MS4 Audits and Inspections

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MS4 Audits and Inspections

• John Kosco, PE, CPESC
• Tetra Tech, Inc.
• John.Kosco_at_tetratech.com

2009 Inspector Workshop Dallas, TX
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Agenda

• Why audit an MS4?
• EPAs MS4 Program Evaluation Guide
• Summary
• Worksheets
• Conducting the MS4 audit
• MS4 Audits lessons from past audits

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Why audit an MS4?

• Assess compliance
• Other reasons may include
• Increase awareness of MS4s need to implement
  program requirements
• Assess MS4 program effectiveness
• Prepare for MS4 permit reissuance
• Technical assistance

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EPA 2007 Compliance Monitoring Strategy

• Phase I MS4s Audits conducted of all Phase I
  MS4s once every 5 years
• Phase II MS4s Audits conducted as necessary to
  determine compliance with strategy by 2014

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Audit/evaluation/inspection

• Terminology can vary, but all terms generally
  refer to the same type of activity
• MS4 audits/MS4 evaluations generally refer to an
  audit/evaluation of your entire MS4 program
• MS4 inspections are generally targeted to a
  single MS4 program component

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EPAs MS4 Program Evaluation Guidance

• Published in January 2007
• Based largely on Tetra Tech audits performed
• In California - -gt 37 audits (124 programs)
• Also in AZ, NV, Hawaii - 7 audits (20 programs)
• Primary audience
• Regulators conducting a program evaluation
• Comments to Jenny Molloy molloy.jennifer_at_epa.gov
• www.epa.gov/npdes/stormwater

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Using the MS4 Evaluation Guide

• Many MS4 permit requirements are subjective
  and/or non-specific
• Inspectors often have to use BPJ in order to
  determine if the programs and BMPs implemented
  are reducing pollutants to the MEP
• MS4 Guide should be used as a reference in order
  to improve BPJ of the inspector

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Guidance Manual Includes

• Examples of
• what to look for
• Documentation
• Observations
• Checklists
• Use Chapter 4 to determine what should be in a
  SWMP

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Guidance Manual Includes

• Lists of common deficiencies
• Sample questions for auditors
• Evaluation tips on how to prepare, conduct, and
  document an audit

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EPAs MS4 Evaluation Guide Program Eval.
Worksheets (App. B)

• Use the worksheets to identify
• The major topics your self-audit should address
• The questions an EPA auditor may ask
• The types of documents you should have for your
  MS4 program
• Use the worksheets it identify areas that need to
  be beefed up

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Example Construction

• Major topics in an MS4s construction program
  include
• Ordinance/Legal Authority
• Construction Project Inventory
• Construction Requirements and BMPs
• Plan Review Procedures
• Construction Project Inspections
• Enforcement/Referrals
• Outreach and Education
• MS4-owned Construction Projects
• These are also addressed in section 4.4 of the
  Guide

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Example Construction

• For the ordinance/legal authority topic, the
  worksheet asks
• Name/code section of ordinance
• Threshold for coverage
• Exclusions from coverage
• Whether other pollutants are regulated
• Permitting mechanism used to require BMPs
• Whether a plan is required
• Types of enforcement mechanisms available
• Whether an enforcement escalation plan is in place

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Field Inspection Worksheets

• Developed for
• MS4 Maintenance Facility
• Construction Inspections
• Industrial/Commercial Inspections
• Outfall Visual Inspections
• Worksheets give tips to EPA auditors on what to
  look for in the field
• Use these tips to train staff and address
  problems at maintenance facilities

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MS4 Maintenance Facility Worksheet
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Construction Inspection Worksheet
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Industrial / Commercial Inspection Worksheet
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Outfall Visual Inspection Worksheet
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Conducting an MS4 auditPre-audit preparation

• What are your audit goals?
• Assess compliance status, provide assistance,
  etc.
• Decide who/what to audit
• Which MS4s?
• How comprehensive of an audit?
• Which program areas will you audit?
• Schedule the audit
• Review materials before audit
• Permit, Annual Report, SWMP
• Other documentation

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Conducting an MS4 auditKick-off Meeting

• Introduces participants and establishes roles and
  responsibilities
• Communicates the regulatory authority, purpose
  and focus of the audit/inspection
• Provides an opportunity for higher-level managers
  and officials to participate and understand the
  process and expectations
• Can establish (or refine) the schedule and
  required logistics (e.g., locations, personnel,
  transportation)
• Provides an opportunity to discuss and clarify
  permit conditions and set expectations
• Set Yourself Up for Success
• Plan for and rehearse your opening remarks
• Identify and personally meet the individuals you
  will be interviewing
• Collect business cards and/or telephone numbers
  of key individuals

