M$4 Program Evaluation Guidance
U.S. Environmental Protection Agency Office of
            Wastewater Management
               Comments on this guide should be directed to:

                       Jenny Molloy
                  U.S. EPA Water Permits Division
                       (202) 564-1939
                    Molloy. Jennifer@epa. gov
               January 2007 — Field test version

                    EPA-833-R-07-003

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CONTENTS
1.      Introduction and Background	2
    1.1    Overview	2
    1.2    Regulatory Overview	5
    1.3    Types of Permittees	7
2.      Pre-Evaluation Preparation	9
    2.1    Evaluation Goals and Benefits	9
    2.2    Advance Preparation	10
    2.3    Materials to Review Before the Evaluation	13
    2.4    Annual Report Reviews	15
3.      Conducting a Screening-Level Evaluation	19
    3.1    Screening-level procedures	19
    3.2    Common screening-level questions	19
    3.3    Screening-level evaluation follow-up	22
4.      Conducting a Detailed On-Site Evaluation	23
    4.1    Program Management	25
    4.2    Public Education and Participation	37
    4.3    MS4 Maintenance Activities	43
    4.4    Construction Activities	55
    4.5    Post-Construction Controls	66
    4.6    Industrial/Commercial Facilities	76
    4.7    Illicit Discharge Detection and Elimination	85
5.      Post-Evaluation Activities	92
    5.1    Preparing the Written Report	92
    5.2    Follow-Up Activities	97
Appendix A- Glossary & Acronyms	98
Appendix B - Program Evaluation Worksheets	103
Appendix C - Field Inspection Worksheets	163
Appendix D - Reviewing an Annual Report	171
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_ CHAPTER 1; INTRODUCTION AND BACKGROUND


 1.     Introduction and Background

 1.1    Overview                                              _
                                                               TIP:
 Purpose of the Guidance                                       The questions and issues
 The National Pollutant Discharge Elimination System (NPDES)       addressed in this MS4
 Municipal Separate Storm Sewer System (MS4) Program Evaluation   Evaluation Guidance are
 Guidance (Guidance) is intended to assist State and NPDES           intended to be used  as a
 permitting authority staff to:                                       reference during an  MS4
                                                               program evaluation,  not as a
                                                               script or checklist during the
    A  Assess the compliance and effectiveness of Phase I and        review.
       Phase II MS4 programs;                                   Each evaluation should be
    *  Develop Phase II MS4 stormwater management programs      customized to the issues and
                                                               requirements specific to that
    4  Assess pollutants of concern;
    4  Provide technical assistance.

Unlike NPDES industrial wastewater permits which typically contain specific end-of-pipe effluent limits
based on water quality standards or available treatment technology, MS4 permits usually include
programmatic requirements involving the implementation of best management practices (BMPs) in
order to reduce pollutants discharged to the "maximum extent practicable" (MEP). In addition, the
permittees often are allowed flexibility in the types of BMPs and activities implemented to meet permit
requirements. This flexibility, as well as the multifaceted nature of the requirements, makes it difficult to
evaluate the effectiveness of MS4 stormwater programs. The purpose of this Guidance is to provide
NPDES permitting authority staff the information and questions necessary to conduct a comprehensive
MS4 program evaluation and determine if the permittee is implementing the program in order to reduce
pollutants discharged to the MEP. This Guidance is not intended to be used as a checklist, rather as a
reference to prepare for and conduct  an MS4 evaluation. The evaluator must ultimately rely on personal
experience  and best professional judgment (BPJ) to conduct a comprehensive MS4 program evaluation.

An MS4 program evaluation is ultimately based on the requirements in the MS4 permit and commitments
made in the stormwater management program (SWMP).  These  should serve as the primary references for
a specific MS4 program evaluation, with this Guidance used as a tool to help assess compliance with the
SWMP Plan and the  permit. The evaluator may also recommend additional activities that should be
conducted by the permittee to improve the SWMP. The term evaluation can refer to an audit, inspection
or screening process  depending on the level of detail utilized. These terms are defined under "Common
Terms" below.

It is important to keep in mind that this Guidance is not an enforcement "how to" document, but can  be
used to assist in the enforcement process by describing a process for consistently and accurately assessing
and documenting the compliance status of permittees based on permit or SWMP requirements. Notes,
checklists, and reports developed as a result of an evaluation will be    -
helpful when justifying and generating enforcement actions.           TIP:
                                                                Permittees may find this
Intended Audience                                             Guidance useful in  conducting
This Guidance is written for State and EPA staff responsible for        a self-audit to identify and
NPDES MS4 permit issuance, compliance and inspections.             proactively address issues.
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CHAPTER 1; INTRODUCTION AND BACKGROUND	


Permittees may also find the information in this Guidance useful in
conducting a self-audit to improve the effectiveness of their SWMP.     Resources'

Objective Evaluation                                            Information regarding permitting
T-T-  „ .,     •  • 4  j  J4      -j-r-    4.-   4.     I,,        authorities or other NPDES
This Guidance is intended to provide information to evaluators to       information can be found at
help them objectively evaluate if the permittee is implementing the     www.epa.gov/npdes/stormwater
SWMP to the MEP. This is going to vary from state to state and by
permittee. For example, some states have requirements that go         	
beyond the federal regulations, or have state programs or policies that affect the way in which certain
requirements are articulated in a permit.  In addition, individual NPDES MS4 permits may provide some
details on the type of program elements the permittee must implement, but not describe in detail all
activities necessary to implement each element. Typically these permits require that the permittee's
SMWP Plan include this detail, however, and be submitted for approval. Or permits may specify goals or
performance standards that the permittee must meet and then require them to develop the necessary
program components to reach those goals or standards and describe them in their SWMP.

Each permittee may have a different approach to complying with a specific permit requirement based on
MS4-specific traits or issues.  For example, EPA regulations require permittees to develop "procedures
for site inspection and enforcement" for addressing construction activities. MS4 permits will likely
elaborate on this requirement in more detail, such as by specifying a minimum frequency for inspection.
However, few MS4 permits will specify how the permittee should  inventory their active construction
projects or track enforcement activities. A permittee with only a few construction projects a year may be
able to use a paper system to inventory and track construction projects. A permittee with hundreds or
thousands of construction projects would likely need a database or similar electronic tracking system to
ensure it was implementing the program to the MEP.

Some MS4 permits will not include any specific requirements at all and will only generally dictate that
the required MS4 SMWP components are developed and implemented.  These MS4 programs are often
the hardest to objectively evaluate because there is no prescribed benchmarks to measure against.  In
these cases, the evaluator will need to subjectively assess the MS4's SWMP program against the intent of
the associated regulations to reduce pollutants to the MEP. Evaluation techniques and tools (i.e.
checklists) may need to be altered in these cases to best ascertain and assess the effectiveness and
compliance status of such a program.

Common Terms
For purposes of this guidance, it is important to note that the term "evaluation" is generally used to define
any assessment of an MS4 program.  Evaluations are further defined as either "inspections", "audits", or
"screenings" depending upon the level of review performed. These and other common terms used
throughout this Guidance are  defined as follows:
    A  Audit—comprehensive evaluation of all components of an MS4 program to assess overall
       implementation and identify problems
    A  MS4—the municipal separate storm sewer system (full text definition included in Appendix A);
       can refer to the conveyance system in addition to the jurisdiction(s) which own/operate the
       system.

    A  Permittee—the permitted owner/operator(s) of the MS4; the entity being  evaluated
    A  Evaluation—any screening, audit or inspection of an MS4 program
    A  Evaluator—the NPDES permitting authority staff person who is conducting the evaluation of the
       MS4 program
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	CHAPTER 1; INTRODUCTION AND BACKGROUND

    A  Inspection—focused evaluation of specific components of an MS4 program to verify compliance
       with permit requirements
    A  Municipal permittee—a general reference to a municipality that is the owner/operator of an MS4
       and is covered by an NPDES MS4 permit
    A  Permit Area—Geographic area covered by the MS4 permit
    A  Permitting Authority—the State or EPA Region authorized to issue NPDES permits
    A  Screening—evaluation method used to get a basic impression of a program or uncover "red
       flags;" may be used as a precursor to a program evaluation
    A  Stormwater Management Program, or SWMP—the stormwater management program
       implemented by the permittee; also referred to as the "program"
    A  SWMP Plan—the document often used by permittees to document SWMP elements implemented
       or planned

How to Use this Guidance
The first part of this Guidance includes background information useful for review. Subsequent sections
lead the evaluator through a series of steps to conduct an evaluation, which can be categorized into three
parts: Advance Preparation, Conducting the Evaluation, and Post-Evaluation Activities.
The section titled "Conducting the Evaluation" is divided into subsections that describe in depth how to
evaluate overall program management as well as each of the major SWMP components:
    A  MS4 public education and participation
    A  MS4 maintenance activities
    A  Construction activities
    A  Post-construction controls
    A  Industrial/commercial facilities
    A  Illicit discharge detection and elimination

For each subsection, the following information is provided:
    A  A description of regulatory requirements
    A  Resources for more information
    A  Common activities  related to the SWMP component
    A  Materials to review prior to the evaluation
    A  Elements to address and questions to ask during the evaluation
    A  A description of any recommended in-field evaluation activities
    A  Common issues identified during evaluations
In addition, a glossary as well as multiple worksheets and checklists have been included in appendices as
tools for the evaluator to prepare for  and conduct an MS4 SWMP evaluation.
Appendix A—Glossary & Acronym  List
Appendix B—Evaluation Worksheets
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CHAPTER 1; INTRODUCTION AND BACKGROUND	


Appendix C—Field Visit Worksheets
Appendix D—Annual Report Review and Evaluation Worksheet

Note that this Guidance is best used as a preparatory tool and except for the worksheets in Appendices B
and C does not lend itself well as a reference to be used during an evaluation.

1.2    Regulatory Overview                                    For More Information:
                                                                 For information on stormwater
Background                                                     programs and regulations visit
A brief summary of EPA's stormwater regulations are presented        www.epa.gov/npdes/stormwater
below. Sections of relevant regulatory text are included in the
Chapter 4 of this Guidance, however, MS4 stormwater program
evaluators are referred to the NPDES Phase I and Phase II regulations, preamble, and other EPA guidance
for detailed information on the stormwater regulations. State programs that wish to adopt this Guidance
may want to add state-specific elements.

In 1987, Congress amended the Clean Water Act (CWA) to require implementation, in two phases, of a
comprehensive national program for addressing stormwater discharges.

Stormwater Phase  I
The first phase of the program, commonly referred to as "Phase I," was promulgated on November 16,
1990 (55  Federal Regulations (FR) 47990) and addresses MS4, active construction and industrial
facilities.

Phase I requires NPDES permits for stormwater discharges from a large number of priority sources
including medium and large 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 mostly covered larger cities, and required them to develop a SWMP, conduct some
monitoring, and submit periodic reports.

According to 40 CFR 122.26(b)(8), municipal separate  storm sewer system 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,        TIP:
association, or other public body (created by or pursuant to State       MS4 systems can be linear or
law)...including special districts under State law such as a sewer        more complex, open, piped,
district, flood control district or drainage district, or similar entity, or   manmade, natural, or a
an Indian tribe or an authorized Indian tribal organization, or a         combination of all of these
designated and approved management agency under section 208 of     things. Some carry
the Clean Water Act that discharges into waters of the United States.    groundwater or piped streams,
(11) Designed or used for collecting or conveying stormwater; (111)      are tldal|V influenced, or have
Which is not a combined sewer; and (iv) Which is not part of a         some other constant source of
Publicly Owned Treatment Works (POTW) as defined at 40 CFR    non-stormwater aiscnarge.
122.2."

What constitutes an MS4 is often misinterpreted and misunderstood. An MS4 is not always just a system
of underground pipes—it can include roads with drainage systems, gutters, and ditches. Although most
entities with MS4s are local municipal governments  (e.g., cities and counties), there are other
governmental entities  that manage storm drain  systems at their facility, including state departments of
transportation, universities, local sewer districts, hospitals, military installations, and prisons. As
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	CHAPTER 1; INTRODUCTION AND BACKGROUND


previously stated in the "Common Terms" section, the term "MS4" can refer to the system itself or the
entities which own and operate the system.

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 stormwater pollution prevention plan to control erosion, sediment
and other wastes on the site.

The Phase I industrial stormwater program regulates eleven industrial categories, which EPA has further
broken out into 30 sectors. Similar to construction activities, these industrial facilities have been required
to obtain NPDES permit coverage since 1992. General permits require regulated industries to develop and
implement a stormwater pollution prevention plan, including monitoring for some industries.

Stormwater Phase II
The second phase of the stormwater program, promulgated on
December 8, 1999 (64 FR 68722) and amends existing Phase I
regulations dealing with MS4s, active construction and industrial
facilities.
The Phase II regulations require NPDES permits for stormwater               .
discharges from certain small municipal separate storm sewer           ^ NHcitdKrge detection and
systems and construction activity generally disturbing between 1 and
5 acres. The construction requirements essentially extended the
Phase I threshold for construction activities from 5 acres down to 1
acre.
Under the Phase II MS4 stormwater program, operators of regulated
small MS4s are required to
                                                                  municipal operations
    A  Apply for NPDES permit coverage
Phase II Stormwater
Minimum Measures
•/Public education and
  outreach
•/Public involvement/
  elimination
•/Construction site runoff
  control
•/Post-construction
  stormwater management
•/Pollution prevention/
  good housekeeping for
    A   Develop a SWMP that addresses six minimum control measures

        •   Public Education and Outreach on Stormwater Impacts

        •   Public Involvement/Participation

        •   Illicit Discharge Detection and Elimination

        •   Construction Site Runoff Control

        •   Post-Construction Stormwater Management in New Development and Redevelopment

        •   Pollution Prevention/Good Housekeeping for Municipal Operations
    i   Implement the SWMP using appropriate stormwater management controls, or BMPs
    i   Develop measurable goals for the SWMP
    4   Evaluate the effectiveness of the SWMP
    A   Provide reports on program status
The Phase II regulations also required certain regulated industrial facilities, with no industrial activities
exposed to stormwater runoff, to submit a certification of "no exposure" if the facility fell into one of the
regulated eleven industrial categories but did not have an NPDES permit.
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CHAPTER 1: INTRODUCTION AND BACKGROUND
MS4 Permits
Phase I MS4 permittees were subject to the permit application requirements found at 40 Code of Federal
Regulations (CFR) 122.26(d).  The permit application consisted of two parts that provided the NPDES
permitting authority comprehensive information to use in developing permit requirements. Information
required in the application included a physical description of the MS4, legal authority of the MS4
operator, a characterization of the surrounding sources and the pollutants found in the stormwater
discharge, and a description of fiscal resources.  The most significant portion of the application was the
development of a proposed SWMP that would meet the standard of "reducing pollutants to the MEP."
Using the information submitted in the permit application, the NPDES permitting authority would then
develop appropriate permit requirements. Phase I MS4 permittees were covered under individual permits
issued to either single permittees or groups of co-permittees.

Although there are some exceptions, phase II MS4 permittees are primarily covered by general permits
that require implementation of the six minimum control measures.

The specific requirements in MS4 permits vary greatly around the country. Some MS4 permits contain
broad requirements that outline the basic SWMP components the permittee is required to implement,
giving the permittee the flexibility to develop a program to meet these broad requirements. Other MS4
permits are more prescriptive and specify in detail the minimum activities and BMPs for each program
element.

1.3    Types of Permittees

Traditional M$4 Programs                                       	
Many MS4 operators permitted under the NPDES program are either
city or county governments. To evaluate this type of an MS4
program, an evaluator must have a basic understanding of the
structure, operation and function of local governments. The structure
and authority of local governments can vary by state (for example,
the use of towns, townships, villages or parishes), therefore a general
description of a common city/county local government structure is
provided below.
TIP:
City and county stormwater
management programs can be
administered by various
programs including:  public
works, building, and
environmental program, or
wastewater management staff,
usually pretreatment.
Cities provide a variety of functions including fire and police          	
protection, construction and maintenance of streets, stormwater and
wastewater services, and providing for health, recreation, and social needs. Counties provide many of
these same services in unincorporated areas. Cities are governed by a city council that establishes
municipal policy and enacts local ordinances. Many cities are run by the council-manager system, where
the elected council appoints a full-time professional manager to direct city departments and implement
policy. Some cities are run by the mayor-council system, where a mayor (either elected or appointed by
the council) works with the council to direct city departments and implement policy.

City boundaries can change through the annexation process. Unincorporated county land that is adjacent
to the city can be annexed through a formal process.

Stormwater management responsibilities vary depending on the city or county. Some permittees assign
stormwater program oversight and implementation to the public works department, while others assign
stormwater to an environmental services department.  Still others  combine stormwater program
implementation with wastewater treatment agencies, flood control authorities, or other regional entities.
Also, some counties perform stormwater activities within incorporated cities (such as inspections). Each
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                                CHAPTER 1: INTRODUCTION AND BACKGROUND
permittee should clearly describe in the SWMP Plan the roles and responsibilities of each department
involved in stormwater management.

Nontraditional M$4 Programs
As stated previously, the term MS4 does not solely refer to
municipally owned storm sewer systems. Examples include, but are
not limited to non-traditional entities such as state departments of
transportation (DOTs), airports, universities, local sewer districts,
hospitals, military installations, post offices, prisons, or irrigation
districts.
For More Information:
The California Department of
Transportation is a non-
traditional MS4. To review the
permit, programs, reporting,
etc. visit: http://www.dot.ca.gov/
hg/construc/stormwater/
stormwater1.htm
Because of the unique structure and features of many non-traditional
MS4s, some of the traditional SWMP elements may need to be
modified or may not be entirely applicable. For example, a public
education program for a state DOT or military base would be very
different from a public education program for a traditional city.

In other instances, some non-traditional MS4s  may lack the legal
authority or employ a different type of enforcement mechanism than
a city/county government to implement a SWMP component. For
example, a state DOT may not have the legal authority to enforce
controls on illicit discharges into its system. In these situations the
DOT is encouraged to work with the neighboring regulated
permittees to develop and implement a shared  SWMP in which each    	
permittee is responsible for activities that are within their individual
legal authorities and abilities. The DOT could work closely with the permittees that surround the DOT
MS4 (i.e. country or city) and use their enforcement authority to eliminate illicit discharges.  In other
words, a municipal permittee can utilize regulations which prohibit polluted runoff from leaving an
individual property and entering the DOT MS4 if the property is covered under an appropriate municipal
code (e.g. building, health, etc.) An evaluation of a non-traditional MS4 program must be very specific to
the particular circumstances, permittee relationships, and permit requirements applicable.
TIP:
When evaluating non-
traditional MS4 SWMPs, be
sure to adjust interview topics
and guestions, field
inspections, and documents
evaluated to accommodate
any unigue characteristics of
the MS4.
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CHAPTER 2: PRE-EVALUATION PREPARATION
2.     Pre-Evaluation Preparation

2.1    Evaluation Goals and Benefits

Evaluation Goals
A permitting authority can have one or more overall goals when        TIP*
conducting an MS4 program evaluation. Identifying the overall goals       *          .
of the evaluation will help in developing an appropriate schedule and    ~n MS7 e\a uatl°,n .!jould not
f     TT,    •        i       A   +      ATCM efinv™    i   +'        be confrontational. The
focus. The primary goals in conducting an MS4 SWMP evaluation      evaluation process works
can include                                                      smoothly  if both parties use the
                                                                evaluation as a mechanism to
    *  Determination of compliance status. Assessing the           imProve the Program and
       compliance status of a permittee with  its MS4 permit and       increase coordination.
       SWMP Plan is often a principal goal of an evaluation.
    A  Assistance with permit issuance or renewal process. An on-site program evaluation might be
       very helpful  after the issuance or during renewal of a permit. The evaluation process can be used
       to identify and answer questions about implementation of program components within the first
       year of permit issuance. Towards the end of the permit term, the permitting authority can use the
       evaluation to assist the permittee with the permit application or SWMP Plan revision and/or the
       evaluation may provide valuable information to the MS4 permit writer to assist in the permit
       renewal process (including the drafting of a new Phase II General Permit).
    A  Phase II SWMP development. Because most Phase II permittees are just beginning to
       implement SWMPs, a full compliance evaluation might not be necessary. Nevertheless, an
       evaluation can also be a compliance assistance tool that can help to correct deficiencies early in
       the program. Permitting authorities could conduct evaluations geared toward compliance
       assistance  early in the Phase II program development process.
    A  Assessing pollutants of concern.  If a water body is impaired or there is a concern regarding
       pollutants common in urban stormwater, it may be helpful to assess the implementation
       effectiveness of MS4 programs in the watershed to reduce those pollutants. If a total maximum
       daily load (TMDL) has been developed for a waterway receiving a discharge from a permittee, a
       program evaluation may assist the permitting authority in assigning an applicable wasteload
       allocation, and/or assist the permittee in implementing the steps necessary to comply with the
       wasteload  allocation.

    A  Technical assistance. Providing technical assistance is an important goal of an MS4 SWMP
       evaluation. Often it is the only time that the permitting authority staff and the permittees meet
       face-to-face and can be a valuable opportunity to share technical expertise, advice, reference
       materials, and examples of successful SWMPs implemented elsewhere.

Benefits of an Evaluation
There are a number of benefits from conducting an MS4 SWMP evaluation of a permittee, including:

    A  Determination of compliance and assistance with execution of appropriate enforcement actions
    A  Stronger coordination and working relationship between the permitting authority and the
       permittee
    A  Better understanding by the permittee of the expectations and permit requirements of the
       permitting authority
    A  An opportunity to clarify any misunderstandings in the MS4 permit requirements or SWMP Plan
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                                  CHAPTER 2: PRE-EVALUATION PREPARATION
    A  Improved permitting authority knowledge of the permittee's operations, priorities, constraints and
       challenges faced when implementing a municipal stormwater program
    A  A more effective SWMP resulting in better water quality


2.2    Advance Preparation

Evaluation Options

Which permittee (s) should be evaluated?
The first question to be answered is which permittee should be evaluated. If the permitting authority has
jurisdiction over numerous MS4 permits, ideally all MS4s would be evaluated on an annual basis.  If staff
resources are limited and only a select number of evaluations can be conducted in a given year, a
permitting authority may want to evaluate those MS4s with suspected compliance issues, those located in
watersheds of concern, or those with pending permit renewals most frequently. However, permitting
authorities should visit each permittee on a regular basis, even if they are not considered "bad actors"
however, as evaluations provide many valuable benefits beyond compliance determination or assistance
with permit renewal.

If a selected permit covers more than one co-permittee, the evaluator then must determine which co-
permittee or co-permittees should be evaluated during a single evaluation.  Some permits may cover 20-
30 or more co-permittees and it may be impossible to evaluate them all in a single evaluation or year.
Evaluations conducted early in the permit cycle may focus on the larger MS4s or those that coordinate
activities for smaller permittees.  Subsequent evaluations may focus on the smaller co-permittees that
have compliance issues or located in watersheds  of concern.

After the evaluator has determined which permittees are to be evaluated, the evaluator must consider
several questions when determining the level of detail for the evaluation and how best to facilitate and
coordinate the process.

What Level of Detail is Possible or Necessary?
If limited time is available, a screening-level evaluation may be an efficient and effective method for
developing a basic impression of the program's compliance status or as a way to determine if a more in-
depth evaluation is necessary (see Chapter 3). A screening is a  way to uncover "red flags" or obvious
instances of noncompliance with the MS4 permit. A screening-level evaluation is comprised of a basic
interview with the MS4 coordinator or main contact of the program along with a review of the most
recent annual report and the SWMP Plan.  Documents can be obtained during the screening and reviewed
by the evaluator at a later date. The screening-level evaluation should take a minimal amount of time but
should be thorough enough to answer general questions about permit compliance. This type of screening
may be the precursor to a detailed evaluation (see Chapter 4) at a later date.

A detailed on-site evaluation involves a more intensive review of files and detailed interviews with all or
most applicable office and field staff. This type of review is more time-consuming but will provide a
more comprehensive picture of SWMP development, coordination, and implementation.
               Type of Evaluation	Typical Allotted Time1
               Screening-level	2-6 hours per permittee
               Detailed on-site evaluation	2-3 days per permittee
                Assumes one evaluator
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CHAPTER 2: PRE-EVALUATION PREPARATION
                                                                 Primary Phase I
                                                                 Stormwater Components
                                                                 •/Program management
                                                                 •/Maintenance activities
                                                                 •/Construction
                                                                 •/Post-construction
                                                                 •/Illicit discharge detection and
                                                                  elimination
                                                                 ^Public
                                                                  education/Participation
                                                                 •/ Industrial/Commercial
Which Program Component(s) will be Evaluated?
A program component-specific evaluation focuses on a specific
Stormwater program area, such as construction activities or new and
significant redevelopment. This type of evaluation may allow the
evaluator to get more details through a more extensive file review or
more numerous field inspections. For example, during an evaluation
focused strictly on the construction component the evaluator may be
able to interview all plan reviewers on staff, do an in-depth review of
multiple erosion and sediment control plans, review those site's
compliance histories, and perform inspections of each. This type of a
review is especially helpful if the permitting authority has specific
concerns about implementation of a particular component. Such an
in-depth evaluation will typically take 1 to 2 days, depending on the
complexity of the program and the amount of information to be
covered.
A detailed on-site evaluation addresses all of the generally accepted primary Stormwater program
components (i.e., program management, MS4 maintenance activities, construction, post-construction,
illicit discharge detection and elimination, public education/participation and industrial/commercial for
Phase I MS4 permittees). The intent of a detailed on-site evaluation is to assess the permittee's entire
SWMP and possibly identify specific areas or issues that might require a component-specific review in
the future.

The level of detail that can be achieved during either type of evaluation is often dictated by the amount of
time devoted to each program area. Both the screening-level and detailed on-site evaluation can vary in
terms of level of detail.

Will the Evaluation be Conducted in the Office,  the Field, or Both?
To get an accurate picture of "on the ground" implementation of the construction and
industrial/commercial components of a typical SWMP, the evaluator will need to accompany inspection
staff into the field.  In addition, many permittees manage municipal facilities such as maintenance yards,
material storage facilities, or other municipal facilities that would be helpful to visit during the evaluation
to ascertain the permittee's municipal housekeeping practices.  If time allows and the evaluator has
questions about implementation of these aspects of the SWMP, field time should be built into the
evaluation schedule.

As previously stated, this level of detail may not be necessary for a compliance screening or component-
specific inspection.  In addition, if the program areas being evaluated do not have a field element (i.e.,
public education), then field activities will not be necessary.

Evaluation Logistics
The MS4 program coordinator or primary contact should be notified
well in advance to allow for proper coordination and scheduling
amongst parties responsible for program implementation. The
contact should be in charge of determining who the appropriate
people are to include in the evaluation. Some examples of pertinent
staff includes:
                                                                TIP:
                                                                It is helpful to exchange cell
                                                                phone numbers to facilitate
                                                                schedule changes, alternative
                                                                meeting places, inspection
                                                                schedules, etc.
    A  Program managers
    A  Inspectors
January 2007
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                                   CHAPTER 2: PRE-EVALUATION PREPARATION
    A  Administrative staff
    A  Outreach specialists
    A  Legal staff

One or more conference calls prior to the evaluation may be necessary to establish the schedule,
determine appropriate participants, and answer any questions.  Establishing email contact with all of the
players well in advance is key to providing necessary information, resources, as well.  A final call is
helpful the week before the evaluation to answer any last-minute questions, exchange contact information
(especially cell phone numbers), confirm the schedule and meeting locations, and make necessary
changes.  A final evaluation schedule should be developed and distributed to all contacts well in advance
to ensure everyone is prepared and expecting the evaluator(s) on the correct dates.

When conducting a component-specific inspection, depending on the complexity of the program, roughly
2-4 hours should be assumed for an adequate in-depth office review of each program component.
Evaluation of inspection activities in the field can be time consuming due to travel times between sites
and facilities, so it is important to allow adequate time in the field as well. Normally, four hours per
component (e.g., construction, industrial/commercial) is adequate to evaluate inspection staff. Evaluation
of municipal maintenance activities should include adequate field time to inspect the municipal public
works yard or similar facility, but normally this should not take more than 1-2 hours.  All of these time
estimates should be confirmed with the permittee when establishing the draft schedule.

Depending upon the size of the area covered under the MS4 permit, the scope of the SWMP, and the type
of evaluation to be conducted, a single evaluator could require three days for a comprehensive, in-depth
office and in-field program audit.

More than one evaluator can be used to conduct a comprehensive audit as well. This allows one person to
interview office staff and another to perform field activities thereby minimizing the number of days to
complete the audit.

