United States Office of Water EPA 833-F-99-011
Environmental Protection (4203) April 1999
Agency Fact Sheet 2.9
SEPA
Storm Water Phase II
Proposed Rule
Fact Sheet Series
Overview
1.0 - Storm Water Phase II
Proposed Rule Overview
Small MS4 Program
2.0 - Small MS4 Storm Water
Program Overview
2.1 - Who's Covered? Designation
and Waivers of Regulated Small
MS4s
2.2 - Urbanized Areas: Definition
and Description
Minimum Control Measures
2.3 - Public Education and
Outreach Minimum Control
Measure
2.4 - Public Participation/
Involvement Minimum Control
Measure
2.5 - Illicit Discharge Detection and
Elimination Minimum Control
Measure
2.6 - Construction Site Runoff
Control Minimum Control Measure
2.7 - Post-Construction Runoff
Control Minimum Control Measure
2.8 - Pollution Prevention/Good
Housekeeping Minimum Control
Measure
2.9 - Permitting and Reporting:
The Process and Requirements
2.10 - Federal and State-Owned
MS4s: Program Implementation
Construction Program
3.0 - Construction Program
Overview
Industrial "No Exposure"
4.0 - Conditional No Exposure
Exemption for Industrial Activity
Storm Water Phase II
Proposed Rule
Permitting and Reporting:
The Process and Requirements
This fact sheet is based on the Storm Water Phase II Proposed Rule. Therefore, the information provided herein is subject to
change upon publication of the final Phase II rule in November 1999. A revised series of fact sheets will be provided at that
time. A comprehensive list of the current fact sheets is in the text box at left.
As proposed, owners and operators of small municipal separate storm sewer systems (MS4s)
covered by the Storm Water Phase II program would be required to obtain National Pollutant
Discharge Elimination System (NPDES) storm water permit coverage because storm water discharges
from MS4s are considered a "point source" of pollution. All point source discharges, unlike nonpoint
sources such as agricultural runoff, are required under the Clean Water Act (CWA) to be covered by
federally enforceable NPDES permits. It is important to note that any owner or operator of an MS4
already permitted under the NPDES Phase I storm water program, even one serving less than 100,000
people, should not, and can not, obtain a Phase II storm water permit.
NPDES storm water permits are issued by an NPDES permitting authority, which may be a NPDES-
delegated State or a U.S. EPA Region in non-delegated States (see the For Additional Information
section of this fact sheet for a list of NPDES permitting authorities). Once a permit application is
submitted by the owner or operator of a regulated small MS4 and a permit is obtained, the conditions
of the permit would need to be satisfied (i.e., development and implementation of a storm water
management program) and periodic reports would need to be submitted on the status and effectiveness
of the program.
This fact sheet explains the various permit options that are expected to be available for owners or
operators of regulated small MS4s and details their proposed permit application and reporting
requirements. Important compliance deadlines also are highlighted. The proposed program coverage
and program requirements for Phase II small MS4s are explained in Fact Sheets 2.0 through 2.8.
What Permitting Options Would Be Available for Owners or Operators of
Regulated Small MS4s?
Unlike the Phase I program that primarily utilizes individual permits for medium and large MS4s,
the proposed Phase II approach would allow owners or operators of regulated small MS4s to
choose from as many as three permitting options. The actual available options, however, would be at
the discretion of the NPDES permitting authority. Potential options are listed below:
~ General Permits
General permits are strongly encouraged by EPA. The Phase II program has been designed
specifically to accommodate a general permit approach.
General permits prescribe one set of requirements for all applicable permittees. General
permits are drafted by the NPDES permitting authority, then published for public comment
before being finalized and issued.
A Notice of Intent (NOI) serves as the application for the general permit. The permittee
would first read the requirements specified in the permit, then submit an NOI informing the
NPDES permitting authority of how they are planning to comply with the permit. As
-------
Fact Sheet 2.9 - Permitting and Reporting: The Process and Requirements
Page 2
proposed, a Phase II permittee would have the flexibility
to develop individualized storm water programs that
address their particular characteristics and needs as long
as their programs satisfy the basic requirements of the
general permit. The specific information to be included
in an NOI is described under the next question below.
The permittee would follow Phase II permit application
requirements (see discussion below).
In the general permit, the NPDES permitting authority
could reference existing responsibilities among
governmental entities for one or more minimum
measures, thereby relieving the permittee of the
responsibility of implementing that particular minimum
control measure or measures. For example, the NPDES
permitting authority could reference an existing county
erosion and sediment control program for construction
sites that they deem as equivalent to the Phase II
construction site runoff control minimum measure. The
permittee, if located in the referenced county, would not,
then, be required to develop and implement their own
construction program, since construction activity would
already be adequately addressed by the county.
