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GIOU[agmsAutoList111IV1.1.a.i.IVIVIV(CEKQW]cioAutoList2A)A)A)A)A)A)A)A)2[+[ 0_level2   X 8.` hp x (#823  ..   8.` hp x (#8  2[+[ 0_level3    8.4` hp x (#823  ..   8.` hp x (#8  2[+[ 0_level4    8.` ` hp x (#823  ..   8.` hp x (#8  2[+[ 0_level6    8. ` hp x (#823  ..   8.` hp x (#8  2[+[ 0_level7   4 8. ` hp x (#823  ..   8.` hp x (#8  2[+[ 0_level8   ` 8.` hp x (#823  ..   8.` hp x (#8  2g+P 0Level 1       8. ` hp x (#823  ..  8.` hp x (#8  2P+P 0Level 5   8.h` hp x (#823  ..  8.` hp x (#8  0*+,1-./0u35;AGMSY_11.1.11111.111111(&GIOU[agmsAutoList131a.a.a.a.a.a.a.a.i)  $    1    _C XXThisisnotthecasewithlargeandmediumMunicipalSeparateStormSewerSystems(MS4s).Theinitial e enforcementpriorityforthestormwaterprogram(19941995timeframe)focusedonbringingMS4sinto ) compliancewithapplicationrequirements.Theresultofthisapproachwasacompliancerateofnear100%bythe  endof1999.#XsX CS#*+ (_2623  ..*G+M (_25   /%` ` hp x /23  ..  5+ ` hp x 5  (fGIOU[agmsAutoList1351.1.1.1.1.1.1.1.*D+M (_24   ," hp x ,23  ..  5+ ` hp x 5  *A+M (_23  ` ) hp x )23  ..  5+ ` hp x 5  *>+M (_22   &hhp x &23  ..  5+ ` hp x 5  *;+M (_21   #p x #23  ..  5+ ` hp x 5  *8+M (_20  h  p x 23  ..  5+ ` hp x 5  *5+M (_19   pp x 23  ..  5+ ` hp x 5  *2+M (_18    x 23  ..  5+ ` hp x 5  * (_1723  Ԁ*GM (_16   /%` ` hp x /23  Ԁ  5+ ` hp x 5  *DM (_15   ," hp x ,23  Ԁ  5+ ` hp x 5  *AM (_14  ` ) hp x )23  Ԁ  5+ ` hp x 5  *>M (_13   &hhp x &23  Ԁ  5+ ` hp x 5  *;M (_12   #p x #23  Ԁ  5+ ` hp x 5  *8M (_11  h  p x 23  Ԁ  5+ ` hp x 5  *5M (_10   pp x 23  Ԁ  5+ ` hp x 5   iEGMSY_ekqAutoList44IIA.IIIIIIIIIIII(2M &_9    x 23  Ԁ  5+ ` hp x 5   EGMSY_ekqAutoList461.A.1.1.1.1.1.1.( &_823  (GM &_7   /%` ` hp x /23   5+ ` hp x 5   EGMSY_ekqAutoList481.1.1.a.1.a.1.1.(DM &_6   ," hp x ,23   5+ ` hp x 5  (AM &_5  ` ) hp x )23   5+ ` hp x 5  (>M &_4   &hhp x &23   5+ ` hp x 5  (;M &_3   #p x #23   5+ ` hp x 5  (8M &_2  h  p x 23   5+ ` hp x 5   EGMSY_ekqAutoList54a.a.a.a.a.a.a.a. d(5M &_1   pp x 23   5+ ` hp x 5  &2M $_    x 23   5+ ` hp x 5  0.Normal<:Definition T<AA:Definition L , 5+ ` hp x 5  5+ ` hp x 586Definition(''&H1      (&H2  (&H3  (&H4 XXX (&H5  (EGMSY_ekqAutoList67iiiiiiiiiiiiiiii(&H6  20Address(PEGMSY_ekqAutoList70i.i.i.i.i.i.i.i.(PEGMSY_ekqAutoList71i.i.i.i.i.i.i.i. 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U $    3    _ԀC XXThePaperworkReductionAct(PRA)doesnotapplytothecollectionofinformationduringtheconduct e ofanagencysinvestigationinvolvingpotentialviolationsbyspecificindividualsorentities.Thisexemption Q  appliesduringtheentirecourseoftheinvestigation...whetherbeforeorafterformalchargesorcomplaintsare  filedorformaladministrativeactionisinitiated,butonlyafteracasefileorequivalentisopenedwithrespecttoa t particularparty.5C.F.R._1320.4(c).______________ORE_Ԁrecommendsthataseparatephysicalorelectroniccasefilebeopened 8 withrespecttoeachindividualpartyunderinvestigation.(See EnhancingtheEffectivenessofInformation a RequestsmemoissuedbyEricV._Schaeffer,Director,OfficeofRegulatoryEnforcement_ԀonJuly3,2001).