In addition, multiple evaluators can be used to assess multiple permittees covered under one permit
simultaneously. This can be accomplished either by assigning evaluators or "teams" to a particular
permittee or to a specific component for all permittees. For example, Team 1 would assess all
construction programs for three separate permittees covered under the same permit during a three day
period. This approach allows for a consistent review of the all three permittees' construction programs
and helps to ensure an equitable assessment between them.  Or, Team 1 could review all program
components for the City of Pleasantville, while another evaluator
reviews the Town of Bliss. This allows the evaluators to become         yip.
intimately familiar with all facets of their respective MS4 permittees,
civ/mm  •   i    ++•    u 11        +                                 Outbrief sessions should be
SMWP, implementation challenges, etc.                               .. .... ,.   ,.  ..     ,.
       '   K                  &  '                                  limited to the findings the
                                                                   evaluator feels comfortable
It is helpful to try and minimize travel between office locations           revealina prior to a more
whenever possible and establish a central meeting  place, such as a        thorough review of documents,
conference room in a city hall, to  save time.                            interview responses, and
                                                                   inspection results.  In addition,
Often it is helpful for the evaluator to coordinate a "kickoff' meeting     it should be stated that the
at the start of the evaluation to review the schedule, answer any last      outbrief findings are subject to
minute questions and finalize logistics.  An outbrief session is helpful     change. Rebuttals and
to coordinate at the conclusion the audit to give a tentative summary of   questions by the MS4 staff
findings from the evaluation.   Care must be taken  to caveat all           sjould be '"T^ to clarificatlon
     &                                                             of incorrect findings or
                                                                   misunderstandings.
January 2007                                   12                            EPA-833-R-07-003

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CHAPTER 2: PRE-EVALUATION PREPARATION
findings as preliminary at that time subject to change based on further review of evaluation materials, the
permit, or the SWMP Plan.

Below is an example of a comprehensive, 3-day MS4 program evaluation schedule that addresses the
major SWMP components for typical Phase I and Phase II permittees.
                        Example Schedule for a Phase I Permittee
8:30 - 9:00    Evaluation Kickoff
9:00 - 12:00   Illicit Discharge Detection and Elimination &
              Industrial and Commercial Facilities (office)
              Industrial and Commercial Facilities (field)
                     1:30-5:00

                  Tuesday

                     8:30-12:00
                     1:00-5:00


                  Wednesday
              MS4 Maintenance Activities (office and field)
              New Development/Redevelopment &
              Construction Activities (office)
                     8:30 - 12:00   Construction Inspections (field)
                     1:30-3:00    Outbrief Session
                        Example Schedule for a Phase II Permittee
                     8:30-9:00
                     9:00-10:30

                     10:30-12:00

                     1:00-5:00


                  Tuesday

                     8:30-12:00

                     1:00-4:00

                  Wednesday

                     8:30-10-30
                     10:30-12:00
              Kick-off Meeting
              Program Management, Effectiveness and
              Assessment
              Public Education and Outreach
              Public Involvement/Participation
              Post-Construction Stormwater Management
              Construction Activities (office)
              Pollution Prevention/Good Housekeeping for
              Municipal Operations (office and field)
              Construction Site Runoff Control (field)
              Illicit Discharge Detection and Elimination
              Outbrief Session
2.3    Materials to Review Before the Evaluation
The information provided below should be reviewed before an on-site evaluation. The level of review
varies depending on the evaluator's experience with the particular permittee program being evaluated and
the type of evaluation being conducted.
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                        13
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                                  CHAPTER 2: PRE-EVALUATION PREPARATION
    A  MS4 NPDES permit. Because the evaluation is ultimately an assessment of the permittee's
       compliance with its NPDES permit, the evaluator must be very familiar with the permit and its
       requirements.
    A  SWMP Plan. The evaluator must review the permittee's latest SWMP planning document(s) and
       note the commitments and schedules for specific activities.
    A  Latest annual report. The most recent annual report must be reviewed to establish the current
       status of implementation. Previous annual reports could be reviewed if time permits and if the
       evaluator wants to assess trends before the on-site evaluation. See Chapter 2.4 below for
       guidance on Annual Report review.
    A  Permitting authority correspondence with the permittee. Review any relevant correspondence
       with the permittee regarding its stormwater program. This material might include permitting
       authority comments on the permittee's SWMP Plan, comments on annual reports, notices of
       violation (NOVs), or other notices.
    A  Permitting authority inspections within the MS4. Ideally, the evaluator should be aware if an
       NPDES permitting authority industrial or construction inspector has found violations within the
       permittee's jurisdiction.  If this review is not completed before an evaluation is conducted, it
       should occur after the on-site evaluation and before the final evaluation report is developed. Any
       findings should be incorporated into the final report.
    A  Permittee Web sites. Often, permittees have developed        	
       stormwater Web sites that can provide copies of reports,
       guidance documents, and other more current information on
       the stormwater program.
                  For More Information:
                  Chittendon County, Vermont,
                  has developed a Web site to
                  educate the general public
                  about stormwater and the
                  regional management program.
                  Visit
                  http://www.smartwaterways.org


Resources
^ TMDLs
http://www.epa
gov/owow/
tmdl/
    A  Legal authority. Review the permittee's legal authority,
       especially with respect to any exemptions or exclusions from
       the applicable ordinance.
    A  Special water quality concerns. Be aware of any impaired

       waters, TMDLs, high quality or protected status, or other
       water quality-related designations for water bodies to which
       the MS4 discharges.
    A  Other water programs affecting the permittee. A
       significant source of frustration to permittees is trying to
       meet requirements for multiple programs arising from a
       single agency (i.e. EPA or state environmental protection
       agency) when program staff within that agency do not
       understand the trade-offs (sometimes even contradictions) in
       funding and implementing the requirements of various
       regulations and programs. For example, an MS4 SWMP
       evaluator should at least be aware if the municipality being
       evaluated has a drinking water program, a state revolving
       fund loan, wastewater permit(s), combined sewer overflow
       (CSO) long-term control plan, or other requirement for
       which it must also account to the permitting authority.  If there is time, it is helpful to find out a
       little bit about the program requirements applicable to the municipality.  There may even be ways
       to streamline, modify or combine certain requirements to meet multiple program goals.
                   Resources
                   •/Combined Sewer Overflows
                    www.epa.gov/npdes/cso
                   •/State Revolving Fund
                    www.epa.gov/owm/cwfinanc
                    e/cwsrf/index.htm
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14
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CHAPTER 2: PRE-EVALUATION PREPARATION
2.4    Annual Report Reviews
Applicable federal regulations for the NPDES stormwater Phase I regulations and Phase II Rule require
that annual reports be submitted. Many permitting authorities include more specific requirements for
reporting in their MS4 permits. These reporting requirements can include specific information required
for each program component, or it can specify the format for the annual report.  For permits with multiple
co-permittees, often a central organization or lead co-permittee will coordinate the annual report and
submit one to cover all co-permittees.

In general, an annual report should document implementation of the SWMP during the previous year;
evaluate program results and describe planned changes towards continuous improvement. Generally
written for the permitting authority, an annual report can also be written for the  citizens of the community
as a way to report progress in meeting water quality goals. To this end, an annual report should clearly
illustrate three key items for each SWMP area:

    A  Permit and SWMP Requirements. These requirements either will be specifically prescribed in
       the permit itself, or described in the permittee's SWMP. The SWMP normally is  considered a
       binding document and part of the permit once it is submitted and approved by the permitting
       authority.  A description of applicable goals or performance standards for each SWMP
       component should be stated in this summary as well.

    A  Summary of Year's Activities.  The summary should describe and quantify program activities
       for each SWMP component.  Responsible persons, agency, department or copermittee should be
       included. Each activity should be described in relation to achievement  of established goals or
       performance standards.

    A  Planned Activities and Changes. The annual report should describe activities planned for the
       next year highlighting any changes made to improve BMP or program effectiveness.

An annual report should describe not only the activities during the previous year, but should highlight the
SMWP's effectiveness as well.  It should be assumed that the ultimate goal of the SWMP is the
protection or improvement of water quality; however, there may be multiple, smaller program goals.
Identification of direct measures of success for a stormwater program is very difficult, therefore, what is
considered 'effective' and how the permittee chooses to assess this effectiveness will vary. Ideally  the
permittee and permitting authority will establish performance standards or goals in an attempt to define
and quantify what is "effective" when the permit is issued. If the performance standards or goals include
definitive milestones or schedules, the annual report should highlight these as well.

In addition to the items described above, the annual report should include appropriate program budget
information, and a summary of any required monitoring data.

It is important to remember that annual reporting and program assessment are valuable exercises for the
permittee as  well as the permitting authority. Reporting should not be seen as merely a 'bean counting'
effort.  The permittee  benefits greatly as an annual program assessment guides program focus, helps to
budget and target resources, helps justify program support, and facilitates participation among the
affected departments and permittees.

Step 1: Related Document Review and Preparation

Prior to beginning the annual report review, an evaluator should review or obtain the following
information:
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                                  CHAPTER 2: PRE-EVALUATION PREPARATION
    A  NPDES permit provisions. The NPDES permit requirements will serve as the primary basis for
       the annual report review. The permit should describe basic program requirements, discharge
       prohibitions and reporting requirements.

    4  SWMP provisions. The permittee's SWMP document will describe the overall management
       structure  of the program, planned activities, milestones, schedules and any established
       performance standards or goals. The SWMP should describe if there is a blanket organization
       which coordinates the co-permittees and if the organization is coordinated by co-permittee staff
       or a consultant.

    A  Previous annual report review comments. If the previous year's annual report was received and
       reviewed by the permitting authority, any comments or response should be reviewed to determine
       if requested changes to report were made, requested information was provided, etc.

    A  Previous annual reports.  It is helpful to have access  to previous years' reports as certain
       documents may have been submitted which may be helpful to have on hand (i.e., an ordinance
       which established legal authority).

Step 2:  Background Information

It is helpful to first document basic information about the permittee and permit. Each permittee has
different land use, socioeconomic, and water quality issues which will shape the SWMP. All of this
information may  not be included in the annual report, but can be obtained through a cursory internet
search.

    4  What is the population served by the permittee?
    4  What is the primary industry within the permittee's boundary?
    A  What are the primary land uses within the permittee's boundary?
    4  What are the priority pollutants within the watersheds of the permittee's boundary?
    A  Are there impaired waterways impacted by the permittee?
    4  Have TMDLs been established?
    A  Are there other sensitive areas of concern within the permittee's boundary?

Step 3:  Legal Authority

While most important during the first permit year annual report review, it is helpful to confirm a
permittee's legal  authority to implement all components of the SWMP on an annual basis. Note any
described changes to the SMWP and confirm that existing legal authority will support the implementation
of those changes  (i.e., requiring existing gas stations to install catch basin insert treatment BMPs). Any
changes to applicable ordinances should be included in the annual report as well.  If the actual codes or
ordinances are not included in the annual report or previous annual reports, they should be obtained
during an on-site  evaluation.

Step 4:  Fiscal Analysis

Phase I regulations require that annual expenditures and budget for the year following be included in each
annual report. No such requirement exists for Phase II. If included, this information should be reviewed
to determine if budget changes are being made. If funding changes are planned, an explanation should be
provided (i.e., an additional inspector is being added or additional expenditures are not expected for the
development of new outreach materials as they were developed during year one of the permit).
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CHAPTER 2: PRE-EVALUATION PREPARATION
Step 5:  SWMP Component Review                               TIP:
                                                                When reviewing an annual
While each MS4 SWMP will differ based on various factors (i.e.,       report with the Worksheet
permit requirements, priority pollutants), the Worksheet lists some      provided, pay special attention
basic information that should be provided for each program            to questions in the Worksheet
component. In addition, each target established in the permit or        answered "unknown."
SWMP should be documented and verified on the Worksheet as        Program components for which
well. It is helpful to document all quantifiable data during the review   llttle information was provided
.,.,,.,.  Y  .-.,•  f    .•       ,    •  •      ,  ?  . -f        may be good candidates for an
to highlight what vital information may be missing and what, it any         ..     .   ..
"red flags" need to be addressed with the permittee. For example, if
the permittee provides the total number of construction inspections
conducted, but does not provide the prioritized list of active
construction sites, the reviewer cannot determine the frequency of inspections or whether high-priority
sites were adequately monitored and assessed. Further if the permittee had established a goal of
inspecting all active sites within 48 hours of every rain event, the reviewer would be unable to ascertain
whether this goal had been met.

For each program component, the annual report should describe applicable training of staff which
occurred during the previous year. It is helpful if agendas or presentation materials are included.

As described in the Conducting an Evaluation section of this Guidance, information regarding the
implementation of the following SWMP components should be provided in a Phase I MS4 annual report
(additional components  may be required by the MS4 permitting authority):

    A  Program to detect and eliminate illicit discharges to the system
    A  Program to prevent, contain, and respond to spills
    A  Program to educate and allow citizens to report illicit discharges or other potential impacts to
       water quality
    A  Educational program to encourage the proper disposal  of used oil and other toxic materials
    A  Program to reduce infiltration of sewage into the storm sewer system
    A  Program to reduce pollutants from active construction  sites
    A  Programs to reduce pollutants in runoff from industrial, commercial, and residential areas

Phase II permittees are required to develop SWMPs which include similar minimum measures, each of
which should be addressed in an annual report:

    A  Public education and outreach program
    A  Public involvement/participation program
    A  Illicit discharge detection and elimination program
    A  Construction site storm water runoff control program

    A  Post-construction SWMP for new development and redevelopment (for development greater than
       or equal to one acre)
    A  Pollution prevention/good housekeeping program for municipal operations
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                                  CHAPTER 2: PRE-EVALUATION PREPARATION
For purposes of this Guidance and annual report review Worksheet, the above SWMP requirements have
been combined and categorized into the following components for both Phase I and Phase II MS4s:

    A  Program Management
    4  Public Education and Public Participation

    A  Municipal Maintenance/Good Housekeeping
    4  Construction Activities
    4  New Development and Significant Redevelopment
    A  Industrial/Commercial Facilities
    A  Illicit Discharge Detection and Elimination

Step 6:  Follow-Up Activities

The information obtained during the annual report review can be used in various ways.

  1.  To provide feedback to the permittee regarding program development or implementation. Often,
     permittees have limited contact with permitting authority staff and the submittal of an annual report
     is the primary means of communication during the year. It is important that the permitting
     authority review annual reports in a timely manner and respond with any comments, suggestions or
     criticisms.

  2.  To determine the need for an on-site evaluation. If the annual report elicited numerous questions
     about SWMP implementation, an on-site evaluation may be very helpful in determining compliance
     or effectiveness of the MS4 program.

  3.  To prepare for an on-site program evaluation. If a permittee has been selected for an on-site
     evaluation, the most recent and historic annual reports should be reviewed prior.

  4.  To determine the compliance status of the permittee and progress towards achieving permit
     requirements, milestones or measurable goals.  The permitting authority may choose to use the
     annual report to determine compliance and issue necessary enforcement actions.

  5.  To note exceptional approaches, programs, or BMPs used by the permittee that might be helpful to
     other permittees. Often it is beneficial for permittees to share information, program ideas,
     educational tools or implementation approaches and annual reports are a good way to facilitate the
     distribution of ideas.
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CHAPTER 3: SCREENING-LEVEL EVALUATION
3.     Conducting a Screening-Level Evaluation
3.1    Screening-Level Procedures
The majority of this Guidance (Chapter 4 and the worksheets in
Appendix B) describes how to conduct a detailed on-site evaluation     Conduct a screening-level
of an MS4 program. However, if an evaluator does not have enough    evaluation when you have
..   .      A  .   ,  . .,  ,     ..     ,   ..          ,.  ..  ,            limited time and want a quick
time to conduct a detailed on-site evaluation, a more limited                      .  ,..  . .0.
                                      '       .                  assessment of the MS4.
screening-level evaluation could be conducted. Ihe intent or the        	
screening-level evaluation is to quickly identify the program areas
that are deficient or noncompliance and should be targeted for a more in-depth evaluation. The screening-
level evaluation is not intended to be an assessment of compliance with all permit conditions.
The screening-level evaluation ideally should be conducted on-site at
the permittee's offices after a review of the permittee's annual report
(see chapter 2.4). The screening-level evaluation could cover all        Benefits of a screening-level
program components or focus on specific program components that      v  u  '   '
are of particular interest due to pollutants of concern, past             *  qui^  Does your written stormwater management plan include specific milestones and quantities for
           each program/BMP?

       >^  Describe how your SWMP is coordinated across departments.
       >^  Describe the impaired waters, pollutants of concern and TMDLs for the waterbodies you
           discharge to. Does your SWMP include programs or BMPs specifically addressing these
           impairments?
       >^  Describe how you evaluate the success of your stormwater management program.
    Potential information to review:
       >^  Stormwater management plan document
       >^  Most recent annual report
       >^  Organizational chart showing departments with stormwater responsibilities
January 2007                                  19                           EPA-833-R-07-003

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                                    CHAPTER 3: SCREENING-LEVEL EVALUATION
Public Education and Participation
   Key questions to ask:
        >^  Describe your overall approach to educating the public on stormwater issues.
        >^  What are the primary pollutants or behaviors you target with your public education program?
        >^  Describe your top three target audiences and the messages you plan to deliver. How do they
           relate to the primary pollutants or behaviors?
        >^  How do you evaluate the effectiveness of your outreach activities? Have you conducted any
           public awareness surveys?
   Potential information to review:
        >^  Public outreach strategy
        >^  Results of any public awareness surveys
        S  Information tracking the distribution of outreach materials
MS4 Maintenance Activities
   Key questions to ask:
        S  Describe your current MS4 mapping resources (e.g., has the permittee mapped storm drains,
           outfalls, inlets, municipal facilities, etc.).
        S  Describe your procedures for catch basin cleaning, street sweeping and MS4 maintenance.
        S  Do your municipal facilities have SWPPPs? If not, why?
        S  How are maintenance staff trained with respect to stormwater activities and BMPs?
   Potential Information to review:
        ^  Catch basin cleaning records for the month of	
        ^  Stormwater plan or SWPPP for main municipal maintenance facility (including any self-
           inspection records)
        ^  Standard Operating Procedures (SOPs) for stormwater-related maintenance activities
Construction Activities
   Key questions to ask:
        S  Describe your legal authority to require erosion and sediment control BMPs and enforce
           stormwater requirements.
        ^  Describe your system for tracking construction plans, active construction projects,
           inspections, and enforcement actions (including the number of projects disturbing greater
           than one acre last year).
        S  How do you coordinate implementation of your local erosion and sediment control
           requirements with the States (or EPA's) NPDES construction general permit requirements?
        S  Describe your process for reviewing plans to ensure stormwater BMPs are addressed. What
           BMPs does a plan reviewer look for on a plan?
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CHAPTER 3: SCREENING-LEVEL EVALUATION
       S  Interview an inspector to assess how stormwater inspections are conducted at construction
           sites. Ask about the frequency of inspections and the number of inspectors.
       ^  Describe the most recent training attended by inspectors and plan review staff
   Potential information to review:
       S  List of active construction projects disturbing greater than one acre for the month of	
       S  Erosion and sediment control plan reviewed and approved by permittee (selected from list)
       S  Inspection reports for a selected project (including any enforcement actions for
           noncompliance)
Post-Construction Controls
    Key questions to ask:
       ^  Describe your post-construction design standards and legal authority.
       ^  Describe your process for reviewing plans to ensure post-construction BMPs are addressed.
           Do plan reviewers use checklists to ensure consistent plan review?
       S  Describe your post-construction operation and maintenance (O&M) program (including your
           inventory of post-construction BMPs and your inspection and maintenance schedule).
    Potential information to review:
       S  Post-construction plan reviewed and approved by MS4
       ^  Records for post-construction BMP inspection and maintenance; both private and public if
           applicable
       S  An O&M plan for post-construction BMPs from a recently approved project
Industrial/Commercial Facilities
    Key questions to ask:
       ^  Describe your industrial/commercial facility program, including the types and numbers of
           facilities covered. How were these facilities selected?
       ^  Describe the types of BMPs or stormwater requirements these facilities must meet.
       ^  Describe your industrial/commercial inspection program (including the frequency of
           inspections and the number of inspectors)
       •S  Interview an inspector to assess how industrial/commercial stormwater inspections are
           conducted. Ask about the frequency of inspections and the number of inspectors.
    Potential information to review:
       ^  List of industrial/commercial facilities subject to stormwater requirements
       ^  Inspection report(s) for selected facilities
       •S  Enforcement records for a facility out of compliance
Illicit Discharge Detection and Elimination
    Key questions to ask:
       S  Describe your legal authority to prohibit illicit discharges and illegal dumping to the MS4
           (including an exemptions).
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                                    CHAPTER 3: SCREENING-LEVEL EVALUATION
       S  Describe any field screening activities. If an illicit discharge is discovered during screening,
           what is the process for determining the source and eliminating the discharge.

       ^  Describe your illicit discharge investigation and spill response programs, including staff and
           equipment available.

       ^  How are the locations of illicit discharges tracked and used to steer other SWMP components
           (i.e. industrial inspections, public education, etc).

   Potential information to review :

       ^  List of illicit discharge events investigated over the past _
       ^  Records on investigation, follow-up and enforcement relating to one or more event(s)


3.3    Screening-Level Evaluation Follow-Up
After a screening -level evaluation, an evaluator has several options:


    A  Submit a report to the permittee summarizing the findings and asking for deficiencies to be
       corrected

    4  Conduct a detailed on-site evaluation of those program components found deficient

    4  Conduct a detailed on-site evaluation of all program components


If an evaluator conducted a screening-level assessment of multiple permittees, common deficiencies can
be used to target either more detailed evaluations or additional compliance assistance on those program
components. Additional information on post-evaluation activities, including preparing a written report
and follow-up activities, are described in Chapter 5.
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CHAPTER 4: DETAILED ON-SITE EVALUATION
4.     Conducting a Detailed On-Site Evaluation

The following chapter describes the process and content of a detailed on-site evaluation.  The following
program areas are covered:

    A  Program Management
    A  Public Education and Participation

    A  MS4 Maintenance Activities
    A  Construction Activities
    A  Post-Construction Controls

    A  Industrial/Commercial Facilities
    A  Illicit Discharge Detection and Elimination


Each program area section includes a list of regulatory requirements that apply to that program area and
describes activities that typically are performed by permittees to meet permit requirements. The sections
also include a description of documents to be reviewed before the evaluation and a series of questions to
be asked during the interviews. Also included is a list of common problems identified during evaluations.

Approach and Demeanor
An evaluator's approach and demeanor can have a significant impact on the success of the interviews by
putting the interviewees at ease. Evaluations can be a stressful process for the permittee, which could
result in stilted discussions and overly brief answers to questions. It is best to use a friendly approach and
start by asking open-ended, broad questions that allow the interviewees to talk freely about their
programs. Since MS4 stormwater programs are not "one size fits all," it is sometimes best to have the
interviewees describe their approach to each program area up front rather than ask questions from a list
that may not be organized in a way that makes sense in the context of their program's activities. To
ensure that all topics are covered in sufficient depth, the evaluator should ask for clarification throughout
and take a break at the end of the session to review the list of topics and ask follow-up questions if
needed. Maintaining a conversational style will allow the interviewees to  explain their answers and feel
as though they can provide input into the interview process.

Kick-off Meeting
The first day of an evaluation should begin with a kickoff meeting to allow for introductions and an
overview of the process and goals of the evaluation. The meeting usually  includes all staff who will be
interviewed, and it is a good time for higher-level managers and officials to be introduced to the process
and understand what will be happening over the next few days.

The following is a sample agenda for the kickoff meeting. The evaluator should tailor the agenda to suit
his or her own objectives:


    A  Introductions. The evaluator should introduce him- or herself and can provide a brief overview
       of his or her background in stormwater program evaluations. Then each person in the room can
       introduce him- or herself in turn. It is helpful to distribute a sign-in sheet at this time to collect
       the names, positions, and contact information for the people being interviewed throughout the
       week in case follow up is needed.
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                                  CHAPTER 4: DETAILED ON-SITE EVALUATION
    A  Goals and benefits. Describe the goals and outline some of the benefits of the evaluation
       process. These are described in depth in Section 2.1 of this guidance.

    i  Schedule. Review the schedule for the week's interviews and discuss which topics will be
       discussed during each session. It is also helpful to clarify what type or level of staff should
       participate in each session and what documentation should be available for review.

    A  Products and timeline. The evaluator should describe the general content and organization of the
       report and provide a timeline for when a final report will be produced.

    A  Questions. Limit questions to the evaluation process, procedures, and report.  Questions about a
       specific program topic can be addressed during that session.
January 2007                                 24                            EPA-833-R-07-003

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CHAPTER 4.1: PROGRAM MANAGEMENT
4.1    Program Management

Regulatory Requirements
Applicable federal regulations for the Phase I and Phase IINPDES
regulations are listed at right. NPDES MS4 permits must address
these requirements and often more specific state requirements as
well.

Common Activities

Comprehensive Stormwater Management Planning
Phase I and Phase II permittees are required to develop SWMPs
designed to reduce the discharge of pollutants from the MS4 to the
MEP. Ideally, a SWMP is developed with input from internal and
external stakeholders including, but not limited to, departments,
agencies, and co-permittees within the permitted area, the general
public, nonprofit organizations, state agencies, and watershed
groups. This program should be described in a planning document
(SWMP Plan) that details organizational structure and coordination
scheme and a detailed description of the proposed controls or
program components (i.e., public education and outreach) that
includes performance standards or goals, standards, or timelines and
a prioritization of existing resources.

Multiple co-permittees or different agencies may be involved in the
development and implementation of the MS4 SWMP programs and
Plan. To ensure that the program is implemented consistently by all,
it is important that the SWMP describe the communication
mechanisms between the co-permittees, and between the co-
permittees and other agencies. Within a permittee's stormwater
management structure there might be different departments that are
to develop, implement, and enforce various components of the
program. The  SWMP should describe how the various departments
communicate and coordinate activities.

Performance standards and goals are important tools for permittees
to use to gauge the success of their programs in achieving
measurable benefits and improving water quality. The development
of performance standards or goals may not be required for many
Phase I permittees, however, you should discuss the establishment of
water quality-or performance-based goals for SWMP components
and refer Phase I permittee's to available measurable  goals guidance
developed in response to the Phase II regulations (see Resources text
box).

Assessment and Evaluation
SWMP evaluations not only demonstrate progress, but also allow the
permittee to adjust programming, funding, or staffing levels for the
upcoming year to best use existing resources to maximize water
quality benefit. Evaluations should examine both direct measures,
such as water quality indicators, and indirect measures of program
                   Federal NPDES
                   Regulations
                   •/Phase I MS4 Regulations
                    40CFR122.26(d)(2)(iv)
                    40CFR122.42(c)

                   v'Phase II MS4 Regulations
                    40CFR122.34(a)
                    40CFR122.34(d)
                    40CFR122.34(g)(1)
                    40CFR122.34(g)(3)
                    40CFR122.35(a)
                   Resources
                   ^Menu of BMPs
                    www.epa.gov/npdes/
                    stormwater/menuofbmps
                   •/Measurable Goals Guidance
                    for Phase II Small MS4s
                    http://cfpub.epa.gov/npdes/
                    stormwater/measurablegoals/
                    index.cfm
                   •/Stormwater Phase II Fact
                    Sheet Series
                    http://cfpub.epa.gov/npdes/
                    stormwater/swfinal.cfm
                   •/National Management
                    Measures to Control
                    Nonpoint Source Pollution
                    from Urban Areas
                    www.epa.gov/owow/nps/
                    urbanmm/index.html
                   •/Stormwater Phase II
                    Compliance Assistance
                    Guide
                    www.epa.gov/npdes/pubs/
                    comguide.pdf
                   •/ Institutional Aspects of Urban
                    Runoff Management
                    www .sto rmwate r. u cf. ed u/
                    publications/urban  runoff.pdf
                   •/ Stormwater Authority
                    www.stormwaterauthority.com
                   •SStormwater Manager's
                    Resource Center
                    www .sto rmwate rcenter.net
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25
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                                          CHAPTER 4.1: PROGRAM MANAGEMENT
                                                                Resources
                                                                •S   Measurable Goals
                                                                    Guidance for Phase II
                                                                    Small MS4s.
                                                                    http://cfpub.epa.gov/npdes/
                                                                    stormwater/measurablegoa
                                                                    Is/index.cfm
                                                                •S   Measurable Parameters
                                                                    http://cfpub.epa.gov/npdes/
                                                                    stormwater/measurablegoa
                                                                    Is/parameters.cfm
                                                                •S   California Stormwater
                                                                    Quality Association. An
                                                                    Introduction to Stormwater
                                                                    Program Effectiveness
                                                                    Assessment.
                                                                    http://www.casga.org/
                                                                    resources/product.php
                                                               II permittees.
effectiveness, such as improved compliance rates of construction
operations resulting from inspections.

