.
The small MS4 program, largely designed with municipally-operated small MS4s in
mind, raises a number of implementation issues for Federal and State operators of
regulated small MS4s who must obtain an NPDES permit that requires the development
and implementation of a storm water management program that includes the six
minimum control measures. This section highlights potential implementation issues
related to the minimum control measures, and then discusses the implementation
options included in the rule that may help resolve these issues.
4.8.1 What Are Some Implementation Concerns?
This section profiles the three most common implementation issues raised in the
public comments submitted regarding Federal/State implementation of the small MS4
program.
How Does the Final Rule Account for Unique Characteristics?
Federal and State small MS4s possess a number of characteristics that set them
apart from their municipal counterparts. For example, whereas municipally-operated
MS4s largely serve resident populations, many Federal or State-operated MS4s, such
as medical clinics and departments of transportation (DOTs), do not. Other types of
Federal and State MS4s, such as military bases, prisons, and State universities, serve
populations that are different from a typical municipal population. Their unique
characteristics might lead Federal or State MS4 operators to question either the need
to implement the entire suite of minimum control measures or their ability to comply fully
with their Phase II storm water permit. The flexibility within the minimum measures
allows Federal and State MS4s to develop a storm water program that comprises the
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minimum measures in a way that makes sense for their circumstances.
What If the Operator Lacks Legal Authority?
Three of the minimum control measures (illicit discharge detection and elimination,
and the two construction-related measures) require enforceable controls on third party
activities to ensure successful implementation of the measure. Some Federal and
State operators, however, may not have the necessary legal regulatory authority to
adopt these enforceable controls in the same manner as do local governments.
For example, a State DOT that is responsible for the portions of its roads running
through urbanized areas may not have the legal authority to impose restrictions on, and
penalties against, illicit (i.e., non-storm water) discharges into its MS4 if the source of
the discharge is outside the DOT'S right-of-way or jurisdiction. As in the case of local
governments that lack such authority, State and Federal MS4s are expected to utilize
the authority they do possess and to seek cooperative arrangements.
How Can the Program Be Implemented in Areas Where There Are Multiple
Regulated Entities?
Since the final rule provides automatic coverage of all small MS4s within an
urbanized area, regardless of political boundaries, coverage of multiple governments
and agencies in a single area is likely. For example, a city government that operates a
small MS4 within an urbanized area must obtain permit coverage alongside the county,
State, and Federal DOTs if they all operate a portion of the roads (i.e., MS4s) in the
city. All four entities are responsible for developing a storm water management
program for their MS4s (or portions thereof) within the urbanized area. EPA
encourages State and Federal small MS4 operators to establish cooperative
agreements with cities and counties in implementing their storm water programs.
4.8.2 Are There Implementation Strategies that Help Facilitate Program
Implementation?
This section offers two hypothetical strategies for resolving the implementation
issues raised above. The best solution may include a creative combination of
strategies.
STRATEGY #1
A Focus on Choosing Appropriate BMPs
The final rule requires the permittee to choose appropriate best management
practices (BMPs) for each minimum control measure. In other words, EPA expects
Phase II permittees to tailor their storm water management plans and their BMPs to fit
the particular characteristics and needs of the permittee and the area served by its
MS4. Therefore, the Federal or State operator of a regulated storm sewer system can
take advantage of the flexibility provided by the rule to utilize the most suitable minimum
control measures for its MS4. Below is an example of tailored activities and BMPs that
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Federal or State operators can implement for each measure:
Q Public Education and Outreach. Distribute brochures and post fliers to
educate employees of a Federal hospital about the problems associated with
storm water runoff and the steps they can take to reduce pollutants in storm
water discharges. For example, employees could be advised against carelessly
discarding trash on the ground or allowing their cars to leak oil/fluids in the
parking lot.
Q Public Participation/Involvement. Provide notice of storm water management
plan development and hold meetings at which employees of a Federal office
complex are encouraged to voice their ideas and opinions about the effort.
Request volunteers to help develop the plan.
Q Illicit Discharge Detection and Elimination. Develop a map of the storm
sewer system on a military base. Perform visual dry weather monitoring of any
outfalls to determine whether the storm sewer system is receiving any non-storm
water discharges from the base. If a dry weather flow is found, trace it back to
the source and stop the discharge. Should a Federal military base identify an
illicit discharge, the source of which is traced to the boundary of its system, the
Federal operator should refer the discharge to the adjoining regulated MS4 for
further action.
Q Construction Site Runoff Control. Require the implementation of erosion and
sediment controls, and control of waste, for any Federal or State DOT road
construction. The DOT would review site plans for proper controls, perform
inspections, and establish penalties in the construction contract if controls are
not implemented. If construction is done directly by the regulated DOT instead
of a private contractor, the DOT could be penalized by the NPDES permitting
authority for non-compliance with its small MS4 permit in the event that controls
are not properly implemented.
Q Post-Construction Runoff Control. Require the implementation of post-
construction storm water controls for any new construction on the grounds of a
prison. This can be required as part of a construction contract, instituted as
internal policy, and considered during site plan review.
_i Pollution Prevention/Good Housekeeping for Municipal Operations. Train
maintenance staff at a State university to employ pollution prevention techniques
whenever possible. For example, routinely pick up trash/litter from the university
grounds, use less salt on the parking lots and access roads in the winter,
perform any maintenance of university vehicles under shelter only, limit pesticide
use to the minimum needed, use vegetative buffer strips in the parking lots to
filter runoff, and keep dumpster lids closed.
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STRATEGY #2
Working with Other Entities
There may be instances when the Federal or State permittee has limited capabilities
to satisfy one or more of the minimum control measures. As discussed above, the
permittee may lack the proper legal authority to enforce controls (although it should try
to obtain the necessary legal authority if at all possible).
In the case of limited capabilities, the permittee can work with neighboring operators
of regulated small MS4s, preferably on a watershed basis, to form a shared storm water
management program in which each permittee is responsible for activities that are
within individual legal authorities and abilities. The final rule allows the permittee to rely
on other entities, with their permission, to implement those minimum measures that the
permittee is otherwise unable to implement. Three examples are:
Q A State DOT with limited regulatory legal authority can reference a local sewer
district's illicit detection and elimination program in its permit application,
provided the program sufficiently addresses illicit discharges into the DOT'S
storm sewer system.
Q The permittee or NPDES permitting authority can reference such programs as
coastal nonpoint pollution control programs, State or local watershed programs,
State or local construction programs, and environmental education efforts by
public or private entities.
Q The permittee can become a co-permittee with a neighboring Phase I MS4
through a modification of the Phase I MS4's individual permit. This may be the
most logical and preferable option for those Federal and State entities located in
close proximity to Phase I MS4s.
Choosing to work with other governmental entities as a co-permittee, or referencing
parts of each other's plans, can help resolve issues that may arise where multiple
regulated jurisdictions exist in the same area. Permittees can avoid duplicative efforts,
as well as territorial or regulatory disputes, by working together to implement the storm
water program.
Suggested Steps for Working with Other Entities
(1) Identify the boundaries of the urbanized area.
(2) Identify the operators of storm sewer systems or portions of the systems within the
urbanized area such as local, State, Tribal or Federal governments or other entities.
(3) In seeking permit coverage:
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Identify where another entity's program may satisfy one or more
minimum control measure. If a program has requirements that are
equivalent to a minimum control measure's required elements, the
operator of the regulated small MS4 may reference the program in its
permit application, provided the other entity gives it permission to do
so. While such an arrangement relieves the operator from
performing the minimum measure itself, the operator remains
ultimately responsible for the measure's effective implementation.
OR
Team with an operator of a Phase I MS4 and become a co-permittee
on its existing Phase I individual permit.
4.9 FUNDING OPTIONS
Possibly the biggest challenge for an operator of a regulated small MS4 in
implementing a storm water management program is finding funding for the program.
Funding is needed to maintain the staff, equipment and materials necessary to develop
and implement an effective program. Adequate funding is critical to the success of the
program but attaining it can be difficult as many other important programs compete for
the same limited revenues from a general fund. Therefore, the operator of a regulated
small MS4 will need to consider alternative funding options. This section provides brief
introductions to some of the various funding options currently in use across the country.
The following information on funding options was written by the American Public Works
Association (AWPA) as part of their Storm Water Phase II workshops:
Debt Financing: Typically used for capital-intensive projects, local governments
can issue debt to finance storm water management programs
and facilities. Revenue bonds - or bonds that rely on ongoing
source of revenue may be used. Alternatively, a general
obligation bond can be issued which are backed by the full faith
and credit of your municipality (based on your ability to generate
revenues though taxes and other fees).
Grants and Loans: Federal, State, or Regional grant or loan funds may be available
for some elements of the storm water program, depending on
the BMP's selected and the location. Grants and loans are
usually applicable to specific projects and not on-going
activities, such as operation and maintenance.
Users /Utility Fees: Utility services charges are rates billed to customers for
providing storm water management services. The service
charges may be flat rates, or variable rates based on classes of
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4.0 Regulated Small MS4s
customers. Utility service charges may represent a dedicated
source of funding and an ongoing method of funding some or all
storm water management programs.
Special Assessment: Properties can be assessed annually to fund storm water
management programs. Often, special assessments are used
to fund a special district or authority that can implement all or
portions of a region's storm water management program.
Local Improvement
General Fund:
Inspection Fees:
Developer Fees:
Alternative Fees:
Connection Fees:
Under this type of funding system, individual properties
benefitted by storm water projects are assessed to fund the
project. Some states require special enabling legislation to
establish this type of special benefits district.
General fund monies are used for may storm water programs.
If storm water programs are funded from your General Fund,
the programs are at risk in each budget cycle. In addition, in
order to increase funding levels for your program, other local
government services may be affected or a general tax increase
may be required.
Plan review and inspection fees allows the community to
recover some or all of the direct cost associated with performing
design reviews for pre and post construction BMP's.
The developers construct needed facilities as a condition of
development and bear associated costs.