#XsX CU# D $    8    _C XXIdentifyingandactingagainstentitiesthathavefailedtoeitherobtainorcomplywithapermitisnota e priorityactivityforFY2003FY2005.However,theremaybecircumstancesunderwhichregionswillwantto ) closelymonitoranentityscompliancewiththestormwaterpermitandtakeactionforfailuretocomplywiththat  permit(e.g.,egregiousviolators).Usually,thiswillbeacasewherenoncomplianceiscontributingtoan L environmentalprobleminahighprioritywatershed.Discretionislefttotheregionsastowhethertotakeactionin u suchasituation.#XsX CS# x $    9    _C XXTheOfficeofRegulatoryEnforcement,EnforcementToolsWorkgroup,isdevelopingamodelNon e ComplianceScoringCriteriatoolthatwillprioritizeenforcementbasedon:statusoftheviolator,recalcitrance, ) evidenceofdischargetowatersoftheUnitedStates,levelofBMPimplementation,levelofcooperationwith  permittingauthority,degreeofharmtotheenvironmentand/orpublichealth,knowledgeofregulatoryrequirements, L etc. y $    10    _C XXTheOfficeofRegulatoryEnforcement,EnforcementToolsWorkgroup,willdevelopamodel e enforcementstrategyforsmallMS4s.Modelenforcementstrategiesforconstructionactivitiesarediscussedearlier ) inthisdocument.(GIOU[agmsAutoList122a.a.a.a.a.a.a.a.a.(GIOU[agmsAutoList1231.1.1.1.1.1.1.1.1.0"GIOU[agmsAutoList1241.1.1.a.1.1.1.1.1.3a.http://www.epa.gov/npdes/stormwater({GIOU[agmsAutoList125A.A.A.A.A.A.A.A.A.(GIOU[agmsAutoList137A.A.A.A.A.A.A.A. Z $    2    _C XXEPAandstateinspectionsofindustrialfacilitiesindicatethatamajoritydonothaveastormwaterpermit e ofthesitesthatdohaveapermit,noncompliancewiththepermitrequirementsissignificant.EPAhasestimated ) thatapproximately75,000industrialfacilities(nonconstruction)haveapermit,orabouthalfofthoserequiredto  havecoverage,andabout20,000constructionsitesapplyforapermitinanygivenyear,oraboutonethirdofthose L requiredtoapply(ReporttoCongressonThePhaseIStormWaterRegulations(U.S.EPA,2000)).#XsX CS#C XXs#XsX C#(GIOU[agmsAutoList136A.A.A.A.A.A.A.A.A.http://www.envcap.org/cica.  $    14    _C XXThecomplianceassistancepackagewillalsobesupplementedwithmaterialscurrentlybeingdevelopedas e describedinPartIV.0GIOU[agmsAutoList126A.A.1.A.A.A.A.A.(FGIOU[agmsAutoList1271.1.1.1.1.1.1.1.   $    12    _&  C XXC  CTheESOisasettlementapproachandtheESOworksheetisnotintended,andshouldnotbeusedas,the e basisforapenaltydemandinanadministrativepenaltyhearingorajudicialtrial.TheESOsettlementpenaltyisnot ) intendedforusebyEPA,defendants,respondents,courts,oradministrativelawjudgesatahearingorinatrial.  Further,whethertheAgencydecidestousetheESOapproachispurelywithinEPA'sdiscretion.#XsX Cc#'W#XsXXXs#(GIOU[agmsAutoList132A.A.A.A.A.A.A.A.1.A.0fGIOU[agmsAutoList129a.a.a.a.a.a.a.a.a. $    4    _ԀC XXTheseparticularcaseswillbedevelopedthroughacoordinatedeffortbetweenheadquartersandthe e regions.(GIOU[agmsAutoList133A.A.A.A.A.A.A.A.(GIOU[agmsAutoList1381.1.1.1.1.1.1.1.xxxx'dxdhttp://cfpub.epa.gov/clearinghouse/http://cfpub.epa.gov/clearinghouse/ddhttp://www.epa.gov/npdes/stormwater1.Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5&OLE 2.0 Box <=8C HKKKK(3$ !  ( $ Figure  1  (GIOU[agmsAutoList1391.1.1.1.1.1.1.1.1.  $    7    _C XXInApril2002,OECApublishedanEnforcementAlerthighlightingtheAnacostiaStrategyand#XsX CS#C XXsԀpublicizing e theimportanceofcompliancewiththestormwaterprogram.#XsX C#(¤$0 0` (#(#0 ` ` (#` (#0  (# (#0h(#(#0h#h(#h(#2#  0  )3  0\*(#(#(>$0 0` (#(#0 ` ` (#` (#0  (# (#0h(#(#0h#h(#h(#0((#(#2#  a  )3  0p/(#(##pGaekosw{Bullet ListBullets ListI.(UEGMSY_ekqAutoList24I.I.I.I.I.I.I.I.(uEGMSY_ekqAutoList26IIIIIIIIIIIIIIII(EGMSY_ekqAutoList27IIIIIIIIIIIIIIII(F$0  0` (#(#0 ` (#` (#0 (# (#0h(#(#0h(#h(#0(#(#0p(#(#2#     )3  0p(#p(#  I&mage <=8C HKKKK(3$ !  (EGMSY_ekqAutoList28I.I.I.I.I.I.I.I.#xVA_cgkosw{DiamondsDiamond Bullet````````(EGMSY_ekqAutoList20I.I.I.I.I.I.I.I.(%EGMSY_ekqAutoList21I.I.I.I.I.I.I.I.VVVVV)!dxdx2J+M 0_level1  X 2( ` hp x 223  ..  5+ ` hp x 5  2>+M 0_level5   &hhp x &23  ..  5+ ` hp x 5  22+M 0_level9    x 23  ..  5+ ` hp x 5  ,cAZ"Arial Regular2JM 0_levsl1  X 2( ` hp x 223  Ԁ  5+ ` hp x 5  2GM 0_levsl2   /%` ` hp x /23  Ԁ  5+ ` hp x 5  2DM 0_levsl3   ," hp x ,23  Ԁ  5+ ` hp x 5   $    5    _C XXԀTheOfficeofWateranticipatesthatthesemodelswillbefinalizedinFY03.2AM 0_levsl4  ` ) hp x )23  Ԁ  5+ ` hp x 5  http://www.envcap.org/cica/(http://cfpub.epa.gov/clearinghouse/index.cfm?Tab=Home)(http://www.cicacenter.org)  ! 2>M 0_levsl5   &hhp x &23  Ԁ  5+ ` hp x 5  2;M 0_levsl6   #p x #23  Ԁ  5+ ` hp x 5  28M 0_levsl7  h  p x 23  Ԁ  5+ ` hp x 5  25M 0_levsl8   pp x 23  Ԁ  5+ ` hp x 5    $    6    _C XXContactIngridHopkinsinRegionIIIorLaurenV._Kabler_Ԁatheadquarterstoobtainacopyofthe e AnacostiaStrategy.22M 0_levsl9    x 23  Ԁ  5+ ` hp x 5  2JM 0_levnl1  X 2( ` hp x 223   5+ ` hp x 5  2GM 0_levnl2   /%` ` hp x /23   5+ ` hp x 5  2DM 0_levnl3   ," hp x ,23   5+ ` hp x 5  2AM 0_levnl4  ` ) hp x )23   5+ ` hp x 5  2>M 0_levnl5   &hhp x &23   5+ ` hp x 5  2;M 0_levnl6   #p x #23   5+ ` hp x 5  28M 0_levnl7  h  p x 23   5+ ` hp x 5  25M 0_levnl8   pp x 23   5+ ` hp x 5  22M 0_levnl9    x 23   5+ ` hp x 5    $    11    _C XXEPAhasdecidedtolimitESOstoconstructionsitesandautosalvageyards(see_timeline_Ԁfor e development)becausetheseentitiesofteninvolvefacilitiesorsiteswherethecumulativeeffectofdischargescan ) havesignificantenvironmentalimpact.(9 Z(Times New Roman http://cfpub.epa.gov/clearinghouse/ A $    13    _C XXTheESOworkgroupwillfirstdeterminewhetheranESOforautosalvageyardsisfeasiblepriortoits e development.Ifitisnotfeasible,otherindustrialcategorieswillbeconsidered. !  _e  8sXXdd8@%+XX2003StormWaterComplianceandEnforcementStrategy  e  #XsX%+# SmartEnforcementforStormWater  y  (5H03  Introduction  M     Stormwaterrunoffisamajorcauseofwaterqualityimpairment.Accordingtothe %  ReporttoCongressonThePhaseIStormWaterRegulations(U.S.EPA,2000),urbanstorm   waterrunoffcontributesto13percentofimpairedriverandstreammiles,21percentofimpaired   lakeacres,55percentofimpairedoceanshorelinemiles,and46percentofimpairedestuary   squaremiles.Stormwaterrunoffcancarryhighlevelsofpollutantslikemudandsediment,oil  p  andgrease,suspendedsolids,nutrients,heavymetals,pathogens,toxins,andtrashintosewer  \  systemsandultimatelyintoourstreams,rivers,lakes,estuaries,wetlandsandoceansresultingin H  anunhealthyenvironmentforaquaticorganisms,wildlifeandhumans(U.S.EPA,1992, 4  EnvironmentalImpactsofStormWaterDischarges:ANationalProfile).     