Protocol for Conducting
Environmental Compliance
Audits under the Stormwater
Program
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United States
Environmental Protection
Agency
Office of Enforcement and
Compliance Assurance (2224A)
EPA-300-B-05-004
www.epa.gov.compliance/incentives/auditing/protocol.html
January 2005
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Notice
This document is intended as guidance to help regulated facilities comply with the regulations. This guidance does not
constitute rulemaking by the EPA and may not be relied on to create a substantive or procedural right or benefit enforceable,
at law or in equity, by any person. The Audit Protocols are designed for use by individuals who are already familiar with the
federal regulations but could use an updated comprehensive regulatory checklist to conduct environmental compliance audits
at regulated facilities [e.g., construction sites, municipal separate storm sewer systems (MS4s)].
EPA may decide to update this guide without public notice to reflect changes in EPA's approach to implementing the
regulations or to clarify and update text.
To determine whether EPA has revised this document and/or to obtain copies, contact EPA's Center for Environmental
Publications at 1(800) 490-9198 or refer to www.epa. gov/npdes/compliance and www.epa. gov/clearinghouse. Additional
information further assistance pertaining to the specific rules discussed in this document can be found at the end of the Key
Compliance Requirements located in Section II.
THE GUIDANCE IS NOT A SUBSTITUTE FOR READING THE REGULATIONS AND UNDERSTANDING ALL
THE REQUIREMENTS AS THEY APPLY TO YOUR FACILITY
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Table of Contents
Notice Inside cover
Section I: Introduction
Background i
Who Should Use These Protocols i
EPA's Public Policies that Support Environmental Auditing ii
How to Use the Protocols ii
The Relationship of Auditing to Environmental Management Systems iii
Section II: Audit Protocols
Applicability 1
Review of Federal Legislation 1
State and Local Regulations 1
Key Compliance Requirements 1
Key Terms and Definitions 3
Typical Records to Review 7
Typical Physical Features to Inspect 7
Checklist User Guidance 7
List of Acronyms and Abbreviations 9
Index for Checklist Users 10
Appendices
Appendix A: On-site Checklist for Construction Stormwater Discharges Al
Appendix B: EPA Stormwater Regional Contacts Bl
Appendix C: Information Sources Cl
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Section I
Introduction
Background
The Environmental Protection Agency's (EPA) goal is to ensure that businesses and organizations, state and local
government, and the public comply with federal laws that protect the public health and the environment. EPA's Office of
Enforcement and Compliance Assurance (OECA) was established in 1994 to focus on compliance assistance-related
activities. OECA has begun combining traditional enforcement activities with more innovative compliance approaches,
including the provision of compliance assistance to the general public. OECA is also encouraging the development of serf-
assessment programs by regulated facilities. Voluntary audit programs play an important role in helping companies meet their
obligation to comply with environmental requirements. Such assessments can be a critical link, not only to improved
compliance, but also to improvements in other aspects of an organization's performance. For example, environmental audits
may identify pollution prevention opportunities that can substantially reduce an organization's operating costs and protect the
environment. Environmental audits can also serve as an important diagnostic tool in evaluating a facility's overall
environmental management system.
EPA has developed a series of Environmental Audit Protocols to assist the regulated community in developing self-audit
programs by regulated facilities for evaluating their compliance with the environmental requirements under the federal laws
and regulations. The audit protocols also are intended to promote consistency among regulated facilities when conducting
environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner. The protocols can be
found at http://epa.gov/compliance/incentives/auditing/protocol.html.
Who Should Use These Protocols?
EPA has developed these audit protocols to provide regulated facilities with specific guidance in periodically evaluating their
compliance with federal environmental requirements. The specific application of this particular protocol, in terms of which
media or functional area it applies to, is described in Section II under "Applicability".
The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but could use an
updated comprehensive regulatory checklist to conduct environmental compliance audits. Typically, compliance audits are
performed by persons who are not necessarily media or legal experts but instead possess a working knowledge of the
regulations and a familiarity with the operations and practices of the facility to be audited. These two basic skills are generally
useful for identifying areas subject to environmental regulations and potential regulatory violations that subtract from the
organization's environmental performance. With these basic skills, audits can be successfully conducted by persons with
various educational backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not
intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a primer on the
requirements under Title 40. Rather, they are designed to be sufficiently detailed to support the auditor's efforts.
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and refers to the
actual working document used by auditors to evaluate a facility's conditions against a given set of criteria (in this case the
federal regulations). Therefore these documents describe "what" to audit an entity for rather than "how" to conduct an audit.
To optimize the effective use of these documents, you should become familiar with basic environmental auditing practices.
For more guidance on how to conduct environmental audits, EPA refers interested parties to:
The Auditing Roundtable
1511 IN Hay den Road
Suite #160355
Scottsdale, AZ 85260-2555
(480) 659-3738
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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EPA's Public Policies that Support Environmental Auditing
In 1986, in an effort to encourage the use of environmental auditing, EPA published its "Environmental Auditing Policy
Statement" (see 51 FR 25004). The 1986 audit policy states that "it is EPA policy to encourage the use of environmental
auditing by regulated industries to help achieve and maintain compliance with environmental laws and regulations, as well as
to help identify and correct unregulated environmental hazards." In addition, EPA defined environmental auditing as "a
systematic, documented, periodic, and objective review of facility operations and practices related to meeting environmental
requirements." The policy also identified several objectives for environmental audits:
Q Verifying compliance with environmental requirements
Q Evaluating the effectiveness of in-place environmental management systems
Q Assessing risks from regulated and unregulated materials and practices
In 1995, EPA published "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of Violations" which
both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major incentives for facilities to discover,
disclose and correct environmental violations. Under the 1995 policy, EPA generally will not seek gravity-based penalties or
recommend criminal charges be brought for violations that are discovered through an "environmental audit" (as defined in the
1986 audit policy) or a management system reflecting "due diligence" and that are promptly disclosed and corrected,
provided that other important safeguards are met. These safeguards protect health and the environment by precluding policy
relief for violations that cause serious environmental harm or may have presented an imminent and substantial endangerment.
In 1996, EPA issued its "Final Policy on Compliance Incentives for Small Businesses." The policy is intended to promote
environmental compliance among small businesses by providing them with special incentives to participate in EPA
compliance assistance programs. Similar to the EPA Audit Policies, the Small Business Policy also encourages small
businesses to conduct environmental audits, and then to promptly disclose and correct violations.
On April 11, 2000, EPA issued its revised final Small Business Policy (65 FR 19630) to expand the options allowed under the
1996 policy for discovering violations and to establish a time period for disclosure. The major changes contained in the April
11, 2000 Small Business Policy revision include lengthening the prompt disclosure period from 10 to 21 calendar days and
broadening the applicability of the Policy to violations uncovered by small businesses through any means of voluntary
discovery. This broadening of the Policy takes advantage of the wide range of training, checklists, mentoring, and other
activities now available to small businesses through regulatory agencies, private organizations, and the Internet.
More information on EPA's Small Business and Audit/Self-Disclosure Policies are available by contacting EPA's
Enforcement and Compliance Docket and Information Center (ECDIC) at (202) 566-1514 or visiting the EPA web site at:
http ://www. epa. gov/compliance/
How to Use the Protocols
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal laws
affecting a particular environmental management area. They also include a checklist containing detailed procedures for
conducting a review of a facility's conditions. The audit protocols are designed to support a wide range of environmental
auditing needs; therefore, several of the protocols in this set or sections of an individual protocol may not be applicable to a
particular facility. To provide greater flexibility, each audit protocol can be obtained electronically from the EPA Website
(http://www.epa.gov/compliance/incentives/auditing/protocol.html).
It is important to understand that there can be significant overlap within the realm of the federal regulations. For example, the
Department of Transportation (DOT) has established regulations governing the transportation of hazardous materials.
Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S. Department of Labor has promulgated
regulations governing the protection of workers who are exposed to hazardous chemicals. There can also be significant
overlap between federal, state, and local environmental regulations. State programs that implement federally mandated
programs may contain more stringent requirements that are not described in these protocols. There can also be
multiple state agencies regulating the areas covered in these protocols. The auditor should determine which regulatory agency
has authority for implementing an environmental program so that the required regulations are consulted. Prior to conducting
the audit, the auditor should review federal, state and local environmental requirements and expand the protocol, as
appropriate, to include other applicable requirements not found in these documents.
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations and
statutes. These sections are not intended to function as the main tool of the protocol. This is the purpose of the checklist.
Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out a facility's requirements
covered by that particular regulation. For example, a brief paragraph describing record keeping and reporting requirements
and the associated subpart citations will identify a specific area of focus for the facility.
State and Local Regulations
Each EPA Audit Protocol alerts the auditor to typical issues containing state and local regulations (e.g., more stringent local
regulations). From a practical standpoint, EPA cannot present individual state and local requirements in the protocols.
However, this section does provide general guidance to the auditor regarding the decision of statutory authority between EPA
and the states over a specific media. This section also describes circumstances where states and local governments may enact
more stringent requirements that go beyond the federal requirements.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the "Definitions"
sections of the Code of Federal Regulations (CFR). It is important to note that not alldefinitions from the CFR may be
contained in this section, however; those definitions which are commonly repeated in the checklists or are otherwise
important to an audit process are included. These definitions are generally related as they appear in the CFR without
embellishment.
The Checklists:
The checklists delineate what should be evaluated during an audit. The checklists contained in these protocols are (and should
be) sufficiently detailed to identify any area that may potentially receive a notice of violation if compliance is not achieved.
For this reason, the checklists often get to a level of detail such that a specific paragraph of the subpart [e.g., 40 CFR
122.28(b)(2)] contained in the CFR or the Federal Register (FR) is identified for verification by the auditor.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is important for
environmental auditors to determine if any new regulations have been issued since the publication of each protocol document
and, if so, amend the checklists to reflect the new regulations. Auditors may become aware of new federal regulations through
periodic review of Federal Register notices as well as public information bulletins from trade associations and other
compliance assistance providers. In addition, EPA offers information on new regulations, policies and compliance incentives
through several Agency Websites. Each protocol provides specific information regarding EPA program office websites that
can be accessed for regulatory and policy updates.
The Relationship of Auditing to Environmental Management Systems
An environmental auditing program is an important part of any organization's environmental management system (EMS).
Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or benchmark
environmental management systems. Regular environmental auditing can be the key element to a high quality environmental
management program and will function best when an organization identifies the "root causes" of each audit finding. Root
causes are the primary factors that lead to noncompliance events. For example, a violation of a facility's stormwater discharge
permit may be traced back to breakdowns in management oversight, information exchange, or inadequate evaluations by
untrained personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: (1) conducting the audit, (2) identifying
problems (audit findings), and (3) fixing identified deficiencies. When the audit process is expanded to identify and correct
root causes to noncompliance, the organization's corrective action part of its EMS becomes more effective. In the expanded
model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to noncompliance events.
Management actions then are taken to correct the underlying causes behind the audit findings and improvements are made to
the organizations overall EMS before another audit is conducted on the facility. Expanding the audit process allows the
organization to successfully correct problems, sustain compliance, and prevent discovery of the same findings again during
subsequent audits. Furthermore, identifying the root cause of an audit finding can mean identifying not only the failures that
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein. Ill
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require correction but also successful practices that promote compliance and prevent violations. In each case a root cause
analysis should uncover the failures while promoting the successes so that an organization can make continual progress
toward environmental excellence.
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Figure 1 - Corrective Action Model
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
IV
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Section II
Audit Protocol
Applicability
This protocol applies to facilities that discharge stormwater directly to waters of the United States or to municipal separate
storm sewer systems. Regulated stormwater discharges may originate from an industrial activity; construction sites larger than
1 acre; a small, medium, or large MS4s; or a facility identified by the National Pollutant Discharge Elimination System
(NPDES) permitting authority. Guidance is provided on the checklists to direct the auditor to the regulations concerning the
origin of stormwater discharges.
There are numerous environmental regulatory requirements administered by federal, state, and local governments. Each level
of government may have a major impact on areas of the MS4 or construction site that are subject to the audit. Therefore,
auditors are advised to review federal, state, and local regulations in order to perform a comprehensive audit.
Review of Federal Legislation
Clean Water Act
The 1972 Amendments to the Federal Water Pollution Control Act (commonly known as the Clean Water Act or CWA)
prohibit the discharge of any pollutant to waters of the United States from a point source unless the discharge is authorized by
an NPDES permit. At the time of the 1972 amendments to the CWA, sewage treatment plant outfalls and industrial process
wastewater were easily identified as point sources responsible for contributing to the degradation of water quality. However,
as pollution control measures were instituted, it became evident that more diffuse sources, such as agricultural and urban
stormwater runoff, also were contributing to the problem. In response to this concern, the Water Quality Act (WQA) of 1987
added Section 402(p) to the CWA and required EPA to establish a comprehensive two-phased approach to address
stormwater discharges.