Instead of constructing on-site facilities to meet development
requirements, developers may be given the option of paying a
comparable fee to be used by the local government to build
regional facilities that are designed to meet the same objectives
as the developer-constructed on-site mitigation.
A one time charge assessed at the time of development to
recover a proportionate share of the cost of existing facilities
and planned future facilities. The applicability depends upon
legislation in each state.
Additional Resources
Storm Water Utilities: Innovative Financing for Storm Water Management. 1992.
U.S. EPA, Office of Policy, Planning, and Evaluation. Washington, D.C.
State and Local Funding of Nonpoint Source Control Programs. 1992. U.S. EPA,
Office of Water, Assessment and Watershed Protection Division. Washington, D.C.
Storm Water Management Utility Implementation Manual. South Carolina Land
Resources Commission, Columbia, S.C.
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4.0 Regulated Small MS4s
Storm Water Maintenance and Financing Options (draft). 1987. State of Maryland,
Maryland Department of Natural Resources.
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4.0 Regulated Small MS4s
MS4 Storm Water Program
Permitting Decision Tree
Is
the MS4
located in an
incorporated place or county
(unincorporated area) with a
population
of 100,000 or
more?
at is the
population of the
incorporated place or
unty (unincorporate
area)?
Has the MS4 been
individually designated into
the NPDES Storm Water
Program by the NPDES
permitting authority prior to
Phase II?
lstheMS4
located within an
"urbanized area"
boundary as delineated
by the Bureau of the
Census?
Does the MS4
serve a population
less than or equal
to 1,000?
Does the
MS4 serve a juridiction
with a population of at least
10,000 and a population density
of at least 1,000/sq.
mile?
Does the MS4 serve a
opulation less than 10,000?
100,000 to 249,999
The MS4 is a medium
MS4 and is required to
obtain an NPDES
storm water discharge
permit under Phase I
(deadline passed).
250,000 or greater
The MS4 is a large MS4
and is required to obtain
an NPDES storm water
discharge permit under
Phase I (deadline
passed).
The MS4 is a regulated
small MS4 that may
potentially be waived
from the permitting
requirements by the
NPDES permitting
authority. See new
122.32(d) for the specific
waiver criteria.
The MS4 is a regulated
small MS4 that may
potentially be waived
from the permitting
requirements by the
NPDES permitting
authority. See new
122.32(e) for the specific
waiver criteria.
The MS4 is a small MS4
required to be evaluated by the
NPDES permitting authority
and, therefore, has the
potential to be designated into
the NPDES Storm Water
Program. If designated, the
small MS4 becomes a
regulated small MS4 and is
required to obtain an NPDES
storm water discharge permit
under Phase II by March 10,
2003. See new Sections
123.35(b)(3)and(b)(4).
The MS4 is a regulated small
MS4 and is required to
obtain an NPDES storm
water discharge permit under
Phase II by March 10,2003.
1. See Appendices F, G, H, and I to Part 122 (as revised by the Phase II Final Rule) for the list of incorporated places and counties (unincorporated areas) with
a population of 100,000 or greater. If the MS4 is located in a listed entity, then the answer to this question is "Yes" and the MS4 is covered under the Phase I
MS4 program as a medium or large MS4.
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5.0 Small Construction Activity
5.0 SMALL CONSTRUCTION ACTIVITY
After reading Section 5.0, you should understand what type of construction
activity is subject to the Phase II small construction activity regulations
(including who may be waived from coverage), who is considered an
operator of small construction activity, the permit options and requirements
for small construction activity, and the interaction of the NPDES storm
water program for construction with the NPDES storm water program for
regulated MS4s. The discussion of these elements concludes with a step-
by-step review of the process for compliance with the Phase II regulations
for small construction activity.
5.1 COVERAGE: Who Is Subject to the Phase II Rule?
The NPDES Storm Water Program defines construction activities as "small" and
"large" for the purposes of regulation. The Phase I storm water program covers large
construction activity. The Phase II storm water regulation covers small construction
activity. To understand who is covered under the Phase II Rule, it is necessary to
understand who is already covered under the Phase I Rule. Toward this end, this
section provides a definition of the type of construction activity covered by Phase I and
Phase II, as well as other definitions essential to understanding the construction
component of the NPDES Storm Water Program.
5.1.1 What Type of Construction Activity Is Covered Under the Phase I
Regulations?
The Phase I Rule identifies eleven
categories of industrial activity in the
definition of "storm water discharge
associated with industrial activity" that
must obtain an NPDES storm water
discharge permit ( see section 6.1).
Category (x) of this definition includes
construction activity (including clearing,
grading and excavation) that results in a
total land disturbance of 5 acres or
greater. Disturbances of less than 5
acres are also regulated under category
(x) if they are part of a "larger common
plan of development or sale" with a
planned land disturbance of 5 acres or
greater. Phase I construction activity is
commonly referred to as "large"
Construction activities can include road
building, construction of residential houses,
office buildings, industrial sites, or demolition.
Land Disturbance means exposed soil due to
clearing, grading, or excavation activities.
Larger common plan of development or sale
describes a situation in which multiple
construction activities are occurring, or will
occur, on a contiguous area.
An operator is the person or persons that has
either operational control of construction
project plans and specifications, or day-to-day
operational control of activities necessary to
ensure compliance with storm water permit
conditions.
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5.0 Small Construction Activity
construction activity. The Phase I rule requires all operators of large construction
activity to obtain an NPDES storm water discharge permit before discharging storm
water runoff to a municipal separate storm sewer system or waters of the United States.
5.1.2 What Type of Construction Activity Is Covered Under the Phase II
Regulations?
In 1992, the Ninth Circuit court remanded for further proceedings the portion of
EPA's Phase I storm water regulation related to category (x) construction activity
(NRDC v. EPA, 966 F.2d at 1292). EPA responded to the court's decision by
designating under Phase II storm water discharges from construction site activities that
ultimately will result in a land disturbance of equal to or greater than 1 and less
than 5 acres as "storm water discharges associated with small construction activity"
(see § 122.26(b)(15)). The Phase II rule requires all operators of small construction
activity to obtain an NPDES storm water discharge permit before discharging storm
water runoff to a municipal separate storm sewer system or waters of the United States.
Construction activities disturbing less than 1 acre are also included in Phase II of the
NPDES storm water program if they are part of a larger common plan of development
or sale with a planned disturbance of equal to or greater than 1 acre and less than 5
acres, or if they are designated by the NPDES permitting authority. The NPDES
permitting authority or EPA Region may designate construction activities disturbing less
than 1 acre based on the potential for contribution to a violation of a water quality
standard or for significant contribution of pollutants to waters of the United States.
The definition of small construction activity does not apply where the construction
operator can certify to one of two waivers - see section 5.2 for more information on
waiver options.
5.1.3 What is meant by the terms "land disturbance," "larger common plan of
development or sale," and "operator" of a construction site?
The definitions of "land disturbance," "larger common plan of development or sale,"
and "operator" of a construction site are key in understanding coverage under the
NPDES Storm Water Program for construction activity. These definitions originate from
the NPDES storm water general permit for large construction activity.
Land disturbance refers to exposed soil resulting from activities such as clearing,
grading and excavating.
Larger common plan of development or sale is 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). The "plan" in a
common plan of development or sale is broadly defined as any announcement or
piece of documentation (including a sign, public notice or hearing, sales pitch,
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5.0 Small Construction Activity
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.
An operator of a construction site is the person (or persons) responsible for
obtaining coverage under an NPDES storm water permit for construction activity,
and complying with the permit requirements. An operator is the person or persons
that meet either of the following criteria:
Q Has operational control of construction project plans and specifications,
including the ability to make modifications to those plans and
specifications; or
Q Has day-to-day operational control of those activities at a project which
are necessary to ensure compliance with a storm water pollution
prevention plan (SWPPP) for the site or other permit conditions (e.g., they
are authorized to direct workers at a site to carry out activities required by
the SWPPP or comply with other permit conditions).
There may be more than one party at a site responsible for "operational control."
Depending on the project and the distinction between the parties' (e.g., owner's vs.
developer's) responsibilities, there can either be a single party acting as a site
operator needing permit coverage or there can be two (or more) operators who may
share permit responsibilities. In cases where there are two or more operators , both
parties will need permit coverage if they choose to keep the responsibilities as
described in the above bullets separate, or they choose to separately maintain
operational control for different portions of the site, etc. In such cases both
operators should obtain permit coverage as co-permittees by co-submitting
separate Notice of Intent forms, and should share in meeting permit conditions (e.g.,
generating the storm water pollution prevention plan, performing inspections, etc.).
The option to have one sole operator who is willing to assume complete
responsibility / liability for all permit requirements still exists and, in many cases, may
be the less overall burdensome way to comply with storm water requirements.
There are other instances where parties conduct earth disturbing activities at a site
but do not need their own permit coverage. Examples for whom this may apply
include a subcontractor who is under the supervision of the operator, or an entity
that is neither a subcontractor nor has operational control (e.g., a utility line
installer).
Additional information on the responsibilities of operators can be found in Part III.E
of EPA's NPDES Construction General Permit, published on February 17, 1998 (63
FR 7858). Part II of the fact sheet contained in the NPDES Construction General
Permit also provides answers to common questions regarding roles and
responsibilities of different parties involved on a construction site.
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5.0 Small Construction Activity
Important note: NPDES-authorized States may use a different definition of
"operator" than the one provided above.
5.2 WAIVERS: Which Small Construction Activity Sites May Obtain a Waiver
From Coverage?
Under the Phase II Rule, NPDES permitting authorities have the option of providing
a waiver from Phase II coverage and requirements to operators of small construction
activity who certify to one of two conditions:
O Low predicted rainfall potential (i.e., activity occurs during a negligible rainfall
period), where the rainfall erosivity factor ("R" in the Revised Universal Soil Loss
Equation [RUSLE]) would be less than 5 during the period of construction
activity.