Measurable Goals
According to the Stormwater Phase II Regulations, small MS4
operators must reduce pollutants in Stormwater to the MEP to protect
water quality. The regulations specify that compliance with the MEP
requirement can be attained by developing a SWMP that addresses
the six minimum control measures previously described in this
Guidance. One component required in the Phase II MS4 SWMP is
the selection of measurable goals to evaluate the effectiveness of the
individual control measures and the SWMP as a whole. Phase I MS4
regulations do not specify the creation of measurable goals per se,
but require the assessment of water quality improvements or
degradation and propose changes to the SWMP necessary to improve
effectiveness. Requiring measurable goals of Phase I permittees
allow permitting authorities to track the permittee's progress in
implementing BMPs and the overall SWMP. The process for
developing measurable goals and the benefits of incorporating them
into the evaluation of a MS4 program are the same for Phase I or Phase

To determine  the effectiveness and success of a Stormwater
management program, managers must first determine the ultimate
outcomes they wish to achieve. Then, programmatic, social,
physical, and hydrological, or environmental indicators can be used
to assess the achievement of the desired goals, or outcomes.

The California Stormwater Quality Association1 (CASQA) asserts
that there are six levels of Stormwater management program
outcomes. Each successive level represents increasingly difficult
outcomes to not only achieve, but to assess.

The levels are:
   1.  Compliance with activity-based permit requirements
  2.  Changes in attitudes, knowledge and awareness
  3.  Behavioral change  and BMP implementation                   	

  4.  Pollutant load reductions
  5.  Changes in urban runoff and discharge quality
  6.  Changes in receiving water quality

Stormwater program managers may strive to achieve some or all of these outcomes; however, in general
the "implementation outcomes" (1,2, and 3 above) typically are easier to measure than the more complex
goals of reducing loading and achieving  changes in discharge and receiving water quality. In addition,
these outcome levels are not independent of one another; the hope is that movement towards one will
result in progress towards achieving another.
                                                                TIP:
                                                                Often, permittees do not
                                                                develop measurable goals that
                                                                truly guantify and track
                                                                progress towards desired
                                                                outcomes in the SWMP. Many
                                                                times "performance standards"
                                                                primarily consist of a list of
                                                                BMPs. Performance standards
                                                                should include guantifiable
                                                                activities that can be tracked or
                                                                criteria against which progress
                                                                towards desired outcomes can
                                                                be measured.
1 CASQA. 2005. An Introduction to Stormwater Program Effectiveness Assessment. August 2005.
http://www.casqa.org/resources/product.php
January 2007
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CHAPTER 4.1: PROGRAM MANAGEMENT
It is important that some measure of assessment be determined in conjunction with the establishment of
each goal. A goal can be expressed qualitatively or quantitatively, and the associated index should be
measurable, relevant, reliable, available, scientifically valid, replicable, and focused on measuring the
outcome.
EPA has developed sets of "measurable parameters" for stormwater program managers to use as a guide
when developing quantifiable goals. For example, the following implementation parameters could be used
to quantify and track the effectiveness of an illicit discharge detection and elimination program
component:
    A  Inventory conducted and sites prioritized for inspection
    A  Number of field tests conducted in high-risk areas
    A  Whether or not an ordinance was developed to allow entrance into private buildings for the
       purpose of conducting tests
    A  Number of illicit connections reported by business employees
    A  Number of survey responses indicating a possible illicit connection
    A  Number of illicit connections found
    A  Number of illicit connections repaired/replaced
    A  Whether or not an ordinance was developed for mandatory inspections of new buildings
    A  Number of new buildings inspected
CASQA asserts that depending on the outcome, various methods of obtaining necessary measurement
data are available, including the following:
Method
Confirmation
Tabulation
Surveying
Quantification
Inspections
or site visits
Reporting
Definition
Documenting whether a task
has been completed.
Tracking an absolute number
or value of something
Determining knowledge,
awareness, etc. of a group of
people
Estimating pollutant loading
Observing activities or BMPs
Utilizing reports generated by
third parties
Example
Development of an construction operator BMP
outreach brochure
Number of brochures distributed to construction
operators
Phone survey of 100 construction operators, 50 of
whom had received the BMP brochure, to gauge any
differences in stormwater awareness
Modeling to determine sediment load reductions prior
to initiating construction operator outreach program -
assumption made about BMP use before and after
program
Inspections of construction projects before and after
initiating construction operator outreach program
Audit of construction component of the SWMP
indicated that BMPs observed and the level of
understanding demonstrated by operators had
improved during the last year
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                                          CHAPTER 4.1: PROGRAM MANAGEMENT
    Method
Definition
Example
 Monitoring      Sampling or observation in
                the field to determine
                environmental or water
                quality conditions
                    Water quality monitoring above and below three
                    comparable active construction sites (Site 1 - trained
                    on construction BMPs, Site 2 - no training, Site 3 -
                    random control, unknown level of BMP understanding)
                    to determine any differences in per/acre disturbed
                    loading of sediment
Permittees need to perform sampling and conduct scientific field assessments to assess specific water
quality-related SWMP goals (i.e., pollutant load reductions, changes in urban runoff and discharge
quality, and changes in receiving water quality). Some MS4 permits require water quality monitoring to
establish baseline water quality conditions, determine the quality of discharges from different land uses or
subwatersheds, measure the effectiveness of structural BMPs, or to participate in regional watershed
monitoring efforts to track water quality trends.

Evaluating Program Management
Effective program management is essential to help guide SWMP
development, implementation, administration, and continued
assessment. Each program should have a management process that
facilitates stormwater activity coordination between departments
within each permittee, between co-permittees, and between the
permittee and other organizations and agencies interested in
stormwater quality. Some permits that regulate multiple co-
permittees may allow for a separate "umbrella" management
structure to perform certain functions, one of which may be
management of certain components (e.g. public education) of the
program and coordination among copermittees. These umbrella
structures can be managed by the lead permittee or by consultants
hired collectively by all co-permittees.
                                        For More Information:
                                        For an example of a program
                                        that uses an "umbrella"
                                        management structure, the
                                        Contra Costa Clean Water
                                        Program manages the
                                        stormwater program for
                                        nineteen co-permittees in
                                        Contra Costa County,
                                        California. Visit
                                        http://www.cccleanwater.orq.
Another important aspect of program management is the development of goals or standards to measure
effectiveness of the program from a water quality perspective. This is normally required by the permitting
authority in addition to being helpful to MS4 SWMP coordinators for use in budgeting, staff allocation,
and long-term planning. When evaluating a SWMP, you should question permittee staff regarding the
desired outcomes for the program as a whole and for each individual program component. You should
determine what, if any, assessment measures have been established
for each goal and question the MS4 staff regarding progress.
The findings of the MS4 evaluation should not be based solely on the
level of achievement of measurable goals. It is important, however,
that the permittee's SWMP includes the use of measures to assess
progress towards meeting goals that benefit water quality and not
rely on "bean-counting." You should be confident that the SWMP is
being regularly assessed and modified as necessary to improve
effectiveness.

Typically, each MS4 SWMP would have a coordinator or other
principal contact. This person would be the best to interview
regarding program management procedures.
                                         TIP:
                                         Normally, it is not within the
                                         scope of a typical MS4
                                         program evaluation to review or
                                         evaluate water quality
                                         monitoring data. Because of
                                         the amount of data, monitoring
                                         methods, and monitoring plans,
                                         this  is an exercise best
                                         undertaken by NPDES staff
                                         that specializes in ambient
                                         water quality monitoring
                                         protocols and analysis.
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                      28
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CHAPTER 4.1: PROGRAM MANAGEMENT
                                                               Pre-Eualuation Checklist
                                                               •S MS4 permit provisions
                                                               •/SWMP provisions
                                                               •/Most recent annual report
                                                               •/Memorandums of
                                                                 understanding
Before the Program Evaluation
To prepare for the program management evaluation, an evaluator
should review or obtain the following information prior to the
evaluation:

    A  MS4 NPDES permit provisions. Review the permit
       requirements for program management to identify any
       specific requirements (such as annual reporting details). The
       NPDES permit will serve as the primary basis for the
       program evaluation.

    A  SWMP provisions. The permittee's SWMP planning document(s) should describe the overall
       management structure of the program.

    4  Latest annual report. The annual report should be reviewed to help you become familiar with
       the management structure of the  program.

    A  Memorandums of Understanding (MOUs) or other written agreements between or among co-
       permittees or other agencies stipulating arrangements and responsibilities for meeting permit
       requirements.
Records Review
The following records might help in evaluating the permittee's program management structure. Ask for
copies of relevant information where it will help in writing the report or documenting a permit violation.
 Documentation
                                          What to Look For
    Stormwater program staff lists
    Organizational charts
    Contact names and responsibilities
                                            Are specific departments and/or individual positions
                                            identified as responsible for each part of the SWMP?
                                            Are lines of authority and responsibility clear?
    Performance standards
    Program goals/measurable goals
    Implementation schedule
                                             Has the permittee documented a schedule and goals
                                             for guiding the SWMP in subsequent years?
                                             Are these goals specific enough for the SWMP to be
                                             evaluated?
 MOUs or other agreements
                                             Does the permittee document partnerships with
                                             other agencies, nonprofit organizations, or other
                                             cooperating entities?
                                             Are the roles and responsibilities of each entity
                                             clearly identified?
    Tracking systems
    Reporting and assessment procedures
                                             Has the permittee established procedures or
                                             deadlines for reporting or program assessment, both
                                             within the permittee's structure and between
                                             agencies or co-permittees?
 Coordination meeting schedules, task force
 rosters
                                             Do permittee staff responsible for implementing the
                                             SWMP meet periodically?
                                             Do municipal agency representatives meet to
                                             discuss SWMP implementation?
                                             Does the permittee meet with cooperating entities to
                                             discuss SWMP implementation?
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                                          CHAPTER 4.1: PROGRAM MANAGEMENT
Elements to Address During the Program Evaluation
A successful management structure will generally be composed of the following elements:
    A  Comprehensive stormwater management planning
           o  Public participation
           o  Intergovernmental, agency, and department coordination
           o  Staff inventory and organization
           o  Performance standards or goals
           o  Prioritization of resources
    A  Data collection and reporting
    A  Assessment and evaluation
    A  Program adjustments based on ongoing assessments
The common program elements are the key issues to consider during the review. For each of the elements
listed above, this Guidance presents common program activities and questions to consider during the
program evaluation. The questions are suggested for you to address each program component. Of course,
a comprehensive SWMP evaluation must be tailored to the specific issues associated with each permittee
and should include more specific questions regarding the permittee's permit structure and management
challenges.
COMPREHENSIVE STORMWATER MANAGEMENT PLANNING
 SWMP Planning Documents
    >^  Has a SWMP Plan been developed? If so, when? Last revised?
    >^  If a SWMP plan has not been developed, what guidance does the permittee use to implement
       components of the SWMP?
    >^  Is there a schedule for revision of the SWMP plan?
    >^  If multiple co-permittees are included in the program, does each permittee have their own SWMP
       planning document?
    >^  Is there an additional MS4-wide document, plan, or program? Who developed it?
    >^  How were internal and external stakeholders included in the development or revision of the
       SWMP plan?
Intergovernmental, Agency, and Department Coordination
    >^  If the permit covers more than one permittee, does the program contain a description of the roles
       and responsibilities of each permittee and procedures to ensure effective coordination?
    >^  Is there an "umbrella" group that facilitates administration and coordination among the co-
       permittees?
           o  What functions does this group perform?
           o  Are there task forces or committees who are used to coordinate program-wide
              components and to address specific issues related to different program topics (e.g., Public
              Education and Outreach Committee)?
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CHAPTER 4.1: PROGRAM MANAGEMENT
           o   Who are members of these committees?
           o   Are there regular meetings to coordinate amongst the co-permittees?
    S  Is there a formal agreement (e.g., an MOU) between the co-permittees?
    ^  Discuss with the permittee the institutional arrangements between city departments that have been
       developed to ensure coordination and collaboration on storm water management activities.
    S  Is there a stormwater committee (or equivalent) within the municipal permittee to help ensure
       coordination among city departments?
    S  How often does the committee meet? Who are the members, and are all the relevant city
       departments involved?
    ^  Is the stormwater program coordinated with nonpoint source, brownfield redevelopment,
       transportation planning, underground injection control, coastal zone, household hazardous waste,
       recycling, and other relevant programs?
    S  Does the stormwater program use nonprofit organizations, watershed groups or other community
       organizations to administer required elements of their permit or minimum measures?
Staff Inventory and Organization
    S  Does the permittee have a person designated to lead and coordinate the stormwater program and
       activities?
    S  Does the SWMP planning document include an organization chart listing responsible parties for
       each SWMP component?
Performance Standards or Goals
    S  Has the permittee established measurable goals or performance standards for program
       components?
    ^  If performance standards have been established, are they measurable or are they essentially BMP
       recommendations with level of service (i.e., number of miles swept) requirements?
    ^  Does the permittee attempt to quantify or assess a program or a BMP's water quality impact or
       effectiveness as opposed to merely tracking level of service? For example, the percentage of
       violation recidivism for industrial facilities reinspected during a permit term may provide better
       information about the effectiveness of the industrial inspection program than the total number of
       facilities inspected in a year.
Prioritization of Resources
    ^  Has the permittee identified specific pollutants of concern for its  local water bodies?
    •S  Are these pollutants of concern consistent with priorities identified in the 303(d)-listed
       impairments for local water bodies?
    S  Are these pollutants of concern consistent with any water quality monitoring data or studies
       conducted by the permittee or another agency?
    S  Has the permittee developed  strategies to specifically address those pollutants?
    S  How does the permittee decide on program priorities? Are these reassessed periodically?
    ^  Does the SWMP include a schedule of activities?
    ^  Does the MS4 discharge to a water body on the state's list of impaired waters?
           o   What pollutants are identified on the list?
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                                           CHAPTER 4.1: PROGRAM MANAGEMENT
           o   Has stormwater been identified as a source?
           o   Does the SWMP specifically address this pollutant?
           o   Does the SWMP identify BMPs specifically for sources or discharges to the listed water
               body?
    S  Has a TMDL been developed for a water body to which the MS4 discharges and for which
       stormwater has been identified as a pollutant source?
           o   What pollutants are addressed in the TMDL?
           o   Does the TMDL specifically address (or include wasteload allocations for) stormwater?
           o   Has the corrective action plan or other planning to address TMDLs been reviewed for
               integration with the SWMP?
           o   Does the permittee's stormwater program address the pollutants of concern identified in
               the TMDL?
    ^  Is the permittee participating in any watershed planning efforts?
    •S  Have any goals been developed based on watershed issues, strategies, or challenges?
    S  Has the permittee established a set of indicators or parameters to assess progress toward meeting
       the goal(s) of the watershed plan?
    ^  Is the permittee's stormwater program implemented on a watershed basis?
ASSESSMENT AND EVALUATION
Programs
    ^  Does the permittee regularly measure progress against the established performance standards and
       goals?
    •S  Are the goals quantifiable?
    ^  Is the permittee analyzing data in the annual report to identify program activities that may need to
       change to address problem areas?
    ^  Has the SWMP been altered based on this evaluation?
BMPs
    ^  Is the permittee able to track both structural BMPs and non-structural BMPs and activities?
    S  Has the permittee set measurable goals or performance standards to evaluate individual BMPs
       and activities or suites of BMPs that address a particular pollutant source?
    ^  Is there a process to evaluate or revise individual BMPs and suites of BMPs when receiving water
       outcomes or endpoints are not being met?
    ^  Do assessments evaluate impacts of BMPs on ground water?
    ^  Is the permittee analyzing data in the annual report to identify individual BMPs or suites of BMPs
       that may need to change to address problem areas?
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CHAPTER 4.1: PROGRAM MANAGEMENT
Water Quality
    S  Has the permittee documented environmental, water quality, stream corridor, habitat, or other
       types of improvements?
    S  Has the permittee estimated reductions in pollutant loadings from the MS4 or other quantifiable
       water quality benefits expected as the result of the municipal stormwater program?

MONITORING
Note: It is important to tailor these questions to each permittee 's monitoring requirements as specified in
their permit.
Wet Weather Outfall Screening and Monitoring
    S  Does the permittee conduct wet weather screening at outfalls to characterize stormwater flows
       from the  MS4?
    S  Does the permittee have written screening procedures?
    S  What is the permittee's schedule for screening the sites?
    S  Are parts of the permit area prioritized for screening based on incidents of illicit discharges, land
       use, dumping reports, etc.?
    S  What parameters are being tested?
    S  How does the permittee prioritize sites for follow-up (e.g., magnitude and nature of suspected
       discharge)?
    S  Who conducts the sampling?  What kind of training have sampling personnel received?
    S  What type of records are kept?
           o  Analytical  results
           o  Date and duration (in hours) of the storm events sampled (rainfall data)
           o  Rainfall measurements or estimates (in inches) of the storm event which generated the
              sampled runoff (rainfall data)
           o  Duration (in hours) of the storm event sampled and the end of the previous measurable
              (greater than 0.1 inch rainfall) storm event (rainfall data)
           o  Estimate of the total flow of the discharge sampled (stage and velocity)
    S  What analytical methods are used (i.e., 40 CFR Part 136)?
    ^  What are the results of the initial sampling and analysis?
    ^  Has the permittee made any changes to the monitoring program based on past results and
       experience?
    ^  How have monitoring results been used to assess program components?
    •S  Are monitoring data used to estimate pollutant loads for a TMDL?
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                                           CHAPTER 4.1: PROGRAM MANAGEMENT
Dry Weather Outfall Screening and Monitoring
    >^  Does the permittee conduct dry weather screening at outfalls to identify non-stormwater
       discharges?
    >^  Does the permittee have written screening procedures?
    >^  What is the permittee's schedule for screening the sites?
    >^  Are parts of the permit area prioritized for screening based on incidents of illicit discharges, land
       use,  dumping reports, etc.?
    >^  What parameters are being tested?
    >^  How does the permittee prioritize sites for follow-up (e.g., magnitude and nature of suspected
       discharge)?
    >^  Who conducts the sampling? What kind of training have sampling personnel received?
    >^  What type of records are kept?
           o   Analytical results
           o   Date and duration (in hours) of the storm events sampled (rainfall data)
           o   Rainfall measurements or estimates (in inches) of the storm event which generated the
               sampled runoff (rainfall data)
           o   Duration (in hours) of the storm event sampled and the end of the previous measurable
               (greater than 0.1 inch rainfall) storm event (rainfall data)
           o   Estimate of the total flow of the discharge sampled (stage and velocity)
    ^  What analytical methods are used (i.e., 40 CFR Part 136)?
    >^  What are the results of the initial sampling and analysis?
    >^  Has the permittee made any changes to the monitoring program based on past results and
       experience?
    >^  How have monitoring  results been used to assess program components?
    S  Are monitoring data used to estimate pollutant loads for a TMDL?

Biological Monitoring
    ^  Does the permittee perform biological sampling?
    ^  Has  a plan been developed to conduct biological sampling? If so, does the plan include the
       following:
           o   Identification of sampling stations and rationale for selection
           o   Location of known major MS4 outfalls discharging to water bodies in which sampling
               stations were chosen
           o   Land use activities near sampling stations
           o   Frequency of monitoring
    ^  Who conducts biological sampling and what training have they received?
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CHAPTER 4.1: PROGRAM MANAGEMENT
       Has the permittee made any changes to the monitoring program based on past results and
       experience?
       How have monitoring results been used to assess program components?
Ambient Monitoring
    ^  Does the permittee conduct ambient monitoring to characterize water quality conditions in
       receiving waters?
    ^  How were the sampling sites selected?
    ^  Is sampling conducted both during dry weather and wet weather?
    ^  What is the frequency of sampling?
    S  What parameters are analyzed? What sampling and analytical methods have been used?
    S  Does the permittee have a written protocol or procedures for this sampling program?
    S  Who conducts the sampling and what training have they received?
    S  Has the permittee made any changes to the monitoring program based on past results and
       experience?
    S  How have monitoring results been used to assess program components?
    S  Are monitoring data used to estimate pollutant loads for a TMDL?

DATA COLLECTION AND REPORTING
    ^  What reporting requirements are included in the MS4 NPDES permit?
    S  If multiple permittees are covered, are there different requirements for the co-permittees and the
       "umbrella" group?
    •S  For co-permittees or Phase II permittees that rely on other entities to implement required elements
       of the program, how are data provided or reported?
    ^  How are the required data collected, tracked, and reported?
           o   Is there a database?
           o   Are there reporting forms?
    S  Are there internal reporting deadlines within the municipal program structure?
    S  Are the appropriate data being collected by the permittee to be able to measure effectiveness and
       determine if performance standards are being met?
    ^  How are data disseminated to those who use them, if at all?
In-Field Program Evaluation Activities
In-field activities are not necessary to evaluate program management.
Common Issues Identified During Program Evaluations
    ^  The permittee lacks necessary intradepartmental coordination on stormwater issues.
    ^  The permittee does not describe a formal, coordinated program framework.
    S  The  SWMP does not identify pollutants of concern or program priorities.
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                                        CHAPTER 4.1: PROGRAM MANAGEMENT
       The program does not have measurable goals to track and quantify progress towards desired
       outcomes.
       The "umbrella" group for multiple co-permittees has a program or plan, but nothing has been
       developed for each specific co-permittee to detail actual implementation or goals specific to each
       co-permittee's program.
       No SWMP planning document(s) exist to guide the implementation of SWMP components.
       The SWMP has not been revised and updated based on evaluations of effectiveness.
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CHAPTER 4.2: PUBLIC EDUCATION AND PARTICIPATION
4.2    Public Education and Participation

Regulatory Requirements
EPA's federal NPDES regulations for the stormwater Phase I and
Phase II are listed at right. NPDES MS4 permits must address these
requirements and often include more specific provisions.

Public education is not addressed as a separate program area in the
Phase I regulations. Two general public education requirements are
contained in the illicit discharge detection and elimination program
requirements, as well requirements for education of pesticide,
herbicide, and fertilizer applicators and construction site operators.
The latter two programs are discussed in greater detail in the MS4
Maintenance and Construction Activities sections of Conducting an
Evaluation.

The NPDES Phase II regulation's minimum control measures
include requirements for Public Education and Public Participation.

Common Activities
Public education efforts aim to project information to the audience,
while the goal of a public participation and involvement program is
to encourage volunteerism, public comment and input on policy, and
activism in the community.  Many activities can and often do achieve
both goals, therefore many permittees combine the two into one
public outreach program component and develop joint materials. For
example, a brochure about stormwater impacts could also invite
residents to participate in a stream cleanup. In addition, it is common
for several co-permittees to  combine funds and produce one set of
public outreach materials to distribute regionally or simply use
another permittee's materials.

Goals and Objectives
Although not specified in NPDES regulations, ideally a stormwater
outreach program should have a strategy to address public education
and participation. The outreach strategy should be outlined in a
document that may  only be a few pages but should establish who is
responsible for specific tasks, how much is budgeted, and the dates
of implementation (especially if the permittee has to apply for
funding support) and completion.

A permittee's outreach program should include goals based on
specific stormwater quality issues in the community or pollutants of
concern as well as specific target audiences. The goals  can be
quantitative (i.e., numbers of classroom presentations per year) or
qualitative (i.e., increased stormwater awareness among Spanish-
speaking residents regarding illegal dumping demonstrated by
awareness surveys). Goals can be short-term or long-term but should
be designed to be reassessed on a regular basis. Goals should also be
progressive; for example, a goal for the first two years may be based
on increasing public awareness of certain issues, whereas a goal for
                   Federal NPDES
                   Regulations
                   NPDES MS4 permits must
                   address these requirements
                   and often include more
                   specific state requirements:

                   •/Phase I MS4 Regulations
                    Public Education
                    40CFR122.26(d)(2)(iv)(B)
                    40CFR
                    122.26(d)(2)(iv)(D)(4)
                    40CFR
                    122.26(d)(2)(iv)(A)(6)

                    Public Participation
                    40CFR122.26(d)(2)(iv)(D)

                   v'Phase II MS4 Regulations
                    Public Education
                    40CFR122.34(b)(1)

                    Public Participation
                    40CFR122.34(b)(2)
                   Resources
                   ^EPAMenuofBMPs
                     http://cfpub.epa.gov/npdes/
                     stormwater/menuofbmps/
                     index, cfm
                   ^Getting In Step
                     http://www.epa.gov/owow/
                     watershed/outreach/docume
                     nts/getnstep.pdf
                   •S EPA Stormwater Month
                     Outreach Materials and
                     Reference Documents
                     www. e pa. g o v/n pd es/sto rmw
                     atermonth
                   •/Think Blue San Diego, an
                     overview of San Diego's
                     stormwater pollution
                     prevention program
                     http://www.thinkbluesd.org/
                     why.htm
                   ^CTIC Know Your Watershed
                     http://www.ctic.purdue.edu/
                     KYW/
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	CHAPTER 4.2; PUBLIC EDUCATION AND PARTICIPATION


subsequent years would be based on measurable changes in behavior as a result of increased awareness.

Though each permittee may select its own unique set of goals, the ultimate outcome of all programs
should be to elicit specific changes in behavior that benefit water quality. Brochures and presentations are
means to this end, but they do not necessarily indicate a meaningful and successful public education
program.

Message Development
The permittee's stormwater outreach messages should be clear, specific, and tied directly to elements that
each specific audience values, in addition to goals established in the SWMP. Multiple messages may be
necessary to address various audiences or behaviors.

Target Audiences
An outreach strategy should identify target audiences a permittee wants to reach with appropriate
messages. Target audiences can be segmented by geographic location, demographics, occupation, or
behavior patterns. Selection of a target audience can be based on stormwater quality issues and behaviors
to be altered. The permittee should determine what  information the target audience needs, gather
information on the profile of the target audience, and collect information on the barriers to reaching this
target audience. As stormwater awareness is evaluated and the program evolves, the target audience may
change as well.

Message Packaging
Permittees use various packages to deliver messages to different target audiences. The packages should be
appropriate to the audience (i.e., demographic,  employment, geographic location, etc.). Packages for
messages can include brochures, TV and radio  spots, videos, presentations, events, and other formats.

Distribution Mechanisms
There are many ways to distribute outreach messages and materials. Distribution methods should be
specific to the message and audience. Often, co-permittees or other partners (i.e., nonprofit organizations,
watershed groups, other government agencies)  share the distribution costs to best use available resources.
Often goals or permit requirements are tied to distribution; therefore, permittees should track distribution
of materials, program-related presentations, and other delivery methods.

Evaluation Methods
Permittees can evaluate the effectiveness of an outreach strategy in a number of ways, but any method
should be linked to established measurable goals. Some use public surveys to gauge changes in awareness
or behavior of the target audiences. The  surveys can be conducted in person at events, on the phone, or
using Web-based survey tools. Others track quantifiable data such as brochures distributed, people
trained, participation in events, volunteer hours, etc. Ultimately, permittees should track metrics showing
the adoption of desirable behavior changes.

Public Participation Activities
Ideally, permittees give the public the  opportunity to participate in the development, implementation,
evaluation, and improvement of the stormwater program. At the very least, permittees need to notify the
public about the availability of the SWMP and  notice of intent and solicit comments. Some permittees
have stakeholder workgroups that are involved in developing policy and programs. Many permittees
encourage and facilitate involvement by coordinating or promoting community events and promoting
volunteerism in the community through  activities such as storm drain stenciling, stream cleanups, riparian
tree plantings,  and other programs.
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CHAPTER 4.2: PUBLIC EDUCATION AND PARTICIPATION
Evaluating Public Education and Participation Programs
The public education and participation component of a SWMP may be implemented by one person or
department (e.g., a communications office) or be a combination of efforts by many people, departments,
or agencies. An evaluator should question the SWMP coordinator about key staff to talk with prior to the
evaluation.  It may be possible for the coordinator to relay all necessary information without having to
track down numerous staff. It is also a good idea for you to request that copies of pertinent outreach
materials be compiled to review during the evaluation or taken to review after.

Some permittees will want to present all stormwater public education activities as an independent
program area, while other permittees describe education activities in each relevant SWMP component (for
example, education of construction operators is addressed in the construction component or public
education on illicit discharges is addressed in the illicit discharge component). An evaluator should take
note of how the permittee organizes its education activities and adjust the evaluation process accordingly.

Before the Program Evaluation
An evaluator should review or obtain the following information
prior to the  evaluation:

    A  MS4 NPDES permit provisions. Review the permit
       requirements for public education and public participation to
       identify any specific requirements (such as the type of
       activities the program must include or the pollutants the
       program must address). The NPDES permit will serve as the primary basis for the program
       evaluation.
    A  SWMP provisions. The permittee's SWMP should describe the overall outreach structure of the
       program and any measurable goals.
    4  Latest annual report. The annual report should be reviewed to help you become familiar with
       the activities that have been conducted in the past and the progress made towards achieving
       measurable goals of the program component.
                  Pre-Eualuation Checklist
                  •S MS4 permit provisions
                  •/SWMP provisions
                  •/Most recent annual report
Records Review
The following records might help in evaluating the compliance and performance of the permittee's public
education and participation program. Ask for copies of relevant information where it will help in writing a
report or documenting a permit violation.
Documentation
What to Look For
Public outreach or communication strategy Target audiences, specific stormwater messages,
tracking methods, measurable goals, a plan to review
and modify the strategy overtime.
Stormwater Web site
Public awareness survey
Pamphlets, calendars of events, hotlines, contact
information, access to stormwater permit requirements
and SWMP documentation, general stormwater
information, volunteer opportunities
Public awareness surveys may be available to assess
either baseline awareness or movement towards
measurable goals.
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	CHAPTER 4.2; PUBLIC EDUCATION AND PARTICIPATION

Elements to Address During the Program Evaluation
This Guidance presents common program activities and questions to consider during the program
evaluation. Of course, a comprehensive program evaluation must be tailored to the specific issues
associated with each permittee and should include more specific questions regarding the permittee's
permit structure and management challenges.
GOALS AND OBJECTIVES
    ^  Does the permittee have a strategy document for education and participation?
    ^  Does the document include specific goals?
    •S  On what are the goals based?
    S  Are the goals measurable? How?