State and Local Regulations
EPA is authorized under the CWA to directly implement the NPDES Program. EPA, however, may authorize states,
territories, or tribes to implement all or parts of the national program. In such cases, the requirements mandated by the state,
territory, or tribe must be at least as stringent as the federal regulations, but may be more stringent (e.g., permit coverage for
stormwater discharges may be required for construction activity less than one acre). If the state, territory, or tribe does not
have approval for administering the NPDES program, EPA will implement the NPDES program. While this document
presents only federal NPDES regulations, auditors should ensure they are familiar with any state (or local) regulations
addressing stormwater discharges to which the permittee is subject. Auditors should, as always, evaluate compliance based on
the permit issued to the regulated facility - regardless of whether it was a local, state, tribal, or federal authority who issued
the general permit or individual permit.
Key Compliance Requirements
In response to the 1987 Amendments to the CWA, EPA developed Phase I of the NPDES Stormwater Program in 1990.
Phase I requires all large and medium MS4s (as defined in 40 CFR 122.26 (b)(4) and (7), respectively) to have an NPDES
permit covering discharges of stormwater (55 FR 47990). Phase I requires NPDES permits for stormwater discharges from:
Q "Medium" and "large" municipal separate storm sewer systems (MS4s) generally serving, or located in incorporated
places or counties with populations of 100,000 or more people
Q Eleven categories of industrial activity, one of which is construction activity that disturbs five acres of land or
greater
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Medium and large MS4s must apply for individual permits under the Phase I program. Dischargers in the industrial categories
may seek coverage under applicable general permits. This protocol, however, does not address audits of industrial facilities
other than those performing construction activity requiring stormwater permit coverage.
EPA developed Phase II of the NPDES Stormwater Program in October 1999. The Phase II rule requires NPDES permit
coverage - mostly under general permits - for stormwater discharges from certain small MS4s (primarily all those located in
urbanized areas serving populations of less than 100,000) and construction activity disturbing between 1 and 5 acres of land
(60 FR 40230).
In the preamble to the 1999 (Phase II) regulations, EPA recommends using general permits for the sources regulated by this
rule. The use of general permits, instead of individual permits, generally reduces the administrative burden on permitting
authorities while also limiting the paperwork burden on regulated parties. Permit authorities may require individual permits to
address specific concerns, for instance, when there may be a question as to whether the permitted discharge will meet water
quality standards. Auditors should always evaluate compliance based on the terms of the local, state, territory, tribal, or
federally-issued permit. This is particularly important as it relates to the compliance evaluation of individual permit holders.
For further information regarding the stormwater regulations, refer to U.S. EPA's
Stormwater Website at www.epa.gov/npdes/stormwater. The EPA website provides up-to-
date information on regulations developed under CWA and the Stormwater Program as
well as other helpful information.
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Key Terms and Definitions
Best management practices (BMPs)
Schedules of activities, prohibitions of practices, maintenance procedures, and other management practices to prevent or
reduce the pollution of "waters of the United States." BMPs also include treatment requirements, operating procedures, and
practices to control plant site runoff, spillage or leaks, sludge or waste disposal, or drainage from raw material storage. (40
CFR 122.2)
Director
The Regional Administrator or the State Director, as the context requires, or an authorized representative. When there is no
"approved state program," and there is an EPA administered program, "Director" means the Regional Administrator. When
there is an approved state program, "Director" normally means the state Director. In some circumstances, however, EPA
retains the authority to take certain actions even when there is an approved state program. For example, when EPA has issues
an NPDES permit prior to the approval of a state program, EPA may retain jurisdiction over that permit after program
approval, see 40 CFR 123.1). In such cases, the term "Director" means the Regional Administrator and not the state Director.
(40 CFR 122.2)
Discharge of a pollutant
(a) Any addition of any "pollutant" or combination of pollutants to "waters of the United States" from any "point source,"
or (b) Any addition of any pollutant or combination of pollutants to the waters of the " contiguous zone " or the ocean from
any point source other than a vessel or other floating craft which is being used as a means of transportation. This definition
includes additions of pollutants into waters of the United States from: surface runoff which is collected or channeled by man;
discharges through pipes, sewers, or other conveyances owned by a State, municipality, or other person which do not lead to a
treatment works; and discharges through pipes, sewers, or other conveyances, leading into privately owned treatment works.
This term does not include an addition of pollutants by any "indirect discharger. "(40 CFR 122.2)
Discharge-related activities
Activities which cause, contribute to, or result in stormwater point source pollutant discharges as well as measures to control
stormwater discharges, including the siting, construction and operation of BMPs to control, reduce or prevent stormwater
pollution.
Facility or activity
Any NPDES ' 'point source'' or any other facility or activity (including land or appurtenances thereto) that is subject to
regulation under the NPDES program. (40 CFR 122.2)
General permit
An NPDES ' 'permit'' issued under § 122.28 authorizing a category of discharges under the CWA within a geographical area.
(40 CFR 122.2)
Illicit discharge
Any discharge to a municipal separate storm sewer that is not composed entirely of stormwater except discharges pursuant to
a NPDES permit (other than the NPDES permit for discharges from the municipal separate storm sewer) and discharges
resulting from fire fighting activities (40 CFR 122.26(b)(2)).
Large municipal separate storm sewer system
All municipal separate storm sewers that are either:
(i) Located in an incorporated place with a population of 250,000 or more as determined by the latest
Decennial Census by the Bureau of Census, or
(ii) Located in specific counties, except municipal separate storm sewers that are located in the incorporated
places, townships or towns within such counties; or
(iii) Owned or operated by a municipality other than those described in (i) or (ii) and that are designated as part
of the large or medium municipal separate storm sewer system due to the inter-relationship between the
discharges of the designated storm sewer and the discharges from municipal separate storm sewers.
(40 CFR 122.26(b)(4))
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein. 3
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Larger common plan of development or sale
A contiguous area where multiple separate and distinct construction activities are occurring under one plan (e.g., the operator
is building on three half-acre lots in a 6-acre development). "Plan" is broadly defined as any announcement or piece of
documentation (including a sign, public notice or hearing, sales pitch, advertisement, drawing, permit application, zoning
request, computer design, etc.) or physical demarcation (including boundary signs, lot stakes, surveyor markings, etc.)
indicating that construction activities may occur on a specific plot.
Major municipal separate storm sewer outfall (or "major outfall")
A municipal separate storm sewer outfall that discharges from a single pipe with an inside diameter of 36 inches or more or
its equivalent (discharge from a single conveyance other than circular pipe which is associated with a drainage area of more
than 50 acres); or for municipal separate storm sewers that receive stormwater from lands zoned for industrial activity (based
on comprehensive zoning plans or the equivalent), an outfall that discharges from a single pipe with an inside diameter of 12
inches or more or from its equivalent (discharge from other than a circular pipe associated with a drainage area of 2 acres or
more) (40 CFR 122.26(b)(5)).
Major outfall
A major municipal separate storm sewer outfall (40 CFR 122.26(b)(6)).
Medium municipal separate storm sewer system
All municipal separate storm sewers that are either:
(i) Located in an incorporated place with a population of 100,000 or more but less than 250,000, as determined
by the latest Decennial Census by the Bureau of Census; or
(ii) Located in the counties listed in appendix I, except municipal separate storm sewers that are located in the
incorporated places, townships or towns within such counties; or
(iii) Owned or operated by a municipality other than those described in paragraph (b)(4) (I) or (ii) of this section
and that are designated as part of the large or medium municipal separate storm sewer system due to the
interrelationship between the discharges of the designated storm sewer and the discharges from municipal
separate storm sewers.
(40 CFR 122.26(b)(7))
Municipal separate storm sewer
A conveyance or system of conveyances (including roads with drainage systems, municipal streets, catch basins, curbs,
gutters, ditches, man-made channels, or storm drains):
(i) Owned or operated by a state, city, town, borough, county, parish, district, association, or other public body
(created by or pursuant to state law) having jurisdiction over disposal of sewage, industrial wastes,
stormwater, or other wastes, including special districts under state law such as a sewer district, flood control
district or drainage district, or similar entity, or an Indian tribe or an authorized Indian tribal organization,
or a designated and approved management agency under Section 208 of the CWA that discharges to waters
of the United States;
(ii) Designed or used for collecting or conveying stormwater;
(iii) Which is not a combined sewer; and
(iv) Which is not part of a Publicly Owned Treatment Works (POTW) as defined at 40 CFR 122.2.
(40 CFR 122.26(b)(8))
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Non-stormwater discharges
Discharges not entirely composed of stormwater. Unless specifically authorized under an NPDES permit, these discharges are
illegal. Commonly authorized non-stormwater discharges include:
Water line flushing
Landscape irrigation
Diverted stream flows
Rising ground waters
Uncontaminated ground water infiltration (infiltration is defined as water other than wastewater that enters a sewer
system, including sewer service connections and foundation drains, from the ground through such means as
defective pipes, pipe joints, connections, or manholes. Infiltration does not include, and is distinguished from,
inflow.)
Uncontaminated pumped ground water
Discharges from potable water sources
Foundation drains
Air conditioning condensate
Irrigation water
Springs
Water from crawl space pumps
Footing drains
Lawn watering
Individual residential car washing
Flows from riparian habitats and wetlands
Dechlorinated swimming pool discharges
Street wash water
Discharges or flows from fire fighting activities
Outfall
A point source as defined by 40 CFR 122.2 at the point where a municipal separate storm sewer discharges to waters of the
United States and does not include open conveyances connecting two municipal separate storm sewers, or pipes, tunnels or
other conveyances which connect segments of the same stream or other waters of the United States and are used to convey
waters of the United States. (40 CFR 122.26(b)(9))
Owner or operator
Operator of any facility or activity subject to the regulation under the NPDES program. (40 CFR 122.2)
Pollutant
Dredged spoil, solid waste, incinerator residue, filter backwash, sewage, garbage, sewage sludge, munitions, chemical wastes,
biological materials, radioactive materials (except those regulated under the Atomic Energy Act of 1954, as amended (42
U.S.C. 2011 et seq.)), heat, wrecked or discarded equipment, rock, sand, cellar dirt and industrial, municipal, and agricultural
waste discharged into water. (40 CFR 122.2)
Principal executive officer of a federal agency
This includes:
(i) The chief executive officer of the agency, or
(ii) A senior executive officer having responsibility for the overall operations of a principal geographic unit of
the agency (e.g., Regional Administrators of EPA).
Qualified personnel
A person knowledgeable in the principles and practice of erosion and sediment controls who possesses the skills to assess
conditions at the construction site that could impact stormwater quality and to assess the effectiveness of any sediment and
erosion control measures selected to control the quality of stormwater discharges from the construction activity.
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Qualifying local program
A local, state, or Tribal municipal stormwater management program that imposes, at a minimum, the relevant requirements
associated with the minimum control measures for small municipal stormwater programs [as detailed in 40 CFR 122.34(b)].
Regional Administrator
The administrator of the appropriate Regional Office of the Environmental Protection Agency or the authorized representative
of the Regional Administrator. (40 CFR 122.2)
Responsible corporate officer
A responsible corporate officer means:
(i) A president, secretary, treasurer, or vice-president of the corporation in charge of a principal business
function, or an other person who performs similar policy- or decision-making functions for the corporation,
or
(ii) the manager of one or more manufacturing, production, or operating facilities, provided, the manager is
authorized to make management decision which govern the operation of the regulated facility including
having the explicit or implicit duty of making major capital investment recommendations, and initiating and
directing other comprehensive measures to assure long term environmental compliance with environmental
laws and regulations; the manager can ensure that the necessary systems are established or actions taken to
gather complete and accurate information for permit application requirements and where authority to sign
documents has been assigned or delegated to the manager in accordance with corporate procedures.
(40 CFR 122.22)
Runoff coefficient
The fraction of total rainfall that will appear at a conveyance as runoff. (40 CFR 122.26(b)(l 1))
Significant materials
Includes, but is not limited to: raw materials; fuels; materials such as solvents, detergents, and plastic pellets; finished
materials such as metallic products; raw materials used in food processing or production; hazardous substances designated
under Section 101(14) of CERCLA; any chemical the facility is required to report pursuant to Section 313 of title III of
SARA; fertilizers; pesticides; and waste products such as ashes, slag and sludge that have the potential to be released with
stormwater discharges. (40 CFR 122.26(b)(12))
Small municipal separate storm sewer system
A conveyance or system of conveyances (including roads with drainage systems, municipal streets, catch basins, curbs,
gutters, ditches, man-made channels, or storm drains):
(i) Owned or operated by a state, city, town, borough, county, parish, district, association, or other public body
(created by or pursuant to state law) having jurisdiction over disposal of sewage, industrial wastes,
stormwater, or other wastes, including special districts under state law such as a sewer district, flood control
district or drainage district, or similar entity, or an Indian tribe or an authorized Indian tribal organization,
or a designated and approved management agency under Section 208 of the CWA that discharges to waters
of the United States;
(iii) Not defined as "large" or "medium" municipal separate storm sewer systems pursuant to 40 CFR 122.26
(b)(4) and (b)(7), or designated under 40 CFR 122.26 (a)(l)(v);
(iv) This term includes systems similar to separate sewer systems in municipalities, such as systems at military
bases, large hospitals or prison complexes, and highways and other thoroughfares. The term does not
include separate storm sewers in very discrete areas, such as individual buildings.