© A determination that storm water controls are not necessary based on either:
(A) A "total maximum daily load" (TMDL) that address the pollutant(s) of
concern for construction activities; OR
(B) For nonimpaired waters that don't require TMDLs, an equivalent analysis
that determines allocations for small construction sites for the pollutants of
concern or determines that such allocations are not needed to protect water
quality based on consideration of instream concentrations, expected growth
in pollutant concentrations from all sources, and a margin of safety.
Pollutants of concern include sediment or a parameter that
addresses sediment (such as total suspended solids, turbidity, or
siltation) and any other pollutant that has been identified as a cause
of impairment of a receiving waterbody.
The intent of these waiver provisions (see §§ 122.26(b)(15)(A) and(B)) is to waive
only those sites that are highly unlikely to have a negative effect on water quality.
Therefore, before applying for a waiver, operators of small construction activity are
encouraged to consider the potential water quality impacts that may result from their
project and to carefully examine such factors as proximity to water resources and
sensitivity of receiving waters. Small construction activities disturbing less than 1 acre
that are designated by the permitting authority are not eligible for these waivers.
5.2.1 Waiver 1: The Rainfall Erosivity Factor Waiver
The Rainfall Erosivity Factor waiver is based on the potential for a construction
activity to occur in an area, or during a certain period of time, where there is low
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5.0 Small Construction Activity
predicted rainfall potential and, therefore, less likelihood of causing impacts. This
waiver is time-sensitive and is dependent on when during the year a construction
activity takes place, how long it lasts, and the expected rainfall and intensity during that
time. It creates an incentive for construction site operators to build during the dry part
of the year.
How would an operator qualify for, and certify to, this waiver?
To qualify for this waiver, the construction site operator must determine the value of
the rainfall erosivity factor (R factor) in the Revised Universal Soil Loss Equation
(RUSLE) and then certify to the permitting authority that the value of the factor is less
than 5 during the period of construction. The RUSLE is a refinement of the Universal
Soil Loss Equation (USLE), which is a method developed by the U.S. Department of
Agriculture to measure soil loss from agricultural lands at various times of the year on a
regional basis. The R factor varies based on location and time period during the year.
A construction site operator will need site-specific data to calculate the values for
rainfall erosivity using the RUSLE. The rainfall erosivity factor is determined in
accordance with Chapter 2 of Agriculture Handbook Number 703, Predicting Soil
Erosion by Water: A Guide to Conservation Planning With the Revised Universal Soil
Loss Equation (RUSLE). This handbook is no longer in print but Chapter 2 can be
obtained from EPA's web site or by contacting EPA's Water Resource Center.
5.2.1 Waiver 2: The Water Quality Waiver
The Water Quality waiver consists of: 1) a component for small construction sites
that will discharge to an impaired waterbody where total maximum daily load (TMDL)
assessments have been performed, and 2) a component for small construction sites
that will discharge to non-impaired waters where an analysis equivalent to the TMDL
assessments have been performed.
For impaired waters where technology-based controls required by NPDES permits
are not achieving State water quality standards, the CWA requires implementation of
the TMDL process.
The TMDL process establishes the maximum amount of pollutants a
waterbody can assimilate before water quality is impaired, then requires
that this maximum level not be exceeded. A TMDL assessment
determines the source or sources of a pollutant of concern, considers the
maximum allowable level of that pollutant for the waterbody, then allocates
to each source or category of sources a set level of the pollutant that it is
allowed to discharge into the waterbody. Allocations to point sources are
called wasteload allocations.
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5.0 Small Construction Activity
A TMDL is developed for each pollutant that is found to be contributing to the
impairment of a waterbody or a segment of a waterbody. To allow a waiver for
construction activities, a TMDL would need to address sediment, or a parameter that
addresses sediment such as total suspended solids, turbidity, or siltation. Additional
TMDLs addressing common pollutants from construction sites such as nitrogen,
phosphorus, and oil and grease also may be necessary to ensure water quality
protection and allow a waiver from the NPDES storm water program. More information
on TMDLs can be found at http://www.epa.gov/owow/tmdl/.
Non-impaired waterbodies do not require TMDL assessments. However,
construction site operators that discharge to non-impaired waterbodies are still eligible
for this waiver. A construction site operator is eligible for a waiver if an analysis
equivalent to a TMDL assessment is conducted for the pollutants of concern and it is
determined through this analysis that small construction sites would not have to control
their contribution of pollutants of concern to the waterbody to protect water quality. The
analysis may also determine that allocations are not needed to protect water quality
based on consideration of variables including existing in-stream concentrations;
expected growth in pollutant contributions from all sources; and a margin of safety. In
this situation, the construction site operator also qualifies for a waiver.
How would an operator qualify for, and certify to, this waiver?
EPA expects that when TMDLs, or equivalent analyses are completed, there may be
a determination that certain classes of sources, such as small construction sites, would
not have to control their contribution of pollutants of concern to the waterbody in order
for the waterbody to be in attainment with water quality standards (i.e., these sources
were not assigned wasteload allocations). In such a case, to qualify for the Water
Quality waiver, the operator of the construction site would need to certify that its
construction activity will take place, and the storm water discharges will occur, within the
area covered either by the TMDLs or equivalent analysis. A certification form would
likely be provided by the NPDES permitting authority.
5.3 PERMIT OPTIONS
The Storm Water Phase II Rule requires operators of small construction activities to
obtain National Pollutant Discharge Elimination System (NPDES) permit coverage
because their storm water discharges are considered "point sources" of pollution. Point
source pollutant discharges, unlike nonpoint sources such as agricultural runoff, are
required under the Clean Water Act (CWA) to be covered by federally enforceable
NPDES permits.
NPDES storm water permits are issued by an NPDES permitting authority, which
may be an NPDES-authorized State or a U.S. EPA Region in non-authorized States
(see Appendix A for a list of U.S. EPA Regions). Once a permit application is submitted
by the operator of a small construction activity, the conditions of the permit must be
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5.0 Small Construction Activity
satisfied (i.e., implementation of a storm water pollution prevention plan). This section
addresses the permit options under the Phase II regulations for operators of small
construction activity, as well as for the permitting authority. The permit requirements
are discussed in Section 5.4.
5.3.1 For Operators of Small Construction Activity: What Types of Permit
Coverage Are Available?
Similar to the Phase I program for large construction activity, the Phase II approach
allows operators of small construction activities to choose between two permitting
options. Each NPDES permitting authority has the discretion, however, to determine
which options are available to operators of small construction activities in their
jurisdiction.
1) General Permits
# General permits are strongly encouraged by EPA for small construction activity.
EPA anticipates that the existing general permit for large construction activity will
serve as a model for small construction activity general permits.
# General permits prescribe one set of requirements for all applicable permittees.
General permits are drafted by the NPDES permitting authority, then published
for public comment before being finalized and issued.
# A Notice of Intent (NOI) serves as the application for the general permit. Under
the Phase II Rule, NPDES permitting authorities have the discretion to not
require submittal of an NOI under a general permit for small construction activity.
# Small construction operators must submit an NOI and obtain coverage under a
general permit by March 10, 2003 or an earlier date set by the permitting
authority (if this option is available).
2) Individual Permits
# NPDES permitting authorities may deny coverage under general permits and
require operators to submit an individual NPDES permit application based on
information such as water quality data.
# In the event that an NPDES permitting authority decides to issue an individual
construction permit for small construction activity, operators are subject to the
individual application requirements found at 40 CFR §122.26(c)(1)(ii).
# For any discharges of storm water associated with small construction activity
identified in §122.26(b)(15) that are not authorized by a general permit, an
individual permit application must be submitted to the permitting authority by
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5.0 Small Construction Activity
March 10, 2003.
5.3.2 For the NPDES Permitting Authority
5.3.2.1 Alternative Option for Writing Permit Requirements: Referencing a
Qualifying State, Tribal or Local Erosion and Sediment Control Program
Under §122.44(s) of the Phase II Rule, permitting authorities have the flexibility to
develop permit conditions that incorporate by reference qualifying State, Tribal, or local
erosion and sediment control programs into permits for large and small construction
activity.
To be considered a qualifying State, Tribal, or local program, the program must
require construction site operators to:
Implement appropriate erosion and sediment control BMPs;
Control waste such as discarded building materials, concrete truck washout,
chemicals, litter, and sanitary waste at the site that may cause adverse impacts
to water quality;
Submit a site plan for review that incorporates consideration of potential water
quality impacts; and
Develop and implement a storm water pollution prevention plan (SWPPP)
containing elements similar to those required by other NPDES construction
storm water permits.
In addition to these elements, a qualifying program for large construction activities
must also include any additional requirements necessary to achieve the applicable
technology-based standards of "Best Available Technology" (BAT) and "Best
Conventional Technology" (BCT) based on the best professional judgment of the permit
writer.
Important Note: Not all the construction programs administered by
NPDES-permitted MS4s would qualify. A primary reason for this is
because NPDES-permitted MS4s are not obligated under their permit to
require construction operators to develop a SWPPP.
Should a State, Tribal, or local program include one or more, but not all, of the
elements listed above, the NPDES permitting authority can reference the program in
the permit, provided it also lists the missing element(s) as a condition in the permit.
5.3.2.2 Permit Application: Optional Use of NOIs
Under the Phase II Rule, EPA is providing NPDES permitting authorities with the
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5.0 Small Construction Activity
discretion to not require NOIs under a general permit for discharges from small
construction activity, if desired. EPA does, however, recommend the use of NOIs for
tracking permit coverage and prioritizing inspections and enforcement. This alternative
option does not apply to general permits for large construction activity.
5.4 PERMIT REQUIREMENTS
The Phase II Rule requires operators of small construction sites, nationally, to obtain
an NPDES permit and implement practices to minimize pollutant runoff. The Phase II
Rule directs permitting authorities to develop and issue permits for small construction
activity no later than December 9, 2002. Operators of small construction activity will be
required to obtain permit coverage by March 10, 2003, or an earlier date set by the
permitting authority. However, operators may have to comply with local, State, or Tribal
construction runoff control programs (see section 4.6.2.4 for information on the Phase II
small MS4's construction program).