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Conducting an MS4 auditInterviewing MS4 staff

• Clearly identify the roles and responsibilities
  of the individual and tailor questions
  accordingly
• When possible, have line staff answer the
  questions
• Keep an inventory of questions that need to be
  directed to another individual
• Start with broad questions and refine based on
  the provided response
• Take time to clarify your understanding
• You are saying that is the responsibility of
  Public Works, not engineering. Correct?
• When possible, ask the same question to several
  individuals

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Conducting an MS4 auditConducting In-Field
Activities

• Streamline in-field observations and interviews
• Work in teams and divide and conquer
• Evaluate the MS4, not the facility
• Seek out known problem sites/activities
• Chronic violators (construction, commercial)
• Ask, show me how this problem was rectified.
• Make the most out of travel time
• Be flexible
• Always Obtain Enforcement Quality Data
• Adhere to sound data collection practices
• Keep detailed notes, observations and an
  inventory of locations visited
• Photographs of all potential violations
• Supporting documentation and records
• Witness statements
• Drawings and maps

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Conducting an MS4 auditMunicipal Operations
Example

• Common Program Components of Municipal Operations
• MS4 Operation and Maintenance
• Public Facilities
• Roadways
• Standards and Training
• Pesticides, Herbicides, and Fertilizer
  Application
• Field Activities
• Common Requirements
• Develop an OM Program
• Employee training program

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Auditing an MS4 Maintenance Program

• Focus on four main areas
• Operation and maintenance activities and
  recordkeeping
• Storm drain system and structural controls
• Public facilities
• Streets
• Standard operating procedures
• Routine maintenance
• Spill prevention and response
• Pesticide, herbicide, and fertilizer application
• Staff training
• Facility inspections

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Infrastructure mapping

• Do maps show all inlets, outfalls, storm drain
  conduits, stormwater management facilities
  receiving water bodies, catch basins, and
  structural stormwater controls?
• This map should be readily available and the
  maintenance field staff should be referencing it
  to perform maintenance activities.
• Are infrastructure assets or components named
  and/or numbered to allow tracking of maintenance
  and repairs?

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Catch basin cleaning

• Does the MS4 regularly clean catch basins?
• Is the cleaning schedule frequent enough to
  minimize pollution?
• Are cleanings documented and evaluated to ensure
  that the schedule is targeting problem areas?
• Are pollutants removed from the catch basins
  should be disposed of in an environmentally
  friendly manner?
• Are storm drain pipes routinely inspected and
  maintained to remove pollutants and debris and
  ensure proper drainage?

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Maintenance Yard Management

• Does the municipalitys public works yard have a
  SWPPP or equivalent plan?
• Is there an individual or department responsible
  for implementing and maintaining the SWPPP?
• Does the responsible party periodically inspect
  the yard for stormwater compliance?

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Maintenance Yard Inspections

• Inspection criteria
• Are chemicals, bulk materials, or other potential
  pollutants covered and stored properly?
• Are wash racks and dewatering areas plumbed to
  sanitary sewers (if allowed)? If not allowed, is
  wastewater prevented from entering the MS4?
• Is there outside maintenance and/or storage?
• Do vehicle maintenance areas have BMPs to protect
  the MS4 from polluted runoff?
• Does the facility have structural BMPs (e.g.,
  stormwater detention ponds, stormwater filter
  devices)? How well are they maintained?
• Are inoperable vehicles stored to prevent
  polluted runoff and leaching of contaminants to
  groundwater?
• Are storm drain inlets free of debris?
• Has the yard been swept? Are there oil stains or
  other evidence of spills?
• Document findings with photos and as much detail
  as possible

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Municipal Operations Common Compliance Problems

• Maintenance yards lack adequate controls
• Lack of SWPPP or equivalent plan
• Municipal staff lack adequate stormwater guidance
• Stormwater BMPs not used for routine maintenance
  activities
• Lack of training/awareness of stormwater BMPs

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Conducting an MS4 auditClosing Conference