(40 CFR 122.26(b)(16))
Urbanized area
A land area comprising one or more places - central place(s) - and the adjacent densely settled surrounding area - urban fringe
- that together have a residential population of at least 50,000 and an overall population density of at least 1,000 people per
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein. 6
-------
square mile.
Stormwater
Stormwater runoff, snow melt runoff, and surface runoff and drainage. (40 CFR 122.26(b)(13))
Typical Records to Review
The following are typical records an auditor may review while conducting an environmental compliance audit.
NPDES permits
Stormwater Pollution Prevention Plan (SWPPP)
Discharge monitoring reports (DMRs)
Annual reports
Notice of Intent documentation
Hazardous waste transporter invoices or manifests
Hazardous substance spill control and contingency plan
Site plans
Sediment and erosion control plans
Stormwater management program plans
Operation and maintenance plans
Notices of noncompliance
Notices of violations
Administrative orders
Local sewer ordinance
Training manuals
NPDES federal or state inspection reports
Typical Physical Features to Inspect
The following are typical physical features an auditor may observe while conducting an environmental compliance audit:
Discharge outfall pipes
Floor drains
Parking lot drains
Stormwater management facilities
Covered storage facilities
Silt fences
Sediment traps and basins
Outdoor storage areas exposed to Stormwater
Checklist User Guidance
Only MS4s and construction activity are covered in this audit protocol document. Each of these categories is regulated
slightly differently. The corresponding checklists for these two categories are specifically tailored to audits of each category
and are designed as stand-alone tools.
Two audit checklists addressing the requirements for MS4s - one for large/medium MS4s and one for small MS4s - are
included in this audit protocol. The audit checklist for medium and large MS4s is scaled down, since auditors must refer to
the individual (site-specific) permits to evaluate compliance. The audit checklist for small MS4s refers to the model General
Permit for Discharges from Small Municipal Separate Storm Sewer Systems. Auditors should refer to the specific EPA
regional or state small MS4 general permit for any additional state specific requirements to evaluate compliance. Language
will vary depending on permit format (e.g., state-wide, watershed specific, etc.)
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
-------
The left column of the checklist includes requirements mandated by regulation or reference to the Federal Register. The
second column of the checklist provide instructions to help conduct the audit. These instructions are performance objectives
that should be accomplished by the auditor. Some of the performance objectives may be simple documentation checks that
take only a few minutes; others may require a time-intensive physical inspection of an MS4 or construction site. The
checklists contain the following components:
Q "Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by regulation
or a best management practice that exceeds the requirements of the Federal regulations. The regulatory citation is
given in parentheses after the stated requirement.
Q "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish the
auditor's performance objectives. (The key to successful compliance auditing is to verify and document site
observations and other data.) The checklists follow very closely with the text in EPA's general permits or CFR in
order to provide the service they are intended to fulfill (i.e., to be used for compliance auditing). Wherever possible,
the statements or items under the "Reviewer Checks" column, will follow the same sequence or order of the citations
listed at the end of the statement in the "Regulatory Requirement or Management Practice" column.
Q "Reviewer Completed" Column:
This column provides a check box that allows the auditor to keep track of those items which have been completed in
the auditing process. A yes or no question may also be posed in this column to determine need for completion of
additional check box items.
Q "Reviewer Notes" Column
This space is provided in the checklists to allow the auditor room for additional notes related to each item. This may
include identifying the appropriate permit or regulatory authority for a particular item (i.e., if a state or local
requirement supercedes the federal requirement), noting areas that need improvement, or options the owner or
operator may employ to comply with a given requirement.
Q Checklist Numbering System:
This checklist has incorporated a simplified numbering system for ease of use. Blank pages appear between checklist
topic sections allowing an inspector to select and remove only the section of interest for use in the field. Each item in
the checklist includes the associated regulatory citation or EPA permit reference in parentheses after the section title
or text of the requirement.
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
-------
List of Acronyms and Abbreviations
BMP Best Management Practice
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act (or
Superfund)
CFR Code of Federal Regulations
CWA Clean Water Act
DMR Discharge Monitoring Report
DOT Department of Transportation
EPA Environmental Protection Agency
EMS Environmental Management System
FR Federal Register
MS4 Municipal Separate Storm Sewer System
NOI Notice of Intent
NPDES National Pollutant Discharge Elimination System
OECA Office of Enforcement and Compliance Assurance
OSHA Occupational Safety and Health Administration
POTW Publically Owned Treatment Works
RCRA Resource Conservation and Recovery Act
SARA Superfund Amendments and Reauthorization Act
SMCRA Surface Mining Control and Reclamation
SWMP Stormwater Management Program
SWPPP Stormwater Pollution Prevention Plan
TMDL Total Maximum Daily Load
WLA Waste Load Allocation
WQA Water Quality Act
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
-------
Index for Checklist Users
Refer To:
Checklist Items
Page Numbers
Construction Activity
1.0 through 6.0
12-31
Municipal Separate Storm Sewer Systems (MS4s)
• Medium and Large MS4s
Small MS4s
7.0 through 8.15
9.0 through 17.0
33-37
39-51
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
10
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THIS PAGE INTENTIONALLY LEFT BLANK
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein. 11
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
NPDES Stormwater Requirements
for Construction Activity
Note: The following checklist follows the organization of US EPA's General Permit for Stormwater Discharges from
Construction Activities (Construction General Permit, CGP). The CGP can be found at 68 Federal Register 39087
(July 1, 2003). As the permit was not printed in the Federal Register in its entirety, the corresponding permit number
(not FR citation) is noted for each item. The regulatory citation is found after the section title or the requirement text
where available. Some referenced sections of the CGP are combined to reduce redundancy and facilitate the review
process.
It is important to note that construction site Stormwater discharges may be covered under an individual permit or
under an alternative state or EPA Regional permit. When this occurs, refer to that permit for any additional/different
permit requirements that may not be included in the following checklist.
The following table includes checks the auditor should make during both the paperwork and on-site review of an
operator's management of construction site Stormwater discharges. To facilitate the review process, Appendix A
includes those checks that are to be performed on site and the associated permit reference.
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
1.0 Applicability
Regulations generally apply to
construction activity that disturbs 1 or
more acres of land. [(5 or more acres
- 40 CFR 122.26(b)(14)(x) and ("I -5
acres - 40 CFR 122.26(b)(15)(i))]
Regulations apply if the construction
activity disturbs less than 1 acre of
land, but is part of a larger common
plan of development or sale that will
ultimately disturb 1 or more acres.
[(5 or more acres - 40 CFR
122.26(b)(14)(x) and (1-5 acres - 40
CFR 122.26(b)(15)(i))]
Verily the area of disturbance (acres)
within the construction boundary.
Determine whether the construction
activity is part of a larger common
plan of development or sale.
Verily the size of disturbance or
planned disturbance in the common
plan.
D
D
D
2.0 Coverage under the Permit (CGP Part 1)
2.1 Eligibility (CGP Part 1.3)
2.1.1 Discharging into Receiving Waters with an Approved TMDL and Documentation of Permit Eligibility (CGP Part
1.3.C.5 and 3.14. A, B, and C)
The operator must address
Stormwater discharges that
contribute to waters for which a
TMDL has been established or
approved. [40 CFR
122.44(d)(1)(vii)(B)]
The SWPPP must include
documentation supporting a
determination of permit eligibility with
regard to waters that have an EPA-
established or approved TMDL.
(CGP Part 3. 14. A, B, C)
Is there a TMDL for the receiving
water with conditions applicable to
the operator's discharges?
If yes, verily the SWPPP includes :
If the TMDL identifies whether
the operator's discharge is
identified in a TMDL (either
specifically or generally)?
Any associated allocations,
requirements, and assumptions
identified for the operator's
discharge
D yes D no
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
12
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
• Conditions applicable to the
discharges necessary for
consistency with these
assumptions/requirements
Summaries of consultation with
state/federal TMDL authorities on
consistency of SWPPP
conditions with the approved
TMDL
Measures/controls taken to
ensure the discharge is
consistent with the assumptions/
requirements of the TMDL
If a specific wasteload allocation
been established that would apply to
the operator's discharge, verify the
operator has incorporated the
allocation into the SWPPP and steps
have been implemented to meet the
allocation.
If a general wasteload allocation has
been established applicable to
construction stormwater discharges,
but no specific requirements for
construction sites are established,
verify the operator has consulted
with the state or federal TMDL
authority to confirm adherence to a
SWPPP that meets requirements of
the permit and is consistent with the
TMDL.
Note: Where a wasteload allocation
has not been specified for
construction stormwater discharges,
but has not specifically excluded
these discharges, adherence to a
SWPPP that meets the requirements
of the CGP will generally be
assumed to be consistent with the
approved TMDL.
Note: If the TMDL specifically
precludes such discharges, the
operator is not eligible for coverage
under EPA's CGP.
Verify on site the operator has
incorporated measures or controls
into the SWPPP that are consistent
with the assumptions and
requirements of the TMDL.
D
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
13
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
2.7.2 Endangered and Threatened Species and Critical Habitat Protection and Documentation of Permit Eligibility
(CGP Part 1.3.C.6 and 3.7)
Permit coverage is available only if
the operator's Stormwater
discharges, allowable non-
stormwater discharges, and
stormwater-related activities are not
likely to jeopardize the continued
existence of any species that are
federally-listed as endangered or
threatened ("listed") under the
Endangered Species Act (ESA) or
result in the adverse modification or
destruction of habitat that is
federally-designated as critical under
the ESA ("critical habitat").
The operator is not eligible to
discharge if the Stormwater
discharges, allowable non-
stormwater discharges, or
Stormwater discharge-related
activities would cause a prohibited
"take" of federally-listed endangered
or threatened species, unless
authorized under sections 7 or 10 of
tho PQA
Ulc COM.
(CGP 1.3.C.6)
The SWPPP must include
documentation supporting a
determination of permit eligibility with
regard to endangered species. (CGP
3.7)
Verify the SWPPP includes:
Whether federally-listed
endangered or threatened
species, or federally-designated
critical habitat may be in the
project area
If such species or critical habitat
exist in the project area, whether
such species or critical habitat
may be adversely affected by
Stormwater discharges or
discharge related activities
• The results of the permit's listed
species and critical habitat
screening determination
• Confirmation of NOI delivery to
permitting authority
• Any correspondence with the
U.S. Fish and Wildlife Service
(FWS), EPA, the U.S. National
Marine Fisheries Service
(NMFS), or others on project
planning related to listed species
or critical habitat, including any
notification that delays
authorization to discharge
A description of measures
necessary to protect listed
species or critical habitat, if found
in the project area.
Verify on site the permittee has
implemented measures (i.e., BMPs)
to protect listed threatened or
endangered species or critical
habitat.
D
D
D
D
D
D
2.7.3 Historic Properties (CGP Part 1.3.C.7)
The operator must comply with
applicable state, tribal, and local
laws concerning the protection of
historic properties and places.
Verify the SWPPP has identified any
applicable laws regarding historic
properties.
Verify the SWPPP has identified the
need for the protection of historic
property and any measures to
protect these site(s).
Verify on site the permittee has
implemented measures to protect
historic properties and places.
D
D
fj
3.0 Authorization for Discharges of Stormwater from Construction Activity (CGP Part 2)
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
14
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Dischargers of Stormwater
associated with industrial activity [40
CFR 122.26(b)(14)(x)] and with small
construction activity [122.26(b)(15)]
are required to apply for an individual
permit or seek coverage under a
promulgated Stormwater general
permit. Facilities that are required to
obtain an individual permit or any
discharge of Stormwater which the
Director is evaluating for the
designation under 40 CFR
122.26(a)(1)(v)and is not a
municipal storm sewer, shall submit
an NPDES application in accordance
with the requirements of 40 CFR
122.21 as modified and
supplemented by the provisions of
this paragraph. [40 CFR
122.26(c)(1)]
Operators seeking coverage under a
general permit shall submit to the
Director a written notice of intent
(NOI) to be covered by the general
permit. A discharger who fails to
submit an NOI in accordance with
the terms of the permit is not
authorized to discharge under the
terms of the general permit unless
the general permit, in accordance
with 40 CFR 1 22.28 (b)(2)(v),
contains a provision that an NOI is
not required or the Director notified a
discharger that it is covered. [40
CFR 122.28(b)(2)]
Reviewer Checks
Determine if all operators on site
have submitted an NOI.
Verify the operator has provided all
the information required by the
permitting authority in the
application/NOI.
Verify commencement date of
construction activities is consistent
with submission requirements under
the permit.
Determine whether operator has
changed at the site. If so, verify:
• The submission date of new NOI.
• The date the new operator began
work on the site after the new
NOI was submitted.
Reviewer
Completed
D
D
D
D
Reviewer Notes
4.0 Stormwater Pollution Prevention Plans (SWPPPs) (CGP Part 3)
4.1 SWPPP Framework (CGP Part 3.1)
A SWPPP must be developed for
each construction project or site
covered by this permit prior to
submission of an NOI. (CGP Part
3.1.A)
The SWPPP must be prepared in
accordance with good engineering
practices. (CGP Part 3.1. A)
Verify SWPPP covers the entire
construction site or project for this
permit.