For the Phase II small construction program, EPA has taken an approach similar to
Phase I where the program requirements are not fully defined in the rule but rather in
the NPDES permit by the NPDES permitting authority. EPA recommends that the
NPDES permitting authorities use their existing Phase I NPDES construction general
permits as a guide to developing their Phase II construction permits. In doing so, the
Phase II requirements would be similar to the Phase I requirements described in
subsection 5.4.2, although the applicable standards for small construction activity are
different as outlined in subsection 5.4.1.
5.4.1 Applicable Water Quality Standards
Unlike the technology-based standards of BAT and BCT that are applicable to large
construction activity, an operator of small construction activity is required to design its
pollutant control plan so that it:
Q Protects water quality (under CWA section 402(p)(6)); and
Q Satisfies the appropriate water quality requirements of the CWA.
The water quality standards for large and small construction activity are different
because they were designated into the NPDES storm water program under two
separate sections of the CWA with differing standards. Practically, though, the
standard for small construction activity would be substantively the same as the standard
for large construction activity.
5.4.2 Potential Small Construction Activity Permit Requirements
EPA currently has only one type of permit available for construction activity
operators, the NPDES Construction General Permit. This permit provides coverage to
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5.0 Small Construction Activity
large construction activities only. EPA expects any general permit for small
construction activity to be very similar to the CGP. To gain familiarity with the CGP, the
three main elements of the CGP are included below.
Important note: This section on the CGP requirements is included for
informational purposes only in order to provide a sense of what the permit
requirements for small construction activity may be - these are not the
requirements for small construction activity.
5.4.2.1 Notice of Intent
A complete and accurate NOI must be submitted to the NPDES permitting authority.
An NOI includes general information and a certification that the activity will not impact
endangered or threatened species. This certification is unique to EPA's NOI and is not
a requirement of most NPDES-delegated State's NOIs.
An NOI must be postmarked at least two days prior to commencement of any work
on site (if the operator has control over plans and specifications) or two days prior to
commencement of the operator's portion of the work (if the operator has only day-to-
day operational control).
5.4.2.2 Storm Water Pollution Prevention Plan (SWPPP)
The most important requirement of the CGP is the construction storm water pollution
prevention plan (SWPPP) that includes the appropriate BMPs to minimize the
discharge of pollutants from the site. The CGP requires at least one SWPPP for each
construction project or site.
The construction site operator, or operators, must develop the SWPPP prior to
submitting the NOI to obtain permit coverage. Unlike the NOI and other reporting
forms, the operator(s) does not submit the SWPPP to the permitting authority. Instead,
the SWPPP remains onsite and made accessible according to the requirements
described in the CGP.
The SWPPP comprises several elements:
Site description. This will contain a description of potential pollutant sources
and other information.
Controls (BMPs). This part of the SWPPP must clearly describe not only the
controls, but also the timing and responsible permittee for implementing the
controls in the following categories:
Erosion and Sediment Controls
Storm Water Management Controls
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5.0 Small Construction Activity
/ Other Controls
Inspections. Another critical element of the SWPPP is regular inspections of
disturbed areas of the site that has not been stabilized; exposed materials
storage areas; structural controls; and vehicle entrances and exits.
Maintenance. The SWPPP also requires that operators perform maintenance
on the controls (BMPs) to ensure they are in effective operating condition.
Signatures. The SWPPP must be signed by at least one of the persons
responsible for submitting an NOI for the project.
Accessibility. The CGP requires the operator(s) to retain a copy of the SWPPP
at the construction site or other local location accessible to the permitting
authority.
More information on the construction SWPPP requirements can be found in the
CGP, published on February 17, 1998 (63 FR 7858, p. 7906). EPA has also issued a
construction general permit for Regions IV and VI. Contact your EPA Regional office or
State environmental agency for information on construction permits in your State. In
addition, EPA published a construction SWPPP guidance in a document entitled Storm
Water Management for Construction Activities: Developing Storm Water Pollution
Prevention Plans and Best Management Practices (EPA 832-R-92-005, September
1992).
5.4.2.3 Notice of Termination (NOT)
A completed Notice of Termination (NOT) must be submitted to the NPDES
permitting authority within 30 days after one or more of the following conditions have
been met:
Final stabilization has been achieved on all portions of the site for which the
permittee is responsible;
Another operator/permittee has assumed control over all areas of the site that have
not been finally stabilized; or
For residential construction only: temporary stabilization of a lot has been
completed prior to transference of ownership to the homeowner, with the
homeowner being made aware of the need to perform final stabilization.
5.5 INTEGRATION OF NPDES PROGRAM FOR CONSTRUCTION WITH NPDES
PROGRAM FOR MS4S
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5.0 Small Construction Activity
There is often confusion about the interaction between the NPDES Storm Water
Program for construction activity, which has been the topic of discussion in this section,
and the construction runoff control program implemented by NPDES-regulated MS4s,
which was the topic of discussion in section 4.6.2.4.
- These are two separate and distinct construction programs.
- A construction operator is subject to requirements under BOTH programs if it
is located in an NPDES-regulated MS4's jurisdiction.
The NPDES Storm Water Program for Construction is administered by the NPDES
permitting authority, either the State or an EPA Regional Office.
- This program requires the construction site operator to seek coverage under
an NPDES storm water discharge permit for construction. The current
permit, the Construction General Permit, requires the operator to submit an
NOI, develop a SWPPP, and comply with other applicable NPDES storm
water discharge permit requirements.
- The Construction General Permit (CGP) currently only applies to large
construction activity disturbing greater than 5 acres. Permits for small
construction activity will be issued by each NPDES permitting authority by
December 9, 2002.
The NPDES Storm Water Program for MS4s: MS4 Construction Runoff Control
Programs are administered by the MS4 operator. The MS4 operator's NPDES storm
water discharge permit requires it to establish requirements to control storm water
discharges from construction activity and new development and redevelopment.
- Regulated small MS4s must control 1 acre and above.
- Medium and large MS4s have no particular size thresholds that they must
control - differs among MS4s
- The specific requirements of the construction programs will vary among
MS4s. An MS4 permit typically does not specify that the MS4 operator must
require a SWPPP or that a permit application be submitted.
5.6 SMALL CONSTRUCTION ACTIVITY COMPLIANCE PROCESS: What Do I
Need To Do To Comply?
Sections 5.1 through 5.5 of this guidance have provided details on who's covered,
who may be waived, and what may be required under the Phase II regulations for small
construction activity. Now that you are familiar with the Phase II program, this section
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5.0 Small Construction Activity
walks you through the process, from beginning to end, that an operator of a small
construction activity should take to comply with the regulation. This step-by-step "walk-
through" assumes the issuance of a general permit for small construction activity that is
similar to the CGP. Remember, the general permit for small construction activity may
have different requirements, timeframes, and deadlines than what is noted here.
Repeat the steps for each individual construction site.
The last page of this section includes a permitting decision tree to help operators of
construction activity determine if they need an NPDES storm water permit. By starting
in the upper left hand corner, an operator can follow the decision tree to determine if
they fall under Phase I, Phase II, or are eligible for a waiver.
Step 1: Determine if your construction site will discharge storm water runoff into a
MS4 (see section 4.1.1 for definition) or to waters of the United States. If so,
proceed to Step 2. If not, stop here.
Waters of the United States include interstate lakes, rivers, streams
(including intermittent streams), mudflats, sandflats, wetlands,
sloughs, prairie potholes, wet meadows, playa lakes, or natural ponds
the use, degradation, or destruction of which would affect or could
affect interstate or foreign commerce. (Waste treatment systems,
including treatment ponds or lagoons designed to meet the
requirements of CWA are not waters of the United States.) A
complete definition can be found at 40 CFR 122.2.
Step 2: Determine if your construction site's storm water
discharge will meet the definition of a "storm water
discharge associated with small construction activity."
If so, proceed to Step 3. If not, stop here. (See section
5.1.2)
Step 3: If your site meets the definition of small construction activity, determine if it
qualifies for a waiver from the permit requirements. If so, stop here. If not,
proceed to Step 4. (See section 5.2)
Step 4: Obtain and read the applicable storm water discharge permit for small
construction activity (or the CGP until the small construction permit has been
issued to get a sense of the upcoming permit requirements). The small
construction permit should be issued by the NPDES permitting authority by
December 9, 2002. (See section 5.4.2 for potential requirements)
Step 5: Determine which parties are considered operators and, therefore, are
responsible for complying with the requirements described in the storm water
permit for small construction activity (See section 5.1.3)
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5.0 Small Construction Activity
Step 6: Develop a SWPPP. (See section 5.4.2.2)
SWPPPs must be developed prior to submitting the NOI.
You do not need to submit the SWPPP to your NPDES permitting
authority, however, it should be accessible to the public.
Step 7: Complete and submit an NOI. (See section 5.4.2.1)
Your NPDES permitting authority may or may not require a NOI. If so, the
Phase II regulation requires that you submit your NOI no later than March
10, 2003 (or 90 days after the NPDES permitting authority issues the
permit, whichever comes first).
Submit a completed NOI to your NPDES permitting authority two days
prior to beginning work at the construction site.
Step 8: Implement the SWPPP.
Includes generation of inspection reports that are to be kept on-site.
Step 9: Complete and submit an NOT. (See section 5.4.2.3)
Submit a completed NOT to your NPDES permitting authority within 30
days after one or more of the appropriate conditions have been met.
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5.0 Small Construction Activity
Construction Activities Storm Water Program
Permitting Decision Tree
Does the construction
activity discharge storm
water runoff to an MS4 or
waters of the U.S.?
How many acres
will be disturbed by the
construction activity?
A permit is required
Is the construction
N° ' activity part of a larger
common plan of development
or sale?
No NPDES storm
water discharge
permit is required
Is the construction activity
part of a larger common plan of ^ "es.1
development or sale that will disturb
5 or more acres?