TherequirementsforPhaseINPDESstormwaterpermitapplicationandcoveragehave ]  beenineffectformorethantenyears.EPAandstateshavespentyearseducatingindustryabout I stormwatercompliancerequirements(complianceassistanceeffortsincludenumeroustraining 5 opportunities,stormwaterwebsites,publicserviceannouncements,guidancedocuments,fact ! sheets,brochures,modelpermitsandforms).Nonetheless,asof2000manyindustrial   dischargerswerestilldischargingstormwaterillegally.7 #  1      ׀Inresponse,EPAshifteditsfocusinFY  2000fromoutreachandcomplianceassistancetowardincreasedenforcementforindustrial  dischargersacrossatargetedwatershed,streamreachorgeographicareaoragainstaspecific l sectorwithpotentialforhighlycontaminatedrunoff(seeEPAs2000StormWaterEnforcement X StrategyUpdateathttp://www.epa.gov/Compliance/resources/policies/civil/cwa/stmwtrstra.pdf). D The2000Strategyencouragedregionsandstatestodevelopandimplementwatershedand 0 sectorbasedstormwaterenforcementstrategies.Fewsuchstrategies,however,havebeen  implemented.Notsurprisingly,compliancewithindustrialstormwaterprogramrequirementsis m stillpoor. #  2      ׀EPAbelievesthatcomplianceispoordueinlargeparttoalackofapervasivefield Y presenceandsubsequentenforcementresponsefactorsnecessarytoestablishmotivationforthe E regulatedcommunitytocomeintocompliance.Integratedstrategiesareeffectiveinensuringthat 1  thebasiccomponentsofaneffectivecomplianceassuranceprogramarerealizedandthatthe ! mostappropriatecomplianceandenforcementtoolsareusedtoaddressthemostsignificant  "  problem.Therefore,inlightofcontinuednoncompliancewithstormwaterprogram "! requirementsacrossthecountry,the2003Strategyrequiresthatregionsworktoimprovestorm e watercomplianceforindustrialdischargersbydevelopingandimplementingawatershedbased Q stormwaterintegratedcomplianceandenforcementstrategyand/orasectorbasedstrategy = withinoneyearfromthedateofthisdocument. )   Thesestrategiesshouldfollowanintegratedapproachtoimprovingcompliance.Acopy   oftheFrameworkforaProblemBasedApproachtoIntegratedStrategieswassenttothe   regionsunderacovermemodatedNovember27,2002andsignedbyJPSuarez,theAssistant  t AdministratorfortheOfficeofEnforcementandComplianceAssurance(OECA).Whilethe  ` regionsstrategieswilllikelyfocusontargetedcompliancemonitoringandenforcementfor  L  PhaseIsources,thestrategiesshouldprovideadescriptionofhowthefullmixtureoftools  8  (complianceassistance,complianceincentives,compliancemonitoring,enforcement,andany $  otherrelatedactivities)maybeusedtoimprovecompliance.ForPhaseIIrequirements,which u  becameeffectiveinMarch2003,thestrategiesmayinitiallyfocusoncomplianceassistance,but a  