Verify the date of the SWPPP and
NOI.
Verify that measures proposed in the
SWPPP are based on good
engineering practices (such as those
recommended in state or local
Sediment and Erosion Control
Manuals or Handbooks) which would
achieve the intended level of
controls.
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
15
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
The SWPPP must identify all
potential sources of pollution that
may be reasonably expected to
affect Stormwater quality from the
site. (CGP Part 3.1. B.1)
ALSO SEE Section 4.4 Pollution
Prevention Plan Contents: Controls
to Reduce Pollutants, CGP Part 3.4.1
and
Section 4.5 Non-stormwater
Discharge Management, CGP Part
3.5
The SWPPP must describe practices
to be used to reduce pollutants in
Stormwater discharges from the
construction site. (CGP Part 3.1.B.2)
ALSO SEE Section 4.4 Pollution
Prevention Plan Contents: Controls
to Reduce Pollutants
The SWPPP must assure
compliance with permit terms and
conditions. (CGP Part 3.1.B.3)
Once a definable area has been
finally stabilized, the operator may
mark this on the SWPPP and no
further SWPPP or inspection
requirements apply to that portion of
the site. (CGP Part 3. 1C)
Reviewer Checks
Verify the SWPPP includes a
description of potential pollutant
sources.
Verify that the SWPPP contains a
description of the practices that will
be used to reduce pollutants from
Stormwater discharges.
After a complete review of the
SWPPP, verify it is consistent with
permit conditions described herein.
If a definable area is marked on the
SWPPP as being stabilized, verify
that it is indeed stabilized on site.
Reviewer
Completed
D
D
D
D
Reviewer Notes
4.2 Requirements for Different Types of Operators (CGP Part 3.2)
Note: One or both of (CGP 3. 2. A) and (CGP 3. 2. B) may apply to the permittee. (CGP 3. 2. C) applies to all permittees having
control over only a portion of a construction site.
Permittees with operational control
over construction plans and
specifications must ensure:
Project specifications meet
permit conditions
• SWPPP indicates areas of the
project where operator has
operational control over project
specifications and ability to make
modifications to specifications
Other permittees implementing
portions of SWPPP (or their own
SWPPP) who may be impacted
by a change are notified by
changes in a timely manner
• SWPPP indicates the name of
Verify the SWPPP indicates the
areas of the project where the
operator has operational control.
Verify the SWPPP addresses
procedures to notify those who may
be impacted by the SWPPP. If
changes have been made to
SWPPP, verify these permittees
have indeed been notified.
Verify the SWPPP contains the
name for responsible party(ies) with
day-to-day operational control and
responsibilities.
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
16
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
party(ies) with day-to-day
operational control over those
activities necessary to ensure
compliance with the SWPPP or
permit conditions
(CGP Part 3.2.A)
Permittees with operational control
over day-to-day activities must
ensure the SWPPP:
Meets the minimum permit
requirements and identifies the
parties responsible for
implementation of control
measures identified in the plan
Indicates those areas of the
project where the operator has
operational control over day-to-
day activities
Includes the name of the
party(ies) with operational control
over project specifications
(including the ability to make
modifications in specifications)
(CGP Part 3.2.B)
Verify the SWPPP indicates areas
where the permittee has operational
control over day-to-day activities.
Verify the SWPPP contains the
name of party(ies) with operational
control over project specifications.
D
D
With operational control over only a
portion of a larger project, the
permittee is responsible for
compliance with all applicable terms
and conditions of the permit as it
relates to the activities on that
portion of the construction site,
including the protection of
endangered species, critical habitat,
and historic properties, and
implementation of BMPs and other
controls required by the SWPPP.
The operator must ensure either
directly or through coordination with
other permittees, that his/her
activities do not render another
party's pollution control ineffective.
The operator must either implement
his/her portion of a common SWPPP
or develop and implement his/her
own SWPPP.
(CGP Part 3.2.C)
ALSO SEE 2.1.2 and 2.1.3 for
Verify the permittee is responsible
for only a portion of a larger project
(e.g., one of four homebuilders in a
subdivision).
Verify that a SWPPP has been
developed for this portion of the
project or that the operator has
implemented a portion of a common
SWPPP.
Verify on site that the operator's
activities have not negatively
impacted another party's pollution
controls.
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
17
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
reference to endangered species,
critical habitat, and historic
properties.
4.3 Pollution Prevention Plan Contents: Site and Activity Description (CGP Part 3.3)
The SWPPP must identify all
operators for the project site, and the
areas of the site over which each
operator has control. (CGP Part
3.3.A)
Verify the name of responsible
party(s) with day-to-day operational
control of those activities necessary
to ensure compliance with SWPPP
or other permit conditions.
Verify the SWPPP indicates areas
where the responsible party has
control.
D
D
The SWPPP must include the nature
of the construction activity. (CGP
PartS.S.B)
Verify the SWPPP includes the
following:
• The function of the project (e.g.,
low density residential, shopping
mall, highway, etc.)
• The intended sequence and
timing of activities that disturb
soils at the site
Estimates of the total area
expected to be disturbed by
excavation, grading, or other
construction activities, including
dedicated off-site borrow and fill
areas
A general location map (e.g.,
USGS quadrangle map, a portion
of a city or county map, or other
map) with enough detail to
identify the location of the
construction site and waters of
the United States within one mile
of the site.
D
D
D
D
The SWPPP must contain a legible
site map, showing the entire site.
(CGP Part 3.3.C)
Verify the SWPPP includes a site
map, indicating the following:
• Direction(s) of Stormwater flow
and approximate slopes
anticipated after major grading
activities
Areas of soil disturbance and
areas that will not be disturbed
Locations of major structural and
nonstructural BMPs identified in
the SWPPP
Locations where stabilization
practices are expected to occur
Locations of off-site material,
waste, borrower equipment
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
18
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
storage areas
Locations of all waters of the
United States (including
wetlands)
Locations where Stormwater
discharges to a surface water
Areas where final stabilization
has been accomplished and no
further construction-phase permit
requirements apply
D
D
D
The SWPPP must describe and
identify the location and description
of any Stormwater discharge
associated with industrial activity
other than construction at the site.
This includes Stormwater discharges
from dedicated asphalt plants and
dedicated concrete plants, that are
covered by this permit. (CGP Part
3.3.D)
ALSO SEE 4.4 Pollution Prevention
Plan Contents: Controls to Reduce
Pollutants, CGP Part 3.4.1
Verify the SWPPP includes the
location and description of the
following discharges, as applicable:
• Dedicated asphalt plants
Dedicated concrete plants
• Other industrial activity other
than construction that are
occurring on the site
D
D
D
4.4 Pollution Prevention Plan Contents: Controls to Reduce Pollutants (CGP Part 3.4)
The SWPPP must include a
description of all pollution control
measures (i.e., BMPs) that will be
implemented as a part of the
construction activity to control
pollutant in Stormwater discharges.
(CGP Part 3.4.A)
Verify that, for each major activity
identified in the project description,
the SWPPP clearly describes:
• Appropriate control measures
and their locations on the site
• General sequence during the
construction process in which the
measures will be implemented
• Operator who is responsible for
the control measure's
implementation
D
D
D
The SWPPP must include a
description of interim and permanent
stabilization practices for the site
including a schedule of when
practices will be implemented. (CGP
Part SAB)
Stabilization measures must be
initiated as soon as practicable in
portions of the site where
construction activities have
temporarily or permanently ceased,
but in no case more than 14 days
after the construction activity in that
portion of the site has temporarily or
Verify the SWPPP:
• Describes interim and permanent
stabilization practices
• Provides a schedule as to when
these practices are to be im
plemented
Addresses preservation of
existing vegetation, where
attainable, and stabilization of
disturbed soil
Verify on site disturbed areas are
stabilized (sodded or covered by
other means) where construction
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
19
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
permanently ceased. (CGP Part
3.13.D)
activities have temporarily or
permanently ceased.
Note: Stabilization must be initiated
as soon as practicable in situations
where it is not possible within 14
days. Exceptions include:
Snow cover and frozen ground
conditions
Arid, semiarid, and drought-
stricken areas where initiating
perennial vegetative stabilization
is not possible
Note: If construction activity on a
portion of the site is temporarily
ceased, and earth disturbing
activities will be resumed within 14
days, temporary stabilization
measures do not have to be initiated
on that portion of the site.
Records must be maintained and
attached to the SWPPP. (CGP Part
3.4.C)
Verify the following records are
attached to the plan:
Dates when major grading
activities occur
Dates when construction
activities temporarily or
permanently cease on a portion
of the site
• Dates when stabilization
measures are initiated
D
D
D
The SWPPP must include a
description of structural practices to
divert flows from exposed soils,
retain/detain flows, or otherwise limit
runoff and discharge of pollutants
from exposed areas of site. (CGP
Part 3.4.0)
A combination of sediment and
erosion control measures are
required to achieve maximum
pollutant removal. (CGP Part 3.13.E)
Verify the SWPPP includes a
description of structural practices,
their locations, and their intended
functions.
Note: Such practices are not to be
placed in flood plain zones to the
degree practicable.
Verify the SWPPP addresses the
appropriate sediment and erosion
control measures for the drainage
area of the site including.
For 10 or more disturbed areas:
A sediment basin with sufficient
storage volume from a 2-year, 24
hour storm event or a basin with
storage of 3,600 cubic feet per
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
20
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
acre of drainage area (or
equivalent measure)
• Silt fences, vegetative buffer
strips, or equivalent sediment
controls for all down slopes
For 10 acres or more disturbed and
where a temporary sediment basin is
not attainable:
Smaller sediment basins and/or
sediment traps
Silt fences, vegetative buffer
strips, or equivalent sediment
controls for all down slope
boundaries
For drainage locations serving less
than 10 acres:
• Smaller sediment basins and/or
sediment traps
Silt fences, vegetative buffer
strips, or equivalent sediment
controls for all down slope
boundaries of the construction
area (unless a sediment basin
providing storage from a 2-year,
24-hour storm or 3,600 cubic feet
of storage per acre is provided
Verify on site that these measures
have been implemented.
D
D
D
The SWPPP must include a
description of all post-construction
stormwater management measures
to be installed during the
construction process after
construction operations have been
completed.
Structural measures should be
placed on upland soils to the degree
practicable.
Such measures must be designed
and installed in compliance with
applicable federal, local, state, or
tribal requirements.
(CGPPart3.4.E)
Verify the SWPPP includes a
description of measures to control
stormwater discharges after the
completion of construction.
Verify placement of structural
measures in the SWPPP and on site.
Verify SWPPP includes discussion of
placement of measures if not put on
upland soils.
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
21
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
The SWPPP must describe
measures to prevent the discharge
of solid materials, including building
materials, to waters of the United
States, except as authorized by a
permit issued under Section 404 of
theCWA. (CGPPart3.4.F)
Verify the SWPPP states that no
solid/building materials will be
discharged into the waters of the
United States. If these discharges
are planned, verify reference in the
SWPPP to a permit issued under
Section 404 of the CWA.
Verify on site through inspection of
outfalls that no solid/building
materials are discharged unless
authorized by a permit.
D
D
The SWPPP must describe
measures to minimize to the extent
practicable off-site vehicle tracking of
sediments onto paved surfaces and
the generation of dust. (CGP Part
3.4.G)
If sediment escapes the construction
site, off-site accumulations of
sediment must be removed at a
frequency sufficient to minimize off-
site impacts. (CGP Part 3.13. B)
Verify in the SWPPP that measures
(such as use of stone entrances or
truck washing) to minimize vehicle
tracking of sediments and the
generation of dust are provided.
Verify on site that accumulation of
sediment, or signs of sediment
escape, does not appear outside the
construction entrance or perimeter of
the construction site.
Verify the SWPPP identifies
measures and schedule are
identified to remove sediment
escaping the construction site.
D
D
D
The SWPPP must include a
description of construction and waste
materials expected to be stored on-
site with updates as appropriate.
The SWPPP must include a
description of controls, including
storage practices, to minimize the
exposure of the materials to
stormwater, and spill prevention and
response practices.
(CGP Part 3.4.H)
Litter, on-site construction debris,
and construction chemicals that
could be exposed to stormwater
must be prevented from becoming a
pollutant source in stormwater
discharges. (CGP Part 3.13.C)
Verify the SWPPP includes a
description of construction and waste
materials to be stored on-site.
Verify on site that those construction
and waste materials stored on-site
match those noted in the SWPPP.
Verify the SWPPP includes a
description of exposure minimization
practices, including storage
practices, to prevent construction
and waste materials from becoming
sources of pollution. Verify, at a
minimum, this includes:
• Litter
On-site construction debris
• Construction chemicals
Verify on site that the exposure
minimization practices discussed in
the SWPPP have been
implemented.
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
22
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
Verify on site the Stormwater
conveyance system and the outside
perimeter of the construction site are
free of debris and chemicals.
Verify the SWPPP includes a
description of spill prevention and
response practices.
Verify on site that the spill prevention
and response practices are being
implemented (there are materials
provided to employees, trainings,
etc.)