What is the
planned disturbance of the
larger common plan of
evelopment or sale
Storm water discharge associated
with small construction activity
Does the construction activity occur
during a negligible rainfall period where the rainfall
erosivity factor ("R" in the RUSLE) is less than 5
ring the period of construction activity
The construction activity qualifies
for a waiver. No permit is required
but the construction operator must
certify to the waiver conditions.
Has a TMDL or equivalent
analysis addressing the pollutants of
concern lead to a determination that
orm water controls are not necessa
or small construction activity?j
An NPDES storm water discharge
permit is required under Phase II.
1. Construction activity disturbing, or part of a planned disturbance of, five or more acres is a "storm water discharge associated with industrial
activity" under category (x). See 40 CFR 122.26(b)(14)(x).
2. See new 122.26(b)(15) for the definition of "storm water discharge associated with small construction activity."
3. See new 122.26(b)(15)(i)(A) for more details.
4. See new 122.26(b)(15)(i)(B) for more details.
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6.0 Industrial Activity
6.0 INDUSTRIAL ACTIVITY
After reading section 6.0, you should understand the basic components
and requirements of the Phase II regulations as they affect the categories
of industrial activity covered by the Phase I regulations. Phase II revises
the original Phase I industrial no exposure exemption and also sets a new
deadline for permit coverage for the municipally-owned industrial activity
that had been temporarily exempted from storm water permit coverage.
6.1 PHASE I INDUSTRIAL ACTIVITY: What Industrial Activities are Covered by
Phase I of EPA's Storm Water Program?
The 1990 storm water regulations for
Phase I of the federal storm water program
identify eleven categories of industrial
activities under the definition of a "storm
water discharge associated with industrial
activity" that must obtain a National
Pollutant Discharge Elimination System
(NPDES ) permit. The categories contain
industries listed either by reference to an
industry's Standard Industrial Classification
(SIC) code, or by a short narrative
description of the activity found at the
industrial site (see text box at right for more
detailed descriptions). For facilities that
match the SIC codes or description in one
of the categories, only those that have a
storm water discharge to a municipal
separate storm sewer system (MS4) or
waters of the United States are required to
seek permit coverage. The NPDES permit
requirements vary between individual and
general permits, but in general involve the
development of a storm water pollution
prevention plan based upon site
assessments, monitoring and reporting
data on storm water discharges, and
mitigating any possible effects of
discharges on endangered species and
national historic properties (for EPA issued
permits).
Storm Water Discharge
Associated with Industrial Activity
(40 CFR 122.26(b)(14)(i) - (xi))
Facilities subject to storm water
effluent limitation guidelines; new
source performance standards, or toxic
pollutant effluent standards under 40
CFRSubchapterN.
"Heavy" industrial facilities with SIC
codes listed in 40 CFR
122.26(b)(14)(ii), (iii), and (vi)
"Light" industrial facilities with SIC
codes listed in 40 CFR 122.26(b)(14)
(xi), which conduct the activities
specified in that sections.
Hazardous waste treatment, storage, or
disposal facilities.
Landfills, land application sites, and
open dumps that receive or have
received industrial waste.
Steam electric power generating
facilities.
Sewage treatment works.
Construction activity (including
clearing, grading, and excavation)
disturbing five or more acres of land, or
less than five acres of land if it is part of
a larger common plan of development
or sale of five acre or greater.
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6.0 Industrial Activity
Under the Phase I regulations, operators of facilities within category eleven (xi),
commonly referred to as "light industry," were exempted from the definition of "storm
water discharge associated with industrial activity," and the subsequent requirement to
obtain an NPDES permit, provided their industrial materials or activities were not
"exposed" to storm water. This Phase I no exposure exemption from permitting was
limited to those facilities identified in category (xi), and did not require category (xi)
facility operators to submit any information supporting their no exposure claim.
In 1992, the Ninth Circuit court remanded to EPA for further rulemaking the no
exposure exemption for light industry after making a determination that the limited
exemption was arbitrary and capricious. The result was a revised no exposure
exemption (now an "exclusion") as part of the Phase II regulation.
6.2 PHASE II NO EXPOSURE EXCLUSION: What is the Conditional No
Exposure Exclusion for Industrial Activity as Revised by this Regulation?
The intent of the no exposure provision is to provide a simplified method for
complying with the Clean Water Act to all industrial facilities that are entirely indoors.
This includes facilities that are located within a large office building, or at which the only
items permanently exposed to precipitation are roofs, parking lots, vegetated areas, and
other non-industrial areas or activities.
As revised in the Phase II regulation, if a condition of No Exposure exists at a
Phase I industrial facility, then permits will not be required for storm water discharges
from these facilities. All industrial facilities that have no exposure of materials to storm
water, including the "light industrial" facilities, must submit a certification to the
permitting authority. The facility must certify that a condition of No Exposure exists at
its facility and either maintain a condition of no exposure or obtain a permit. The
following subsections discuss who is eligible for the revised no exposure exclusion, the
definition of no exposure, and the requirement to submit a written certification of no
exposure in place of a permit application.
6.2.1 Who is Eligible to Qualify for the No Exposure Exclusion?
The Phase II Conditional No Exposure Exclusion represents a significant expansion
in the scope of the original no exposure provision in terms of eligibility. Now,
all Phase I industrial categories with a condition of no exposure, except for construction
activity, are eligible for the no exposure exclusion. The exclusion from permitting is
available on a facility-wide basis only, not for individual outfalls
6.2.2 What is the Definition of No Exposure?
The Phase II regulatory definition of no exposure is as follows:
No exposure means all industrial materials and activities are protected
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6.0 Industrial Activity
by a storm resistant shelter to prevent exposure to rain, snow,
snowmelt, and/or runoff. Industrial materials or activities include, but
are not limited to, material handling equipment or activities, industrial
machinery, raw materials, intermediate products, by-products, final
products, or waste products.
A storm resistant shelter is not required for the following industrial
materials and activities:
Drums, barrels, tanks, and similar containers that are tightly
sealed, provided those containers are not deteriorated and do
not leak. "Sealed" means banded or otherwise secured and
without operational taps or valves;
Adequately maintained vehicles used in materials handling;
Final products, other than products that would be mobilized in
storm water discharges (e.g., rock salt).
The term "storm-resistant shelter," as used in the no exposure definition, includes
completely roofed and walled buildings or structures, as well as structures with only a
top cover but no side coverings, provided material under the structure is not otherwise
subject to any run-on and subsequent runoff of storm water.
While the intent of the no exposure provision is to promote a condition of permanent
no exposure, certain machinery, such as trucks, may become temporarily exposed to
rain and snow while passing between buildings. Adequately maintained mobile
equipment (e.g., trucks, automobiles, forklifts, trailers, or other such general purpose
vehicles found at the industrial site that are not industrial machinery, and that are not
leaking contaminants or are not otherwise a source of industrial pollutants) also can be
exposed to precipitation or runoff. Such activities alone would not prevent a facility
from certifying to no exposure. Similarly, trucks or other vehicles awaiting maintenance
at vehicle maintenance facilities that are not leaking contaminants or are not otherwise
a source of industrial pollutants, would not be considered exposed.
EPA recognizes that there are circumstances where permanent no exposure of
industrial activities or materials is not possible and, therefore, under such conditions,
materials and activities could be sheltered with temporary covers (e.g., tarps) between
periods of permanent enclosure. The No Exposure provision does not specify every
such situation, but NPDES permitting authorities can address this issue on a case-by-
case basis.
The Phase II regulation also addresses particulate matter emissions from roof
stacks/vents. If regulated by, and in compliance with, other environmental protection
programs (i.e., air quality control programs) and not causing storm water contamination,
they are considered not exposed. Particulate matter or visible deposits of residuals
from roof stacks and/or vents not otherwise regulated (i.e., under an air quality control
program) and evident in storm water outflow are considered "exposed." Likewise,
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6.0 Industrial Activity
visible "track out" (i.e., pollutants carried on the tires of vehicles) or windblown raw
materials are considered "exposed." Leaking pipes containing contaminants exposed
to storm water are deemed "exposed," as are past sources of storm water
contamination that remain onsite. General refuse and trash, not of an industrial nature,
is not considered exposed as long as the container is completely covered and nothing
can drain out holes in the bottom, or is lost in loading onto a garbage truck. Industrial
refuse and trash that is left uncovered, however, is considered "exposed."
6.2.3 What Do I Need To Know About Certifying to a Condition of No Exposure?
In order to obtain the Conditional No Exposure exclusion, you will have to submit
written certification that your facility meets the definition of "no exposure," even if you
are a category (xi) facility operator. The Phase II Rule included as an appendix to the
preamble a four-page No Exposure Certification form to be used for this purpose in
areas where EPA is the NPDES permitting authority. EPA's certification form uses a
series of yes/no questions which you must answer regarding the your industrial activity.
You may certify to no exposure if you can answer "no" to all of the questions.
Important note: EPA's No Exposure Certification form applies only in areas
where EPA is the NPDES permitting authority. Where a State is the NPDES
permitting authority, the State will issue its own form. Since most aspects of
EPA's form are also regulatory requirements as to what must be included
within a written certification of no exposure, you may expect the State forms to
be very similar to EPA's.
The Certification form serves two purposes: 1) as an aid to help you in determining
whether you have a condition of No Exposure at your facility or site, and 2) as the
necessary written certification of No Exposure, provided you are able to answer all the
questions in the negative.
Q If, after you have completed the form, you find that you answered "yes" to one or
more of the questions about possible exposure, you must make the appropriate
changes at the facility if you still wish to apply for the conditional exclusion.
These changes must remove the particular material, process, or activity at the
facility or site from exposure to storm water.
Q If, after completing the form, you find that you were able to check "no" to every
question, you qualify for the no exposure exclusion and must sign and submit the
form to your NPDES permitting authority.
Certification Facts:
The certification must be completed and submitted to your permitting authority once
every 5 years, and can only be done so if the condition of no exposure continues to
exist at the facility.
The Certification must be provided for each facility qualifying for the no exposure
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6.0 Industrial Activity
exclusion.