MESSAGE DEVELOPMENT
    •S  Have specific messages been developed for stormwater outreach?
    S  On what are the messages based? Pollutants of concern? General awareness? Problem target
        audience? All of the above?
    ^  Are different messages used for different target audiences (i.e., children, homeowners, industry,
        etc.) or is one central message used for all?
    •S  Do the messages encourage participation in stormwater-related activities?
    •S  Do the messages educate about behavior changes that the audience can make to contribute to a
        solution?
    ^  Have messages been developed specific to reducing illicit discharges with information about how
        to report them to the appropriate authorities?
    S  Have messages been developed to educate pesticide, fertilizer, and herbicide applicators
        (including homeowners) about ways to reduce stormwater pollution?

TARGET AUDIENCES
    •S  Has the permittee identified target audiences for outreach efforts? How are these target audiences
        selected? What are the target audiences?
    ^  What land use groups (i.e. industry, commercial businesses) has the permittee targeted?
    ^  Have certain ethnic groups or nationalities been identified as audiences to be targeted based on an
        evaluation of local demographics?
    ^  Have the target groups been reevaluated based on evaluation of the strategy and progress that has
        been made?
    ^  Has the Phase I permittee targeted pesticide, herbicide, and fertilizer applicators (including
        homeowners) and construction site operators for outreach?
    S  Has the Phase II permittee targeted industries or commercial businesses of concern for outreach?
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CHAPTER 4.2; PUBLIC EDUCATION AND PARTICIPATION	

MESSAGE PACKAGING
    ^  Does the permittee have a variety of written educational materials?
    ^  Does the permittee have a variety of other packages (i.e., Web site, presentations, displays) for
       educational materials?
    ^  Did the permittee produce the education and outreach materials in the different languages that are
       spoken in the community?
    S  Do the permittee's materials explain stormwater issues in easy-to-understand terms?

DISTRIBUTION MECHANISMS
    ^  Does the permittee track distribution of materials to measure effectiveness?
    S  Is the permittee focused solely on distribution or is an effort made to evaluate the impact of the
       messages?
    ^  Does the permittee use a variety of distribution mechanisms to target various audiences?

EVALUATION METHODS
    S  How does the permittee evaluate the effectiveness of the outreach strategy?
    S  Has the permittee  conducted a public awareness survey?
    ^  Which outreach materials have been the most effective in soliciting public involvement and
       participation? Changing audience behaviors? Increasing general stormwater awareness?
    S  Have any changes been made to the outreach strategy or materials based on an evaluation of
       effectiveness?

PUBLIC PARTICIPATION ACTIVITIES
    S  What opportunities does the permittee give to the public to review and comment on any changes
       to the SWMP, such as public comment via a Web site, a public meeting, or a stormwater advisory
       group?
    ^  What volunteer opportunities (i.e., stream cleanups, storm drain stenciling) does the permittee
       coordinate or publicize to encourage the public to participate in stormwater-related activities?
    ^  Does the permittee sponsor or promote any of the following activities?
           o  Beach/stream/lake cleanups
           o  Volunteer stream monitoring
           o  Stream clean-ups or equivalent activities
           o  Stormwater citizen panel

In-Field Program Evaluation Activities
The evaluation for this program area will be primarily conducted with the permittee in the office or by
reviewing materials before or after the evaluation. However, evaluators can take note during other field
activities to observe the stormwater educational materials available and distributed. For  example, when
visiting the permittee's permit counter, assess the types of stormwater outreach materials available to
applicants for new construction projects.  When driving around the permit area, observe if posters,
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	CHAPTER 4.2; PUBLIC EDUCATION AND PARTICIPATION

billboards, or other signs display stormwater messages. These types of field observations about the
permittee's public education activities can help assess the effectiveness of the program.
Common Issues Identified During Program Evaluations
The following should be closely considered during evaluations of permittees:
    S  Permittees set inappropriate or immeasurable goals for activities.
    S  Permittees are not including key target audiences.
    •S  Permittees are not customizing the materials for the target audience.
    •S  Permittees are not developing materials for commonly spoken languages.
    S  Permittees are not distributing the materials adequately using appropriate methods for the target
       audience.
    •S  Permittees are not facilitating involvement in program development, implementation, and
       improvement during the course of the permit term.
    S  Permittees are not coordinating or promoting events or activities that would improve water
       quality or change behaviors of concern.
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CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
4.3    MS4 Maintenance Activities

Regulatory Requirements
Applicable Phase I and Phase II federal NPDES regulations are listed
at right.

General Permits
Although MS4 maintenance activities are addressed in MS4 NPDES
permits, it is important to note that some permittees will also have
coverage under industrial stormwater general permits or have
individual permits for maintenance facilities that fall under one of
the covered industrial categories, such as landfills, waste transfer
stations, or transportation facilities.

Common Activities

Infrastructure Mapping and Characterization
Debris, floatables, sediment, metals, and other pollutants are caught
in the MS4 and a regular program to inspect, clean, and repair
components of this infrastructure will reduce the pollutants leaving
the system and entering  surface waters. A map of the  MS4 is
important  for the permittee to plan for and track proper maintenance
of inlets, catch basins, outlets, conduits, and management structures
such as detention basins.

Public Streets Operation and Maintenance
The SWMP should address and include various practices for
operating and maintaining public streets, roads, and highways that
reduce the impact on receiving waters of discharges from municipal
storm sewer systems. These  practices should include regular street
sweeping and proper use of BMPs during street maintenance
activities. In addition, where applicable, permittees should consider
deicing agent application methods that minimize the discharge of
pollutants  into the MS4, as well as salt and sand storage, fleet
maintenance, fueling, and washing.

Flood Management
Permittees should assure that the impacts on the water quality of
receiving water bodies are assessed in municipal or regional flood
management projects and that existing structural flood control
devices have been evaluated to determine if retrofitting the device to
provide additional pollutant removal from stormwater is feasible.

Public Facilities Operation and Maintenance
The SWMP should include a mechanism to inventory and assess the
impact of stormwater runoff from municipal facilities. The  inventory
should include all facilities that treat, store, or transport municipal
waste as well as industrial/commercial facilities (facilities covered
by a general permit as well as those defined by the
Industrial/Commercial Facilities program component). Facilities
                   Federal NPDES
                   Regulations
                   NPDES MS4 permits must
                   address these requirements
                   and often include more
                   specific state requirements:

                   •/Phase I MS4 Regulations
                     40 CFR 122.26(d)(2)(iv)(A)

                   v'Phase II MS4 Regulations
                     40CFR122.34(b)(6)(i)
                   Resources
                   ^Menu of BMPs
                     www.epa.qov/npdes/menuof
                     bmps
                   •/California Stormwater Quality
                     Association's Municipal BMP
                     Handbook
                     www.cabmphandbooks.com/
                     Municipal.asp
                   •/National Management
                     Measures to Control
                     Nonpoint Source Pollution
                     from Urban Areas
                     http://www.epa.gov/owow/
                     n ps/u rba n m m/i n d ex. htm I
                   •/North Texas Council of
                     Governments - Stormwater
                     Pollution Prevention Training
                     Module Series
                     http://www.nctcog.org/envir/
                     SEEclean/stormwater/progra
                     m-areas/pollution  prevention/
                     CD/Version 1/P2  Training
                     Mate rials, asp
                   M$4 Facilities
                   •/Municipal maintenance yard
                   •/Fleet maintenance facility
                   •/Chemical storage facility
                   •/Household hazardous waste
                     facility
                   •/Solid waste transfer station
                   •/Animal control facility
                   •/ Salt storage facility
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                                     CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
with activities characterized as a potential threat should be inspected      TIP:
and BMPs should be implemented to reduce water quality impact.        MS4 permittees are not
                                                                    required to enforce the NPDES
Pesticide. Herbicide and Fertilizer Application and Management          (state or federal) industrial
The SWMP should include a component to reduce pollutants             stormwater general permit, but
associated with the application of pesticides, herbicides, and fertilizer.     *neY are required to comply
This program should include, as appropriate, educational activities,       with this permit at their own
permits, certifications and other measures for commercial applicators     facilities. This includes the
   ,,.'.,.       ,     .  ,  r-     ,•   .•        ,,•   • ,.  c            submittal of a notice of intent,
and distributors, and controls for application in public right-of-ways      development of a stormwater
and at permittee owned or operated facilities, such as playing fields       pollution prevention plan
and other recreational facilities.                                        /SWPPP) or equivalent
                                                                    inspections, and other
Training and Education                                               requirements specified in the
To ensure that maintenance staff is knowledgeable and proficient in      applicable industrial stormwater
the newest and most effective approaches to minimizing stormwater      general permit.
pollution from facilities and activities, many permittees require annual    	
BMP training for field staff. This training may be presented in-house
or staff may attend trainings provided by the permitting authority or industry. It is important to cross-train
or educate any contracted staff used for field work as well. Many permittees also provide general
stormwater awareness training to all employees.

Evaluating M$4 Maintenance Programs
MS4 maintenance encompasses a large variety of facilities and activities necessary to operate and
maintain a permittee's infrastructure, which include streets, facilities, and the storm drain system. MS4
maintenance activities typically are designed to maintain a certain level of service to maintain the
aesthetics of public areas, provide public safety, maintain public infrastructure, and provide flood
management, rather than for stormwater quality protection. When reviewing MS4 maintenance programs,
however, an evaluator should focus on activities that might impact stormwater quality. The following
should be evaluated:
  1.   How the permittee has inventoried all its infrastructure and facility maintenance activities
  2.   How the permittee has reviewed maintenance activities to assess potential impacts on stormwater
      quality
  3.   Whether the permittee has revised activities or implemented new measures to protect stormwater
      quality
MS4 maintenance staff should be trained on stormwater BMPs and principles, and have clear guidance on
appropriate stormwater BMPs to use during typical maintenance operations and facilities management.

Various departments may be involved in the MS4 maintenance component of a SWMP. Within a
municipality, the majority of functions normally are performed by public works staff. However, be sure to
discuss the  areas to be evaluated with the SWMP coordinator to ensure that the appropriate staff are
available to interview during the evaluation. Departments or agencies that might need to be interviewed
include streets and highways, facilities management, water authority, fire department, wastewater
treatment plant, flood control district, solid waste, and parks and recreation. As previously  stated, it is
important to interview managers as well as field staff whenever possible.
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CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
Before the Program Evaluation
To prepare for the MS4 maintenance program evaluation, an
evaluator should review or obtain the following information prior
to the evaluation:

    A  MS4 NPDES permit provisions. Review the permit
       requirements for the MS4 maintenance program to identify
       any specific requirements (such as a minimum street
       sweeping frequency). The NPDES permit will serve as the
       primary basis for the program evaluation.
                 Pre-Eualuation Checklist
                 •/MS4 permit provisions
                 •/SWMP provisions
                 •/Most recent annual report
                 •/NPDES-permitted  municipal
                   facilities
                 •/Municipal facility inspection
                   reports
    A  SWMP provisions. The permittee's SWMP planning
       document(s) should describe the activities and BMPs that the permittee has committed to
       implement and may include measurable goals that provide deadlines for program implementation.
    A  Latest annual report. The annual report should be reviewed to identify past activities and help
       you become familiar with the permittee's SWMP.
    A  List of permittee-owned or -operated facilities with NPDES permits. Try to obtain a list of
       industrial facilities owned or operated by the permittee that are covered by an NPDES industrial
       stormwater permit issued by the permitting authority (i.e., household hazardous waste collection
       facility). This list can be used during the program evaluation to determine whether the permittee
       is including the facilities that are covered by an industrial stormwater general permit in the
       inspection program and to understand the types of facilities present in the permit area. The list
       can also help identify potential sites for the field inspections.
    A  MS4 maintenance facility inspection reports. Review reports from inspections performed by
       the permitting authority within the permit area and talk to state inspectors to determine if there
       have been past stormwater violations at facilities owned or operated by the permittee.
Records Review
The following records might help in evaluating the compliance and performance of the permittee's MS4
maintenance activities. Ask for copies of relevant information where it will help in writing the report or
documenting a permit violation.
 Documentation
 What to Look For
 Tracking systems
 •/Catch basin cleaning
 •/Street sweeping
 •/Pump station maintenance
 •/Structural BMP maintenance
   What type of water quality-related information is
   tracked (i.e., tons of material swept)
   Does the permittee set priorities and goals for
   MS4 maintenance activities each year?
   How are these priorities and goals established?
       • Pollutants of concern
       • Watersheds of concern
   Review how these activities are summarized for
   the annual report
 In-field inspection sheets
   What guidance is provided to inspectors or
   maintenance crews to ensure they're properly
   inspecting and maintaining stormwater
   infrastructure?
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                                    CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
 Documentation
 What to Look For
 Maintenance SOPs
   Review standard operating procedures or any
   employee manuals or fact sheets used by
   permittee staff to conduct their day-to-day
   activities to determine if stormwater BMPs are
   described
 List of municipal facilities
   Have the facilities been prioritized based on
   potential water quality impacts?
   Are the facilities inspected? How often? Who
   inspects?
 MS4 maintenance facility SWPPPs
   Are SWPPPs (or equivalent) for permittee-owned
   or -operated maintenance yards, wastewater
   treatment plants, public transit facilities that
   perform maintenance, or other facilities
   adequately addressing stormwater?
   When were the SWPPPs last updated?
 Training schedule
   Review training records to determine how often
   training is provided, who is required to attend
 Pesticides, herbicides, and fertilizers
 •/Application records and protocols
 •/Applicator certifications and training
   Has the permittee tracked the types and amounts
   of chemicals applied in the permit area?
   Does the permittee have state-certified pesticide
   applicators?
   Are the applicators' certifications up to date?
 Flood management program
   Review the permittee's capital improvement
   project list for flood drainage or flood
   management projects.
   Review the permittee's watershed master plans
   or flood drainage master plans for flood
   management projects.
   What types of evaluation criteria have been used
   to prioritize the projects on the (CIP) list or in the
   watershed master plan (e.g., water quality
   impacts)?
   Determine whether permittee has a documented
   evaluation showing why it is not feasible to
   retrofit existing flood management projects.
Elements to Address During the Program Evaluation
Although the specific nature of a successful municipal program is not specified in NPDES regulations, it
will generally be composed of the following components:


    4  Stormwater infrastructure management and maintenance

    4  Public streets operation and maintenance

    4  Flood management

    4  Public facilities operations and maintenance

    A  Pesticide, herbicide and fertilizer application and management, as well as erosion control,
       landscaping, and turf grass care
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CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
    A  Standards, BMPs, and outreach for municipal staff
    A  Training and education

For each of the elements listed above, this Guidance presents questions to consider during the program
evaluation. Of course, a comprehensive program evaluation must be tailored to the specific issues
associated with each permittee and should include more specific questions regarding the permittee's
permit structure and management challenges.

STORMWATER INFRASTRUCTURE OPERATION AND MAINTENANCE
Infrastructure Mapping and Characterization
                                                                TIP:
                                                                A map is also required for the
                                                                illegal connection and illicit
                                                                discharge detection and
                                                                elimination programs described
                                                                in this Guidance. The maps
                                                                developed for MS4
                                                                maintenance and illegal
                                                                connection and illicit discharge
                                                                programs can be the same to
                                                                best use resources.
Does the permittee have a map showing all inlets, outfalls,
storm drain conduits, stormwater management facilities, and
receiving water bodies?

    o  Does this map include catch basins and structural
       stormwater controls?
    o  Is the map readily available and used by
       maintenance field staff when performing
       maintenance activities?
    o  Is the map in hard copy format only or is it also in a
       geographic information system (GIS)?

Are infrastructure assets or components named or numbered
to better track necessary maintenance and repairs?            -
Is information regarding stormwater infrastructure maintained in a database or mapping system?
What types of data are maintained?
    o  Type of structure or asset
    o  Location (address, latitude/longitude)
    o  Photo
    o  Date built
    o  Date last inspected
    o  Date last cleaned/maintained
Catch Basin Cleaning
       Does the permittee have a schedule for routine maintenance or cleaning of catch basins?
           o  How many are cleaned and how often?
           o  Has the permittee targeted certain areas for more frequent maintenance? Does this
              targeting help minimize stormwater pollution?
           o  Does the permittee set goals for how many basins are inspected and cleaned each year?
           o  How does the permittee track and record cleaning and maintenance needs?
           o  What information is documented? Does the permittee track which catch basins are
              cleaned, how much material is removed, and so forth?
           o  How does the permittee use the data collected to further its program or evaluate program
              effectiveness? Are the data used to help prioritize cleaning frequency? Are they used to
              identify areas for targeted outreach?
       What are the permittee's procedures for disposing of waste removed from catch basins or storm
       drains?
           o  Does the permittee flush material that could potentially discharge to surface water?
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                                    CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
           o  If the material is removed using a wet vacuum, how
              is the material dewatered? How is the decanted
              water disposed?

    >^  Does the permittee have a schedule for routine maintenance
       or inspection of storm drain pipes?

    >^  What are the permittee's maintenance procedures for
       cleaning clogged storm drain pipes?

Stormwater Management Structures

    >^  Are catch basins and other inlet structures marked so that the
       public knows they drain to surface waters?

    >^  Has the permittee inventoried the type and location of public
       Stormwater management structures in its jurisdiction? How
       are the data collected and stored?

           o  Pump stations
           o  Drainage structures (debris basins, detention basins,
              regional ponds, etc.)
           o  Structural treatment  controls
           o  Open channels

    >^  How is vegetation maintained in grassed swales, rain
       gardens, pond perimeters, and other vegetated Stormwater
       controls?

    >^  Has the permittee mapped private Stormwater management
       structures?

    >^  How often are these facilities inspected?

    S  Are the Stormwater management structures regularly
       maintained by the permittee?
                   TIP:
                   Governmental Accounting
                   Standards Board (GASB)
                   Statement No. 34, Basic
                   Financial Statements and
                   Management's Discussion and
                   Analysis for State and Local
                   Governments (Statement 34)
                   establishes new requirements
                   for the annual financial reports
                   of state and local governments.
                   The Statement was developed
                   to make annual reports easier
                   to understand and more  useful
                   to the people who use
                   governmental financial
                   information to make decisions.
                   Statement 34 requires
                   governments to document and
                   report existing infrastructure
                   and depreciate their capital
                   assets.
                   Permittees can utilize the
                   information obtained through
                   this  required reporting to
                   inventory assets such  as
                   maintenance facilities,
                   Stormwater management
                   structures and MS4
                   infrastructure (i.e. outfalls,
                   storm sewer pipes, catch
                   basin).
                   http://www.qasb.orq/
           o  Are records kept of material and debris removed
              during maintenance?
           o  How is maintenance conducted? Are chemicals used to maintain vegetation and pests?

       How does the permittee use the data collected to further its program or evaluate program
       effectiveness? Are the data used to help prioritize cleaning frequency? Are they used to identify
       areas for targeted outreach based on type and volume of materials removed?
PUBLIC STREETS OPERATION AND MAINTENANCE

Street Sweeping

    >^  Does the permittee regularly sweep streets? Public parking
       lots?

    >^  What is the schedule for street sweeping?

    S  Are areas scheduled for sweeping based on aesthetics only or
       is consideration given for reducing impacts on the
       Stormwater management infrastructure and surface water?

    >^  What types of sweepers are used? Wet or dry?
                   TIP:
                   It is a good idea to question
                   both managers and field staff
                   regarding BMPs used. It is
                   helpful to ascertain the level of
                   understanding at the field level
                   as well what types of BMPs are
                   deemed appropriate and
                   feasible for the specific MS4.
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CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
    S  How is street-sweeping debris disposed? If the debris is dewatered, how is this done? How is the
       decanted water disposed?
    •S  Are records kept of the amount of debris collected?
    S  How does the permittee use the data collected to further its program or evaluate program
       effectiveness? Are the data used to help prioritize cleaning frequency?
Yard Debris Reduction and Disposal
    ^  Does the permittee offer guidance or services to encourage mulching and/or composting of grass
       clippings and other yard debris?
    ^  Does the permittee offer seasonal recycling or disposal services to collect leaf litter, Christmas
       trees, yard debris, or other seasonal organic materials?
Public Streets,  Roads, and Highways Maintenance

    ^  What types of public  streets, roads, and highways operation and maintenance practices and
       procedures are performed by the permittee?
    S  Are BMPs used by field crews to minimize stormwater impacts during road maintenance or repair
       activities?
    S  What types of BMPs  are used? Discuss BMPs used for such activities as:
           o  Ditch cleaning
           o  Sidewalk repair
           o  Asphalt patching
           o  Curb and gutter repair
           o  Street striping
           o  Sign painting
           o  Maintaining dirt and gravel roads (preventing erosion, dust control)
Deicing Activities
    ^  What types of deicing agents does the permittee use? If salt is used, has the permittee investigated
       alternatives?
    S  How are deicing agents, sand, or other materials stored? Is the material covered and/or bermed to
       prevent runoff?
    S  Does the permittee track the locations and volumes of deicing agents, sand, or other materials
       applied?
    S  Is the material picked up after the snow/ice event is concluded? Is there a schedule for picking it
       up after an event?

FLOOD MANAGEMENT
    S  Does the permittee have an inventory of structural flood management structures?
    S  Have these structures been assessed to determine whether retrofitting could provide additional
       water quality benefits?
    S  How often are flood management projects inspected and/or maintained?
    S  Are new flood management projects being designed or planned to include water quality
       considerations?
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                                    CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
PUBLIC FACILITIES OPERATION AND MAINTENANCE
Facility Inventory
    ^   Does the permittee have an inventory of public facilities? At a minimum, this list should include
        the following:
           o   Public works yards
           o   Public transit facilities
           o   Wastewater and domestic water treatment plants
           o   Sanitary sewer system overflow locations
           o   Public parks/open areas
           o   Public parking lots
           o   Public buildings
           o   Landfills and hazardous waste disposal sites, transfer locations, or storage facilities
    S   Have the facilities been inspected and assessed for water quality impacts?
    S   Are any facilities required to apply for coverage under a general industrial permit? Do these
        facilities have SWPPPs?
Maintenance Yard Management
    S   If the permittee is a municipality, does the municipal public works yard have a SWPPP?
    ^   Who is responsible for implementing and maintaining the SWPPP?
    ^   Who is responsible for periodically inspecting the yard for stormwater compliance?
Parks Operation and Maintenance
    S   Are there adequate trash enclosures available at park facilities? Are they emptied regularly?
    S   Does the permittee provide any stormwater education or signage at parks and other areas?
    S   How are public restrooms cleaned and maintained? What chemicals are used? How is cleanup
        water disposed of?
    S   How are public pools maintained? How is the chlorinated water disposed of?
    S   Does the permittee include pet waste disposal stations with signage and baggies in public parks?
    S   What BMPs are used to address:
           o   Stormwater impacts from turf grass maintenance?
           o   The transport of pesticides, herbicides, and fertilizers by stormwater?
           o   Erosion?
    •S   What types of vegetated BMPs are implemented at parks (e.g., alternative landscaping to
        minimize high-maintenance turf grass, streamside buffers, reduced mowing frequency, etc.)
    ^   Does the permittee implement water  conservation measures at its park facilities?
Building Operation and Maintenance
    S   Are the permittee's parking lots regularly swept?
    S   How are enclosed parking structures  and other public buildings cleaned? If power washing is
        used, are BMPs implemented to protect storm drain inlets?
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CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
Sanitary Sewer System Maintenance, Overflow, and Spill Prevention
    >^  Does the permittee have a program to mitigate or prevent sanitary sewer overflows (SSO) from
       entering the MS4?
    >^  Have flow pathways from SSO locations to catch basins or other points of entry to the MS4 been
       identified?
    >^  Have spill prevention and cleanup plans been prepared?
    >^  Does the permittee have a written procedure to ensure that the MS4 is protected from a sewage
       overflow or spill? Do the procedures include protection of the storm drain system during and after
       the cleanup of a spill or overflow?
    >^  Does the permittee implement a reporting protocol to ensure that all spills and overflows are
       reported to the appropriate authorities or the department designated to collect and report the
       permittee's annual report?
    >^  If the jurisdiction includes residential homes with septic tanks, how does the permittee educate
       homeowners about proper maintenance of the systems?
Water Supply Operation and Maintenance
    >^  Have procedures been developed to ensure that field staff integrate storm water management
       BMPs into their operation and maintenance activities?
    S  Are BMPs implemented to address the testing and flushing of new or existing water lines?
    S  Are BMPs implemented to address hydrant testing?
    S  Are BMPs implemented to address maintenance activities required to maintain underground
       water lines (e.g., trenching, excavation)?
    ^  Does the permittee coordinate source water protection efforts with the stormwater program?
Chemical and Hazardous Material Use and Disposal
    ^  What types of chemicals or hazardous materials are used by the permittee?
    S  Where are these materials stored?
    S  Has the permittee implemented an alternative materials program to reduce the use of hazardous
       materials?
    S  Has the permittee implemented an inventory reduction program to reduce the quantity of
       chemicals and hazardous materials stored and used?
    ^  Does the permittee have a household hazardous waste collection center for the public?
           o  Are records of the quantity of materials collected maintained by type of material?
           o  How does the permittee notify the public of these sites?
           o  Does the permittee have special household hazardous waste collection days?
    S  How does the permittee use the data collected to further its program or evaluate program
       effectiveness? Are the data used to help prioritize maintenance frequency? Are they used to
       identify areas of targeted outreach?
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                                     CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
PESTICIDE, HERBICIDE AND FERTILIZER APPLICATION AND MANAGEMENT
    ^ What kind of program has been established to address pollutants associated with the application
       of pesticides, herbicides, and fertilizer at public facilities?
    •S Are the permittee's fertilizer/pesticide  applicators certified? Are permits or other certifications
       required?
    ^ Where are the chemicals stored? Are appropriate procedures and secondary containment
       followed?
    S Is there a pesticide/fertilizer application plan?
    S Does the permittee practice integrated  pest management (IPM) or use alternatives to pesticides?
    ^ How does the permittee implement alternative landscaping to minimize the use of fertilizers and
       pesticides?
    S What types of educational activities does the permittee conduct for applicators?
    S What types of BMPs are used during application of pesticides in public rights-of-way?
    ^ What types of BMPs are used during application of pesticides at municipal facilities such as
       parks?

STANDARDS, BMPS, AND OUTREACH
Municipal Staff
    ^ Have standard operating procedures or their equivalent been developed to ensure that municipal
       field staff integrate stormwater quality BMPs into their daily activities?
    ^ Have BMPs or standards been officially adopted by the permittee for use by municipal field staff?
    ^ What reference materials or guidance documents are provided to field staff regarding BMP
       specifications and details?
    ^ How does the permittee ensure that staff are fulfilling their responsibilities as outlined in standard
       operating procedures? Do managers provide oversight on a regular basis?
Contracted Services Staff
    ^ Does the permittee require contractors to incorporate           ^m
       stormwater quality BMPs into their activities?
                                                                  Educational programs for
    •S How are BMPs required? Are the requirements outlined in      pesticide, herbicide, and
       requests for proposals? Are they included in contracts?         fertilizer applicators used by
    v   Have BMPs or standards been officially adopted by the         addressed durinoi the oublic
        permittee for use by contractual staff?                        education and participation
    S  What reference materials or guidance documents are           Portion of the evaluation.
        provided to contractual staff regarding BMP specifications
        and details?
    S  How does the permittee ensure that contractors are fulfilling their responsibilities as outlined in
        their contracts?  Are inspections performed?  Are periodic reports submitted?
General Public
    S  Does the permittee provide any information to the public regarding:
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CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
           o   Cleaning up after pets
           o   Household hazardous waste disposal
           o   Oil recycling
           o   Litter reduction

TRAINING AND EDUCATION
    S  What type of general stormwater training is provided to staff that are not involved in field
       activities? How often?
    ^  How are new employees trained?
    S  What types of activity-specific training is provided to field staff? Is information on specific BMPs
       provided?
    ^  Is any training provided to contract staff?