D
D
D
Velocity dissipation devices must be
placed at discharge locations and
along the length of any outfall
channel to provide a non-erosive
flow velocity from the structure to a
water course so that the natural
physical and biological
characteristics and functions are
maintained an protected (e.g., no
significant changes in the
hydrological regime of the receiving
water). (CGP Part 3.13.F)
Verify in the SWPPP adequate
outfall protection including velocity
dissipation devices are provided
where required.
Verify on site:
• The velocity dissipation devices
have been installed
• There is no evidence of erosion
at outlet
High velocity flow has not
misplaced rocks
The size and number of rocks
are adequate to avoid soil
erosion
There is no evidence of
additional sedimentation in
receiving water attributable to the
site
D
D
D
D
D
D
The SWPPP must include a
description of pollutant sources from
areas other than construction
(including Stormwater discharges
from dedicated asphalt plants and
dedicated concrete plants), and a
description of controls and measures
that will be implemented at those
sites to minimize pollutant
discharges. (CGP Part 3.4.1)
Verify the SWPPP includes:
• Description of pollutant sources
from areas other than
construction (including dedicated
asphalt plants and concrete
plants)
• Controls and measures to
minimize pollutant discharges
from these sources.
D
D
4.5 Non-Stormwater Discharge Management (CGP Part 3.5)
The SWPPP must identify all
allowable sources of non-stormwater
discharges listed in the permit [see
Key Terms and Definitions], except
for flows from fire fighting activities,
that are combined with Stormwater
discharges associated with
Verify the SWPPP identifies:
Sources of non-stormwater that
are combined with Stormwater
discharges from construction
activities
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
23
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
construction activities at the site.
Non-stormwater discharges should
be eliminated or reduced to the
extent feasible.
The SWPPP must identify and
ensure the implementation of
appropriate pollution prevention
measures for the non-stormwater
component(s) of the discharge.
• Appropriate water pollution
prevention measures and
descriptions for the control of
non-stormwater discharges.
Verify on site non-stormwater
discharges are eliminated or reduced
to the extent feasible
D
D
4.6 Maintenance of Controls (CGP Part 3.6) ALSO SEE 4.9, Maintaining an Updated Plan, CGP Part 3.11
All erosion and sediment control
measures and other protective
measures identified in the SWPPP
must be maintained in effective
operating condition. (CGP Part
3.6.A)
All control measures must be
properly selected, installed, and
maintained in accordance with any
relevant manufacturer's
specifications and good engineering
practices. If periodic inspections or
other information indicates a control
has been used inappropriately, or
incorrectly, the operator must
replace or modify the control for site
situations as soon as practicable.
(CGPPart3.13.A)
Verify the control measures selected
have been deemed appropriate for
the site (measures have been
approved and have not been
modified or replaced without
approval).
Verify on site that the control
measures, including erosion and
sediment controls, identified in the
SWPPP are installed and operating
effectively. This may require visiting
the site after a rain event (ALSO
SEE 4.10 Inspections, CGP 3.10.E).
Determine if inspection records have
identified any improperly or
incorrectly used/maintained controls.
Verify the operator has procedures in
place to fix improperly functioning
control measures identified during
inspections so that issues are
addressed as soon as practicable
(preferably before the next storm
event).
Verify on site that if a control
measure has been used
inappropriately or correctly it has
been replaced or modified.
Verify this change has been
documented in the SWPPP.
D
D
D
D
D
D
If existing BMPs need to be modified
or if additional BMPs are necessary
for any reason, implementation must
be completed before the next storm
event whenever practicable.
If implementation before the next
If BMPs have required modification
or have been added, verify the
SWPPP:
Has been updated to include
these changes
• Details the schedule for the
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
24
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
storm event is impracticable, the
situation must be documented in the
SWPPP and alternative BMPs must
be implemented as soon as possible.
(CGP Part 3.6. B)
ALSO SEE 4.9 Maintaining and
Updated Plan, CGP Part 3. 1 1
Sediment from sediment traps or
sedimentation ponds must be
removed when design capacity has
been reduced by 50 percent. (CGP
Part3.6.C)
Reviewer Checks
implementation of changes and,
if applicable:
• Detail if changes were not
made before the next rain
event
• The alternative BMPs that
were implemented
immediately
Verify on site that these changes
have been implemented.
Verify the SWPPP address removal
of sediment from sedimentation
ponds.
Verify on site that sediment
accumulated does not exceed 50
percent of capacity of sediment traps
and/or sediment ponds.
Reviewer
Completed
D
D
D
D
D
Reviewer Notes
4.7 Applicable State, Tribal, or Local Programs (CGP Part 3.9)
The SWPPP must be consistent with
applicable state, tribal, and/or local
requirements for soil and erosion
control and Stormwater management
including updates as necessary to
reflect revision to the requirements.
Verify the SWPPP contains
provisions to be consistent with
applicable state, tribal, or local
requirements for soil and erosion
control and Stormwater
management.
D
4.8 Inspections (CGP Part 3.10)
Inspections must be conducted in
accordance with the permits
inspection schedule. (3.10.A)
Inspection frequency may be
reduced to at least once every month
given specific seasonal, project, or
geographic conditions. (CGP Part
3.10.B)
Verify the SWPPP includes the
intended inspection schedule which
is either:
• At least once every 7 calendar
days
OR
At least once every 14 calendar
days and within 24 hours of the
end of a storm event of 0.5
inches or greater.
If operator has modified inspection
schedule, verify in the SWPPP that a
monthly inspection schedule has
been implemented.
If the inspection frequency has been
reduced, verify on site that one of the
following conditions applies:
• The entire site is temporarily
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
25
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
stabilized
Runoff is unlikely due to winter
conditions (e.g., site is covered
with snow, ice, or the ground is
frozen)
Construction is occurring during
seasonal arid periods in arid
areas and semi-arid areas
A waiver of inspection requirements
is available until one month before
thawing conditions are expected to
result in a discharge. (CGP Part
3.10.C)
If the operator has sought a waiver
from inspection requirements verify
all the following conditions are met:
• Project is located in an area
where frozen conditions are
anticipated to extend for more
than one month.
Land disturbance activities have
been suspended
Beginning and end dates of
waiver period are documented in
the SWPPP
D
D
D
Inspections must be conducted by
qualified personnel [See Key Terms
and Definitions] (provided by the
operator or cooperatively by multiple
operators). (CGP Part 3.10.D)
Verify the SWPPP identifies
appropriate personnel to conduct
inspections.
D
Inspections must include all areas of
the site disturbed by construction
activity and areas used for storage of
materials that are exposed to
precipitation. Inspectors must look
for evidence of, or the potential for,
pollutants entering the Stormwater
conveyance system.
Sedimentation and erosion control
measures identified in the SWPPP
must be observed to ensure proper
operation.
Discharge locations must be
inspected to ascertain whether
erosion control measures are
effective in preventing significant
impacts to waters of the United
States, where accessible.
Where discharge locations are
inaccessible, nearby downstream
locations must be inspected to the
extent that such inspections are
practicable.
Verify the SWPPP contains a
description of inspection procedures
for:
• Disturbed areas
Storage sites for materials and
chemicals exposed to
precipitation
Verify procedures are in place to
inspect accessible discharge
locations as well as nearby
downstream locations when
discharge sites are inaccessible.
Verify inspection reports include
evaluations of:
• Evidence of, or potential for,
pollutants to enter the Stormwater
conveyance system
Erosion and sediment control
measures operating correctly
(functioning as described in the
SWPPP)
• Evidence of offsite sediment
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
26
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
Locations where vehicles enter or
exit the site must be inspected for
evidence of off-site sediment
tracking.
(CGPPart3.10.E)
tracking where vehicles enter
and exit the site
Erosion control measures are
effective (i.e., no downstream
evidence of silt or construction
debris) at accessible discharge
locations or nearby downstream
locations (with inaccessible sites)
D
When stabilization of soils may be
compromised as the result of
inspection of utility line installation,
pipeline construction, and other
examples of long, narrow, linear
construction activities, controls must
be inspected on the same
frequencies as other construction
projects, but representative
inspections may be
performed.
For representative inspections,
personnel must inspect controls
along the construction site for 0.25
mile above and below each access
point where a roadway, undisturbed
right-of-way, or other similar feature
intersects the construction site and
allows access to the areas described
above.
The conditions of the controls along
each inspected 0.25 mile segment
may be considered as representative
of the condition of controls along that
reach extending from the end of the
0.25 mile segment to either the end
of the next 0.25 mile inspected
segment, or to the end of the project,
whichever occurs first.
(CGPPart3.10.F)
At sites with utility line installation,
pipeline construction, and other
examples of long, narrow, linear
construction activities verify controls
are inspected at the same frequency
as other construction projects.
If representative inspections are
performed, verify personnel inspects
controls along the site 0.25 miles
above and below each access point.
D
D
For each inspection an inspection
report must be completed.
A record of each inspection and of
any actions taken in accordance with
this Part must be retained as part of
the SWPPP for at least three years
from the date that permit coverage
expires or is terminated.
The inspection reports must identify
any incidents of non-compliance with
the permit conditions. Where a report
Verify the SWPPP contains a record
of each inspection and any actions
taken.
Verify the inspection reports identify
incidents of non-compliance or
certification that the site is in
compliance.
Verify the reports contains, at a
minimum, the following elements:
Summarized scope of inspection
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
27
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
does not identify any incidents of
non-compliance, the report must
contain a certification that the
construction project or site is in
compliance with the SWPPP and this
permit.
(CGPPart3.10.G)
Reviewer Checks
• Dates of inspections
Names, titles, and qualifications
of personnel conducting
inspections
• Weather information for the
period since the last inspection
(or commencement of
construction activity if the first
inspection) including:
• A best estimate of the
beginning of each storm
event
Duration of each storm event,
approximate amount of
rainfall for each storm event
(in inches)
Whether any discharges
occurred
Weather information and a
description of any discharges
occurring at the time of the
inspection
• Location(s) of discharges of
sediment or other pollutants from
the site
Location(s) of BMPs that need to
be maintained
• Location(s) of BMPs that failed to
operate as designed or proved
inadequate for a particular
location
• Location(s) where additional
BMPs are needed that did not
exist at the time of inspection
• Corrective action required
including any changes to the
SWPPP necessary and
implementation dates
• Any incidents of noncompliance
with the Stormwater permit or
SWPPP (if not - report must
contain certification of
compliance with SWPPP and
permit)
• An appropriate signature
Reviewer
Completed
D
D
D
n
i — i
D
D
D
D
D
D
Reviewer Notes
4.9 Maintaining an Updated Plan (CGP Part 3.11)
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
28
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
Permittee must amend the SWPPP,
including site map, whenever there is
a change in design, construction,
operation, or maintenance that could
have a significant effect on discharge
of pollutants to waters of the U.S. not
previously addressed in the SWPPP.
(CGPPart3.11.A)
Determine if there have been any
changes in design, construction,
operation, or maintenance.
If so, verify the SWPPP was
amended to reflect the changes.
D
D
Permittee must amend the SWPPP
whenever inspections or
investigations indicate the plan is
ineffective in eliminating or
minimizing pollutants. (CGP Part
3.11.B)
Based on results of inspection, the
SWPPP shall be modified as
necessary to include additional or
modified BMPs to correct problems
identified. Revisions to the SWPPP
must be completed within seven (7)
calendar days following the
inspection. (CGP Part 3.11C)
Determine if there were any
inspections or investigations that
identified ineffectiveness of plan.
If so verify:
• The SWPPP was modified to
include revisions to BMPs to
correct problems identified during
the inspection
Verify these revisions were made
within 7 days
Implementation of additional or
modified BMPs were completed
prior to next storm event or as
soon as practicable.
D
D
D
D
4.70 Signature, Plan Review, and Making Plans Available (CGP Part 3.12)
Copies of the permit and of the
signed and certified NOI form that
was submitted to EPA must be
included in the SWPPP. Also, upon
receipt, a copy of the letter from the
EPA Stormwater Notice Processing
Center notifying the operator of
EPA's receipt of your
administratively complete NOI must
also be included as a component of
the SWPPP. (CGP Part 3.8)
A copy of the SWPPP (including a
copy of the permit), NOI, and
acknowledgment letter from EPA
must be kept at the construction site
or at another location easily
accessible during business hours
available from commencement of
construction activities to the date of
final stabilization. (CGP Part 3.12.A )
A sign or other notice containing this
documentation must be posted
conspicuously near the main
entrance of the construction site. If
displaying near the main entrance is
infeasible, the notice can be posted
in a local public building such as the
Verify the SWPPP contains:
• A copy of the permit
A copy of the signed and certified
NOI form
A copy of the notification letter
from the EPA Stormwater Notice
Processing Center indicating
receipt of complete NOI
Verify these documents are kept on
site or another nearby location has
been identified.
If an on-site location is unavailable,
verify a notice of the plan's location
is posted near the main entrance at
the construction site in the event an
when no personnel are present.