The form is non-transferable. If a new operator takes over your facility, they must
complete, sign, and submit a new form to claim the no exposure exclusion when
they assume control over the operations of the facility.
6.2.4 Are There Any Concerns Related to Water Quality Standards?
Yes. An operator certifying that its facility qualifies for the conditional no exposure
exclusion may, nonetheless, be required by the permitting authority to obtain permit
authorization. Such a requirement would follow the permitting authority's determination
that the facility's discharge is likely to have an adverse impact on water quality.
Many efforts to achieve no exposure can employ simple good housekeeping and
contaminant cleanup activities such as moving materials and activities indoors into
existing buildings or structures. In limited cases, however, industrial operators may
make major changes at a site to achieve no exposure. These efforts may include
constructing a new building or cover to eliminate exposure or constructing structures to
prevent run-on and storm water contact with industrial materials and activities. Major
changes undertaken to achieve no exposure, however, can increase the impervious
area of the site, such as when a building is placed in a formerly vegetated area.
Increased impervious area can lead to an increase in the volume and velocity of storm
water runoff, which, in turn, can result in a higher concentration of pollutants in the
discharge, since fewer pollutants are naturally filtered out.
The concern of increased impervious area is addressed in one of the last questions
on the Certification form, which asks, "Have you paved or roofed over a formerly
exposed, pervious area in order to qualify for the no exposure exclusion? If yes, please
indicate approximately how much area was paved or roofed over." This question is
intended to aid the NPDES permitting authority in assessing the likelihood of such
actions interfering with water quality standards. Where this is a concern, the facility
operator and its NPDES permitting authority should take appropriate actions to ensure
that water quality standards can be achieved.
6.2.5 Industrial Program Compliance Process: What Do I Need To Do To Obtain
the No Exposure Exclusion and Comply with Applicable Requirements?
Sections 6.1 through 6.2.4. of this guidance have provided information necessary to
understand the conditional no exposure exclusion. Now that you are familiar with the
no exposure exclusion, this section walks you through the process, from beginning to
end, that an operator of industrial activity will need to take to comply with the Phase II
regulation. This step-by-step "walk-through" assumes the issuance of a no exposure
certification form that is similar to EPA's form. Remember, a State's certification form
may have different requirements and deadlines than what is noted here. Repeat the
steps for each individual facility or site.
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6.0 Industrial Activity
Step 1: Determine if your industrial activity meets the definition of a "discharge
associated with industrial activity." If so, proceed to Step 2. If not, stop here.
(See section 6.1)
If you are a regulated industrial operator, you need to either apply for a
storm water permit, or submit a no exposure certification, in order to be in
compliance with the NPDES storm water regulations. Any storm water
permit you may currently hold becomes null and void once a completed
conditional no exposure certification form is submitted
Step 2: Obtain the no exposure certification form from your NPDES permitting
authority. Determine if your regulated industrial activity meets the definition of
" no exposure" and qualifies for the exclusion from permitting. If it does,
proceed to Step 3. If not, stop here and obtain industrial storm water permit
coverage (probably through the multi-sector general permit or similar permit).
The conditional no exposure exclusion option is currently available only for
facilities in areas where EPA is the NPDES permitting authority. In all
other areas, where the State is the NPDES permitting authority, the facility
operators will need to wait until the State makes the option available.
Step 3: Submit the certification form to your NPDES permitting authority - a new form
must be submitted once every 5 years.
Be aware that even when you certify to no exposure, your NPDES
permitting authority still retains the authority to require you to apply for an
individual or general permit if it has determined that your discharge is
contributing to the violation of, or interfering with the attainment or
maintenance of, water quality standards, including designated uses.
Step 4: Submit a copy, upon request, of the certification form to the municipality in
which the facility is located.
Step 5: Allow your NPDES permitting authority or, if discharging into a municipal
separate storm sewer system, the operator of the system, to (1) inspect the
facility and (2) make such inspection reports publicly available upon request.
Step 6: Maintain a condition of no exposure.
The no exposure exclusion is conditional and not an outright exemption.
Therefore, if there is a change in circumstances that causes exposure of
industrial activities or materials to storm water, the you are required to
comply immediately with all the requirements of the NPDES Storm Water
Program, including applying for and obtaining a storm water discharge
permit.
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6.0 Industrial Activity
Failure to maintain the condition of no exposure or obtain coverage under
an NPDES permit can lead to the unauthorized discharge of pollutants to
waters of the United States, resulting in penalties under the CWA.
6.3 ISTEA MORATORIUM: How Has this Regulation Affected the Municipally-
Operated Industrial Activity Subject to the Intermodal Surface
Transportation Enforcement Act (ISTEA) Moratorium?
Provisions within ISTEA temporarily delayed the deadline for Phase I industrial
activities operated by municipalities with populations of less than 100,000 people to
obtain an NPDES storm water discharge permit. Congress delayed the permitting
deadline to allow small municipalities additional time to comply with NPDES
requirements. This moratorium on permitting did not apply to power plants, airports,
and uncontrolled sanitary landfills operated by small municipalities.
The Phase II Rule slightly extended this temporary exemption from permitting and
set a deadline of no later than March 10, 2003 for all ISTEA-exempted municipally-
operated industrial activities to obtain NPDES permit coverage. Of course, like any
other regulated industrial activity, these municipally-operated industrial activities are
eligible to qualify for the no exposure exclusion from permitting if a condition of no
exposure exists. Municipal-operators must follow the same procedures outlined in
Section 6.2.4 in order to obtain an exclusion from permitting.
Many of the small municipalities that will now have to obtain permit coverage for
their industrial activity will also have to obtain permit coverage for their small MS4 (see
section 4.0) and small construction activity (see section 5.0). The Phase II regulation
deadlines for industrial, small MS4, and small construction permit coverage are all the
same - no later than March 10, 2003 - to allow the NPDES permitting authority to issue
one individual permit that covers all three components if it chooses to do so.
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7.0 The Compliance Assurance Process
7.0 THE COMPLIANCE ASSURANCE PROCESS
After reading section 7, you should understand how EPA will determine
compliance, what happens if you or the EPA discovers noncompliance,
and where to go for compliance assistance information.
7.1 How Will EPA Determine Compliance?
EPA employs several approaches to monitor compliance with its environmental
regulations, including both EPA-initiated and facility-initiated methods.
1. Inspections - EPA may conduct periodic inspections at facilities subject to this
regulation. Inspections may be initiated by disclosures to EPA, randomly
selecting facilities, or a variety of targeting methods. Inspections may be used,
for instance, to monitor recordkeeping requirements, visit sites where storm
water controls should be in place, and/or verify that facilities have permits.
2. Permits, Records, and Reports - Permits are not required for small
construction sites and regulated small MS4s for up to three years and 90 days
from the effective date of the final rule. After general permits are issued, the
NPDES permitting authorities intend to use the data in storm water permit
applications, construction waiver certifications, storm water pollution prevention
plans (SWPPPs), no exposure certifications, records, and reports (as required by
the Phase II regulation) to set appropriate permit conditions and track discharges
covered by a storm water permit. Compliance and enforcement authorities will
use the information to assess the regulated entity's level of compliance.
3. Review of No Exposure Certifications - Operators of industrial facilities that
are eligible for a no exposure exclusion from the NPDES permitting requirements
may prepare, and submit for review, a no exposure certification. NPDES
authorities will use the information contained in the certification in determining
compliance with the no exposure provisions. This information will particularly
assist in determining compliance with the no exposure certification in conjunction
with complaints from the public.
4. Self-audit and Self Disclosure - Facilities have the primary responsibility for
ensuring that they are in continuous compliance. EPA encourages the facility to
take advantage of EPA's Audit Policy, Small Business Policy, or Small
Community Policy (these will be discussed in more detail in section 7.2).
In addition to this document, to aid in determining whether it is in compliance, the
facility might use a document currently being developed by EPA entitled
"Protocol for Conducting Environmental Compliance Audits under the Storm
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7.0 The Compliance Assurance Process
Water Program." This protocol, which is a part of a set containing other statute-
specific audit protocols, is a tool to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in
accordance with EPA's Audit Policy. The protocol provides guidance on key
requirements, defines regulatory terms, gives an overview of the federal laws
affecting a particular environmental management area, and includes a checklist
for review of the facility. EPA anticipates making the document available for
public use in summer 2000. To see a sample of protocols that have been
completed under other statutes (RCRA, EPCRA, CERCLA), visit the Internet
site: http://es.epa.gov/oeca/ccsmd/profile.htmL
7.2 If I Discover a Violation, How Can I Work With The Agency to Correct It?
EPA promotes environmental compliance by providing incentives. By participating
in compliance assistance programs or voluntarily disclosing violations and promptly
correcting violations, businesses may get penalty waivers or reductions. EPA has three
policies that potentially apply to entities regulated by the Storm Water Phase II Rule.
These policies do not apply if an enforcement action has already been initiated.
Audit Policy. The first of these policies is "Incentives for Self-Policing: Discovery,
Disclosure, Correction and Prevention of Violations" (60 FR 66706), known as the
"Audit Policy". EPA initiated this policy to provide entities of all sizes with incentives to
voluntarily discover and promptly disclose and correct violations of environmental
regulations. For a more detailed description of the Audit Policy, visit the Internet site at:
www.epa.gov/oeca/polguid/polvguid1.html.
Small Business Policy. EPA's "Policy on Compliance Incentives for Small
Business" was developed to help small businesses with 100 or fewer employees
achieve environmental compliance by creating benefits for businesses that make a
good faith effort to comply with environmental regulations before a government agency
discovers a violation or otherwise takes an enforcement action. The Policy currently
provides incentives, such as penalty waivers or penalty reduction, for businesses that
participate in on-site compliance assistance programs or conduct environmental audits
to discover, disclose, and correct violations. The Policy is presently being modified to
broaden when and how a small business can take advantage of the Policy. Revisions
are expected in spring of 2000. Please see www.epa.gov/oeca/polguid or contact
Ginger Gotliffe (202-564-7072) for more information.