• Discussion of preliminary findings
• Answer final questions
• Clarify remaining issues
• Provide information about the NPDES program
• Request a compilation of data that was not
  available during the inspection
• Plan for success
• Take adequate time to compile your preliminary
  observations
• Identify deficiencies and areas of concern,
  corresponding permit citation(s), and all
  supporting evidence
• Consider sorting and presenting preliminary
  observations and then deficiencies
• Identify and be prepared to communicate both the
  strengths and weaknesses of the program
• Mentally practice the delivery of preliminary
  observations/deficiencies
• Know and communicate the anticipated next steps

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Writing MS4 Audit Reports

• More than one way to document your findings in an
  MS4 Audit Report
• Audit report should clearly document findings
• In all cases, each potential violation should be
  made obvious to the reader
• State the requirement (statute, permit,
  regulation SWMP)
• Describe and present how the MS4 failed to meet
  the requirement
• Present and describe all photographs, documents,
  statements, and other evidence
• Plan For Success
• Prepare the report as soon as possible following
  the activity
• Group findings by program area
• Write the report in the first person and
  reflective of a point in time
• Use simple, direct language, and short sentences
• Include only known facts and cite source
• The facility representative stated the MS4 has
  80 outfalls.

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Hawaii Dept of TransportationConsent Decree,
October 2005

• HDOT failed to develop, submit and implement the
  stormwater program, including BMPs and for
  discharging without a valid permit.
• Two MS4 audits conducted past consent decree(s)
  were ignored
• HDOT must pay 1 million penalty.
• HDOT must spend an estimated 50 million to
  address Clean Water Act storm water violations at
  highways and airports in Hawaii.

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Other MS4 enforcement actions

• Many are based on an MS4s failure to implement a
  program component
• Other examples
• Dallas, TX - 3.5 M
• Richland County, SC - 1 M
• Santa Ana Region, CA 13 MS4 penalties ranging
  from 10K to 167K
• New Jersey Almost 100 MS4 penalties, averaging
  about 10k each over past 3 years

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Lessons Learned from Past Audits

• Past MS4 audit reports from EPA Region 9 are
  online at
• www.epa.gov/region09/
• water/npdes/ms4audits.html

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Lessons Learned from the auditor

• Prepare and be familiar with the MS4
• You get better information from a
  conversational-style interview rather than a
  strict QA format
• Try not to take an adversarial tone (unless
  necessary)
• Dont be afraid to make the MS4 wait (while you
  make notes, review your questions, etc.)
• Use the audit as an opportunity to learn (and get
  the MS4 talking)

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Lessons Learned

• MS4 Permit Language Greatly Affects SWMP
  Development and Compliance
• More specific permit language often resulted in
  more specific SWMPs
• Specific permit language also reduced uncertainty
  about expectations
• Need for Clear Guidance and Direction from State
  regulatory staff
• Even detailed permits need additional guidance
• Audits provide an opportunity for State
  regulatory staff to clarify requirements and
  answer questions

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Lessons Learned

• Communication Provides Many Benefits
• Builds stronger relationship between MS4 and
  State staff
• Direct and immediate feedback
• Program priorities
• Program challenges

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Lessons Learned

• A Well-Written SWMP Plan is Critical for
  Compliance
• Some permits did not specifically require a SWMP,
  or a single generic SWMP was developed for all
  co-permittees
• An MS4-specific plan is needed to describe
  implementation procedures, BMPs, schedules,
  responsibilities, and goals

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Lessons Learned

• Measurable Goals Should Be Outcome-Based
• Goals should be based on the desired outcomes of
  the stormwater program
• Goals should be developed on the basis of the
  pollutant of concern, sources of the pollutant,
  behaviors associated with the sources, and the
  indicator most appropriate to demonstrate a
  change in those behaviors

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Lessons Learned

• Annual Reports are not Always Effective
  Indicators of Program Compliance
• Especially where MS4 permits lack specificity in
  annual reporting requirements
• MS4 reluctant to voluntarily report non-compliance

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Emerging Issues for MS4 Auditors

• Green technology controls
• www.epa.gov/greentechnology
• Section 438 of EISA
• Sets post-construction standards for new federal
  construction projects
• Post-construction design standards
• Evaluating the effectiveness of MS4s
• Wasteload Allocations (WLAs) applied to MS4s
• TMDLs to Stormwater Permits Draft Handbook

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Conclusions

• MS4 Audit process is a learning experience
• Great way to increase program visibility
• Can result in voluntary improvements
• Can improve MS4 Permit, SWMP, and
• reporting requirements
• Can ultimately result in enforcement

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Questions? John.Kosco_at_tetratech.com