Verify the posted notice includes the
following information:
• A copy of the completed NOI
The name and telephone number
of the contact person for
scheduling SWPPP viewing
times if this information is
D
D
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
29
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
town hall or public library. (CGP Part
3.12.B)
SWPPPs must be made available
upon request by EPA; a state, tribal,
or local agency approving sediment
and erosion plans, grading plans, or
Stormwater management plans; local
government officials; the operator of
a municipal separate storm sewer
receiving discharges from the site;
and representatives of FWS and
NMFS. (CGP Part 3.12.C)
The SWPPP must be signed and
certified by a responsible corporate
officer (corporation), a general
partner or proprietor (partnership or
sole proprietorship), a principal
executive officer or ranking elected
official (municipal, state, federal, or
other public agency). (CGP Part
3.12.D)
ALSO SEE Key Terms and
Definitions for additional detail
Reviewer Checks
different than that submitted in
the NOI
• Current location of the SWPPP (if
viewing location has changed
from that noted in the NOI)
• Name and telephone number of
a contact person for scheduling
viewing times
Note: If displaying near the main
entrance is infeasible, the notice can
be posted in a local public building
such as the town hall or public
library.
Note: For linear projects, verify that
the sign or other notice is posted at a
publicly accessible location near the
active part of the construction project
(e.g., where a pipeline project
crosses a public road).
Verify the SWPPP contains
measures are to make the plan
available for review upon request by
a government official during an
inspection.
Verify the SWPPP is signed by the
appropriate authority.
Reviewer
Completed
D
D
D
D
Reviewer Notes
5.0 Released in Excess ofReportable Quantities
The discharge of hazardous
substances or oil in Stormwater
discharges from the construction site
must be prevented or minimized in
accordance with the SWPPP.
If a release occurs, it must be
reported and the SWPPP modified
Determine if records contain
reference to any releases of
hazardous substances or oil of
reportable quantities during a 24-
hour period.
If so, verify records detail that the
National Response Center was
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
-------
Compliance Category:
Stormwater Management for Construction Activity
Regulatory Requirement or
Management Practice:
within seven days of knowledge of
the release. (CGP Part 4.3)
Reviewer Checks
notified.
Verify that the SWPPP was modified
to include:
A description of the release
• The circumstances leading to the
release
The date of the release
• Measures to prevent the
reoccurrence of such release
• Measures to respond to such
releases
Reviewer
Completed
D
D
D
D
D
D
Reviewer Notes
6.0 Records Retention (CGP Part 6.0)
Copies of the SWPPP and all
documentation required by this
permit, including records of all data
used to complete the NOI to be
covered by this permit, must be
retained for at least three years from
the date that permit coverage
expires or is terminated. This period
may be extended by request of EPA
at anytime.
Verify the permittee has copies on
file of the following:
• SWPPP
• All reports required by the permit
Records of all data used to
complete the NOI
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
THIS PAGE INTENTIONALLY LEFT BLANK
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
NPDES Stormwater Requirements
for Large and Medium Municipal Separate Storm Sewer Systems
Note: As a general permit is not available for large and medium municipal separate storm sewer systems (MS4s), the requirements
detailed below are based on the permit requirements outlined in the 1990 regulation (55FR 47990). Refer to the individual city's
permit for specific requirements. The corresponding permit section number and/or regulation citation is found after the section title
or the requirement text.
Compliance Category:
Stormwater Management for Large and Medium MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
7.0 Applicability
7.1 Large and medium MS4s are
required to apply for an NPDES
permit. [40 CFR 122.26(a)(iii)-(iv)]
Note: Large / Medium MS4s are
defined in 40 CFR 122.26(b)(4) and
122.26(b)(7).
Verify that an application has been
submitted for a permit.
D
8.0 Permit Requirements (40 CFR 122.41)
8.1 Permittees with currently
effective permits shall submit a new
application 180 days before the
existing permit expires, except that:
The Regional Administrator may
grant permission to submit an
application later than the deadline
before submission otherwise
applicable, but no later than the
permit expiration date. [40 CFR
122.21(d)(2)].
8.2 The permittee must comply with
all conditions of the permit. [40 CFR
122.41(a)]
8.3 Samples and measurements
taken for the purpose of monitoring
shall be representative of the
monitored activity. [40 CFR
122.410X1)]
Verify the date of reapplication if
permittee has reapplied for permit
coverage.
Verify that the municipality is
operating according to permit
conditions.
Determine if the municipality has a
history of non-compliance with its
MS4 NPDES permit (possibly
indicating propensity toward non-
compliance).
Verify that monitoring (i.e.,
measurements and samples)
consists of representative sampling.
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This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Large and Medium MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
8.4 The permittee shall retain
records of all monitoring information
for a period of at least three years
from the date of the sample,
measurement, report or application.
This period may be extended by the
Director at any time. [40 CFR
122.410X2)]
Verify that the following records are
being maintained and have been on
file for three years:
Calibration and maintenance
records
Original strip chart recordings for
continuous monitoring
instrumentation
All data used to complete the
permit application
All reports required by the permit
• Records of all data used to
complete the permit application
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8.5 Large and medium MS4s must
include detailed information
regarding each monitoring event in
all monitoring records. [40 CFR
122.410X3)]
Verify that all monitoring records
include the:
Date, exact place, and time of
sampling or measurements
Individual(s) who performed the
sampling or measurements
• Date analyses were performed
Individual(s) who performed the
analyses
Analytical techniques or
methods used
Results of the analyses
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8.6 Monitoring results must be
conducted according to test
procedures approved under 40 CFR
part 136, unless other test
procedures have been specified in
the permit. [40 CFR 122.41Q)(4)]
Verify in the monitoring records that
all analytical methods / procedures
use are those approved under 40
CFR 136.
Verify that:
A U.S. EPA approved analytical
testing laboratory was used
Proper approval was obtained
from state/U.S. EPA if alternate
analytical procedures are used
Parameters other than those
required by the permit are
analyzed appropriately
Calibration and maintenance of
instruments and equipment is
being performed
• Quality control procedures are
used
• Duplicate samples are analyzed
Spiked samples are used
• A commercial laboratory is used
The commercial laboratory is
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Large and Medium MS4s
Regulatory Requirement or
Management Practice:
8.7 All applications, reports, or
information submitted to the Director
shall be signed and certified. [40
CFR 122.41(k)(1); 40 CFR 122.22]
8.8 The permittee shall give notice
to the Director as soon as possible
of any planned physical alternations
or additions to the permitted facility.
Notice is required when the
alteration or addition could
significantly change the nature or
increase the quantity of pollutants
which are subject neither to effluent
limitations in the permit, nor to
notification requirements under
122.42(a)(1). [40 CFR
122.41(l)(1)(ii)]
8.9 The permitee shall give advance
notice to the Director of any planned
changes in the permitted facility or
activity which may result in
noncompliance with permit
requirements. [40 CFR 122.41(l)(2)]
8.10 Monitoring results shall be
reported at intervals specified in the
permit. [40 CFR 122.41(l)(4)]
Reviewer Checks
state certified (states with formal
certification program)
Verify that all information submitted
to the Director is properly signed
and certified by the appropriate
person.
Note: This may include a
responsible corporate officer for a
corporation, a general partner or
proprietor for a partnership or sole
proprietorship, or a principal
executive officer or ranking elected
official for a municipality, state,
federal, or other public agency.
As a baseline, verify the permit:
Includes all those areas in the
system where there is a
"discharge of pollutants".
Adequately describes the nature
and quantity of discharge.
Verify that records indicate the
Director was contacted of any
significant changes in the nature of
discharge or increase in quantity of
discharge.
Verify records indicate that the MS4
notified the Director of any
anticipated noncompliance.
Verify that all monitoring results
were sent to the Director at the
intervals specified in the permit, by
reviewing the file which includes the
DMRs or other approved reporting
forms.
Reviewer
Completed
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This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Large and Medium MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
8.11 Monitoring results must be
reported on a Discharge Monitoring
Report (DMR) or forms provided or
specified by the Director for
reporting monitoring results. [40
CFR 12
Verify that the correct forms for
reporting monitoring results are
being used by the MS4.
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8.12 If the permittee monitors any
pollutant more frequently than
required by the permit using test
procedures approved under 40 CFR
part 136, the test results of this
monitoring shall be included in the
calculation and reporting of the data
submitted in the DMR. [40 CFR
Verify if the permittee monitors any
pollutant more frequently than
required. If so, verfiy:
• All pollutant monitoring results
use approved test procedures
• The results are included in the
calculations
• The results are reported to the
Director
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8.13 Calculations for all limitations
which require averaging of
measurements shall utilize an
arithmetic mean unless otherwise
specified by the Director in the
permit. [40 CFR 122.41(l)(4)(iii)].
Verify that the arithmetic mean is
being utilized to calculate the
average of multiple measurements.
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8.14 Reports of compliance or
noncompliance with, or any
progress reports on, interim and
final requirements contained in any
compliance schedule of the permit
shall be submitted no later than 14
days following each schedule date.
[40 CFR 122.41(l)(5)]
Verify that all reports relating to
compliance schedules were
submitted to the Director within 14
days following the schedule date.
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8.15 The permittee shall report any
noncompliance which may endanger
health or the environment. Any
information shall be provided orally
within 24 hours from the time the
permittee becomes aware of the
circumstances. A written submission
shall also be provided within 5 days
of the time the permittee becomes
aware of the circumstances. [40
CFR 122.41(l)(6)(l)]
Verify records include any incidents
on non-compliance including
releases of hazardous substances
or oil.
Verify records indicate that these
incident were reported:
Orally (e.g., telephone call)
within 24 hours of becoming
aware of the event,
In writing within 5 days of
becoming aware of the event
Verify that the written submission
included:
Description of the
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Large and Medium MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
noncompliance and the cause
• The period of noncompliance
(dates and times)
If the noncompliance was not
corrected, the time frame that
noncompliance is expected to
continue, the steps taken to
reduce, eliminate, or prevent
reoccurrence of such an event.
Reviewer
Completed
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This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
NPDES Stormwater Requirements
for Small Municipal Separate Storm Sewer Systems
Note: The requirements for small municipal separate storm sewer systems (MS4s) are based on the model small MS4 general permit.
Refer to the applicable state-specific small MS4 permit for any additional state-specific requirements. Language will vary
depending on if permit is state-wide, watershed specific, etc. The corresponding permit section number and/or regulation citation is
found after the section title or the requirement text.
This checklist is based on the assumption that the permitting authority has determined the eligibility of the operator and has
reviewed the NOL'application for completeness. Consequently, these items are not discussed in depth below. Additionally, it is
important to note that operators of small MS4s have until the end of the first permit term (typically five years) to fully implement
the Stormwater management program.
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
9.0 Applicability
The operator of a small MS4s is
required to obtain permit coverage,
unless qualifying for a waiver.
This includes, but is not limited to,
federal, state, tribal, or local
governments (including state
departments of transportation). (40
CFR 122.32(a))
AND
Small MS4s located in an urbanized
area, as determined by the latest
Decennial Census by the Bureau of
the Census. [40 CFR 122.26(a)(1)]
OR
The operator is designated by the
permitting authority [40 CFR
122.26(b)]
Verify the MS4 meets the regulatory
definition of a small MS4 and
satisfies the requirements in 40 CFR
122.32 (see Key Terms and
Definitions).
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70.0 Limitations on Coverage (MS4 - 1.3)
The permit does not authorize:
Discharges or discharge-related
activities that are likely to
jeopardize the continued
existence of any species that are
listed as endangered or
threatened under the ESAor
result in the adverse
modification or destruction of
habitat that is designated as
critical under the ESA.
• Discharges and discharge-
Verify the operator has determined
the location of outfalls into receiving
waters to determine where
discharges occur and what may be
impacted (ALSO SEE 12.3 Illicit
Discharge Detection and Elimination
[122.34(b)(3)J (MS4 - 4.2.3)].
Verify if the Stormwater
Management Program (SWMP) has
indicated any additional discharge
points/related activities.
If so, verify if these points/related
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requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
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Regulatory Requirement or
Management Practice:
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Completed
Reviewer Notes
related activities with
unconsidered adverse effects on
historic properties.
Discharges to territorial seas,
the contiguous zone, and the
oceans unless such discharges
are in compliance with the ocean
discharge criteria of 40 CFR
125, SubpartM.
Discharges that would cause or
contribute to instream
exceedances of water quality
standards.
Discharges that do not comply
with the state or tribe's anti-
degredation policy for water
quality standards.
Note: Both at the time the
NOI/application is filed and
throughout the implementation of
the SWMP the operator must
identify the location of discharge
points as well as determine if any
existing or new discharges or
discharge related activities will have
any impact on the above.
activities impact endangered
species, historic properties, etc.,
limiting permit coverage and this
has been communicated with the
permitting authority.
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77.0 Discharges to Water Quality Impaired Waters (MS4 - 3.1)
The operator must comply with any
more stringent effluent limitations in
the permit, including permit
requirements that modify, or are in
addition to, the minimum control
measures based on an approved
total maximum daily load (TMDL) or
equivalent analysis. [40 CFR
122.34(e)(1)]
Determine if a waterbody to which
the MS4 discharges has been
designated as a 303(d) listed water
or a TMDL has been developed for
the waterbody.