~ Individual Permits
Individual permits are required for Phase I "medium"
and "large" MS4s, but not recommended by EPA for
Phase II program implementation.
Individual permits are permits written by the NPDES
permitting authority for a particular permittee. A
comprehensive application is submitted by the permittee
and permit requirements are established by the NPDES
permitting authority based on the information in the
application. The result is a permit tailored specifically
for the permittee. The draft individual permit is
published for public comment and then finalized.
The permittee would follow Phase II permit application
requirements and provide an estimate of square mileage
served by the system and any additional information
requested by the NPDES permitting authority.
The NPDES permitting authority could reference
existing responsibilities of governmental entities in the
individual permit, as explained above in the last bullet
under General Permits.
~ Modification of a Phase I Individual Permit -
A Co-Permittee Option
The owner/operator of a regulated small MS4 could
participate as a co-permittee in a neighboring Phase I
MS4's storm water management program by seeking a
modification of the existing Phase I individual permit.
A list of Phase I medium and large MS4s can be
obtained from the EPA Office of Wastewater
Management or downloaded from the OWM web site.
The permittee would follow Phase I permit application
requirements (with some exclusions).
The permittee would comply with the applicable terms of
the Phase I individual permit rather than the minimum
control measures in the Phase II proposal.
What Would the Permit Application Require?
Owners/operators of regulated small MS4s would be required
to submit in their NOI or individual permit application the
following information:
~ Best management practices (BMPs) that will be
implemented for each of the six minimum control
measures:
O Public education and outreach on storm water
impacts
© Public participation/involvement
© Illicit discharge detection and elimination
0 Construction site storm water runoff control
© Post-construction storm water management in new
development/redevelopment
© Pollution prevention/good housekeeping for
municipal operations
(See Fact Sheets 2.3 through 2.8 for full descriptions of
each measure, including examples of BMPs and
measurable goals)
~ Measurable goals for each minimum control measure
(i.e, narrative or numeric standards used to gauge
program effectiveness);
~ Estimated months and years in which actions to
implement each measure will be started and completed;
and
~ The person or persons responsible for implementing or
coordinating the storm water program.
Relvine on Another Entity
The Phase II permittee would have the option of relying on other
entities already performing one or more of the minimum control
measures, provided that the existing control measure,
or component thereof, is at least as stringent as the Phase II rule
requirements. For example, a county already may have an illicit
-------
Fact Sheet 2.9 - Permitting and Reporting: The Process and Requirements
Page 3
discharge detection and elimination program in place and may
allow an owner/operator of a regulated small MS4 within the their
jurisdiction to rely on the county program instead of formulating
and implementing a new program. In such a case, the permittee
would not need to implement the particular measure, but would
still remain ultimately responsible for its effective
implementation. For this reason, EPA recommends that the
permittee enter into a legally binding agreement with the other
entity. If the permittee chooses to rely on another entity, they
would need to note this in their permit application and subsequent
reports.
What Would the Permit Require?
The owner/operator of a regulated small MS4 would have the
flexibility to determine the BMPs and measurable goals, for
each minimum control measure, that are most appropriate for
them. Their chosen BMPs and measurable goals, submitted in
their permit application, would become their required program;
however, the NPDES permitting authority could require changes
in the mix of chosen BMPs and measurable goals if all or some of
them are found to be inconsistent with the provisions of the final
Phase II rule. Likewise, the permittee could change their mix of
BMPs if they determine that their program is not as effective as it
could be. Fact Sheets 2.3 through 2.8 further describe each of the
minimum control measures, while the proposed permit
requirements for evaluation/assessment and recordkeeping
activities are described in separate sections below.
Menu of BMPs
The BMPs for minimum measures 3 through 6 (as listed in the
permit application requirements section, above) would not be
enforceable until the NPDES permitting authority has issued a
list, or "menu," of BMPs from which a regulated owner/operator
could choose. The NPDES permitting authority would be
required to provide this menu as an aid for those owners/operators
that are unsure of the most appropriate and effective BMPs to use.
Since the menu would serve as guidance only, the owners/
operators would not be restricted to implement only those BMPs
provided in the menu.
What Standards Would Apply?
A Phase II small MS4 owner/operator would be required to
design its program in such a way as to:
~ Reduce the discharge of pollutants to the "maximum
extent practicable" (MEP); and
~ Protect water quality.
The successful implementation of approved BMPs would be
considered compliance with the technical standard of MEP. The
Phase II Proposed Rule considers narrative effluent limitations
that require the implementation of BMPs and the achievement of
measurable goals as the most appropriate form of effluent
limitations to achieve the protection of water quality, rather than
requiring storm water discharges to meet numeric effluent
limitations.