In-Field Program Evaluation Activities                               	
The primary in-field evaluation activity is an inspection of the          TIP:
permittee's public works yard(s) or other type of permittee owned or    Other MS4 facilities, such as
operated facility (i.e. fleet maintenance). The intent of this inspection    parks, marinas, and  household
is to verify that activities are performed as described in the SWMP.      hazardous waste collection
The facility should be inspected as if it were atypical industrial         facilities, should be visited if
facility. During the inspection, look for the following:                  there is adequate time.
    S  Are chemicals, bulk materials, or other potential pollutants
       stored outside? Is there secondary containment? Are the materials covered?
    •S  Where are the permittee's vehicles washed? Are wash racks and dewatering areas plumbed to
       sanitary sewers, if allowed? If not allowed, are wastewaters from wash racks and dewatering
       areas prohibited from entering the MS4?
    ^  Where are the permittee's vehicles maintained? If outside, what BMPs are used to prevent
       polluted runoff?
    S  Does the facility have structural stormwater BMPs (e.g., stormwater detention ponds, stormwater
       filter devices) installed?
           o If so, how are they maintained?
           o What is the frequency of maintenance?
    •S  Are inoperable vehicles stored and maintained in a way to prevent polluted runoff and leaching of
       contaminants to groundwater?
    ^  Are storm drain inlets at the yard free of debris and regularly cleaned?
    ^  Is the yard swept regularly? Are there oil stains and spills at the yard?
An additional in-field evaluation activity could include visiting maintenance staff as they conduct
maintenance. For example, you could visit staff as they clean catch basins, perform street repairs, or
conduct other similar activities to ascertain whether stormwater BMPs are being implemented and
identify whether staff are knowledgeable about BMPs.

Document all findings in the field in as much detail as possible. An MS4 Facilities Inspection Worksheet
has been included as Appendix C to assist in this documentation.
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                                   CHAPTER 4.3: M$4 MAINTENANCE ACTIVITIES
Common Issues Identified During Program Evaluations
The following are some typical problem areas associated with MS4 maintenance programs. These areas
should be closely considered during evaluations:
    •S  The permittee's MS4 maintenance staff lack training on and awareness of stormwater
       management BMPs.
    •S  Permittee staff lack adequate guidance (e.g., MS4 maintenance BMP manual, SOPs, fact sheets)
       on proper stormwater management BMPs.

    ^  Stormwater BMPs and procedures are not incorporated during routine MS4 maintenance
       activities.
    •S  Maintenance yards lack SWPPPs and adequate controls to prevent stormwater contamination.
    ^  Contractual staff performing operation and maintenance activities for the permittee are not
       required to consider stormwater quality and implement appropriate BMPs.
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CHAPTER 4.4: CONSTRUCTION ACTIVITIES
4.4    Construction Activities

Regulatory Requirements
EPA's federal regulations for the stormwater NPDES Phase I and
Phase II regulations are listed at right. NPDES MS4 permits must
address these requirements and often include more specific state
requirements.

General Permits
As described above, stormwater Phase I and Phase II MS4
permittees must implement a SWMP that includes erosion and
sediment controls on construction sites disturbing at least one acre.
In addition to the regulation of construction site stormwater at the
local level, EPA regulations also require  construction sites disturbing
greater than one acre to obtain an NPDES permit. This permit can be
issued by the state permitting authority or EPA, depending on
whether the state has been delegated the NPDES authority. This dual
regulation of construction sites at both the local and state or federal
level can be confusing to permittees and  construction operators.

Although there are many similarities between the NPDES
construction general permit and the MS4 construction program
requirements, Municipalities are not required to ensure that local
construction projects comply with NPDES construction general
permits. Federal NPDES MS4 regulations describe broad
requirements for a stormwater program to control construction site
runoff to the MS4 and give the permittees flexibility in designing a
local program to meet their needs. However, to avoid duplication and
confusion between the two programs, some permittees choose to
require the same BMPs and plan submittals (i.e., SWPPPs) as
required by NPDES regulations.

Common Activities

Ordinance/Legal Authority
Many municipal permittees address legal authority for construction
site stormwater runoff control in a grading or stormwater ordinance.
The ordinance(s) should specify which sites are required to
implement controls (i.e., MS4 regulations require all sites greater
than one acre, but many permittees use a smaller area or volume
threshold, such as 50 cubic feet of earth moved or proximity to water
bodies). The ordinance should require erosion and sediment control
BMPs to be implemented and maintained, a performance standard,
and penalties for noncompliance.

Construction Site Inventory
The permittee should  have an inventory of active and completed
construction projects that includes information about the site and
inspections that the permittee has conducted, including inspection
findings and follow-up (letters, enforcement actions, additional
inspections). Permittees should consider  prioritizing the inventory to
                   Federal NPDES
                   Regulations
                   NPDES MS4 permits must
                   address these requirements
                   and often include more specific
                   state requirements:

                   •/Phase I MS4 Regulations
                     40 CFR 122.26(d)(2)(iv)(D)

                   v'Phase II MS4 Regulations
                     40CFR122.34(b)(4)
                   TIP:
                   MS4 permittees are not
                   required to enforce the NPDES
                   (state or federal) construction
                   general permit, but they are
                   required to comply with this
                   permit for their own public
                   construction projects (e.g.,
                   capital improvement projects,
                   road construction). This
                   includes the submittal of a
                   notice of intent, development of
                   a SWPPP or equivalent,
                   inspections, and other
                   requirements specified in the
                   state's construction general
                   permit.
                   Resources
                   ^Menu of BMPs
                     http://www.epa.qov/npdes/rn
                     enuofbmps
                   •/Construction Industry
                     Compliance Assistance
                     Center
                     http://www.cicacenter.orq/
                   •/International Erosion Control
                     Association
                     http://www.ieca.org/
                   •/ Kentucky Erosion Prevention
                     and Sediment Control Field
                     Guide
                     http://www.tetratech-ffx.com/
                     wstraininq/pdf/esc quide.pdf
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                                        CHAPTER 4.4: CONSTRUCTION ACTIVITIES
                                                                 Resources (continued)
                                                                 •/California Stormwater Quality
                                                                   Association's Stormwater
                                                                   Best Management Practice
                                                                   Handbooks
                                                                   http://www.cabmphandbooks
                                                                   .com/Construction.asp
                                                                 •/MPCA Inspection guide and
                                                                   compliance assistance toolkit
                                                                   http://www.pca.state.mn.us/
                                                                   wate r/sto rmwate r/i nd ex. htm I
                                                                 TIP:
                                                                 You should have a clear
                                                                 understanding of the plan
                                                                 review and approval process
                                                                 and how Stormwater and
                                                                 erosion and sediment control
                                                                 requirements are included in
                                                                 this process.
better target inspections based on project size, location, threat to
water quality, or other factors. The permittee should also develop
procedures for the receipt and consideration of complaints submitted
by the public. Ideally, this information would be managed in a
database and linked to a GIS for optimum tracking.

Construction Requirements and BMPs
While the legal authority described above should require BMPs at
construction sites, a permittee should also have additional
specifications or guidance on what types of BMPs are expected at
sites. These requirements and standards and specifications for BMPs
should be readily available to project applicants.

Plan Review Procedures
The review of erosion and sediment control plans (or SWPPPs if
required under an NPDES construction permit) should be based on
formal review specifications, a checklist, or similar criteria. Plan
review staff should document the BMPs considered, whether they
were addressed on the plans, and any identified deficiencies.

Some municipal permittees require that projects submit a copy of the
notice of intent (NOI) that has been submitted to the State or EPA
before approving a project. In some states, the state requires that the    	
permittee receive local erosion and sediment control approval prior
to submitting  a NOI. At a minimum, permittees should make sure that project applicants are aware of the
requirement to apply for NPDES permit coverage for projects disturbing greater than one acre.

Some municipal permittees use contract staff to review some or all plans. Be sure to review plans
completed by contractual as well as municipal employees.

Construction Site Inspections
A key element of the construction component is the frequency at
which sites are inspected. Some permittees identify a minimum
frequency  of inspections (such as weekly and/or following a rain
event) for all projects. Other permittees will rely on building
inspectors to conduct erosion and sediment control inspections at the
same time as other types of required inspections (e.g., electrical).
This approach, however, can result in sites not being inspected for
long periods of time if the building inspector is not called out for an
inspection. Also, building inspectors are not necessarily trained to      	
recognize erosion and sediment control problems or have other
priorities besides Stormwater.

Inspections are often targeted to specific types of sites or during specific periods (especially immediately
following a rain event). For permittees with numerous active construction projects, it is recommended that
a prioritization process be developed to ensure that the sites with the greatest threat to water quality are
considered high priority and inspected more frequently. Inspection results should be documented using
paper forms or electronic databases.
                                                                TIP:
                                                                Some municipal permittees
                                                                have different inspectors for
                                                                their public and private
                                                                projects, be sure to evaluate
                                                                each in the field.
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CHAPTER 4.4: CONSTRUCTION ACTIVITIES
Program Support and Resources
Permittees should have an established source of funding for their construction program, including
adequate resources for frequent inspections and plan review. Funds often come from fees paid by the
construction operators.  If general funds are used to support the program, permittees should ensure that
construction inspections are a line-item appropriation not subject to reduction or elimination based on
board politics or budget constraints.

Enforcement                                                     	
Permittees should have an established, escalating enforcement policy
that clearly describes the action to be taken for common violations.
Enforcement authority typically includes verbal and written
warnings, fines, and "stop work" orders. Verbal warnings should be
documented in addition to all written violation notices. The
enforcement policy should also address how repeat or serious
violations will be addressed, including referral of the case to the
NPDES permitting authority in the most egregious cases.
                   TIP:
                   Review enforcement cases to
                   assess whether the permittee
                   is adequately ensuring
                   compliance. Lack of fines, "stop
                   work" orders, or other
                   enforcement actions do not
                   necessarily indicate that the
                   permittee's enforcement
                   program is inadequate. A lack
                   of enforcement cases could  be
                   the result of an effective
                   inspection program,  or it could
                   indicate problems with the
                   inspection records, inspector
                   training, inspection procedures,
                   or even the lack of commitment
                   from the permittee to escalate
                   enforcement.
Training and Education
A SWMP should include training to plan review and inspection staff.
This training should include classroom presentations, in-field
training, and follow-up evaluations to determine whether the training
was effective. Although some permittees also provide training to
construction operators, most simply provide educational materials
such as fact sheets or brochures that describe local requirements and
recommended BMPs.

Public Construction Projects                                       	
Public construction projects must comply with both the local
program and the applicable NPDES construction general permit (state or federal). This requires the
permittee to take on dual roles as both local regulator and permittee. Permittees must apply the same local
requirements to public construction projects as are required of private projects. Some permittees develop
and design  public construction projects in-house without direct involvement from the department that
reviews most private construction projects; therefore, it is important that the public project designers are
trained and proficient in stormwater BMPs as well. If a permittee hires outside designers for public
projects, it is important that stormwater guidelines be provided to them to ensure compliance with local
and NPDES permit requirements.

After the project is designed, many permittees will hire contractors to build the project. Interested
applicants submit proposals to bid on the project. To ensure that successful applicants will abide by all
stormwater requirements, it is recommended that the request for proposals (RFP) include specific
language regarding installation and maintenance of all  BMPs. Many permittees also include additional
language in subsequent contracts (if there is a document separate from the proposal) obligating
contractors to appropriate stormwater measures and outlining potential enforcement penalties (i.e. delayed
or reduced payment). An evaluation of public construction projects should include a review of RFP or
contract language relating to stormwater controls.

Evaluating Construction Programs
The evaluation of a permittee's construction program should focus on the regulatory mechanism to
require and enforce the program, plan review procedures, and erosion and sediment control inspection
procedures. The evaluation should begin with a thorough review of the permittee's ordinances, standards,
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                                         CHAPTER 4.4: CONSTRUCTION ACTIVITIES
approved plans, and other relevant written materials. Ask staff to walk through the planning and approval
process from initial plan receipt to final approval.

You should determine how erosion and sediment control BMPs are required in construction site plans and
how they are implemented and enforced in the field. Inspectors from multiple departments might also
inspect different portions of a development project. For example, building department inspectors may be
charged with site inspections during the construction of the buildings, whereas public works inspectors
may be responsible for the inspection of construction activities within the right-of-way, such as streets,
sewer, and water. Various departments may inspect a site during different stages of the project. You must
be sure to interview all applicable staff and departments, which could include building, planning,
engineering, or public works. Questioning planners and engineers in addition to questioning inspectors is
helpful in determining how well various staff work together to achieve "on the ground" BMP
implementation.

Some municipal permittees manage public construction projects (including capital improvement projects
or CIPs) differently than private construction projects, for example, in some communities private projects
are reviewed and approved by the planning or building department, whereas public projects may be
entirely planned, reviewed, approved, and developed by the public works department. Make sure you
distinguish between these two types of projects during the evaluation, and if necessary, repeat the same
questions for both private and public projects.

Before the Program Evaluation
To prepare for the construction program evaluation, an evaluator
should review or obtain the following information:
       MS4 NPDES permit provisions. Review the permit
       requirements for the construction program to identify any
       specific requirements (such as a minimum inspection
       frequency). The NPDES permit will serve as the primary
       basis for the program evaluation.

       SWMP provisions. The permittee's SWMP planning
       document(s) will describe the activities and BMPs it is
       committed to implement and include measurable goals that
       provide deadlines for program implementation.
                 Pre-Eualuation Checklist
                 •/ MS4 permit provisions
                 •/SWMP provisions
                 •/Most recent annual report
                 •/State or EPA Construction
                   General Permit
                 •/ List of NPDES construction
                   projects
                 S NPDES Construction
                   inspection reports
    A  Latest annual report. The most recent annual report should be reviewed to identify past
       activities and help the inspector become familiar with the permittee's program.
    4  State or EPA NPDES Construction General Permit. You should be very familiar with the
       requirements of the state or EPA's construction general permit, whichever applies, to ensure that
       conflicts between the SWMP and the state or EPA permit can be identified and violations of the
       state or EPA permit can be found.
    4  List of NPDES construction projects. Obtain a recent list of construction projects within the
       permit area that have been issued coverage under an NPDES general permit by the permitting
       authority (one acre or greater disturbed area). This list can be used during the program evaluation
       to determine whether the permittee has any public construction projects. The list can also help
       identify potential construction sites for field inspections. The list can also be crosschecked with a
       similar list requested and obtained from the permittee. Obtain information such as the operator
       name, name of the construction site, address, size, and other relevant information.
    A  NPDES construction inspection reports. Review inspection reports from construction
       inspections in the permittee's jurisdiction conducted by the permitting authority and/or EPA. Talk
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CHAPTER 4.4: CONSTRUCTION ACTIVITIES
       to state or federal construction inspectors to determine if there have been past stormwater
       violations at construction sites in the permitted area and any role the permittee played in resolving
       the violations.
Records Review
The following records might help in evaluating the compliance and performance of the permittee's
construction program. Ask for copies of relevant information where it will help in writing a report or
documenting a permit violation.
 Documentation
           What to Look For
  Local ordinances
           One or more of the following
           ordinances may be used by a municipal
           permittee to regulate erosion and
           sediment control.
           • Grading ordinance
           • Erosion control ordinance
           • Stormwater ordinance
           • Landscaping ordinance
           • Health and safety codes
  Design standards, BMP manuals, and fact sheets.
           These can be state or local standards
           or be taken from a non-regulatory
           source
  Construction plans reviewed and approved by the
  permittee
           Where possible, try to review the plans
           for projects that you will also visit
           during the field portion of the  evaluation
  Construction project inventory or database
             Does one exist?
             How often is it updated?
             What is the source for the inventory?
  Enforcement escalation response plan or procedure
             Is the enforcement process
             documented and codified?
             Are roles of individuals or
             departments clearly defined?
Elements to Address During the Program Evaluation
Although not specified in detail in NPDES regulations, a successful construction program will generally
be composed of the following elements:


    A  Ordinance/legal authority

    A  Construction project inventory

    4  Construction requirements and BMPs

    A  Plan review procedures

    4  Construction site inspections
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                                        CHAPTER 4.4: CONSTRUCTION ACTIVITIES
    A  Program support and resources
    A  Enforcement/referrals
    A  Training and education

The common program elements are the key issues to consider during the review.
ORDINANCE/LEGAL AUTHORITY
    •S  What legal authority does the permittee have to require erosion and sediment control BMPs on
       construction sites and to ensure compliance?
    •S  Does the permittee's legal authority address stormwater quality for all projects disturbing at least
       one acre?
    S  What exemptions does the ordinance or other legal authority allow?
    S  Does the legal authority authorize the permittee to require erosion and sediment control plans?

CONSTRUCTION SITE INVENTORY
    •S  How does the permittee track construction projects?
    S  What information is collected?
           o  The number and status (active/inactive/completed) of construction sites
           o  The number, frequency, results, and follow-up actions resulting from inspections
           o  The actions taken to resolve the issues and dates when compliance was achieved.
           o  The number and type of enforcement actions taken at sites in violation
           o  Complaints submitted by the public
    •S  Does the inventory include construction sites disturbing less than 1 acre?
    S  What is the threshold for tracking projects?
    S  Does the inventory track which sites have submitted an NOI for coverage under a state/EPA
       construction general permit?
    •S  How is the inventory updated? How often?
    S  Does the permittee prioritize projects for more frequent or targeted inspections?
           o  If yes, based on what criteria?
CONSTRUCTION REQUIREMENTS AND BMPS                     TIP:
    v'  What technical guidance (e.g., BMP manual or fact sheets)      You should ask the permittee
       does the permittee use as the standard for design and           for a C°PY of the information
       selection of nonstructural and structural construction BMPs?    Packet that theV Provide to new
                                                                project applicants. What type
           o  Are project applicants required to follow these          of stormwater information is
              technical manuals?                                 included? Does it describe the
                                                                types of BMPs and stormwater
           o  Does the guidance set minimum operation and          requirements that could apply
              maintenance requirements for BMPs?                 to their project?
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CHAPTER 4.4: CONSTRUCTION ACTIVITIES
           o   Does the guidance include installation requirements for the BMPs?
           o   Does the guidance provide proper siting and use criteria for BMPs to ensure that adequate
               BMPs are being selected and implemented?
    •S  Does the permittee provide guidance as to recommended BMPs to be used?
    •S  Does the permittee have different requirements or standards for different times of the year (i.e.,
       during the rainy season vs. the dry season)?
                                                                 TIP:
                                                                 You should select at least 2 to
                                                                 3 approved projects with
                                                                 erosion and sediment control
                                                                 plans to review with the
                                                                 permittee. Try to choose
                                                                 different project types
                                                                 (residential, commercial) and
                                                                 sizes. Also review at least one
                                                                 public project plan to see if the
                                                                 permittee is applying adequate
                                                                 standards to municipal
                                                                 construction.
PLAN REVIEW PROCEDURES
    •S  Does the permittee hold pre-application meetings on any
       construction projects? Are stormwater and erosion and
       sediment control requirements addressed at these meetings?
    S  Is there any plan review coordination with other city
       departments such as smart growth, redevelopment, traffic
       engineering, etc.?

    •S  What is the permittee's threshold for plan review? (For
       example, does the permittee review plans for all projects
       disturbing greater than 1 acre, or do they use another
       threshold?)
    •S  Does the permittee apply standard conditions that
       incorporate erosion and sediment control requirements into
       its plan review process?
           o  Get a copy of the  standard conditions to determine if they specifically address erosion
              and sediment control
    S  Do the plan reviewers verify whether the project applicant has submitted an NOI to the state or
       EPA? Is evidence of NOI  submission required before a plan can be approved or a local permit
       issued?
    •S  Do plan reviewers use specific criteria or a checklist when reviewing plans?
    •S  Does the permittee consider during the review process whether the construction project
       discharges to a TMDL/impaired water?
    S  When reviewing plans approved by the permittee, you should:
           o  Look for whether adequate BMPs are included on plans, details, and drawings for the
              installation of certain BMPs when applicable, what types of standard conditions or notes
              are included, and whether maintenance requirements are specified.
           o  Are inadequate or incomplete plans automatically returned to the applicant? Are these
              returns accompanied by an explanation of what is needed for approval?
           o  Are BMPs addressing other construction activities, such as materials storage and waste
              disposal, incorporated into the construction plans?
           o  Do the plans include notes addressing the prohibition of non-stormwater discharges?

           o  Were comments provided by the permittee to the project proponent reasonable and
              appropriate?
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                                        CHAPTER 4.4: CONSTRUCTION ACTIVITIES
                                                               TIP:
                                                               Review inspection records to
                                                               determine how the permittee
                                                               corrects identified problems. If
                                                               an inspection report identifies
                                                               missing BMPs or a non-
                                                               stormwater discharge, verify
                                                               that there is an inspection
                                                               record showing that the site
                                                               was reinspected within a
                                                               reasonable timeframe. Was the
                                                               problem corrected?
CONSTRUCTION SITE INSPECTIONS
    S  Does the permittee adequately inspect all phases of
       construction?
           o  Clearing and grubbing and site preparation
           o  Mass grading and public infrastructure/utility
              construction
           o  Building construction and final grading
           o  Final stabilization
    S  What departments are charged with erosion and sediment
       control inspections? Is the department responsible based on
       the location of the site (i.e. right-of-way vs. building site) or
       phase of development (i.e., grading vs. building)?
    S  Do the  inspectors use a checklist or inspection form during each inspection?
    •S  How many inspectors does the permittee use to verify erosion and sediment control compliance at
       construction sites?
    S  Does this number appear adequate to assess active construction occurring in the permitted area?
       Compare this to the total number of construction sites that need to be inspected at any one time
       (number of inspections per construction site per year). Consider project durations and phasing,
       local conditions (e.g., dry vs. wet seasons), and additional duties assigned to inspectors.
    S  Does the permittee have an established prioritization process for establishing inspection
       frequency? If so, on what factors is the prioritization based (i.e., size, proximity to water body,
       sensitive areas)?
    •S  How often are sites inspected?
    S  Does the permittee target inspections during and immediately after wet weather events? If so:
           o  What size rain event triggers an inspection?
           o  How soon after a rain event?
    •S  Is there an established rainy season for the area?  Are sites inspected prior to the start of the rainy
       season  to determine preparedness?

PROGRAM SUPPORT AND RESOURCES
    •S  Does the program have a dedicated source of funding to support plan review staff and inspectors?

ENFORCEMENT
    S  What types of enforcement actions are provided for in applicable ordinances (e.g., notices of
       violation, "stop work" orders, fines)?
    •S  Is use of these actions outlined in an established, escalating enforcement policy?
    •S  Review with the permittee statistics on enforcement of construction site erosion and sediment
       controls.
           o  How many enforcement actions are taken per year?
           o  Are follow-up inspections conducted to verify compliance?
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CHAPTER 4.4: CONSTRUCTION ACTIVITIES
    S  Are there limitations on the permittee's enforcement authority (e.g., limits on the dollar amount
       of fines, inability to issue civil penalties)?
    S  Do staff feel that their enforcement authority is adequate to achieve compliance on construction
       projects?
    S  What is the relationship with the City Attorney or other relevant prosecuting authority?

TRAINING AND EDUCATION
Staff training                                                     	
                                                                 Tip.
    S  What type of training do construction inspectors receive?
       Are plan reviewers trained on erosion and sediment control     Permittees must train their
       BMPs and requirements?                                   PrimarV inspectors, but they
                                                                 should also provide at least
    S  How often is training conducted? How many staff have been    basic stormwater training to
       trained?                                                   other field inspectors not
                                                                 directly involved in the
    S  What type of follow-up is conducted by the permittee to        stormwater program, such as
       verify that the training is effective?                           building inspectors and code
Construction operator education                                    compliance staff. At a
                                                                 minimum, this will encourage
    S  What types of educational materials have been developed       these staff to refer stormwater
       and distributed to construction operators?                     problems to the permittee's
                                                                 designated stormwater
    S  How are they distributed? At the permit desk? During          inspector.
       inspections?
    S  What type of training does the permittee provide or advertise
       to local construction operators?
    S  How often is this training conducted? How many construction site operators have been trained?
    •S  Are contractors and developers required to attend?
    S  Does the training cover any of the following?
           o  Local and state erosion and sediment control requirements and permits
           o  Proper erosion and sediment control BMP design and installation
           o  Maintenance requirements for BMPs
           o  General construction stormwater permit requirements (state or federal)
    S  Are training sessions held in cooperation with other local permittees or regional authorities?

PUBLIC CONSTRUCTION PROJECTS
    •S  Do RFPs or contracts include language specifying  stormwater requirements?
    S  Are inspection and maintenance requirements specified in the contract?
    S  What oversight does the permittee implement to ensure the contractor is implementing all
       requirements appropriately and adequately?
    •S  What penalties are in place to require compliance from the permittee's contractors?
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                                          CHAPTER 4.4: CONSTRUCTION ACTIVITIES
In-Field Program Evaluation Activities
In-field activities to evaluate the construction inspection program
typically consist of accompanying one or more construction
inspectors in the field as they conduct inspections. The
construction inspector is to conduct the inspection; you are to
strictly observe. Discourage construction inspectors from merely
describing the inspection process. It is best to accompany more
than one  construction inspector, if possible, to see whether the
permittee is providing adequate training to all inspectors.
                                                                TIP:
                                                                Let the inspector lead the
                                                                inspection—just observe. Don't
                                                                let the inspector "explain" how
                                                                they would conduct the
                                                                inspection—tell them to show
                                                                you.
The main purpose of the field evaluation is to assess the permittee's construction inspection program—
how knowledgeable the inspectors are about stormwater requirements and BMPs, how thorough of an
inspection they conduct, and how they handle problems identified at construction sites. This assessment
can sometimes be made after only one or two construction site inspections, while for other permittees it
may take multiple inspections and visits with several inspectors to assess their inspection program. Try to
limit the number of people that join each inspection—too many staff can overwhelm a construction site,
making it harder for the construction inspector to conduct an actual inspection.

Schedule at least a half-day for construction inspections. Travel time between sites may be significant, so
plan accordingly. For a large permit area with a lot of active construction, schedule a full day if possible
to visit both private and public projects. Stress the need to visit as many construction projects as possible
while still following the inspector's standard procedures. Try to observe a large variety of sites, such as
small residential projects, larger housing developments, commercial projects, and public construction
projects, projects in mass grading, projects close to completion, and projects adjacent to waterways.
As the inspector conducts the construction inspection, observe the
following:
    •S  Is the inspector knowledgeable about stormwater BMPs,
       requirements, and ordinances?
    S  Is the inspector familiar with the applicable construction
       stormwater general permit?
    S  Does the inspector check the approved plans at the
       construction site? (Note that some inspectors visit sites
       frequently and this is not always practical. Also, plans at
       small construction sites might not be kept on-site.)
           o   Ask the inspector if he or she has visited this
               particular site before. If the answer is no, the
               inspector should  ask to see the plans, have reviewed
               them ahead of time, or brought a copy so he or she
               knows what BMPs have been approved for that site.
    S  Does the inspector use a checklist or otherwise document       	
       inspection findings in the field?
    •S  What kind of written feedback is provided to the operator and within what timeframe do
       violations need to be addressed?
    •S  What kind of report is generated as a result of the inspection? Does it detail all problems found at
       the site or does it document only that the inspection occurred?
    S  Are findings from inspections tracked in a central location or database?
                                                                  TIP:
                                                                  Be aware that permittees will
                                                                  often match you up with their
                                                                  "best" inspectors and want to
                                                                  take you to the most compliant
                                                                  sites. Visiting sites that are
                                                                  "bad actors" or typically non-
                                                                  compliant can also be very
                                                                  helpful in characterizing the
                                                                  inspector's knowledge and
                                                                  abilities. "Dirty" projects do not
                                                                  necessarily indicate inadequate
                                                                  inspections or inept inspection
                                                                  staff. It is sometimes helpful to
                                                                  the inspectors to have another
                                                                  set of eyes at a problem site to
                                                                  assess the issues and provide
                                                                  insight for solutions.
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CHAPTER 4.4: CONSTRUCTION ACTIVITIES
    •S  How does the inspector track required follow-up inspections or enforcement actions?
    •S  Is the inspector thorough? Does the inspector walk the entire site and identify all potential
       problems?
    •S  Does the inspector note flow pathways and check for discharges from the site at outfalls or to
       storm drain inlets?

    S  What type of stormwater training has the inspector received?
The in-field activity is a good opportunity for you to ask the inspectors some of the same questions asked
during the office portion of the program evaluation to see if the answers differ. Often, inspectors are more
open to discussing "problems" with the program than are the program managers. Try to spend some time
with the construction inspector talking informally about the program. (The drive between inspections is a
good time for this talk.)

Document all findings in the field in as much detail as possible. A Construction Inspection Worksheet has
been included in Appendix C to assist in this documentation.