If discharging to an impaired water,
verify the SWMP discusses:
• How discharges of pollutants of
concern will be controlled
• How the operator will ensure
discharges will not cause or
contribute to exceedances of
water quality standards
Measures and BMPs that will
control these discharges
If a TMDL has been developed for
the waterbody(s), verify the operator
has determined the applicability of
the MS4s discharges to the TMDL
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40
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
including:
• If the TMDL is for a pollutant
likely to be in Stormwater
discharges
• If the TMDL has WLAs or other
performance requirement for the
MS4
If the TMDL addresses a flow
regime likely to occur in periods
of Stormwater discharge from
MS4
If the MS4 must implement WLA
provisions of the TMDL, verify that
the operator has assessed if WLAs
are being met through existing
Stormwater control measures.
Verify documentation of all current
or planned control measures and
the schedule for planned measures.
Documentation must include the
calculations/evidence showing
WLAs will be met.
Verify documentation of a
monitoring program showing
controls are adequate to meet the
WLAs.
If additional/modified controls are
necessary, verify the type and
schedule for additional controls has
been described in the SWMP.
Note: Two continuous monitoring
cycles must show that the WLAs or
water quality standards are being
met.
Reviewer
Completed
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72.0 Stormwater Management Programs - Requirements [40 CFR 122.34(a)] (MS4 -4.1 and 4.3)
The operator must, at a minimum,
develop, implement, and enforce a
SWMP designed to reduce the
discharge of pollutants from the
MS4 to the maximum extent
practicable (MEP), to protect water
quality, and to satisfy the
appropriate water quality
requirements of the Clean Water
Act. [40CFR122.34(a)]
If an existing qualifying local
Verify the operator has developed,
implemented, and is enforcing a
SWMP.
Verify the SWMP includes the
following minimum control
measures:
• Public education and outreach
Public involvement/participation
Illicit discharge detection and
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
program requires the operator to
implement one or more of the
minimum control measures, the
NPDES permitting authority may
include conditions in the NPDES
permit that may direct the operator
to follow that program's
requirements rather than the
requirements described under 40
CFR 122.34(b). [40 CFR 122.34(c)]
Reviewer Checks
elimination
• Construction site Stormwater
runoff control
• Post-construction Stormwater
management in new
development and redevelopment
Pollution prevention/good
housekeeping.
Verify the SWMP includes the BMPs
that the operator or another entity
will use to address each of these
control measures including:
• Measurable goals for each BMP
Time required to undertake
BMP, including interim
milestones and frequency of the
action
• Person(s) responsible for
implementing/coordinating BMP
• Rationale for selection of BMPs
and measurable goals
If a qualifying local program is
requiring the operator to implement
a control measure(s), verify that this
has been discussed in the SWMP.
Note: If the operator is meeting the
requirements of a qualifying local
program, the operator may not be
required to submit information on
the other minimum measures
discussed below.
Reviewer
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Reviewer Notes
12.1 Public Education and Outreach on Stormwater Impacts [122.34(b)(1)] (MS4 - 4.2.1)
The operator must implement a
public education program to
distribute educational materials to
the community or conduct
equivalent outreach activities about
the impacts of Stormwater
discharges on water bodies and the
steps that the public can take to
reduce pollutants in Stormwater
runoff. [40 CFR 122.34(b)(1)]
Verify the SWMP describes the
decision process for program
development including:
Plans to inform individuals/
households about reducing
Stormwater pollution
Plans to inform
individuals/groups about
involvement with the Stormwater
program
The target audiences and why
they are selected
• The targeted pollutant sources
The outreach strategy and
methods that will be used to
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
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Regulatory Requirement or
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Reviewer Checks
Reviewer
Completed
Reviewer Notes
reach targeted audiences
• The number of people expected
to be reached by the strategy in
permit term
Who is responsible for
management and
implementation of the
program/BMPs
• How the success of the
minimum measure will be
evaluated
How the measurable goals were
selected
Verify the BMPs and measurable
goals outlined in the plan have been
met by the schedule in the SWMP.
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72.2 Public Involvement/Participation [122.34(b)(2)] (MS4 - 4.2.2)
The operator must, at a minimum,
comply with state, tribal and local
public notice requirements when
implementing a public involvement/
participation program. [122.34(b)(2)]
Verify the SWMP describes the
decision process for program
development including:
How the public was involved in
NOI submittal and SWMP
development
• The plan for public involvement
in program development and
implementation
• The target audiences for the
involvement program including
ethnic and economic groups
Person(s) responsible for the
management and
implementation of the
program/elements
• The types of public involvement
activities including, where
appropriate:
Citizen representatives on a
local Stormwater
management panel
Public hearings
• Citizen volunteers to educate
other individuals about the
program
Volunteer monitoring
• How success of minimum
measures are evaluated
How measurable goals were
selected
Verify the SWMP describes how the
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requirement(s) are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
public involvement/ participation
program complies with state, Tribal,
and local public notice
requirements.
Verify the BMPs and measurable
goals outlined in the plan have been
met by the schedule set forth in the
SWMP.
Reviewer
Completed
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Reviewer Notes
72.3 Illicit Discharge Detection and Elimination [122.34(b)(3)J (MS4 - 4.2.3)
The operator must develop,
implement and enforce a program to
detect and eliminate illicit
discharges (as defined at
122.26(b)(2)). [122.34(b)(3)]
Verify a storm sewer map has been
developed indicating location of
outfalls and receiving waters.
Verify the SWMP describes the
decision process for program
development including:
• How a storm sewer map is or will
be developed and how it will be
updated
• The regulatory mechanism that
will be used to prohibit
discharges (i.e., ordinance)
including:
• Why the mechanism was
chosen
A description of the plan to
develop the mechanism or
copy of relevant sections if
already developed
A description of the plan to
ensure compliance of this
regulatory mechanism
through enforcement
procedures and actions
A plan to detect and address
illicit discharges including:
• Dry weather screening for
non Stormwater flows
• Field tests of selected
chemical parameters
• A mechanism to address on-
site sewage disposal
systems that flow into the
storm drainage system
and procedures for:
• Locating priority areas
Tracing source o f
discharges (including
techniques)
• Removing the source of the
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
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Regulatory Requirement or
Management Practice:
Reviewer Checks
illicit discharges
• Program evaluation and
assessment
• A plan to inform public
employees, businesses, and the
general public of the hazards of
illegal discharges and improper
disposal (including how this will
coordinate with public education,
pollution prevention/ good
housekeeping)
• Person(s) responsible for
management and
implementation of the
program/BMPs
• How success of minimum
measures are evaluated
How measurable goals were
selected
If already developed, verify the
storm sewer map shows the location
of the outfalls and names and
location of receiving waters.
Verify the BMPs and measurable
goals outlined in the plan have been
met by the schedule set forth in the
SWMP.
Reviewer
Completed
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Reviewer Notes
72.4 Construction Site Stormwater Runoff Control ([22.34(b)(4)] (MS4 - 4.2.4)
The operator must develop,
implement, and enforce a program
to reduce pollutants in any
Stormwater runoff to the small MS4
from construction activities that
result in a land disturbance of
greater than or equal to one acre.
Reduction of Stormwater discharges
from construction activity disturbing
less than one acre must be included
in the program if that construction
activity is part of a larger common
plan of development or sale that
would disturb one acre or more.
(122.34(b)(4))
Verify the SWMP describes the
decision process for program
development including:
• The regulatory mechanism that
will be used to require erosion
and sediment controls at
construction sites (i.e.,
ordinance) including:
• Why this mechanism was
chosen
• A description of plan to
develop the mechanism or
copy of relevant sections if
already developed
A description of the plan to
ensure compliance of this
regulatory mechanism
through sanctions and
enforcement
Description of procedures for
when certain sanctions are
used
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45
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
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Regulatory Requirement or
Management Practice:
Reviewer Checks
Requirements for operators to
implement erosion and sediment
control BMPs and control waste
at construction sites that may
impact water quality (concrete
truck washout, chemicals, litter,
etc.)
Procedures for site plan review
incorporating consideration of
potential water quality impacts
including:
• Description of procedures
and rationale for identifying
sites for plan review (if not all
reviewed)
Estimated number and
percentage of sites with plan
review
• Procedures for receipt and
consideration of information
submitted by the public
• Procedures for site inspection
and enforcement of control
measures including prioritization
of sites for inspection
• Person(s) responsible for
management and
implementation of the
program/BMPs
How success of minimum
measures are evaluated
How measurable goals were
selected
Verify the BMPs and measurable
goals outlined in the plan have been
met by the schedule set forth in the
SWMP.
Reviewer
Completed
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Reviewer Notes
72.5 Post-Construction Stormwater Management in New Development and Redevelopment [1 22.34(b)(5)] (MS4 -
4.2.5)
The operator must develop,
implement, and enforce a program
to address Stormwater runoff from
new development and
redevelopment projects that disturb
greater than or equal to one acre,
including projects less than one acre
that are part of a larger common
plan of development or sale, that
discharge into the small MS4. The
program must ensure that controls
are in place that would prevent or
minimize water quality impacts.
Verify the SWMP describes the
process for program development
including:
• Specific priority areas to be
addressed in the program
• How program is specifically
tailored to the local community
(minimize water quality impacts,
maintain pre-development
conditions)
• Structural (wet ponds, filtration
practices, infiltration practices,
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requirement(s) are in any way altered by any statement(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
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Regulatory Requirement or
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Reviewer Checks
Reviewer
Completed
Reviewer Notes
[122.34(b)(5)]
etc.) and non-structural (policies
or ordinances, educational
programs, etc.) BMPs included
in the program
The mechanism that will be used
to address post-construction
runoff (i.e., ordinance)
Why the mechanism was
chosen
A description of plan to
develop the mechanism or
copy of relevant sections if
already developed
• How the long-term operation and
maintenance (O&M) of BMPs
will be ensured
Person(s) responsible for
management and
implementation of the
program/BMPs
• How success of minimum
measures are evaluated
• How measurable goals were
selected
Verify the BMPs and measurable
goals outlined in the plan have been
met by the schedule set forth in the
SWMP.
Verify that proposed BMP
maintenance activities are being
performed.
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72.6 Pollution Prevention/Good Housekeeping for Municipal Operations [122.34(b)(6)] (MS4 - 4.2.6)
The operator must develop and
implement an operation and
maintenance (O&M) program that
includes a training component and
has the ultimate goal of preventing
or reducing pollutant runoff from
municipal operations. [122.34(b)(6)]
Verify the SWMP describes the
process for program development
including:
A description of the O&M
program to prevent or reduce
pollutant runoff from municipal
operations including:
• Municipal operations
impacted by the O&M
program
• A list of municipally-owned
industrial facilities
discharging to the MS4 that
are subject to industrial
Stormwater permitting
(including permit number or
industrial NOI)
• Any government employee
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47
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
training program used to
prevent/reduce Stormwater
pollution from municipal
activities including:
A description of exiting
materials used
• Description of how the
training program is
coordinated with public
information and illicit
discharge minimum
measures
A program description
addressing:
Maintenance activities,
schedules, and long-term
inspection procedures for
controls to reduce floatables/
pollutants to the MS4
Controls for reducing or
eliminating discharges from
streets, parking lots, storage
yards, etc.
• Procedures for proper
disposal of waste removed
from MS4 and municipal
operations
Procedures ensure flood
management projects are
assessed for impacts on
water quality and existing
projects are assessed for
incorporation of additional
water quality protection
Person(s) responsible for
management and
implementation of the
program/BMPs
• How success of minimum
measures are evaluated
• How measurable goals were
selected
Verify the training program for the
municipal staff achieves the
intended goal of educating staff
associated with reducing pollutant
runoff from municipal operations.
Verify that proposed maintenance
activities are performed.
Verify the BMPs and measurable
goals outlined in the plan have been
met by the schedule set forth in the
SWMP.
D
D
D
D
D
D
D
D
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
48
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
73.0 Sharing Responsibility (40 CFR 122.35) (MS4 - 4.4)
The operator may rely on another
entity to satisfy the operator's
NPDES permit obligation to
implement a minimum control
measure (40 CFR 122.35).
If an entity other than the MS4 is
implementing part or all of a
minimum control measure, verify the
operator:
Has actually implemented the
measure
Has implemented a control
measure or component of the
control measure that is at least
as stringent as the
corresponding permit
requirements
• Has agreed to implement the
control measure on the
municipality's behalf and that
this obligation is maintained as
part of the description of the
Stormwater management
program (in the form of a
Memorandum of Agreement,
etc.)
D
D
D
74.0 Reviewing and Updating Stormwater Management Programs [40 CFR 122.34(g)] (MS4 - 4.5)
The operator must evaluate
program compliance, the
appropriateness of the identified
best management practices, and
progress towards achieving the
identified measurable goals. [40
CFR 122.34(g)]
Permits... maybe modified, revoked
and reissued, or terminated either at
the request of any interested person
(including the permittee) or upon the
Director's initiative. However,
permits may only be modified,
revoked and reissued, or terminated
for the reasons specified in §122.62
or §122. 64... All requests shall be in
writing and shall contain facts or
reasons supporting the request. [40
CFR 124.5]
Verify the operator has performed
an annual review of the SWMP in
conjunction with the annual report.