EPA intends to issue Phase II NPDES permits consistent with its
August 1, 1996, Interim Permitting Approach policy, which calls
for BMPs in first-round storm water permits and expanded or
better tailored BMPs in subsequent permits, where necessary, to
provide for the attainment of water quality standards. In cases
which information exists to develop more specific conditions or
limitations to meet water quality standards, these conditions or
limitations should be incorporated into the storm water permit.
Monitoring would not be required under the Phase II proposal,
but the NPDES permitting authority would have the discretion to
require monitoring if deemed necessary.
What Evaluation/Reporting Efforts Would Be
Required?
Frequency of Reports
Reports would need to be submitted annually during the first
permit term. For subsequent permit terms, reports would need to
be submitted in years 2 and 4 only, unless the NPDES permitting
authority requests more frequent reports.
Required Report Content
The reports would be required to include the following:
~ The status of compliance with permit conditions,
including an evaluation of the appropriateness of the
selected BMPs based on their effectiveness in reducing
the discharge of pollutants from the system to the MEP
and in protecting water quality;
~ An assessment of the progress toward achieving the
program's measurable goals for each minimum control
measure;
~ Results of any information collected and analyzed,
including monitoring data, if any;
~ A summary of the storm water activities planned for the
next reporting cycle; and
~ A change in any identified measurable goals.
A Change in Selected BMPs
If, upon evaluation of the program, improved controls are
identified as necessary, permittees could revise their mix of BMPs
to provide for a more effective program. Such a change, and an
explanation of the change, would be required to be included in a
report to the NPDES permitting authority.
-------
Fact Sheet 2.9 - Permitting and Reporting: The Process and Requirements
Page 4
Would There Be Recordkeeping Requirements?
Yes. Records required by the NPDES permitting authority
would need to be kept for at least 3 years and made
accessible to the public at reasonable times during regular
business hours. Records would not need to be submitted to the
NPDES permitting authority unless the permittee is requested to
do so.
What Are the Proposed Deadlines for Compliance?
~ Storm Water Phase II Final Rule scheduled for publication
in November 1999
~ The NPDES permitting authority issues general permits for
regulated small MS4s within 3 years from the date of
publication of the final rule
~ Owners/operators of regulated small MS4s submit their
permit applications within 3 years and 90 days from the
date of publication of the final rule
~ Regulated small MS4 storm water management programs
fully developed and implemented by the end of the first
permit term, typically a 5-year period
Would There Be Penalties for Not Complying with
the Requirements?
Yes. The NPDES permit that the owner/operator of a
regulated small MS4 would be required to obtain is federally
enforceable, thus subjecting the permittee to potential
enforcement actions and penalties by the NPDES permitting
authority if the permittee does not fully comply with application
or permit requirements. This federal enforceability also includes
the right for interested parties to sue under the citizen suit
provision (Section 405) of the CWA.
For Additional Information
Contacts
U.S. EPA Regional Storm Water Coordinators1
Region 1 {ME2, NH2, VT, MA2, RI, CT}:
Thelma Hamilton
617 565-3569
Region 2 {NY, NJ, PR2, VI}:
Sergio Bosques
787 729-695l(x 255)
Region 3 {PA, DE, DC2, MD, VA, WV}:
Mary Letzkus
215 814-2087
Region 4 {KY, TN, NC, SC, MS, AL, GA, FL2}:
Michael Mitchell
404 562-9303
Region 5 {MN, WI, IL, MI, IN, OH}:
Peter Swenson
312 886-0236
Region 6 {NM2, TX2, OK, AR, LA}:
Brent Larsen
214 665-7523
Region 7 {NE, KS, IA, MO}:
Ralph Summers
913 551-7418
Region 8 {MT, ND, WY, SD, UT, CO}:
Vernon Berry
303 312-6234
Region 9 {CA, NV, AZ2, HI}:
Eugene Bromley
415 744-1906
Region 10 {WA, OR, ID2, AK2}:
Bob Robichaud
206 553-1448
1 The U.S. EPA is the NPDES permitting authority for all federally recognized Indian Country Lands and for Federal facilities in
DE, FL, VT, VI, and WA.
2 Denotes a non-delegated State for the NPDES storm water program. For these States only, the U.S. EPA Region is the NPDES
permitting authority. All other States serve as NPDES permitting authorities for the storm water program. (Note: FL and TX will
become NPDES permitting authorities for storm water in 2000.)
U.S. EPA Office of Wastewater Management
• Phone: 202 260-5816
E-mail: SW2@epa.gov
Internet: www.epa.gov/owm/sw2.htm
Reference Documents
Storm Water Phase II Proposed Rule Fact Sheet Series.
Contact the U.S. EPA Water Resource Center at 202 260-7786 or at waterpubs@epa.gov
Internet: www.epa.gov/owm/sw2.htm
Storm Water Phase II Proposed Rule, published on January 9, 1998 in the Federal Register (63 FR 1536).
Internet: www.epa.gov/owm/sw2.htm
------- |