Common Issues Identified During Program Evaluations
The following are some common problems with construction programs. These areas should be closely
considered during evaluations:
    S  When erosion and sediment control inspections are included as part of building inspections,
       erosion and sediment control is seen as a less important aspect of the  inspection compared to
       other aspects, such as electrical or plumbing.
    •S  The inspectors may lack the training and time necessary to conduct thorough erosion and
       sediment control inspections.
    •S  Construction inspectors sometimes lack the authority to enforce the local ordinance.
    •S  The inspectors may not follow a formal, written, escalating enforcement policy, or such a policy
       does not exist.
    •S  Construction inspectors do not document inspection results using a checklist or other document.
    •S  Inspectors do not conduct thorough inspections (i.e., drive-by inspections are common).
    •S  Construction inspectors do not verify that BMPs approved on plans are actually installed at the
       project.
    •S  Construction inspectors do not inspect to determine if BMPs are adequately maintained.
    •S  The permittee is not adequately tracking inspections  and inspection results.
    •S  The permittee is not verifying general permit coverage before approving plans for construction
       disturbing one acre or more.
    •S  Plan review staff lack adequate guidance and criteria for reviewing erosion and sediment control
       plans.
    S  Inspectors of public projects (in-house or contractual staff) are not knowledgeable about the
       applicable construction general permit (this is a significant liability because the inspector is
       usually responsible for ensuring compliance with this permit).
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                                CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
                                                               Federal NPDES
                                                               Regulations
                                                               NPDES MS4 permits must
                                                               address these requirements
                                                               and often include more
                                                               specific state requirements:

                                                               •/Phase I MS4 Regulations
                                                                40 CFR 122.26(d)(2)(iv)(D)

                                                               v'Phase II MS4 Regulations
                                                                40CFR122.23(b)(5)
                                                                40CFR122.23(b)(5)
4.5    Post-Construction Controls

Regulatory Requirements
EPA's federal regulations for the stormwater Phase I and Phase II
NPDES MS4 regulations are listed at right. NPDES MS4 permits
must address these requirements and often include more specific
requirements.

General Permits
As described above, stormwater Phase I and Phase II permittees
must implement a SWMP that includes a post-construction
component that addresses stormwater runoff at the completion of
construction of new or redevelopment sites that disturb at least one
acre.

Common Activities

Ordinance/Legal Authority
The ordinance should have language requiring that all new
development and significant redevelopment projects incorporate
stormwater management BMPs and submit a plan that complies with
design standards, zoning codes and comprehensive or master plans.
Some permittees review required construction general permit
SWPPPs, while others require the development and submittal of a
separate post-construction plan to address local stormwater
requirements. In addition, some permittees require that projects
smaller than one acre implement post-construction stormwater
controls. These requirements should be detailed in an ordinance to
establish legal authority. Ideally, the ordinance will outline the
contents of an approvable plan and responsibilities for operation and
maintenance of approved BMPs. The operation and maintenance
section should also describe who is responsible for inspections and
maintenance (e.g., the homeowner, homeowners' association,
permittee, etc.).

Comprehensive or Master Planning
Often, when the MS4 is a municipality, the permittees address
stormwater management using the established local comprehensive
or master planning process. Comprehensive or master planning
typically is required by state law and is to be used as guide in
decision-making about the built and natural environment by the
governing body of the permittee (i.e., city council, planning
commission, county board). A comprehensive plan contains long-
term planning recommendations for the community and often
addresses water quality issues either directly with specific water
quality goals or indirectly through the encouragement of land use practices that minimize impervious
surface (i.e., high density "villages") or encourage open space.

The inclusion of water quality-related goals in the comprehensive plan could assist local planners and
policymakers to institutionalize the stormwater principles necessary to implement an effective SWMP.
                                                               Resources
                                                               ^Menu of BMPs
                                                                www.epa.qov/npdes/stormwa
                                                                ter/menuofbmps
                                                               •/California Stormwater Quality
                                                                Association's New
                                                                Development and
                                                                Redevelopment Handbook
                                                                http://www.cabmphandbooks.
                                                                com/Development.asp
                                                               •/Georgia Quality Growth
                                                                Program
                                                                www.qeorqiaqualityqrowth.co
                                                                m
                                                               S EPA Smart Growth Web site
                                                                www.epa.gov/dced/
                                                               •/Smart Growth Online
                                                                www.smartqrowth.org/
                                                               •/EPA Low Impact
                                                                Development Resource
                                                                Center
                                                                www. e pa .q o v/owow/n ps/l id/
                                                               >/Low Impact Development
                                                                Center
                                                                www.lowimpactdevelopment.
                                                                orq
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CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
However, the comprehensive plan is not a substitute for a SWMP Plan because it cannot be changed or
updated readily and does not include necessary implementation details of the stormwater program.

Post-Construction BMP Standards
While the legal authority described above should require the installation of BMPs at sites, a permittee
should also have additional specifications or guidance on what types of BMPs are expected or required.
Ideally, the ordinance will include language that refers to a guidance manual for BMP design and
implementation. The recommended manual should contain sizing criteria, performance criteria, and
guidance on selection and location of BMPs. The manual and preferred BMPs should be available to
project applicants early in the planning phase of a project. The standards should include guidance for
proper district or subarea design (e.g., a redevelopment district), proper site design (e.g., sending gutter
water into landscaping), source control (e.g., covering trash cans), and stormwater treatment BMPs (e.g.
sand filters).
Plan Review and Approval Procedures                               -.p.
The review of post-construction plans should be based on formal
review specifications, a checklist, or similar criteria. Plan review        *eview several {™es °f refnt
 * ^c u   u j       1*1.  TiA^n     -j   j   u *u   *u                development projects that have
staff should document the BMPs considered, whether they were              through the review
addressed on the plans, and any identified deficiencies. Some           nrocess Include small
permittees use contract staff to review some or all plans. Be sure to      residential and larqe
review plans completed by contractual as well as permittee staff.        commercial development
                                                                  projects as well as both new
Post-Construction BMP Inventory                                   development and
The permittee should maintain inventory detailing the types and         redevelopment projects, if
locations of planned and installed post-construction BMPs projects.      applicable.
There may be two types of inventories: (1) a traditional database for    	
site-level structural BMPs, and  (2) a tracking system for planning or
development practices BMPs. Ideally, both types of information would be managed in a database and
linked to a GIS for optimum tracking. Structural post-construction BMPs must be inspected and
maintained to remain effective.  Tracking the locations, conditions, ages of the structural BMPs as well as
the inspection findings is critical to ensuring the proper maintenance occurs for the life of the BMP. For
planning-related BMPs, tracking systems may be linked to code revisions or development permits. Note
that some revisions may occur with State or regional codes or standards, which might require a separate
tracking system.

BMP Inspection and Maintenance
Proper BMP installation, operation, and maintenance are critical to optimizing the effectiveness  of post-
construction BMPs. If BMPs are not maintained, they can become concentrated sources of pollutants
themselves. Comprehensive "as built" inspections are necessary at the conclusion of a project to ensure
the BMP has been built properly and regular inspections are critical to ensure the BMP is being
maintained as needed. Permittees may inspect private BMPs or require that the owners/operators of the
facility inspect them through  maintenance agreements or other mechanisms. Often, permittees require that
facility owner/operators submit documentation detailing inspection dates and maintenance performed.

Enforcement
Legal authority is needed to require owner/operators to maintain BMPs. This can be outlined in a
maintenance agreement or other binding contract, but it must be included in municipal code or regulation
as well. The permittee should have available enforcement actions to require the owner/operator to
perform necessary inspections and maintenance. Some permittees have authority to abate problem
facilities (i.e., maintain the facility and charge the owner/operator) if necessary.
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                                 CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
                                                                 TIP:
                                                                 A review of existing codes and
                                                                 land development regulations
                                                                 can be extensive. The following
                                                                 are previous efforts to evaluate
                                                                 development codes that may
                                                                 be helpful in this process:

                                                                 Center for Watershed
                                                                 Protection Codes and
                                                                 Ordinances worksheet
                                                                 http://www.cwp.org/COW work
                                                                 sheet.htm

                                                                 EPA list of smart growth
                                                                 scorecards
                                                                 www.epa.gov/smartgrowth/scor
                                                                 ecards/project.htm

                                                                 King County Washington "Built
                                                                 Green" Checklists
                                                                 http://www.builtgreen.net/check
                                                                 lists.html
Public Construction Projects
Municipal permittees must apply the same local requirements to
public construction projects as is required of private projects. Some
municipal permittees develop and design public construction projects
in-house without direct involvement from the department that
reviews most private construction projects; therefore, it is important
that the public project designers are trained and proficient in
stormwater BMPs as well. If the permittee hires outside designers for
public projects, stormwater guidelines should be provided to them to
ensure compliance with local and general permit requirements.
Permittees should have an inventory of publicly owned stormwater
management and treatment facilities and should have an inspection
and maintenance program established.

Training and Education
Permittees should provide training to plan review and BMP
inspection staff (if applicable). This training should include
classroom presentations and in-field training as well as follow-up
evaluations to demonstrate that the training was effective.

Evaluating Post-Construction Programs
Development can significantly alter landscapes by increasing
imperviousness (e.g., roofs, driveways, parking lots) and changing     	
drainage patterns, thereby increasing the volume and velocity of runoff from the site. Increased volume
leads to degradation of receiving waters and increased flood frequency. Stormwater from newly
developed impervious areas can also contain a variety of pollutants that are detrimental to water quality,
such as sediment, nutrients, road salts, heavy metals, pathogenic bacteria, and petroleum hydrocarbons.
Two groups of BMPs can minimize the impacts of stormwater from new development and redevelopment
projects: nonstructural  site design or source control measures, which prevent or reduce the generation of
pollutants, and structural treatment BMPs that detain and treat stormwater to control the volume of runoff
and reduce pollutant loading to receiving waters.

Postconstruction stormwater impacts are not likely to be controlled entirely with site-level BMPs.  Thus
regional, district and subarea planning is increasingly recognized as a means to control overall
imperviousness.  Postconstruction BMP standards are likely to include many interlinking requirements
that affect common land development practices, such as street design, community layout, and land use
mix. The aim of such standards is to revise building practices that drive impervious surface generation
within a watershed to reduce the effects of the built environment at a meaningful scale. Note that this
approach to stormwater management is new, so an evaluation of this area may address future planning
activities in addition to current activities.

There are several approaches permittees may use to implement planning-level BMPs, each of which is are
appropriate in different development settings and offers a unique set of benefits. Four of these
approaches or frameworks—redevelopment, infill,  compact design, and conservation development—are
described below and may be found in a comprehensive plan or SWMP:

•   Redevelopment: Under this framework, a permittee is looking to redevelop already impervious
    districts and lots. Programs to support redevelopment include downtown redevelopment plans,
    vacant property reforms, brownfields redevelopment, and corridor redevelopment plans. These
    programs are typically more successful when supported by financial programs (e.g., tax incentives
    and grants), policy support (e.g., priority infrastructure), and technical assistance and staffing support.
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CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
•   Infill: Infill development, like redevelopment, takes place in
    areas supported by existing road, water, and sewer infrastructure.
    Infill development tends to have a smaller footprint than
    conventional new development projects. Infill sites, whether
    individual lots or larger parcels, are generally undeveloped and
    may be able to manage stormwater flows onsite. The policies
    described above for redevelopment would apply to infill
    development, as well as any policies to mitigate flows from
    infill.

•   Compact Design: Compact designs seek to meet development
    needs on a smaller footprint to achieve both development and
    conservation goals. These designs can be used  in redevelopment
    (e.g., transit-oriented development) or new development (e.g.,
    cluster housing or rural or urban villages) situations and are
    suitable in urban, urbanizing, and rural settings. The key to
    successful designs lies in coordinating interlinking aspects of
    transportation, land use, and open spaces. This framework is
    particularly amenable to design guidelines for a district,
    including stormwater management.

•   Conservation Development: This framework, typically used in
    rural areas or along the urbanizing fringe, is targeted for the
    lowest impact development.  Successful programs will be tied to
    specific conservation objectives (e.g., habitat preservation,
    groundwater recharge) and will link the rural development         	
    scheme with rural economic development objectives.

When evaluating the post-construction, new and redevelopment component of a SWMP, it is helpful to
discuss the process chronologically in the order that a project would occur. Ask the permittee's planning
staff to walk you through the process as if you were a developer proposing a project. Discuss what post-
construction stormwater BMPs are required for new and redevelopment projects, how and when
developers are informed of the stormwater requirements in the initial planning stages, how plans are
reviewed for stormwater standards, on what legal authority requirements and standards are based, what is
required for plan approval, how the BMPs are inspected during and after construction, and how the
permittee ensures that BMPs are adequately operated and maintained.

Typically, an on-site evaluation for post-construction BMPs will involve interviewing planning and
engineering staff. Planners usually work with developers to determine what is required for plan submittal,
but engineering staff may actually review the plans  and verify design calculations.
                   TIP:
                   When permittees review
                   development codes to identify
                   areas where stormwater
                   benefits can be incorporated,
                   the following are typically
                   examined:

                   •/  Review of parking demand
                      or indications of overly high
                      parking ratios
                   •/  Overlarge setbacks from
                      the street or other lot lines
                   •/  Minimum lot size
                      requirements in urbanizing
                      areas
                   •/  Highly separated uses
                      embedded in codes
                   •/  Subdivision and street
                      requirements
                   •/  A review of barriers to low
                      impact development,
                      redevelopment or other
                      land efficient forms,
                      including State or
                      institutional barriers and
                      standards
Before the Program Evaluation
To prepare for the post-construction program evaluation, you should
review or obtain the following information:

    A  NPDES MS4 permit provisions. Review the permit
       requirements for the post-construction program to identify
       any specific requirements (such as a design standard for
       post-construction controls). The NPDES permit will serve as
       the primary basis for the program evaluation.
                   Pre-Eualuation Checklist
                   •/ MS4 permit provisions
                   •/SWMP provisions
                   •/Most recent annual report
                   •/Comprehensive plans
                   •/ Economic development
                     plans
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                               CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
    A  SWMP provisions. The permittee's SWMP planning document(s) will describe the activities and
       BMPs the permittee has committed to implement and include measurable goals that provide
       deadlines for program implementation.
    4  Latest annual report. The annual report should be reviewed to identify past activities and help
       the inspector become familiar with the permittee's program.


Records Review
The following records might help in evaluating the compliance and performance of the permittee's post-
construction program. Ask for copies of relevant information where it will help in writing a report or
documenting a permit violation.
Documentation
Local ordinances
Comprehensive or General Plans
Design standards, BMP manuals,
or fact sheets
Post-construction plans reviewed
and approved by the permittee
Post-construction BMP tracking
system
What to Look For
One or more of the following ordinances may be used by a
permittee to regulate post-construction BMPs
• Grading ordinance
• Stormwater ordinance
• Landscaping ordinance
• Other portions of the code used by code enforcement staff to
enforce aesthetic concerns
• Zoning codes or land development regulations (where the
permittee chooses to amend existing codes to implement
post-construction improvements)
• Economic development and capital improvement plans that
support the district or comprehensive planning goals
• Design guidelines for larger development areas (e.g.
subdivisions, mixed use districts, downtown redevelopment
programs)
• Local and district open space and park plans that serve to
support the post-construction program
Review for language that requires consideration of water quality
concerns when evaluating development projects
These can be state or local standards or be taken from a non-
regulatory source
Where possible, try to review the plans for projects that you will
also visit during the field portion of the evaluation
Database or other system used to track the location of post-
construction BMPs that have been installed and the maintenance
performed or required for each BMP
Elements to Address During the Program Evaluation
Although not specified in detail in NPDES regulations, a successful post-construction program will
generally be composed of the following elements:


    A  Ordinance/legal authority
    4  Comprehensive or master planning
    4  Post-construction BMP standards
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CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
    A  Plan Review and approval procedures
    4  Post-construction BMP inventory
    A  BMP inspections
    A  Enforcement
    4  Public construction projects
    A  Training and education

The common program elements are the key issues to consider during the review. For each of the elements
listed above, this Guidance presents common program activities and questions to consider during the
program evaluation. The questions are suggested for you to address each program component. Of course,
a comprehensive program evaluation must be tailored to the specific issues associated with each permittee
and should include more specific questions regarding the permittee's permit structure and management
challenges.
ORDINANCE/LEGAL AUTHORITY
    S  What legal authority does the permittee have to require post-construction BMPs on development
       sites and to ensure maintenance?
    S  Does the permittee's legal authority address post-construction requirements for all projects
       disturbing one acre or more?
    •S  Does the legal authority require site design, source control, and stormwater treatment BMPs?
    S  What exemptions does the ordinance or other legal authority allow?
    S  What procedures for alternative compliance (i.e., planning-level BMPs and other non-structural
       controls) are allowed?
    S  Does the legal authority authorize the permittee to require stormwater management plans to
       address post-construction impacts?

COMPREHENSIVE OR MASTER PLANNING
    S  Does the comprehensive or master plan include elements encouraging the control of water quality
       or quantity (e.g., flooding) from existing or new developments?
    •S  Does the plan include elements to encourage protection of natural features (such as wetlands,
       buffer strips, etc.)?
    S  Does the comprehensive or master plan include elements to encourage minimization of
       impervious surfaces?
    •S  Does the comprehensive plan include elements to encourage open space?

POST-CONSTRUCTION BMP STANDARDS
    •S  What technical guidance (e.g., BMP manual) does the permittee use as the standard for design
       and selection of post-construction BMPs? It is not necessary to do a thorough review of the
       manual or standards used by the permittee. Question the planners regarding the following key
       items:
           o  Are project proponents required to follow the technical manual?
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                                 CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
           o   Does the guidance provide siting and use criteria for the BMPs to ensure proper and
               adequate BMPs are being selected and implemented?
           o   Does the guidance provide siting and use criteria for BMP selection based on the
               development context (i.e., BMP selection appropriate for ultra urban-areas versus those
               more appropriate for more rural settings with larger parcels)?
           o   Are pollutants of concern that are typically generated by the proposed development type
               considered when selecting or approving BMPs?

           o   Does the technical manual provide guidance on sizing, performance, and location of
               BMPs?
           o   When was the BMP manual last updated?
    •S  Does the permittee have  different requirements or standards for different types of developments
       (e.g., specific post-construction requirements for gas stations or automobile repair facilities)?
    S  Does the permittee have  design manuals related to land-efficient site designs (e.g. better site
       design, better models for large retailers)?
    S  Does the permittee promote source control and site design standards to reduce the generation of
       pollutants in addition to treatment BMPs?
    S  Does the permittee include in standards and manuals specifications for innovative site design
       practices, such as low-impact development and other techniques that manage runoff on-site?
    •S  Are project applicants encouraged or required to use vegetative BMPs that promote infiltration,
       such as  swales, biofiltration practices,  etc., where possible?
    •S  Does the permittee offer financial incentives to support post-construction stormwater goals (e.g.,
       programs to support redevelopment, such as enterprise
       zones, or stormwater utility credits)?
                                                                 TIP:
PLAN REVIEW AND APPROVAL PROCEDURES                   Select 2 to 3 approved projects
                                                                 with post-construction BMPs to
    S  What is the project size threshold for the permittee to require    review with the permittee. Try
       post-construction BMPs?                                   to choose different project
                                                                 types (residential, commercial)
    S  Does the permittee apply standard conditions that              and sizes A,so review at ,east
       incorporate post-construction installation and maintenance      one public project plan to see if
       requirements into its plan review process?                     the permittee is applying
              r.u.  •          f.,   .    ,  ,    ,...     ^  .,         adequate standards to
           o  Obtain a copy or the standard conditions. Do they          .  .   , .   ,      .
                   .,,   „    ,,                .             J      municipal developments.
              specifically address post-construction stormwater
              management?
    S  Do plan reviewers use specific criteria or a checklist when reviewing plans?
    S  Does the permittee consider pollutants of concern or whether the project discharges to a 303(d)
       listed impaired water when determining which BMPs are required?
    •S  Does the permittee consider such regional concerns as smart growth initiatives, watershed master
       plans, and other larger-scale planning efforts to ensure that each new development and
       redevelopment plan is consistent with the goals of these initiatives?
    S  When reviewing plans approved by the permittee:
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CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
           o  Look for whether adequate BMPs are included on plans, details, and drawings, what
              types of standard conditions or notes are included, whether maintenance requirements are
              specified, and whether the location of BMPs would hinder maintenance.
           o  Look for BMPs that may not be easily characterized, in particular the comprehensive
              planning and land-efficient planning BMPs.
           o  For commercial/industrial projects, review whether adequate source control BMPs are
              required on plans.
           o  Were comments provided by the permittee to the project proponent reasonable and
              appropriate?
    •S  What types of projects must be reviewed by the permittee for post-construction stormwater
       controls? Does the permittee have a process to identify priority projects identified in the MS4
       NPDES permit?
    •S  What types of standards or technical guidance do the permittee's reviewers use to review
       projects?
    •S  Does the permittee condition improvements to existing developments with requirements for post-
       construction stormwater controls? How are these redevelopment requirements triggered?

POST-CONSTRUCTION BMP INVENTORY
    •S  How does the permittee track the installation and maintenance of post-construction BMPs?
    S  What information is collected?
           o  Location
           o  Owner/operator
           o  Recommended maintenance schedule
           o  Inspection findings

BMP INSPECTION AND MAINTENANCE
    •S  Does the permittee require maintenance agreements for all projects with post-construction BMPs?
    S  Are "as-built" inspections required at the  conclusion of a development project?
           o  Do staff conduct these inspections or are they  self-certified?
    S  Does the permittee inspect private facilities or require  inspections by owner/operators?
    •S  If the permittee performs the inspections,  how often are they performed?
    •S  If owner/operators are required to inspect and maintain their BMPs, how is this authorized?
       Through a MOU? Through conditions of approval? Through another type of agreement?
    •S  How does the permittee ensure inspections are occurring?
           o  Does the permittee  send reminder notices?
           o  Does the permittee  require the owner/operator to submit inspection reports?
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                                CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
ENFORCEMENT
    S  How does the permittee require proper maintenance and repair after the inspection?
    S  What types of enforcement actions are provided by ordinance (e.g., notices of violation,
       abatement)?
    S  Is the permittee's enforcement authority limited (e.g., limits on the dollar amount of fines,
       inability to issue civil penalties)?

PUBLIC CONSTRUCTION PROJECTS
    S  Does the permittee use post-construction BMPs for public projects?
    S  Has the permittee instituted a pilot program to test and showcase innovative BMPs on public
       property or in public buildings?
    S  Are they tracking the location, inspection history, and condition of the BMPs?
    S  Who inspects them? How often?

TRAINING AND EDUCATION
Training for staff
    S  Are plan reviewers trained on post-construction BMPs and requirements?
    S  What type of training do staff performing "as built" and post-construction inspections receive?
    S  How often are the trainings conducted?
    S  How many staff have been trained?
    •S  What type of training or education does the permittee provide to city-contracted developers and
       engineers on post-construction requirements?
Developer and plan designer education
    •S  What types of educational materials have been developed and distributed to developers and
       designers regarding post-construction BMPs and application requirements?
    S  How are the materials distributed? At the permit desk? During inspections?
    S  What type of training does the permittee  provide or advertise to local developers and  designers?
           o  How often is this training conducted?
           o  How many developers and designers have been trained?
    •S  Are they required to attend?

In-Field Program Evaluation Activities
In-field evaluation activities primarily focus on verifying that structural and source control BMPs
approved by the permittee were installed and are  being maintained properly in the field. Select several
completed projects that were subject to post-construction requirements. Take along the approved plans so
that the locations and types of BMPs can be verified.
Note whether BMPs are installed as designed or if BMPs have been modified or removed after the project
has been completed. For example, trash storage areas could have been modified after installation, slopes
might have become destabilized, or storm drain stenciling could have been removed or become illegible.
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CHAPTER 4.5: POST-CONSTRUCTION CONTROLS
In addition, in-field evaluation activities should include inspections of publicly owned stormwater BMPs,
such as detention basins, to verify that they are being adequately maintained.

Common Issues Identified During Program Evaluations
The following are some areas where past on-site evaluations have found problems in post-construction
programs. These areas should be closely considered during evaluations:
    S  The plan review staff lack training on design requirements for development standards and
       conditioning of new development projects.
    S  The permittee lacks review criteria, checklists, or a formal plan review process to assist plan
       review staff in reviewing development projects.
    •S  The permittee does not assess BMPs for effectiveness at more than one scale (e.g., at both the site
       and watershed scales).
    •S  The permittee institutes blanket BMP requirements (i.e., those that apply to all projects) that do
       not take into account the development setting.
    S  The permittee institutes BMP requirements that act as unintended barriers to better models for
       development and redevelopment.
    S  The permittee developed its program from a "Menu of BMPs" that has resulted in BMPs that are
       easy to administer but are not the most effective or do not address target stressors.
    •S  The permittee does not consistently condition plans with post-construction stormwater controls.
    S  The permittee does not require inspection and maintenance of post-construction controls.
    S  The permittee lacks a system to track approved structural and source control BMPs for
       inspections and ongoing maintenance.
    S  The permittee's BMP tracking system is based on conventional, structural measures that are more
       readily quantified than non-structural techniques that work on a watershed basis, such as
       comprehensive planning or improved street designs.
    •S  The permittee has not updated approved BMP lists to reflect advances in low impact development
       or comprehensive planning-related BMPs.
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                           CHAPTER 4.6: INDUSTRIAL/COMMERCIAL FACILITIES
4.6    Industrial/Commercial Facilities

Regulatory Requirements
Applicable federal regulations for the NPDES stormwater Phase I
and Phase II MS4 regulations are listed at right. NPDES MS4
permits must address these requirements and often include more
specific state requirements.  This program area is mainly applicable
to Phase IMS4 permittees; Phase II MS4 permittees address
stormwater discharges from industrial facilities and commercial
businesses as part of their education programs.
                   Federal Regulations
                   NPDES MS4 permits must
                   address these requirements
                   and often include more
                   specific state requirements:

                   •/Phase I MS4 Regulations
                    40 CFR 122.26(d)(2)(iv)(C)
                    40CFR122.26(d)(2)(i)(A)
                    40CFR122.26(d)(2)(ii)

                   •/Phase II MS4 Regulations
                    40CFR122.34(b)(ii)
General Permits
To minimize the impact of stormwater discharges from industrial
facilities, the NPDES program includes an industrial stormwater
permitting component. Operators of industrial facilities included in
one of the 11 categories of stormwater discharges associated with
industrial activity that discharge or have the potential to discharge
stormwater to an MS4 or directly to waters of the United States
require authorization under an NPDES industrial stormwater permit.
Construction activity is one of these 11 categories, but because of the
nature of construction stormwater controls, the category is discussed
separately from the other 10 categories. Most states are authorized to
implement the NPDES stormwater permitting program. EPA remains
the permitting authority in several states and territories, on Indian
Country lands, and at some federal facilities.

For those areas where EPA is the permitting authority, the Multi-
Sector General Permit (MSGP) provides facility-specific
requirements for many types of industrial facilities with a single
permit. The permit outlines steps that facility operators must take
prior to being eligible for permit coverage, including development
and implementation of a SWPPP.

It is important to note that some permittees will also have coverage
under industrial stormwater general permits or have individual
permits for maintenance facilities that fall under one of the covered
industrial categories, such as landfills, waste transfer stations,  or
transportation facilities. Please refer to the "MS4 Maintenance
Activities" section of Conducting an Evaluation for information
regarding municipal facilities that may also require industrial stormwater permit coverage.

Common Activities
The industrial and commercial facilities program component can be implemented by various departments
and staff. Many municipal permittees use existing pretreatment and restaurant inspectors to fulfill the
stormwater requirements. Some permittees choose to hire outside consultants to perform inspections and
maintain the inventory of facilities.

Legal Authority
Many municipal permittees have adopted stormwater ordinances that outline general or specific discharge
prohibitions that apply to industrial and commercial properties. These ordinances should list discharge
exemptions, inspection requirements, and penalties for non-compliance. Some permittees, however, must
                   Resources
                   ^EPAMenuofBMPs
                    www.epa.qov/npdes/stormw
                    ater/menuobmps
                   •/Stormwater Management for
                    Industrial Activities:
                    Developing Pollution
                    Prevention Plans and Best
                    Management Practices
                    www.epa.gov/npdes/pubs/
                    contents indquide.pdf
                   •/Sacramento County
                    Industrial Stormwater
                    Compliance Program
                    www.sactostormwater.org/
                    industrial/compliance.asp
                   •/Multi-SectorGeneral Permit
                    www.epa.gov/npdes/msgp
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CHAPTER 4.6; INDUSTRIAL/COMMERCIAL FACILITIES	


rely on multiple existing codes (i.e., health, building, hazardous materials) designed to protect health and
human safety. In these cases, the program coordinator and inspection staff should be able to articulate the
combination of codes that provide the authority to inspect, prohibit, or stop illegal discharges, require
BMPs, and enforce instances of noncompliance.