Small Community Policy. The "Policy on Flexible State Enforcement Responses
to Small Community Violations" (November, 1995) promotes alternative strategies for
communities to achieve environmental and economic goals. States are encouraged to
use multimedia compliance assistance and prioritize compliance issues to address
specific needs of their small communities. As long as states work within the parameters
of the Policy, EPA will generally defer to their decision to waive part or all of the penalty
for a small community's environmental violations. This approach allows small
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7.0 The Compliance Assurance Process
communities to apply their limited resources to fixing their environmental problems,
rather than to paying penalties. The policy applies to communities generally comprised
of fewer than 2,500 residents. In the context of the Storm Water Phase II Rule, small
MS4s that are not eligible for waivers from their regulatory requirements would be most
likely to take advantage of this policy. For a more detailed description of the Small
Communities Policy, visit the Internet sites: www.epa. gov/oeca/scpolcv. htm I or
www.epa.gov/oeca/ccsmd/mun.html.
7.3 Where Can I Go for Compliance Assistance on the Storm Water Phase II
Rule?
The permitting authority is the leading source for information on the Storm Water
Phase II Rule. EPA is also developing a "tool box" to assist States, Tribes,
municipalities, and other parties involved in the Phase II program. This tool box will
facilitate implementation of the storm water program in an effective and cost-efficient
manner. The tool box is available on EPA's web page at
http://www.epa.gov'owm/sw/phase2 and consists of the following eight major
components:
- Fact Sheets
- Guidance Documents
- Menu of BMPs
- Training and Outreach Efforts
- Information Clearinghouse
- Technical Research
- Support for Demonstration Projects
- Compliance Monitoring/Assistance Tools
In addition, EPA provides widely available compliance assistance through the
establishment of national compliance assistance centers, in partnership with industry,
academic institutions, and other federal and state agencies. Centers have been
established that provide services for several industries that contain many small
businesses. Compliance assistance centers offer a range of communications services,
including Web sites, e-mail groups, fax-back systems, and telephone assistance lines.
Each Center is targeted to a specific sector and explains relevant federal environmental
regulations. For instance, local governments can use the services of the Local
Government Environmental Assistance Network (LGEAN). LGEAN is a "first-stop shop"
providing environmental management, planning, and regulatory information for local
government elected and appointed officials, managers, and staff. It provides 24-hour
access to regulatory and pollution prevention information, message boards, regulatory
updates, grants and information, and more. It is a good source for compliance
assistance information on the Storm Water Phase II Rule.
For more information on EPA's compliance assistance centers, please contact
Tracy Back (202-564-7076). You can access all the centers through
www.epa.gov/oeca/mcfac.html or individually at:
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7.0 The Compliance Assurance Process
EPA's Compliance Assistance Centers
Center
Local Government Environmental Assistance
Network (LGEAN)
National Metal Finishing Resource Center
Printers' National Environmental Assistance
Center
CCAR-Greenlink (the Automotive
Compliance Information Assistance Center)
National Agriculture Compliance Assistance
Center
Printed Wiring Board Resource Center
ChemAlliance
Transportation Environmental Resource
Center
Paints and Coatings Resource Center
Phone
1-877-TO-LGEAN
1-800-AT-NMFRC
1-888-USPNEAC
1-888-GRN-LINK
1-888-663-2155
1-734-995-4911
1-800-672-6048
1-888-459-0656
1-800-286-6372
Web Address
www.lgean.org
www.nmfrc.org
www.pneac.org
www.ccar-greenlink.org
www.epa.gov/oeca/ag
www.pwbrc.org
www.chemalliance.org
www.transource.org
www.paintcenter.org
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7.0 The Compliance Assurance Process
7.4 If the Agency Discovers a Violation, What Might Be Its Response?
To maximize compliance, EPA implements a balanced program of compliance
assistance, compliance incentives, and traditional law enforcement. EPA knows that
small businesses which must comply with complicated new statutes or rules often want
to do the right thing, but may lack the requisite knowledge, resources, or skills.
Compliance assistance information and technical advice helps small businesses to
understand and meet their environmental obligations. Compliance incentives, such as
our Small Business Policy, encourage persons to voluntarily discover, disclose, and
correct violations before they are identified by the government. EPA's strong law
enforcement program protects all of us by targeting persons who neither comply nor
cooperate to address their problems.
EPA uses a variety of methods to determine whether regulated
entities are complying, including inspecting facilities, reviewing
records and reports, and responding to citizen complaints. If we
learn an entity is violating the law, EPA (or a State, if the program is
delegated) may file an enforcement action seeking penalties of up to
$27,500, per violation, per day. While the statutory maximum penalty is currently
$27,500, it may be increased periodically based on inflation in accordance with the
Debt Collection Improvement Act of 1996. The proposed penalty in a given case will
depend on many factors, including the number, length, and severity of the violations,
the economic benefit obtained by the violator, and its ability to pay. EPA has polices in
place to ensure penalties are calculated fairly. These policies are available to the
public. In addition, any company charged with a violation has the right to contest EPA's
allegations and proposed penalty before an impartial judge or jury.
EPA recognizes that we can achieve the greatest possible protection by
encouraging businesses and organizations to work with us to discover, disclose, and
correct violations. That is why we have issued Audit, Small Business, and Small
Community policies to eliminate or reduce penalties for small and large entities which
cooperate with EPA to address compliance problems. To help the regulated
community in understanding their requirements for compliance with the rule, EPA
provides compliance assistance through its regional offices, Office of Enforcement and
Compliance Assurance at Headquarters, and national compliance assistance centers
partners.
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Appendix A
ABBREVIATIONS:
BAT Best Available Technology Economically Achievable (applies to
non-conventional and toxic pollutants)
BCT Best Conventional Pollutant Control Technology (applies to conventional
pollutants)
BMP Best Management Practice
BPJ Best Professional Judgment
BPT Best Practicable Control Technology Currently Available (generally applies to
conventional pollutants and some metals)
CFR Code of Federal Regulations
CGP Construction General Permit
COD Chemical Oxygen Demand
CSO Combined Sewer Overflow
CWA Clean Water Act (formerly referred to as the Federal Water Pollution Control
Act or Federal Water Pollution Control Act Amendments of 1972)
CZARA Coastal Zone Act Reauthorization Amendments
D.O. Dissolved Oxygen
DMR Discharge Monitoring Report
ELG Effluent Limitations Guidelines
EPA Environmental Protection Agency
FR Federal Register
MEP Maximum Extent Practicable
MS4 Municipal Separate Storm Sewer System
MSGP Multi Sector General Permit
NOI Notice of Intent
NOT Notice of Termination
NOV Notice of Violation
NPDES National Pollutant Discharge Elimination System
NPS Non-point Source
O&M Operation and Maintenance
OW Office of Water
OWM Office of Wastewater Management
PA Permitting Authority
POTW Publicly Owned Treatment Works
SIC Standard Industrial Classification
SWPPP Storm Water Pollution Prevention Plan
TMDL Total Maximum Daily Load
TSS Total Suspended Solids
UA Urbanized Area
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Appendix A
DEFINITIONS:
Best Available Treatment(BAT)/Best Control Technology (BCT): A level of
technology based on the very best (state of the art) control and treatment measures
that have been developed or are capable of being developed and that are economically
achievable within the appropriate industrial category.
Best Management Practices (BMPs): Activities or structural improvements that help
reduce the quantity and improve the quality of storm water runoff. BMPs include
treatment requirements, operating procedures, and practices to control site runoff,
spillage or leaks, sludge or waste disposal, or drainage from raw material storage.
Category (xi) facilities: Specific facilities classified as light industry with equipment or
materials exposed to storm water.
Clean Water Act (Water Quality Act): (formerly the Federal Water Pollution Control
Act or Federal Water Pollution Control Act Amendments of 1972). Public law 92-500;
33 U.S.C. 1251 et seq.; legislation which provides statutory authority for the NPDES
program. Also know as the Federal Water Pollution Control Act.
Conveyance: The process of water moving from one place to another.
Discharge: The volume of water (and suspended sediment if surface water) that
passes a given location within a given period of time.
Erosion: When land is diminished or worn away due to wind, water, or glacial ice. Often
the eroded debris (silt or sediment) becomes a pollutant via storm water runoff. Erosion
occurs naturally but can be intensified by land clearing activities such as farming,
development, road-building, and timber harvesting.
Excavation: The process of removing earth, stone, or other materials from land.
General Permit: A permit issued under the NPDES program to cover a certain class or
category of storm water discharges. These permits reduce the administrative burden of
permitting storm water discharges.
Grading: The cutting and/or filling of the land surface to a desired slope or elevation.
Illicit Connection: Any discharge to a municipal separate storm sewer that is not
composed entirely of storm water and is not authorized by an NPDES permit, with some
exceptions (e.g., discharges due to fire fighting activities).
Industrial Activity: Any activity which is directly related to manufacturing, processing or
raw materials storage areas at an industrial plant.
Large Municipal Separate Storm Sewer System (MS4): An MS4 located in an
incorporated place or county with a population of 250,000 or more, as determined by
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Appendix A
the latest U.S. Census
Light Manufacturing Facilities: Described under Category (xi) of the definition of
"storm water discharges associated with industrial activity." [40 CFR 122.26(b)(14)(xi)]
Under the Phase I NPDES Storm Water Program, these facilities were eligible for
exemption from storm water permitting requirements if certain areas and activities were
not exposed to storm water. As a result of the Phase II Final Rule, these facilities must
now certify to a condition of no exposure.
Maximum Extent Practicable (MEP): A standard for water quality that applies to all
MS4 operators regulated under the NPDES Storm Water Program. Since no precise
definition of MEP exists, it allows for maximum flexibility on the part of MS4 operators
as they develop and implement their programs.
Medium Municipal Separate Storm Sewer System (MS4): MS4 located in an
incorporated place or county with a population of 100,000 or more but less than
250,000, as determined by the latest U.S. Census.