If modifications have been made to
the SWMP, verify a record of written
notification of proposed change
including:
An analysis of why the BMP is
ineffective or infeasible
• Expectations of the
effectiveness of the replacement
BMP
The analysis of why the
replacement BMP is expected to
achieve goals of replaced BMP
Any modifications to the SWMP
are approved by the regulating
agency are implemented
according to schedule
If additional areas have been added
to the MS4, verify:
• A plan for implementation of the
SWMP has been be developed
for the area
D
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
• The SWMP has been
implemented no longer than one
year after the addition of the
area
Note: Only those portions of SWMP
required as permit conditions are
subject to 4o CFR 1224.5.
Modifications of BMPs are
considered minor changes and not
modifications to the permit.
Reviewer
Completed
D
Reviewer Notes
75.0 Monitoring (MS4 5.1)
The operator must evaluate the
program compliance, the
appropriateness of identified BMPs,
and progress towards achieving
identified measurable goals. [40
CFR 122.34(g)]
Note: The NPDES permitting
authority may determine monitoring
requirements for the operator in
accordance with state/Tribal
monitoring plans appropriate to the
watershed. [40 CFR 122.34(g)(1)]
When monitoring is conducted,
verify in records:
Representative samples and
measurements have been taken
It is conducted according to the
test procedures approved under
40 CFR 136
Records include:
• Date, location, time of
sampling
• Name of those performing
sampling
• Date of analyses
Name of those performing
analyses
Analytical techniques or
methods used
• Results of analyses
Verify monitoring results are
reported on a Discharge Monitoring
Report (DMR).
If the MS4 discharges to a water for
which a TMDL was approved, verify
that any additional monitoring
requirements were performed.
D
D
D
D
76.0 Recordkeeping (MS4 - 5.2)
The operator must keep records
required by the NPDES permit for at
least three years. The operator must
submit records to the NPDES
permitting authority only when
specifically asked to do so. The
operator must make records,
including a description of the
Verify the following are maintained
on file:
• Records of all monitoring
information required in the
permit (i.e., calibration and
maintenance records, original
strip chart recordings for
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
50
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Protocol for Conducting Environmental Compliance Audits under the Stormwater Program
Compliance Category:
Stormwater Management for Small MS4s
Regulatory Requirement or
Management Practice:
Reviewer Checks
Reviewer
Completed
Reviewer Notes
SWMP, available to the public at
reasonable times during regular
business hours. [40 CFR
122.35(g)(2)]
continuous monitoring
instrumentation, analytical
laboratory reports)
• Copies of all reports required in
permit
• DMRs
A copy of the permit
• Records of all data used to
complete the application (NOI)
Verify a description of the SWMP
has been retained in an accessible
location for the permitting authority
and that records are available to the
public.
D
D
D
D
D
77.0 Reporting (MS4 - 5.3)
Unless the operator is relying on
another entity to satisfy the NPDES
permit obligations under §122.35(a),
the operator must submit annual
reports to the NPDES permitting
authority for the first permit term.
For subsequent permit terms, the
operator must submit reports in year
two and four unless the NPDES
permitting authority requires more
frequent reports. [40 CFR 122.35
Verify an annual report has been
submitted as required and includes:
The status of compliance with
permit conditions
An assessment of the
appropriateness of BMPs
The progress towards achieving
the goal of reducing the
discharge of pollutants to the
MEP
• The measurable goals for each
minimum control measure
• The results of information
collected and analyzed (if any),
including monitoring data used
to assess the success of the
program
• A summary of Stormwater
activities planned in the next
reporting cycle and schedule
• Any proposed changes to
SWMP (including to BMPs and
measurable goals)
Notice that the operator is
relying on another entity for
permit obligations
Verify that Stormwater activities
reported in the annual report are
being undertaken by the permittee
or other entity.
D
D
D
D
D
D
D
D
D
D
This document is intended solely for guidance. No statutory or regulatory
requirement(s) are in any way altered by any statement(s) contained herein.
51
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Appendix A
Onsite Checklist for
Construction Stormwater Discharges
-------
Onsite Checklist for Construction Stormwater Discharges
Reviewer checks of regulatory requirements or management practices for construction activity require both
paperwork and on-site review. To facilitate the review process, reference to those checks requiring on-site are
referenced below.
Permit Reference
2.1.1 Discharging into Receiving
Waters with an Approved TMDL
and Documentation of Permit
Eligibility (CGP Part 1.3.0.5 and
3.14. A, B, andC)
Verify on site the operator has incorporated measures or controls into the SWPPP
that are consistent with the assumptions and requirements of the TMDL.
2.1.2 Endangered and Threatened
Species and Critical Habitat
Protection and Documentation of
Permit Eligibility (CGP Part
1.3.C.6 and 3.7)
Verify on site the permittee has implemented measures (i.e., BMPs) to protect listed
threatened or endangered species or critical habitat
2.1.3 Historic Properties (CGP
Part 1.3.C.7)
Verify on site the permittee has implemented measures to protect historic properties
and places.
4.1 SWPPP Framework (CGP
Part 3.1.0)
If a definable area is marked on the SWPPP as being stabilized, verify that it is
indeed stabilized on site.
4.2 Requirements for Different
Types of Operators (CGP Part
3.2.C)
Verify on site that the operator's activities have not negatively impacted another
party's pollution controls.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part 3.4.6,
3.13.D)
Verify on site disturbed areas are stabilized (sodded or covered by other means)
where construction activities have temporarily or permanently ceased.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part 3.4.0,
3.13.E)
Verify on site the appropriate sediment and erosion control measures for the
drainage area of the site is implemented as described in the SWPPP.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part3.4.E)
Verify placement of structural measures in the SWPPP and on site.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part3.4.F)
Verify on site through inspection of outfalls that no solid/building materials are
discharged unless authorized by a permit.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part 3.4.G,
3.13.B)
Verify on site that accumulation of sediment, or signs of sediment escape, does not
appear outside the construction entrance or perimeter of the construction site.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part3.4.H,
3.13.C)
Verify on site that those construction and waste materials stored on-site match those
noted in the SWPPP.
A2
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4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part3.4.H,
3.13.C)
Verify on site that the exposure minimization practices discussed in the SWPPP have
been implemented.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part3.4.H,
3.13.C)
Verify on site the stormwater conveyance system and the outside perimeter of the
construction site are free of debris and chemicals.
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part3.4.H,
3.13.C)
Verify on site that the spill prevention and response practices are being implemented
(there are materials provided to employees, trainings, etc.)
4.4 Pollution Prevention Plan
Contents: Controls to Reduce
Pollutants (CGP Part 3.13.F)
Verify on site:
• The velocity dissipation devices have been installed
• There is no evidence of erosion at outlet
High velocity flow has not misplaced rocks
The size and number of rocks are adequate to avoid soil erosion
• There is no evidence of additional sedimentation in receiving water attributable
to the site
4.5 Non-Stormwater Discharge
Management (CGP Part 3.5)
Verify on site non-stormwater discharges are eliminated or reduced to the extent
feasible
4.6 Maintenance of Controls (CGP
Part3.6.A, 3.13.A)
Verify on site that the control measures, including erosion and sediment controls,
identified in the SWPPP are installed and operating effectively.
4.6 Maintenance of Controls (CGP
Part3.6.A, 3.13.A)
Verify on site that if a control measure has been used inappropriately or correctly it
has been replaced or modified.
4.6 Maintenance of Controls (CGP
Part3.6.B)
Verify on site that changes to existing BMPs or additional BMPs have been
implemented/added.
4.6 Maintenance of Controls (CGP
Part3.6.C)
Verify on site that sediment accumulated does not exceed 50 percent of capacity of
sediment traps and/or sediment ponds.
4.8 Inspections (CGP Part 3.10.B)
If the operator has modified the inspection frequency, verify on site that one of the
following applies:
The entire site is temporarily stabilized
Runoff is unlikely due to winter conditions (e.g., site is covered with snow, ice, or
the ground is frozen)
• Construction is occurring during seasonal arid periods in arid areas and semi-
arid areas
A3
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Appendix B
EPA Storm water
Regional Contacts
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EPA Stormwater Regional Contacts
REGION 1
Thelma Murphy
US EPA, Region 01 / Office of Ecosystem Protection
1 Congress St, Suite 1100
(CMU)
Boston, MA 02114-2023
Phone: (617)918-1615
Email: murphy.thelma@epa.gov
REGION 2
Stephen Venezia
US EPA, Region 02
290 Broadway, 24th Floor
New York, NY 10007-1866
Phone: (212)637-3856
Email: venezia.stephen@epa.gov
Sergio Bosques
US EPA, Region 02 / Caribbean Environmental Protection Division
1492 Ponce de Leon Ave
Central Europa Building, Suite 417
Santura, PR 00907-4127
Phone: (787) 977-5838
Email: bosques.sergio@epa.gov
REGION 3
Paula Estornell
US EPA, Region 03
1650 Arch St
Philadelphia, PA 19103
Phone: (215)814-5632
Fax: (215)814-2301
Email: estornell.paula@epa.gov
REGION 4
Mike Mitchell
US EPA, Region 04 /Water Management Division
Atlanta Federal Center
61 Forsyth St SW
Atlanta, GA 30303-3104
Phone: (404) 562-9303
Fax: (404) 562-8692
Email: mitchell.michael@epa.gov
REGION 5
Brian Bell
US EPA, Region 05 / NPDES Programs Branch
77 W Jackson Blvd
(WN-16J)
Chicago, IL 60604-3507
Phone: (312)886-0981
Email: bell.brianc@epa.gov
B2
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REGION 6
Brent Larsen
US EPA, Region 06
1445 Ross Ave, Suite 1200
Dallas, TX 75202-2733
Phone: (214)665-7523
Fax: (214)665-2191
Email: larsen.brent@epa.gov
REGION 7
Mark Matthews
US EPA, Region 07
901 N 5th St
Kansas City, KS66101
Phone: (913)551-7635
Fax: (913) 551-7765 or 7165
Email: matthews.mark@epa.gov
REGION 8
Greg Davis
US EPA, Region 08
99918th St
Suite 300
Denver, CO 80202-2466
Phone: (303) 312-6082
Fax: (303)312-6955
Email: davis.gregory@epa.gov
REGION 9
Eugene Bromley
US EPA, Region 09
75 Hawthorne St
San Francisco, CA 94105-3901
Phone: (415)972-3510
Fax: (415)947-3545
Email: bromley.eugene@epa.gov
REGION 10
Misha Vakoc
US EPA, Region 10
1200 6th Ave
Seattle, WA 98101-1128
Phone: (206) 553-6650
Email: vakoc.misha@epa.gov
B3
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Appendix C
Information Sources
-------
Information Sources
(Updated November 2004)
WEBSITES (water and/or wastewater-oriented; financial related)
EPA National Compliance Assistance Clearinghouse www.epa.gov/clearinghouse
Compliance Assistance Centers http://www.assistancecenters.net
Construction Industry Compliance Assistance Center www.cicacenter.org
EPA NPDES website http://www.epa. gov/npdes
EPA Operator On-Site Technical Assistance Program-104(g) www.epa.gov/owm/mab/smcomm/104g/sstc.htm
(hands-on assistance to small municipal WWTP operators at no cost to community)
EPA Office of Wastewater Management www.epa.gov/owm
EPA Clean Water Tribal Grant Program www.epa.gov/owm/mab/indian/cwisa.htm
EPA Colonias Program www.epa.gov/owm/mab/mexican
EPA Clean Water State Revolving Loan Fund Program www.epa.gov/owm/cwfinance/cwsrf
EPA Website (Headquarters & Regions) www.epa.gov/
EPA Small Business Gateway http://www.epa.gov/smallbusiness
Environmental Finance Center http://sspa.boisestate.edu/efc
National Environmental Services Center/WV University www.nesc.wvu.edu
Local Govt. Environmental Assistance Network www.lgean.org
Rural Community Assistance Program (RCAP) www.rcap.org
Water Environment Federation (WEF) www.wef.org
AMSA www.amsa-cleanwater.org/pubs/
American Water Works Assoc. (AWWA) http://www.awwa.org/
National Association of Towns & Townships (NATAT) http://www.natat.org/
PUBLICATIONS /TRAINING VIDEOS /NEWSLETTERS, etc.
EPA National Service Center For Environmental Publications (NSCEP)
USEPA/NSCEP
PO Box 42419
Cincinnati, OH 45242
Tele: 1-800-490-9198 or 513-489-8190 (fax: 513-489-8695)
EPA Office of Water Resource Center
Tele: 202-566-1729 (24 hours)
center. water-resources(@,epa.gov
C2
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National Environmental Services Center (formerly the National Small Flows Clearinghouse)
West Virginia University Small Business Gateway
P.O. Box 6064
Morgantown, WV 26506
Tele: 1-800-624-8301
California State University - Sacremento
Tele: 916-278-6142
(training videos, etc.)
List Compiled by Sharie Centilla, USEPA/OECA
centilla. sharie(@,epa. gov
33
C3
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