Facility Inventory
The types of industrial and commercial facilities that a permittee needs to inspect can vary significantly
from permittee to permittee. Some localities may have large industrial areas with few commercial
businesses, while others may have a large number of restaurants and retail businesses but no industrial
facilities at all. Still other permittees may have a mix of many different types of industrial and commercial
facilities. Permittees should characterize the facilities and prioritize them based on their potential impact
on stormwater quality, and the inspection program should be based on this prioritization approach.

Many permittees have developed a database to inventory industrial/commercial facilities and manage the
inspection program. The inventory can be created using multiple resources, such as the permitting
authority's list of facilities that are covered under the state industrial general permit, business licenses, list
of pretreatment significant industrial users, and phone books or other professional directories. As per the
federal regulations, the inventory should be organized by watershed with a description (such as standard
industrial classification (SIC)  codes) that "best reflects the principal products or services provided by each
facility which may discharge,  to the municipal separate storm sewer, stormwater associated  with
industrial activity." The database  inventory should include facility type, past inspection or enforcement
results, proximity to receiving waters, potential pollutant sources on-site, and other pertinent information
to assist in inspection prioritization and management. Many permittees use the same database to manage
the construction inspection program as well.

Standards. BMPs. and Outreach
Many municipal permittees have  stormwater ordinances that include specific BMPs or standards for
industrial and commercial facilities to protect water quality and minimize stormwater pollution. Others
have adopted pollution prevention standards for new or redevelopment of industrial/commercial facilities
that are required through conditions of approval, improvement permits, etc. Phase I MS4 permittees have
developed brochures, fact sheets, and posters to hand out to operators during inspections to educate them
about appropriate BMPs. Many permittees have developed these materials in multiple languages to use in
a variety of communities. Some permittees have Web sites with links to relevant outside resources for
more information. Many permittees also acknowledge that educating facility operators is essential to
implementing BMPs and minimizing stormwater pollution and should be done, not only during
inspections, but also through workshops, conferences, and professional meetings.

Staff Training
To ensure that inspectors are knowledgeable and proficient in the newest and most effective approaches
to minimizing stormwater pollution from industrial/commercial facilities, many permittees require annual
BMP training for inspection staff. This training may be presented in-house or staff may attend trainings
provided by the permitting authority or industry. It is important to cross-train any other staff (e.g.,
pretreatment, health department) used for stormwater inspections as well.

Inspections
Most effective industrial/commercial inspection programs maintain a complete facility inventory and
group them according to priorities established by the permittee. An inspection frequency is determined
based on priority, and a database is used to manage such information as inspection findings, enforcement
actions, and required follow-up activities. Many permittees use and cross-train existing staff to perform
industrial/commercial inspections, but some permittees may need to maintain an exclusive stormwater
inspector due to a potentially large number of high-priority facilities. There should be an inspection
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	CHAPTER 4.6; INDUSTRIAL/COMMERCIAL FACILITIES


standard operating procedure that has been formalized and documented. It should include a checklist to be
used during the inspection and possibly a report format. Inspectors should be aware of federal, state, and
local storm water regulations that may apply to industrial/commercial facilities. Inspectors should be
familiar with various types of BMPs commonly used at the types of facilities typically found in the permit
area and should be able to educate facility operators about such BMPs. In addition, inspectors should
understand and use the permittee's established enforcement escalation response plan to gain compliance
as necessary. The inspection staff should be proficient in the enforcement escalation procedure and should
properly document all enforcement actions accordingly. Inspections should be used not only to identify
non-compliance issues, but as an opportunity to educate facility operators about proper stormwater BMPs.

Program Support and Resources
Permittees should have an established source of funding for their industrial/commercial facilities
program, including adequate resources for frequent inspections. Funds can come from fees paid by the
business owners.  If general funds are used to support the program, permittees should ensure that
industrial  and commercial inspections are line-item appropriations not subject to reduction or elimination
based on board politics or budget constraints.

Enforcement
The ordinance establishing legal authority for the industrial/commercial inspection component of the
SMWP should define all stormwater discharge prohibitions,  describe any exemptions or waivers, detail
the enforcement escalation procedure, and outline any fines or other penalties for noncompliance.
Inspectors should have the ability to levy a penalty such as a compliance directive, notice of violation
(NOV), or administrative fine to the facility during an inspection if non-compliance is noted. Significant
fines or penalties should be included in the ordinance  for egregious violations or recidivism.

Evaluating Industrial/Commercial Inspection Programs
The evaluation of an industrial/commercial inspection program focuses on the permittee's legal authority
to require  and enforce their program, prioritization of facilities, and in-field inspection procedures. The
evaluation should begin with a thorough review of the permittee's ordinances, standards, guidance, and
other relevant written materials.
                                                                  Pre-Eualuation Checklist
                                                                  •S MS4 permit provisions
                                                                  •/SWMP provisions
                                                                  •/Most recent annual report
                                                                  S List of NPDES facilities
                                                                  •/Inspection reports
Before the Program Evaluation
To prepare for the industrial/commercial inspection program
evaluation, you should review or obtain the following information
prior to the evaluation:

    A  MS4 NPDES permit provisions. Review the permit
       requirements for the industrial/commercial inspection
       program to identify any specific requirements (such as a
       minimum inspection frequency). The NPDES permit will
       serve as the primary basis for the program evaluation.
    A  SWMP provisions. The permittee's SWMP planning document(s) will describe the activities and
       BMPs the permittee has committed to implement and may include measurable goals that provide
       deadlines for program implementation.
    i  Latest annual report. The most recent annual report should be reviewed to identify past
       activities and help you become familiar with the permittee's program.
    A  List of NPDES industrial facilities. Try to obtain a list of industrial facilities in the permit area
       that are covered under an industrial stormwater general permit issued by the permitting authority
       or are included in the pretreatment program of local or regional POTWs.  This list can be used
       during the program evaluation to determine whether the permittee is including these facilities in
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CHAPTER 4.6: INDUSTRIAL/COMMERCIAL FACILITIES
       the inspection program and to understand the types of facilities that are found in the permit area.
       The list can also help identify potential sites for field inspections. The list can also be
       crosschecked with a similar list requested and obtained from the permittee.
    4  Industrial inspection reports. Review reports from inspections performed by the permitting
       authority and talk to state or EPA inspectors to determine if there have been past industrial
       stormwater violations at facilities located in the permit area.
Records Review
During the evaluation, you should ask for copies of relevant information to assist in writing the report or
documenting a permit violation. The following records might help in evaluating the compliance and
performance of the permittee's  industrial/commercial inspection program.
Documentation
Local ordinances, regulations, or
policies that might apply to
industrial/commercial facilities
Enforcement escalation
procedure or response plan
Tracking system
Examples of inspection reports
Examples of enforcement files or
cases
Training
What to Look For
• Stormwater ordinance
• Health codes
• Municipal code sections dealing with aesthetics; vehicles;
dumpsters, trash, solid waste; and litter, trash, sweeping
• Building codes
Flow chart or procedure that specifies a process by which fines
can be levied and legal action taken against facility operators or
business owners who violate stormwater rules and ordinances
Database or other system used to track the following
information:
• The number and type of industrial facilities in the permit area
• Prioritization scheme or other method that determines
inspection schedule and frequency
• The number, frequency, and results, along with follow-up
actions resulting from inspections
• The number and type of enforcement actions at facilities
• Hand-written field notes and formal write-ups if both are used
• Records should document enforcement and follow-up activities
• Review both a completed file and one that is in progress if
possible
• Review any records documenting how often training has been
provided to municipal inspectors, who prepared and delivered
the training, who attended, and how long the training lasted, as
well as any examples of the training materials used
• Educational information, brochures, or other BMP guidance
used by staff or distributed to facility operators
Elements to Address During a Phase IMS4 Program Evaluation
Although not specified in detail in the NPDES Phase I MS4 regulations, a successful
industrial/commercial inspection program will generally be composed of the following elements:
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	CHAPTER 4.6; INDUSTRIAL/COMMERCIAL FACILITIES

    A   Legal authority
    A   Facility inventory/prioritization
    A   Standards, BMPs, and outreach
    A   Staff training
    A   Facility inspections
    A   Program support and resources
    A   Enforcement/referrals

The common program elements are the key issues to consider during the review.
LEGAL AUTHORITY
    S   Does the Phase I permittee have the authority to require industrial and commercial facilities to
        implement stormwater BMPs? Does the Phase I permittee have the authority to conduct
        inspections and enforce requirements?
           o   What ordinance(s), code, or policy provides this legal authority?
    •S   What types of facilities are covered under this legal authority?
    S   Who (e.g., specific staff, department, etc.) has the authority to enforce the ordinances and/or
        inspect the facilities?
    •S   What exemptions does the ordinance or other legal authority allow?

FACILITY INVENTORY
    S   Has the permittee completed an inventory of industrial/commercial facilities discharging to the
        stormwater system?
    S   What types of facilities are included on the inventory?
    S   What sources were used to create the inventory?
           o   Facilities that filed NOIs for EPA MSGP or state industrial general permit coverage?
           o   Significant industrial users within the pretreatment program?
           o   Business licenses?
           o   Phone book?
           o   "Windshield" survey?
    S   Does the inventory include all the industrial/commercial facilities subject to the industrial general
        permit?
           o   Does the permittee periodically check to see if new facilities that must be covered by an
               industrial stormwater general permit have filed an NOI?
           o   What is the process  for notifying the permitting authority of non-filers?
    •S   If applicable, does the inventory include all the facilities specified as required in the MS4 NPDES
        permit?
    •S   How is the inventory updated? How often?
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CHAPTER 4.6; INDUSTRIAL/COMMERCIAL FACILITIES	

    •S  What information is maintained about the facilities?
    •S  How is the inventory maintained and stored?
    •S  Does the permittee prioritize the facilities?
    S  Is the prioritization based on facility type, past inspection or enforcement results, proximity to
       receiving waters, potential pollutant sources on-site, and so forth?
    •S  Is the prioritization used to determine frequency of inspections?
    S  Has the permittee mapped the locations of prioritized facilities to cross-reference reports of
       dumping, illicit discharges, or other water quality issues?

STANDARDS, BMPS, AND OUTREACH
    S  Has the permittee adopted standards or BMPs that industrial/commercial facilities are required to
       implement (e.g., all car dealerships must install a wash rack plumbed to the sanitary sewer)?
    •S  Are the requirements for new developments only or are they triggered by improvements of
       existing facilities? Are there schedules for implementing retrofits?
    •S  Are these standards applicable to existing facilities, new facilities, or both?
    •S  Does the permittee refer facility operators to specific stormwater BMP or standards guidance
       documents?
    •S  What type of educational program has been developed for industrial and commercial facility
       operators?
    S  What type of brochures, handouts, or guidance on BMPs is provided to these facilities by the
       permittee?
    S  When is this information provided? During inspections? During training events? During
       professional organization presentations?

STAFF TRAINING
    S  What type of training do the industrial and commercial inspectors receive?
    S  How often?
    •S  If additional inspectors are used (e.g., food safety inspectors for restaurant inspections,
       pretreatment inspectors), are they trained specifically on stormwater BMPs and requirements? By
       whom?

INSPECTIONS
       Who performs inspections and for what types of facilities       TIP:
       (e.g., health inspectors for restaurants pretreatment            ft lg'a    d Mea tQ nde
       inspectors for industrial facilities with a pretreatment permit)    mspector dunng the m.field
       How often are industrial and commercial facilities             portion of the evaluation. This
       inspected?                                                is a good time to talk
                   .  ,   .         ,         ,.                    informally about the any
           o   How is the frequency determined I                              . fc      ,
                           M     J                                program, staffing, and
       Does the permittee's industrial/commercial inspector(s) use     noncompliance issues.
       a standard checklist during inspections?
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	CHAPTER 4.6; INDUSTRIAL/COMMERCIAL FACILITIES


    •S   Is a report written after the inspection? How is the inspection documented in the file?
    S   Does the permittee verify NPDES permit coverage for facilities?
    •S   For industrial facilities, does the inspector review the SWPPP and monitoring data during the
        inspection?

    •S   Does the permittee refer non-filers to the permitting authority?
    •S   Do inspectors provide educational materials during inspections? What types?
    S   If multiple departments or agencies perform inspections, how is information transferred or
        cataloged?

PROGRAM SUPPORT AND RESOURCES
    S   Does the program have a dedicated source of funding to support inspectors?

ENFORCEMENT
    •S   In instances of noncompliance, do the inspection staff use a formalized, approved enforcement
        escalation procedure?
    S   How was the enforcement escalation procedure developed? Is it used? Is it effective?
    •S   Who is authorized to apply various  enforcement procedures (e.g., NOVs, fines)?
    •S   What types of penalties are readily available to the inspection staff?
    •S   What is the most common method of gaining compliance (e.g., NOVs, fines, abatement)?
    •S   Have the permittee describe a recent non-compliance issue at an industrial/commercial facility to
        assess how compliance was achieved.
    •S   At what point are non-compliance cases referred to the NPDES permitting authority? How many
        have been referred in the last 12 months?

In-Field Phase I Program Evaluation Activities
To determine whether the permittee is adequately inspecting for compliance at industrial/commercial
facilities, it is necessary to observe the inspectors "in action." Discourage inspectors from merely
describing the inspection process; you need to observe an actual inspection in process.

Schedule at least a half-day for this in-field  activity being sure to allow enough time for travel between
facilities. If the permittee is conducting both commercial and industrial inspections, try to observe
inspections at each type of facility. If the permittee has more than one inspector, accompany a different
inspector at each type of facility. In general, small, less complex facilities are  better to visit than large
industrial facilities. Work with the permittee to select typical facilities. For example, if the vast majority
of facilities are vehicle maintenance facilities, visit several of those. It should  be made clear that the
inspectors are to conduct the inspections; you are only to observe.

Try to limit the number of people that attend each inspection. Too many staff can overwhelm a small
facility, making it harder for the inspector to conduct a representative inspection. Discuss which facilities
are to be inspected early in the evaluation process. This will allow enough time to schedule inspection
staff and arrange transportation logistics.
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CHAPTER 4.6; INDUSTRIAL/COMMERCIAL FACILITIES	


Many times, inspectors do not participate in the office evaluation, so the in-field activity is a good
opportunity to ask the same questions to see if the answers are consistent. Also, many inspectors are more
open to discussing "problems" with the program than are storm water program managers. Try to spend
some time with the municipal inspector talking informally about the program.

First and foremost, during a site visit the municipal inspector should be able to determine whether illegal
discharges are occurring or could be imminent from industrial/commercial facilities. Visiting a site during
a rain event is optimal to observe potential issues. In the event that the inspector does feel immediate
action is necessary, it is important that the inspector either have the legal authority to cease discharges and
require immediate BMPs, or be aware of who does have this ability and under what legal authority. The
inspector should be aware of all applicable ordinances, as well as administrative, civil, and criminal
recourse in the event of non-compliance. The inspector should be aware of the enforcement escalation
procedure or plan as well.
As the inspector conducts the industrial or commercial inspection,      JIP:
observe the following:                                             It 1S a good practlce to vlslt at
    v'  Is the inspector knowledgeable about stormwater BMPs,       least one facility with historic
       requirements, and ordinances?                               or existing compliance issues.
                                                                 This can be an excellent way to
    '  Is the inspector familiar with the applicable industrial          demonstrate how effective the
       stormwater general permit (state or federal)?                  inspection and enforcement
    v'  When inspecting an industrial facility, does the inspector       program is, and often the
       check whether the facility has a waste discharge               inspector will welcome outside
       identification number, and does the inspector review the       assistance and advice.
       facility's SWPPP?                                         	

    S  Does the inspector use a checklist or otherwise document inspection findings in the field?

    S  What kind of written feedback is provided to the operator and within what timeframe do
       violations need to be addressed?

    S  What kind of report is generated as a result of the inspection? Does it detail all problems found at
       the facility or does it document only  that the inspection occurred?

    •/  Are findings from inspections tracked in a central location or database?

    S  How does the inspector track follow-up inspections or enforcement actions?

    S  Is the inspector thorough? Does the inspector walk the entire site and identify all potential
       pollutant sources?

    S  Does the inspector note flow pathways and check for discharges from the facility at outfalls or to
       storm drain inlets?

    •S  Is the inspector able to educate  the facility manager on proper BMPs or requirements? What
       educational material is provided?

Document all findings in the field in as  much detail as possible. An Industrial/Commercial Inspection
Worksheet has been included as Appendix C to assist in this documentation.
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                           CHAPTER 4.6: INDUSTRIAL/COMMERCIAL FACILITIES
Elements to Address During a Phase II MS4 Program Evaluation

    S  Has the permittee identified specific business sectors that might be a significant source of
       stormwater pollutants to the MS4?
    S  What type of educational program has been developed to address stormwater discharges from
       industrial facilities and commercial businesses?
    S  What type of brochures, handouts, or guidance on BMPs is provided to these businesses by the
       permittee?
    S  How is this information provided? As a result of complaints or illicit discharge incidents? During
       training events? During professional organization presentations?
    •S  How does the permittee evaluate the effectiveness of education and outreach efforts in terms of
       measuring changes in stormwater management and pollution prevention practices at industrial
       facilities and commercial businesses?

Common Issues Identified During Program Evaluations
The following are some typical problem areas associated with the industrial/commercial SWMP
component. These areas should be closely considered during evaluations:

    •S  The permittee has yet to fully implement an inspection program for industrial and/or commercial
       facilities.
    •S  The inventory of industrial/commercial facilities is not complete and is not regularly updated.
    •S  Facilities have not been prioritized according to water quality threat.
    •S  The permittee has not conducted outreach to facilities on the types of stormwater BMPs that
       should be implemented.
    •S  Industrial/commercial inspectors have not been trained on stormwater BMPs and requirements.
    •S  The permittee does not have a process to identify non-filers to the permitting authority.
    S  The permittee lacks written procedures and standards for conducting industrial/commercial
       inspections and for enforcement.
    •S  The permittee cross-trains existing inspectors (e.g., pretreatment, food  safety) to perform
       stormwater inspections but does not provide adequate time and resources to perform them.
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CHAPTER 4.7: ILLICIT DISCHARGE DETECTION AND ELIMINATION
4.7    Illicit Discharge Detection and Elimination
                                                                Federal Regulations
                                                                •/Phase I MS4 Regulations
                                                                  122.26(d)(2)(iv)(B)

                                                                SPhase II MS4 Regulations
                                                                  40CFR122.34(b)(3)
                                                                Resources
                                                                ^Menu of BMPs
                                                                  www.epa.gov/npdes/stormw
                                                                  ater/menuofbmps
                                                                •/Illicit Discharge Detection
                                                                  and Elimination: A Guidance
                                                                  Manual for Program
                                                                  Development and Technical
                                                                  Assessments
                                                                  www.cwp.org/
                                                                ^Illicit Discharge Detection
                                                                  and Elimination Manual
                                                                  www.neiwpcc.org/PDF Doc
                                                                  s/iddmanual.pdf
Regulatory Requirements
EPA's federal regulations for the stormwater Phase I and Phase II
MS4 regulations are listed at right. NPDES MS4 permits must
address these requirements and often include more specific
requirements.

Common Activities

Legal Authority
Permittees must develop and implement an effective program to
prohibit illicit discharges from entering the MS4. The prohibition of
illicit discharges should be linked to legal authority to ensure proper
enforcement. This legal authority can be included in public health
and safety regulations, specific stormwater regulations, sewer use
bylaws,  local ordinance, or a combination of several parts of the
code.

Mapping
Phase I MS4 permittees should have  developed a map of known
municipal outfalls discharging to waters of the United States as part
of their source identification conducted for Part I of their NPDES
application. Phase II permittees are required to develop a map of
outfalls and the names of locations of all waters of the United States
that receive discharges from those outfalls. To be useful, these maps
should also include  the storm drain pipe network and catch basin
locations, along with other relevant information such as the location of stormwater treatment facilities,
watershed boundaries for each outfall, critical land uses and pollutant sources, and municipal facilities.
Outfalls and drainage areas should be prioritized in order of their potential to be a source of illicit
discharges. Ideally,  this information would be managed in a database linked to a GIS.

Field Screening
Field screening of outfalls during dry weather can help  to identify illicit discharges in priority areas. Of
particular concern are areas of older development, areas with a high concentration of automobile-related
industries, and areas with high concentrations of industrial facilities among others. Documentation of the
illicit discharge detection and elimination (IDDE) program component in the SWMP Plan should include
a detailed summary of the departmental responsibility for field activities, frequency of inspections,
inspection procedures, inspection equipment, and documentation procedures for field activities.

Investigation of Potential Illicit Discharges
Municipalities should have a written  procedure for how they will locate, eliminate, and prevent illicit
discharges to the MS4. The procedure should address both spills and illegal connections to the MS4 and
should be available  to all staff responsible for responding to illicit discharges. The procedure should also
specify how spills and illicit discharge incidents are tracked.

Spill Response and  Prevention
The purpose of spill response programs is to reduce the risk of spills and improve response and cleanup
when they occur.  These programs usually require coordination among fire, police, health, and public
works departments. The departments responsible for implementing the program should be identified and
the SMWP should address employee training, reporting procedures, spill containment, storage and
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	CHAPTER 4.7; ILLICIT DISCHARGE DECECTION AND ELIMINATION


disposal activities, documentation, and follow-up procedures. For each of these elements, particular
attention should be given to good housekeeping and materials management practices. Procedures can be
implemented through modification of ordinances and enforcement or through coordination with existing
spill prevention or spill containment programs. Most permittees address this element through the
development of a spill response plan.

Public Awareness and Reporting Program
Permittees should promote, publicize, and facilitate public reporting
of illicit discharges or water quality impacts associated with
discharges to the MS4 or receiving waters. Typical public awareness
and reporting programs may include developing a hotline number,
educating school students, using inserts in utility bills, and
developing media announcements. Permittees should have a system
in place to quickly route all public calls to appropriate staff, track the
calls, and document response and enforcement, if used, for reporting
purposes.
                   TIP:
                   IDDE public awareness efforts
                   are often discussed during the
                   evaluation of the public
                   education and involvement
                   program.
Proper Management of Used Oil and Toxics
Permittees should provide information on where the public can safely recycle or dispose of used oil and
toxic materials to minimize illegal dumping.

Preventing Sanitary Sewer Discharges
Although not a specific requirement of Phase II programs, Phase I
MS4 permittees are required to limit infiltration to the MS4 of
seepage from municipal sanitary sewers. Many permittees have
developed a sanitary sewer overflow program to address discharges
from their sanitary sewers. Others have developed programs to
promote proper maintenance of septic tanks.
Education and Training
Training for staff should include spill response procedures and
procedures on how to locate, eliminate, and prevent illicit
discharges. Permittees should also educate the public on the hazards
of illegal dumping and illicit discharges to the MS4.
                  TIP:
                  Maintenance field crews are
                  usually the best "eyes and
                  ears" available to the permittee
                  to detect illicit discharges and
                  illegal dumping activities. It is
                  important that the information
                  observed in the field is
                  communicated the appropriate
                  staff for follow up and  outreach.
Evaluating Illicit Discharge Detection and Elimination Programs
Common sources of illegal, non-stormwater discharges include sanitary wastewater, automobile
maintenance waste products such as motor oil or antifreeze, laundry wastewater, household toxic
substances, spills from car accidents, runoff from excess irrigation, and industrial sources of cooling
waters, rinse water,  and other process wastewater. Although these illicit discharges can enter the storm
sewer system in various ways, they generally result from either direct connections (e.g., wastewater
piping either mistakenly or deliberately connected to the storm drains) or indirect connections (e.g.,
infiltration into the storm drain system or spills). Illicit discharges can be further divided into those
discharging continuously and those discharging intermittently.

Phase INPDES MS4 regulations require that a program be developed to detect and remove illicit
discharges into the storm sewer by prohibiting these discharges, field screening outfalls, investigating
potential illicit discharges, controlling the infiltration of sanitary sewage into the storm sewer, and
developing programs for spill response and prevention, public awareness and reporting, and used oil and
toxics disposal.
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CHAPTER 4.7; ILLICIT DISCHARGE DETECTION AND ELIMINATION	


Typically, staff charged with implementing the IDDE SWMP component are from multiple departments
and agencies, although this varies from permittee to permittee. The primary responsibility for detecting
and investigating illicit discharges normally falls to the public works department. Public works field
crews are in the field every day and are the best source of information about what is happening in the
permit area. Also, public works departments often have access to the maps and equipment necessary to
track discharges to their source. Normally, public works field staff are not authorized to use enforcement
against dischargers, so code enforcement staff may be necessary to investigate cases. Many permittees use
the fire department for cleanup of spills, and sometimes police departments are charged with manning a
"hotline" for complaints called in by citizens and for ultimately investigating dumping or other illegal
activities.
Before the Program Evaluation
To prepare for the IDDE program evaluation, an evaluator should
review or obtain the following information prior to the evaluation:


    A  MS4 NPDES permit provisions. Review the permit
       requirements for the IDDE program to identify any specific
                               Pre-Eualuation Checklist
                               •S MS4 permit provisions
                               •/SWMP provisions
                               •/Most recent annual report
       requirements, such as a proactive outfall screening. The NPDES permit will serve as the primary
       basis for the program evaluation.

    4  SWMP provisions. The permittee's SWMP planning document(s) will describe the activities and
       BMPs they have committed to implement and may include measurable goals that provide
       deadlines for program implementation.

    A  Latest annual report. The annual report should be reviewed to identify past activities and help
       you become familiar with the IDDE program.
Records Review
Consider reviewing the following records during the on-site evaluation to determine the permittee's
capabilities and extent of implementation.
 Documentation
What to Look For
 Ordinance and policies
   Code which allows the permittee to prohibit illicit discharges
   from commercial, industrial, or residential sources
   Should include or reference an enforcement escalation policy
 Enforcement escalation policy
   Should describe the process for eliminating the source of an
   illicit discharge and for obtaining recourse or abatement if
   necessary
   Should describe which staff are authorized to enforce the
   applicable ordinances and which enforcement mechanisms are
   available
 Illicit discharge tracking records
 and databases
 Database or other system used to track the following information:
 • The number and type of illicit discharges located in the permit
  area
 • Follow-up actions once discharges are located
 • Locations of discharge incidents (e.g., on a map or in a CIS)
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         CHAPTER 4.7: ILLICIT DISCHARGE DECECTION AND ELIMINATION
Documentation
Dry-weather monitoring or
screening records
Spill Response Plan and records
Recycled oil and household
hazardous waste educational
materials
Web site or other educational
materials for reporting illicit
discharges and dumping
Training records
What to Look For
• Describes the location and description of dry weather flows
• Monitoring data associated with a discharge
• Information about the source of a discharge and actions take to
identify sources
• These records may be maintained by a different agency such
as the fire department, but the permittee should have access to
the information and be provided a regular report of spills that
impact the MS4
• These materials may be presented during the public outreach
part of the evaluation
• Review educational materials to determine if the general public
has adequate information to identify and report illicit discharges
• Materials should have a reporting number that is viable 24
hours a day
• Training records should be available to document that the
permittee's employees are regularly trained on recognize an
illicit discharge
Elements to Address During the Program Evaluation
The NPDES regulations specifically require the following elements in an IDDE program for both Phase I
and Phase II programs:


    4  Legal authority
    4  Mapping
    A  Field screening

    A  Investigation of potential illicit discharges
    i  Spill response and prevention
    i  Public awareness and reporting program
    4  Proper management of used oil and toxics
    A  Preventing sanitary sewer discharges
    A  Education and training


The common program elements are the key issues to consider during the review. For each of the elements
listed above, this Guidance presents common program activities and questions to consider during the
program evaluation. The questions are suggested for you to address each program component. Of course,
a comprehensive program evaluation must be tailored to the specific issues associated with each permittee
and should include more specific questions regarding the permittee's permit structure and management
challenges.
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CHAPTER 4.7; ILLICIT DISCHARGE DETECTION AND ELIMINATION	

LEGAL AUTHORITY
    S  Does the permittee have an ordinance to prohibit illicit discharges and dumping to the MS4?
    S  What exclusions are included in this ordinance?
    •S  What enforcement mechanisms are authorized in the event of an illicit discharge being detected?
    •S  Has an enforcement escalation plan been developed?

MAPPING
    S  Does the permittee have a map showing storm drain pipes,      TIP'
       outfalls, and storm drain inlets?                             _.   ,__._      .     ,,*•,,,
                                                                The IDDE mapping and field
    S  Is the map readily available to the personnel who would        screening discussion may need
       respond to an illicit discharge incident?                       to be coordinated with the
                                                                discussion of MS4
    S  Does the permittee have a map of the storm drain system       maintenance activities. Ideally,
       showing the locations of outfalls and municipally maintained    the maps developed for public
       structural stormwater controls?                              agency activities and for IDDE
                                                                would be the same because
 CIEI n troEEMiKir                                              often public works field
 FIELD SCREENING                                              maintenance crews are
    S  How are field screening areas identified?                     involved with inspections of
                                                                outfalls.
    •S  Are areas of the MS4 prioritized based on incidents of illicit
       discharges, land use, dumping reports, etc.?
    S  How often are field screening areas evaluated?
    •S  Are outfalls inspected during dry weather to identify any potential dry-weather discharges? What
       does the inspection include?
    S  If dry-weather flows are present, are they being sampled to determine potential sources of
       pollutants? For what parameters?
    S  Does the permittee have a database (or other method) to track locations of illicit discharges,
       spills, and illegal dumping?
    •S  Does the database track dry-weather monitoring or screening data?