Municipal Separate Storm Sewer System (MS4): A publically-owned conveyance or
system of conveyances that discharges to waters of the U.S. and is designed or used
for collecting or conveying storm water, is not a combined sewer, and is not part of a
publicly-owned treatment works (POTW).
Multi-Sector General Permit (MSGP): An NPDES permit that regulates storm water
discharges from eleven categories of industrial activities.
No exposure: All industrial materials or activities are protected by a storm resistant
shelter to prevent exposure to rain, snow, snowmelt, and/or runoff. Industrial materials
or activities include, but are not limited to, material handling equipment or activities,
industrial machinery, raw materials, intermediate products, by-products, final products,
or waste products. Material handling activities include the storage, loading and
unloading, transportation, or conveyance of any raw material, intermediate product, final
product or waste product.
Non-authorized States: any State that does not have the authority to regulate the
NPDES Storm Water Program.
Non-point Source (NPS) Pollutants: Pollutants from many diffuse sources. NPS
pollution is caused by rainfall or snowmelt moving over and through the ground. As the
runoff moves, it picks up and carries away natural and human-made pollutants, finally
depositing them into lakes, rivers, wetlands, coastal waters, and even our underground
sources of drinking water.
Notice of Intent (NOI): An application to notify the permitting authority of a facility's
intention to be covered by a general permit; exempts a facility from having to submit an
individual or group application.
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Appendix A
NPDES: "National Pollutant Discharge Elimination System" the name of the surface
water quality program authorized by Congress as part of the 1987 Clean Water Act.
This is EPA's program to control the discharge of pollutants to waters of the United
States (see 40 CFR 122.2).
O&M Expenditures: The operating and maintenance costs associated with the
continual workings of a project.
Outfall: The point where wastewater or drainage discharges from a sewer pipe, ditch,
or other conveyance to a receiving body of water.
Permitting Authority (PA): The NPDES-authorized state agency or EPA regional office
that administers the NPDES Storm Water Program. PAs issue permits, provide
compliance assistance, and inspect and enforce the program.
Physically interconnected MS4: This means that one MS4 is connected to a second
MS4 in such a way that it allows for direct discharges into the second system.
Point Source Pollutant: Pollutants from a single, identifiable source such as a factory
or refinery.
Pollutant Loading: The total quantity of pollutants in storm water runoff.
Qualifying local program: A local, State or Tribal municipal storm water management
program that imposes, at a minimum, the relevant requirements of one or more of the
minimum control measures includes in 122.34(b).
Regulated MS4: Any MS4 covered by the NPDES Storm Water Program (regulated
small, medium, or large MS4s).
Retrofit: The modification of storm water management systems through the
construction and/or enhancement of wet ponds, wetland plantings, or other BMPs
designed to improve water quality
Runoff: Drainage or flood discharge that leaves an area as surface flow or as pipeline
flow. Has reached a channel or pipeline by either surface or sub-surface routes.
Sanitary Sewer: A system of underground pipes that carries sanitary waste or process
wastewater to a treatment plant.
Sediment: Soil, sand, and minerals washed from land into water, usually after rain.
Sediment can destroy fish-nesting areas, clog animal habitats, and cloud waters so that
sunlight does not reach aquatic plants.
Sheet flow: The portion of precipitation that moves initially as overland flow in very
shallow depths before eventually reaching a stream channel.
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Appendix A
Site Plan: A graphical representation of a layout of buildings and facilities on a parcel of
land.
Site Runoff: Any drainage or flood discharge that is released from a specified area.
Small Municipal Separate Storm Sewer System (MS4): Any MS4 that is not
regulated under Phase I of the NPDES Storm Water Program and Federally-owned
MS4s.
Stakeholder: An entity that holds a special interest in an issue or program - such as
the storm water program - since it is or may be affected by it.
Standard Industrial Classification (SIC) Code: A four digit number which is used to
identify various types of industries.
Storm Drain: A slotted opening leading to an underground pipe or an open ditch for
carrying surface runoff.
Storm Water: Precipitation that accumulates in natural and/or constructed storage and
storm water systems during and immediately following a storm event.
Storm Water Management: Functions associated with planning, designing,
constructing, maintaining, financing, and regulating the facilities (both constructed and
natural) that collect, store, control, and/or convey storm water.
Storm Water Pollution Prevention Plan (SWPPP): A plan to describe a process
whereby a facility thoroughly evaluates potential pollutant sources at a site and selects
and implements appropriate measures designed to prevent or control the discharge of
pollutants in storm water runoff.
Surface Water: Water that remains on the surface of the ground, including rivers,
lakes, reservoirs, streams, wetlands, impoundments, seas, estuaries, etc.
Total Maximum Daily Load (TMDL): The maximum amount of pollutants which can
released into a water body without adversely affecting the water quality.
Tool Box: A term to describe the activities and materials that EPA plans to
perform/produce to facilitate implementation of the storm water program in an effective
and cost-efficient manner. The eight components include: 1)fact sheets; 2) guidance
documents; 3) menu of BMPs; 4) compliance assistance; 5) information clearing house;
6) training and outreach efforts; 7) technical research; and 8) support for demonstration
projects.
Urbanized Area (DA): A Bureau of the Census determination of a central place (or
places) and the adjacent densely settled surrounding territory that together have a
minimum residential population of 50,000 people and a minimum average density of
1,000 people/square mile. This is a simplified definition of a UA, the full definition is
very complex.
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Appendix A
Urban Runoff: Storm water from urban areas, which tends to contain heavy
concentrations of pollutants from urban activities.
Watershed: That geographical area which drains to a specified point on a water
course, usually a confluence of streams or rivers (also known as drainage area,
catchment, or river basin).
Wet Weather Flows: Water entering storm drains during rainstorms/wet weather
events.
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Appendix B
EPA Regional Offices
Region 1 (CT, MA, ME, NH, Rl, VT)
Environmental Protection Agency
1 Congress St. Suite 1100
Boston, MA 02114-2023
http://www.epa.gov/region01/
Phone: (617)918-1111
Fax: (617)565-3660
Toll free within Region 1: (888)
372-7341
Region 2 (NJ, NY, PR, VI)
Environmental Protection Agency
290 Broadway
New York, NY 10007-1866
http://www.epa.gov/region02/
Phone: (212) 637-3000
Fax: (212) 637-3526
Region 3 (DC, DE, MD, PA, VA, WV)
Environmental Protection Agency
1650 Arch Street
Philadelphia, PA 19103-2029
http://www.epa.gov/region03/
Phone: (215) 814-5000
Fax: (215)814-5103
Toll free: (800) 438-2474
Email: r3public@epa.gov
Region 4 (AL, FL, GA, KY, MS, NC,
SC, TN)
Environmental Protection Agency
Atlanta Federal Center
61 Forsyth Street, SW
Atlanta, GA 30303-3104
http://www.epa.gov/region04/
Phone: (404) 562-9900
Fax: (404)562-8174
Toll free: (800)241-1754
Region 5 (IL, IN, Ml, MN, OH, Wl)
Environmental Protection Agency
77 West Jackson Boulevard
Chicago, IL 60604-3507
http://www.epa.gov/region5/
Phone: (312) 353-2000
Fax: (312)353-4135
Toll free within Region 5: (800)
621-8431
Region 6 (AR, LA, NM, OK, TX)
Environmental Protection Agency
Fountain Place 12th Floor, Suite
1200
1445 Ross Avenue
Dallas, TX 75202-2733
http://www.epa.gov/region06/
Phone: (214) 665-2200
Fax: (214)665-7113
Toll free within Region 6: (800)
887-6063
Region 7 (IA, KS, MO, NE)
Environmental Protection Agency
901 North 5th Street
Kansas City, KS66101
http://www.epa.gov/region07/
Phone: (913) 551-7003
Toll free: (800) 223-0425
Region 8 (CO, MT, ND, SD, UT, WY)
Environmental Protection Agency
999 18th Street Suite 500
Denver, CO 80202-2466
http://www.epa.gov/region08/
Phone: (303) 312-6312
Fax: (303) 312-6339
Toll free: (800)227-8917
Email: r8eisc@epa.gov
Region 9 (AZ, CA, HI, NV)
Environmental Protection Agency
75 Hawthorne Street
San Francisco, CA 94105
http://www.epa.gov/region09/
Phone: (415)744-1305
Fax: (415)744-2499
Email: r9.info@epa.gov
Region 10 (AK, ID, OR, WA)
Environmental Protection Agency
1200 Sixth Avenue
Seattle, WA 98101
http://www.epa.gov/region10/
Phone: (206) 553-1200
Fax: (206) 553-0149
Toll free: (800) 424-4372
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Appendix C
References
Storm Water Phase II Final Rule (64 FR 68722) published December 8, 1999.
http://www.epa.gov/owm/sw/phase2
Storm Water Phase II Final Rule Fact Sheet Series, January 2000
A series of 15 fact sheets breaking the final rule into separate parts.
http://www.epa.gov/owm/sw/phase2
USEPA. 1999. Report to Congress on the Phase II Storm Water Regulations. EPA
833-R-99-001. U.S. Environmental Protection Agency, Office of Water, Washington,
DC.
U.S. EPA. Office of Water. 1993. Investigation of Inappropriate Pollutant Entries into
Storm Drain Systems: A User's Guide. EPA/600/R-92/238. Washington, DC.
USEPA. 1992. Storm Water Management for Construction Activities: Developing
Pollution Prevention Plans and Best Management Practices. EPA 832-R-92-005. U.S.
Environmental Protection Agency, Office of Water, Washington, DC.
USEPA. 1992. Storm Water Management For Industrial Activities: Developing Pollution
Prevention Plans And Best Management Practices. EPA 832-R-92-006. U.S.
Environmental Protection Agency, Office of Water, Washington, DC.
American Society of Civil Egineers. 1999. National Stormwater Best Management
Practices BMPs Database, .
American Public Works Association. 2000. Designing and Implementing an Effective
Storm Water Management Program,
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