INVESTIGATION OF POTENTIAL ILLICIT DISCHARGES
    S  Does the permittee have a procedure for tracing the source of an active illicit discharge?
    S  Who performs the investigations?
    •S  Are these procedures written in a document or plan?
    •S  What equipment does the permittee use to find illicit discharges?
    •S  Does the permittee have equipment to videotape storm drains, or can it quickly contract out this
       work?
    •S  How are investigations tracked?
    •S  Has an enforcement response plan been adopted for use when an illicit discharge source has been
       located?
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	CHAPTER 4.7; ILLICIT DISCHARGE DECECTION AND ELIMINATION

    •S  Review complete paperwork trails for several illicit discharge events (including a spill and an
       unknown illicit discharge in the storm drain system).
           o   Was the full investigation process documented?
           o   Are adequate enforcement actions taken when required?
    •S  Does the permittee have the ability to collect cleanup and abatement costs from the responsible
       party?

SPILL RESPONSE AND PREVENTION
    •S  Does the permittee have a clear set of procedures in place that details who is responsible for
       responding to spills and emergency situations?
    •S  Do field staff have spill containment supplies in their vehicles, and are they trained to contain
       minor spills?
    S  Is a contractor or other entity available for larger spills?
    •S  Does the permittee have the ability to collect cleanup and abatement costs from the responsible
       party?
    S  How are spills and spill response tracked to ensure adequate reporting?

PUBLIC AWARENESS AND REPORTING PROGRAM
    •S  Does the permittee prioritize subwatersheds or neighborhoods and assign resources for
       educational efforts based on frequency and types of illicit discharge incidents?
    •S  Is there a general phone number or "hotline" in the phone book or Web site that people can call to
       report a spill or dumping?
    S  What types of public outreach materials are available to publicize public reporting?
    •S  Does the permittee track the number of public calls or complaints reporting illicit discharges?

PROPER MANAGEMENT OF USED OIL AND TOXICS
    •S  Assess education activities, public information activities, and other appropriate activities to
       facilitate the proper management and disposal of used oil and toxic materials such as household
       hazardous waste.
    S  Does the permittee have recycling or collection facilities to which the public can take used oil and
       other toxics?
    S  What type of toxics does the permittee manage recycling and disposal?

PREVENTING SANITARY SEWER DISCHARGES
    •S  Has the permittee conducted any studies or evaluations to determine whether sanitary sewers are
       contributing pollutants to the MS4?
    S  What is the extent of infiltration and inflow into the sanitary sewer system? How is this impacting
       discharge from the MS4?
    S  If the permittee also  operates a sanitary sewer system, do they have  procedures to prevent sewage
       spills and SSOs to the MS4?
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CHAPTER 4.7: ILLICIT DISCHARGE DETECTION AND ELIMINATION
EDUCATION AND TRAINING
    •S  What type of training do field staff (e.g., storm sewer maintenance crews, street sweepers) receive
       on spill response and IDDE?
    •S  Are staff generally educated about what illicit discharges are and how to report them?


In-Field Program Evaluation Activities
IDDE activities can be difficult to evaluate in the field. If, during an on-site evaluation, the permittee
receives a report of a potential illicit discharge, you could accompany the response staff (if allowed) to
view their response procedures. Other in-field activities include viewing the equipment available for
responding to illicit discharge events (e.g., response trucks, spill containment equipment, video equipment
for investigating storm drains) and talking to field staff about their knowledge of and training in illicit
discharge identification, reporting, and response.

Another field activity is observing the dry-weather screening program. Staff can take you to
screening/sampling points to demonstrate the permittee's dry-weather sampling procedures.  An Outfall
Visual Inspection Worksheet has been included in Appendix C to assist in this field inspection.

Although field activities are somewhat subjective, during all field  activities you should get a sense of
whether the staff are aware of illicit discharges and proactive in identifying and addressing them. For
example, if the industrial inspector observes obvious illicit discharges while driving to an inspection, does
the inspector ignore these incidents or stop and report them?

Common Issues Identified During Program Evaluations
The following are some areas in which past on-site program evaluations have found problems with IDDE
program components. Consider these activities as you conduct evaluations:

    •S  IDDE programs are largely reactionary spill response programs and do not contain a proactive
       element to detect or prevent discharges.
    S  The permittee lacks adequate documented procedures for how to conduct illicit connection and
       illegal discharge investigations (e.g., the permittee does not have written procedures  for tracking
       and identifying the source of a discharge).
    •S  The permittee fails to conduct any dry-weather screening to identify illicit discharges.
    S  If a discharge is found, the permittee does not have specific criteria, which could include numeric
       criteria, to determine whether the discharge is illicit. In most cases, unless the discharge is
       obviously illicit (e.g., presence of discoloration, oil sheen), the permittee assumes the discharge is
       either irrigation runoff or groundwater and does not conduct further investigation of the quality or
       source of the discharge.
    •S  Staff are not adequately trained on illicit discharge identification, reporting, and response.
    •S  The permittee does not track illicit discharge events and does not target areas of the MS4 for
       additional inspection based on areas with past incidents.
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                                      CHAPTER 5: POST-EVALUATION ACTIVITIES
5.     Post-Evaluation Activities

5.1    Preparing the Written Report
After the MS4 SWMP evaluation, it is important that a written description of findings is provided to the
permittees. Using only an oral outbrief is not a sufficient way to convey any recommendations or
requirements for program improvement. Keep in mind that an NPDES permit is a contract between the
permittee and the permitting authority and all correspondence regarding that contract should be in writing.
Also, remember that a SWMP evaluation is typically taken very seriously by MS4 staff and management.
The written findings often are distributed amongst upper management or to the governing body of the
MS4 (i.e., city council). And finally, the permittee has undoubtedly invested numerous staff hours
preparing for the evaluation and providing you with necessary information during the on-site evaluation
itself. Therefore, it is incumbent upon you to take the necessary time to develop a concise, thorough, and
fair written assessment of the findings obtained.

As soon as possible after the evaluation, it is recommended that you review all notes and supporting
information obtained prior to and during the on-site evaluation and document the findings and
conclusions. As a general guideline, the final report should be provided to the permittee within 6 to 8
weeks after the evaluation.  Less time may be needed to prepare a report for an abbreviated program
evaluation or for a screening level evaluation. On the other hand, more time may be needed if contractors
perform the evaluation because the draft report would need to be reviewed by permitting  authority staff to
approve all findings, conclusions, and recommendations.

Conclusions drawn should be defensible and based on permit requirements and conditions, the SWMP,
measurable goals, or a best professional judgment interpretation of the NPDES regulations and Clean
Water Act. In addition, it is critical that conclusions drawn are consistently applied to all  permittees
evaluated. If a permitting authority uses more than one staff person to conduct an evaluation, an effort
should be made to calibrate assessment techniques to ensure  equitable evaluations. This can be
accomplished by daily discussions amongst the evaluators to compare findings during the evaluation as
well as quality assurance reviews of the resulting evaluation  report.

The report should state which permittee(s) were evaluated, for what SWMP components, the date, a basic
description of how the evaluation was conducted, relevant findings, and any recommendations for future
evaluations or follow-up activities.

Depending upon the goals of the evaluation, there are many different ways to document the findings:
   A  Determination of compliance status. If assessing the compliance status of a permittee with its
       MS4 permit and SWMP is the only goal of an evaluation, then the report can very simply,
       describe each permit requirement the MS4 is not complying with and the associated requirement.
       The report can also indicate the areas of compliance  as well, or state up front that if the permit
       requirement is not discussed in the report, no recommendations  or requirements apply to that
       item.
   4  Assistance with permit issuance or renewal process. If the evaluation is conducted after the
       issuance of a new permit or during renewal of an existing permit (Phase I or Phase II MS4s), the
       report might discuss recommendations for effective implementation of the new SMWP or discuss
       recommended changes to the  existing SWMP determined during the audit.
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CHAPTER 5: POST-EVALUATION ACTIVITIES
    A  Assessing pollutants of concern. If the permitting authority
       conducted the evaluation to assign an applicable waste load
       allocation, or to assist the permittee in implementing the
       waste load allocation for a particular pollutant of concern,
       the report may focus on only those components which
       minimize that pollutant. Or the report may make
       recommendations about how the SWMP could be changed
       to better address an existing waste load allocation.

As previously stated, the most common goal of an evaluation is to
determine compliance with an existing permit. In this instance, in
addition to providing recommendations for improvement or required
actions to gain compliance, the permitting authority may find it
helpful to provide positive feedback as well. Typically, it is not
advisable to describe SWMP components that are not associated
with a particular evaluation finding as this type of descriptive detail
is found in the annual reports.

Findings can be divided into three categories:

  1.  Permit violations. Permit violations are areas where the
     evaluation found the permittee not in compliance with a
     specific permit requirement or SWMP commitment. Use of
     the qualifier "potential" can be used depending on the severity
     of the violation.

  2.  Program deficiencies or recommendations for
     improvement. Program deficiencies are areas of concern
     impeding effective program implementation. They are
     typically areas where the permit or SWMP does not describe
     specifically how the permittee should conduct an activity, yet
     the permitting authority evaluator believes the permittee
     should alter how they conduct the activity to meet water
     quality goals. Deficiencies can also be areas where future
     permit violations could result if the permittee continues on its
     present path.

  3.  Positive or commendable program elements. Positive
     program elements indicate activities that are "above and
     beyond" the requirements of the permit and SWMP. It is
     always a good idea to commend innovative approaches and
     techniques utilized by permittees. Not only does this
     encourage the permittee to continue implementing the
     program, it allows other permittees to learn about the approach
     if they read the evaluation document.
                  EXAMPLE FINDING:

                  The Parks and Recreation
                  Department has developed a
                  pollutant-based BMP manual.

                  The manual is innovative in
                  that a diverse work group first
                  identified the pollutants of
                  concern and then developed
                  suites of BMPs to minimize
                  their occurrence or impacts on
                  receiving waters. The resulting
                  manual provides about 30
                  individual BMPs grouped into
                  four categories: organic,
                  chemical, maintenance, and
                  administrative.

                  Each BMP description provides
                  procedures; maps;  monitoring
                  frequency; additional
                  references; the names of city
                  and non-city employees who
                  perform the task; site-specific
                  equipment needs; possible
                  locations of use; possible
                  surfaces affected; procedures
                  for spilled, dumped, or
                  mishandled products or
                  activities; evaluation criteria;
                  and the staff responsible for
                  BMP development.

                  People from multiple
                  department sections
                  collaborated on the BMPs to
                  ensure that they are
                  appropriate and can be
                  implemented. The manual
                  could be a guide for other city
                  departments or Phase I and II
                  programs throughout the
                  country because it describes
                  the entire BMP development
                  process from conception
                  through field-testing.
The following are format suggestions to use when drafting findings
from the MS4 program evaluation:

    A  Organize findings by program component (e.g., all findings related to the industrial/commercial
       facilities component)

    i  Group similar findings for that component together (i.e., all positive attributes)
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                                       CHAPTER 5: POST-EVALUATION ACTIVITIES
    A  Provide a heading for each individual finding that is a
       complete sentence and that clearly summarizes the
       significant point. For example, if there is a permit violation,
       the heading should state what the permittee is doing that is a
       violation: "The City does not currently inspect all industrial
       facilities annually as required by the permit."
    4  Describe each finding in detail. The narrative description
       should clearly define the finding and then describe the
       supporting information obtained or observed during the
       evaluation that led to this conclusion. The finding narrative
       should describe what the permittee was required to do
       (which is particularly important for a permit violation),
       briefly restate (paraphrase) the finding, and then provide the
       information obtained during the evaluation that  supports this
       finding in as much detail as possible. When describing a
       positive attribute the finding  should clearly state how the
       activity being described is innovative and not merely
       compliant.
    4  Insert applicable permit citations and language in potential
       permit violations. If a program deficiency relates to a
       particular part of the permit or SWMP, be sure to cite the
       appropriate language as well.
In some cases, it might not be possible to determine compliance with
a program component because of the limitations of the MS4
program evaluation process (i.e., not  reviewing each industrial
inspection report), because of time constraints, or because the
requirement itself is not definable. The written report  should then
state that this is the case and provide  as much supporting information as possible, such as "Compliance
with public education and participation permit requirements could not be determined because..." If there
were no findings of note for a particular SWMP  component, it is important to state this fact so it is clear
that the component was reviewed: "No recommendations or requirements were identified for this program
component."

After an MS4 program evaluation report is developed, the permitting  authority typically distributes the
report to the permittee(s) evaluated with a cover letter summarizing the findings of the evaluation and any
enforcement action being taken or corrections required.  It is important that the report be  distributed in a
timely manner to ensure that requirements and recommendations can  be instituted by the permittee(s).

The cover letter should request a written response within a specific time period (e.g., 30  to 60 days)
addressing any permit violations or deficiencies  noted. Normally, permittees are given an opportunity to
refute findings or appeal violations noted. A meeting also can be scheduled with the permittee(s) to
discuss proposed modifications to its SWMP to address  the permit violations and deficiencies described
in the report. In either case, the permitting authority should request a formal response describing the
compliance process and schedule including appropriate milestones. The permitting authority should
review the response and continue to work with the permittee(s) to improve the SWMP per the evaluations
findings.
                   EXAMPLE FINDING:
                   The City has failed to notify
                   industries and commercial
                   facilities of the stormwater
                   requirements and appropriate
                   BMPs for implementation.
                   Part F.3.b(4) of the permit
                   requires the permittee to
                   implement, or require the
                   implementation of, designated
                   minimum BMPs (based on the
                   site's threat to water quality
                   rating) at each industrial site
                   within its jurisdiction. BMP
                   implementation was to occur by
                   no later than 365 days after the
                   permit was adopted. At the
                   time of the evaluation, the City
                   had yet to  implement, or inform
                   applicable  industrial sites of
                   their responsibility to
                   implement, appropriate BMPs.
                   The City needs to inform all
                   applicable  industrial sites of
                   their responsibility and also
                   needs to provide them with the
                   minimum BMPs outlined in the
                   SWMP.
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CHAPTER 5: POST-EVALUATION ACTIVITIES
Photo Logs
Photo logs are used to visually illustrate items noted during field       yip.
inspections. A photo log can be an important part of an MS4
program evaluation report and can assist a permitting authority in       .   ° °^ ° no nee  °  f ufe
      .     .   .. ,      •.-,.•     T. •  •     ,    °  ,     •    •  ,     in the MS4 program evaluation
assessing potential permit violations. It is important to keep in mind     fQpQ{i Ap eya^ator can take
that you are not inspecting the actual construction sites and industrial   nhotos to helo remember
facilities visited for compliance with general permit or SWPPP         issues identified during field
conditions, but documenting the condition of these facilities with       visits. The photos can also help
photos can help to assess compliance with MS4 permit conditions.      you build a photo  library of
                                                                 stormwater BMPs and
To address potential legal concerns related to digital photographs,       problems.
EPA published a guidance document on the use of digital
photographs—Digital Camera Guidance for EPA Civil Inspections
and Investigations. This document identifies requirements necessary to ensure the integrity of digital
pictures.  It addresses image capturing, storage, and handling and provides an overview of digital camera
technology, peripheral equipment, and recommended steps. If digital images are to be used in court, their
credibility usually depends on reliability, reproducibility, and security. As stated in the guidance, it is
acceptable to make changes to digital images such as cropping, enlarging, or making them lighter/darker
to improve the sharpness, provided the evaluator does all the following:

    A  Records how, when, and where the picture was taken,
    A  Logs the steps used in processing the image when they include techniques other than those used
       in a traditional photographic darkroom,
    A  Complies with a written SOP that includes the recommended steps set forth in this document, and
    A  Ensures the preservation of the original digital image.

To view EPA's Digital Camera Guidance for EPA Civil Inspections and Investigations, visit
http://www.epa.gov/compliance/resources/publications/monitoring/cwa/inspections/npdesinspect/npdesin
spectapph.pdf

In general, it is important to keep careful notes of the photographs taken, including location and why the
photograph was taken. It is helpful for the first photo taken to be of the facility sign or building. This
helps to orient the photo  log layout when photos are viewed after the evaluation.

For an MS4 program evaluation, it is not necessary to photo document all aspects of the facilities
inspected, however, photos should be used to highlight issues on site that may lend credence to an issue
described in the MS4 program evaluation report. For example, stormwater problems at a municipal
maintenance yard should be documented with photos to provide additional documentation of problems.
During inspections of construction sites or industrial facilities, photos can help document the issues the
permittee's inspector addressed. At a minimum, even if the photos are not used in a formal report, the
photos can help recall conditions at the sites visited.
Taking Photos
A digital  camera should be used to take pictures where possible. Also, it is usually not necessary to set the
resolution of the camera to its highest settings—most photo logs do not need high-resolution photos.
Additional tips on taking good photos during an MS4 program evaluation include:
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                                       CHAPTER 5: POST-EVALUATION ACTIVITIES
    A  Take lots of pictures. With digital cameras, deleting extra photos is easy. For something
       particularly important, take at least 4-5 pictures.
    A  Use photos to identify sites. When inspecting multiple sites, use the first picture to photograph
       the sign, SWPPP cover, or file name to be able to identify the facility later.
    A  Consider perspective. Have someone stand in the photo or place something of recognizable size,
       like a hard hat or clip board, to gain perspective.
Creating Photo Logs
Photo logs are often created using word processing software or presentation (e.g., PowerPoint) software.
The following steps for creating a photo log are based on Microsoft Word:
    A  It is recommended that photo logs be created in Microsoft Word and the photos saved in a
       standard format such as jpeg or gif  Consider the resolution of the photos: many reports are made
       available electronically, and high-resolution photos can cause file size to exceed many users'
       download capabilities.
    A  Size the photos to be 3.5" tall with the width set by Microsoft Word for landscape view and 3.5"
       width with the height set by Microsoft Word for portrait view.
    A  Center the photos and captions on the page. (Note: Microsoft Word requires that the picture
       layout not be "in line with text" in order for the photo to be centered on the page.) Generally a
       page will have two landscape oriented photos  or one portrait.
    A  Each photo should be numbered.
    A  Document the date and/or time to help identify photos.
    A  Photo captions should briefly describe what is observed in the picture and the location (both the
       facility or site name and the location within the facility or site).
    A  A photo log can contain a separate narrative to describe the findings, or individual photos can be
       referred to within the body of the MS4 program evaluation report.
                              Photo 1: Improperly installed silt fence
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CHAPTER 5: POST-EVALUATION ACTIVITIES
5.2    Follow-Up Activities
An MS4 program evaluation can result in several different follow-up activities, from enforcement to
technical assistance to permit reissuance. Several of these activities are described below.

Technical Assistance
Many MS4 program evaluation findings will result in a deficiency that requires the permittee to modify or
improve a program area to achieve compliance. The permitting authority can help ensure compliance by
providing technical assistance to the permittee on issues related to these deficiencies. As a reference and
useful tool for permittees, EPA has developed case studies of selected stormwater programs available at
http://cfpub.epa.gov/npdes/stormwater/casestudies.cfm

Where necessary, the permitting  authority may wish to provide additional technical assistance or training
to address specific deficiencies identified during the evaluation.

Follow-Up M$4 Program Evaluations
Follow-up MS4 program evaluations should be conducted where major deficiencies have been identified
and the permittee needs additional time to correct them. The permittee should be given time to correct any
deficiencies, but a follow-up evaluation should be scheduled for deficiencies that cannot be documented
via annual reports or written correspondence.

Targeted Evaluations
If an MS4 program evaluation identifies a program area that appears to be a common problem amongst
several permittees, then the permitting authority may want to conduct targeted evaluations of that
program area at additional permittees. For example, if stormwater compliance problems are identified at
most of the public works yards visited, the permitting authority might want to target additional
inspections for those yards.

Permit Issuance or Renewal
A thorough review of submitted annual reports along with an on-site evaluation is very helpful when
issuing MS4 permits. Specific permit requirements could be drafted to address any deficiencies identified
during the evaluation. Also, the evaluation may reveal current permit requirements that are no longer
applicable or need to be revised to meet current conditions. An MS4 program  evaluation is also an
excellent time to collect additional data for permit reissuance, or verify data or clarify information
submitted with the permit reapplication.

M$4 Enforcement
Taking enforcement on a violation identified during an evaluation will obviously depend on a variety of
factors including the severity of the violation, any discharge to a water of the U.S., history of past
violations, and other factors. To make a case for an enforcement action, it is important to collect
information that documents the violation, including copies of records, photographs, or other
documentation. An enforcement  action is the last course of action to ensure compliance, but even the
possible threat of an enforcement action will usually help bring about compliance.
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                                            APPENDIX A GLOSSARY & ACRONYMS
Appendix A- Glossary & Acronyms

Authorized Program Or Authorized State - A state, Territorial, Tribal, or interstate NPDES program
which has been approved or authorized by EPA under 40 CFR Part 123.

Best Management Practice (BMP) - Policies or practices that prevent, reduce, or mitigate the impacts
of stormwater runoff. These methods can be structural (e.g., devices, ponds) or non-structural (e.g.,
policies to reduce imperviousness). BMPs classified as "non-structural" are those that rely predominantly
on behavioral changes rather than construction in order to be effective. "Structural" BMPs are engineered
or constructed to prevent or manage stormwater. BMPs are often further classified into (1) source control
BMPs to prevent pollution, (2) water quality BMPs to reduce or prevent pollutants in runoff, (3) flow
control BMPs to reduce the volume of stormwater and (4) infiltration BMPs to increase infiltration.

Best Professional Judgment (BPJ) - Using all reasonably available and relevant data to make a
decision.

CIP - Capital Improvement Project

Clean Water Act - Clean Water Act or the Federal Water Pollution Control Act, 33 U.S.C. section  1251
et seq.

Construction General Permit (CGP) - Where EPA is the permitting authority, the Construction
General Permit (CGP) outlines a set of provisions construction operators must follow to comply with the
requirements of the NPDES stormwater regulations. The CGP covers any site one acre and above,
including smaller sites that are part of a larger common plan of development or sale, and replaces and
updates previous EPA permits.

Co-permittee - A permittee to a NPDES permit that is only responsible for permit conditions relating
to the discharge for which it is operator.

Combined  Sewer Overflow (CSO) - A discharge  of untreated wastewater from a combined sewer
system at a point prior to the headworks of a publicly owned treatment works. CSOs generally occur
during wet weather (rainfall or snowmelt). During periods of wet weather, these systems become
overloaded, bypass treatment works, and discharge directly to receiving waters.

Comprehensive Plan - A general plan that identifies a community's long-range growth and
development goals. Comprehensive plans and watershed plans often overlap  in areas of natural resources,
analysis of current conditions, and growth trends. Comprehensive and/or watershed plans often include
smaller subarea plans, with additional details on infrastructure, open space, parks, neighborhood design,
drainage, and circulation.

DOT- Department of Transportation

EPA - United States Environmental Protection Agency

Floatable* - Plastics and other floating debris (e.g., oil, grease, toilet paper).

General permit - An NPDES permit issued under 40 CFR 122.28 that authorizes a category of
discharges under the CWA within a geographical area. A general permit is not specifically tailored for an
individual discharger.
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APPENDIX A GLOSSARY & ACRONYMS
Geographic Information System (CIS) - A computer application used to store, view, and analyze
geographical information, especially maps (taken from the American Heritage Dictionary).

IDDE - Illicit Discharge Elimination and Detection

Illicit Discharge - Any discharge to a municipal separate storm sewer that is not composed entirely of
stormwater, except discharges pursuant to a NPDES permit and discharges resulting from fire fighting
activities.

Impervious Surface - A hard surface area that either prevents or retards the entry of water into the soil
mantle as occurs under natural conditions (prior to development), and from which water runs off at an
increased rate of flow or in increased volumes. Common impervious surfaces include, but are not limited
to, rooftops, walkways, patios, driveways, parking lots, compacted soil, and roadways. "Effective
impervious surface" is commonly used to describe impervious surfaces connected to receiving water
directly or with a conveyance device (e.g., curbs, pipes, gutters).

Integrated Pest Management (IPM) - Planned program that coordinates economically and
environmentally acceptable methods of pest control with the judicious and minimal use of toxic
pesticides. IPM programs are based on a careful assessment of local conditions, including such factors as
climate, crop characteristics, the biology of the pest species, agricultural practices, soil quality,  and
government regulations. The tactics employed range from changes in agricultural methods, such as better
tillage to prevent soil erosion and interplanting of different crop varieties; natural biological weapons,
such as the introduction of beneficial insects that eat the harmful species; and mechanical tools, such as
vacuums that pull the insects off of the crops. Toxic pesticides are used only when all other methods have
failed (taken from the Columbia Press Encyclopedia).

MOU - Memorandum of Understanding

MEP - Maximum extent practicable

Multi-Sector General Permit  (MSGP) - Authorizes the discharge  of stormwater from industrial
facilities, consistent with the terms of the permit, in areas of the United States where EPA manages the
NPDES permit program.

Municipal Separate Storm Sewer System (M$4) -  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 stormwater; (iii) Which is not a combined sewer; and (iv) Which  is  not part of
a Publicly Owned Treatment Works (POTW) as defined at 40 CFR  122.2.

National Pollutant Discharge Elimination System (NPDES) - A national program under Section 402
of the Clean Water Act for regulation of discharges of pollutants from point sources to waters of the
United States. Discharges are illegal unless authorized by an NPDES permit.

Notice of Intent (NOI) - Submission of a completed NOI constitutes notice that the entity intends to be
authorized to discharge pollutants to waters of the United States, from the facility or site identified in the
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                                             APPENDIX A GLOSSARY & ACRONYMS
form, under a State or EPA general permit such as the Phase II MS4 General Permit, the Multi-Sector
General Permit (MSGP) for industrial storm water, or the Construction General Permit (CGP).

Notice of Violation (NOV) - Enforcement mechanism used to inform regulated entities of
noncompliance

Outfall - A point source as defined by 40 CFR 122.2 at the point where a municipal separate storm
sewer discharges to waters of the United States and does not include open conveyances  connecting two
municipal separate storm sewers, or pipes, tunnels or other conveyances which connect  segments of the
same stream or other waters of the United States and are used to convey waters of the United States.

Permitting Authority - The United States Environmental Protection Agency, EPA, a Regional
Administrator of the Environmental Protection Agency or an authorized representative.

Pollutant of  concern (POC) - Any pollutant that has been identified as a cause of impairment in any
water body to which the MS4 discharges.

Publicly Owned Treatment Works (POTW) - A treatment works, as defined by Section 212 of the
CWA, that is owned by the state or municipality. This definition includes any devices and systems used in
the storage, treatment, recycling, and reclamation of municipal sewage or industrial wastes of a liquid
nature. It also includes sewers, pipes, and other conveyances only if they convey wastewater to a POTW
treatment plant [40 CFR 403.3]. Privately-owned treatment works, Federally-owned treatment works, and
other treatment plants not owned by municipalities are not considered POTWs.

Sanitary sewer overflow (SSO) - Occasional unintentional discharges of raw sewage from municipal
sanitary sewers. SSOs have a variety of causes, including but not limited to severe weather, improper
system operation and maintenance, and vandalism. EPA estimates that there are at least 40,000  SSOs
each year.

Storm water - Stormwater runoff, snow melt runoff, and surface runoff and drainage.

Stormwater Pollution Prevention Plan (SWPPP) - Plan developed to minimize the  discharge  of
pollutants from an industrial  site (including construction activities) to the maximum extent practicable
using BMPs.

Total Maximum Daily Load (TMDL)  - A water quality assessment that determines the source or
sources of pollutants of concern for a particular waterbody, considers the maximum amount of pollutants
the waterbody can assimilate, and then allocates to each source a set level of pollutants that it is allowed
to discharge (i.e., a wasteload allocation).

Waters of the United States - 1. All waters which are currently used, were used in the past, or may be
susceptible to use in interstate or foreign commerce, including all waters which are subject to the ebb and
flow of the tide; 2. All interstate waters, including interstate wetlands"; 3. All other waters such as
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 including any such waters: a. Which are or
could be used by interstate or foreign travelers for recreational or other purposes; b. From which fish or
shellfish are or could be taken and sold in interstate or foreign commerce; or c. Which are used or could
be used for industrial purposes by industries in interstate commerce; 4. All impoundments of waters
otherwise defined as waters of the United States underthis definition; 5. Tributaries of waters identified
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APPENDIX A GLOSSARY & ACRONYMS
in paragraphs (1) through (4) of this definition; 6. The territorial sea; and 7. Wetlands adjacent to waters
(other than waters that are themselves wetlands) identified in paragraphs 1. through 6. of this definition.
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