againshouldconsideralloftheelementsofanintegratedstrategy.ForbothPhaseIandPhaseII M  sources,thestrategiesdevelopedbytheregionsshould:discussthegoalofthestrategy;address 9  resourcesneededtoimplementthestrategy;estimateascheduleforachievingthegoals;include % adiscussionofhowstakeholdersmaybeinvolvedandhowtheelementsofthestrategywillbe  communicated;andshouldincludeclear,measurablecomplianceandenvironmentaloutcomes  undertheGovernmentPerformanceandResultsAct(GPRA)andadescriptionoftheprocessto  evaluateprogresstowardreachingtheseoutcomes.Finally,thesestrategiesshouldbe p incorporatedintotheMOAsbetweentheregionsandheadquarters. \   PartsIandIIofthe2003Strategyprovidetwomodelstormwatercomplianceand 4 enforcementapproachesforusebyregionsandstatesastheydevelopandimplementtheirown   strategiestoaddresscontinuingnoncompliancebyindustrialstormwaterdischargers.Regions q  arestronglyencouragedtosharetheguidanceandtoolstheyaredevelopingwiththeirstates. ] PartIprovidesasectorbasedenforcementmodel;PartIIprovidesawatershedbased I enforcementmodel.Bothmodelsrelyonariskbasedapproachtoaddressindustrialstormwater 5 violationsensuringthatthosestormwaterdischargersthatposethemostsignificantrisktothe ! environmentareaddressedfirst.PartIIIhighlightsfivenewcomponentsofEPAsstormwater   enforcementprogram,including:(1)astormwatertrainingprogramforinspectors;(2)astorm   waterexpeditedsettlementofferprogram;(3)guidanceforapplicationoftheCWAPenalty !  Policytostormwatercases;(4)compliancetools,likeinspectorcheckoffsheetsandcompliance "l! assistancematerial;and(5)enforcementtools,likealegalformsdatabaseforstormwater, #X" enforcementstrategiesandnoncompliancescoringcriteria.PartIVdiscussescomplianceand $D # enforcementprioritiesforthePhaseIIProgram(smallconstructionandregulatedsmallMS4s). %0!$  J(i00     ,'+ @ !   PartI  e '   ModelforaSectorBasedApproachtoComplianceandEnforcementforLargeScale Q ConstructionActivities = Background     Becausecomplianceassistanceandcomplianceincentiveopportunitieshavebeen   availablefor810yearsrespectivelyforPhaseIstormwatersourcesandinordertoaddress  t continuingnoncompliance,theOfficeofRegulatoryEnforcement(ORE)willfocusstormwater  ` investigationandenforcementeffortson largescaleconstructionactivitiesregulatedunderPhase  L  I.Intheprocess,OREwillimplementasectorbasedenforcementstrategythatregionsand  8  statescanuseasamajorelementoftheenforcementcomponentoftheirownintegratedstrategy $  toaddresslargeconstructionsites,orothersectorsofconcern.AppendixAprovidesmore u  detailsconcerningwhythissectorwaschosen. a   Approach  9    Ratherthantryingtoaddressthethousandsofcontractorsoperatingeachday,theAgency  planstofocusitseffortsonseverallargedevelopersresponsibleforamajorityofthenations  constructionactivities.Thesefirmsfallintotwocategoriesoflargescaleconstruction  operations:(1)commercialdevelopmentof bigboxstoresandtheirassociateddevelopers,and p (2)largenationalandresidentialdevelopers. \   Thisapproachemphasizesthreebasiccompliancemonitoringandenforcementsteps. 4 Thefirststepistoidentifyandprioritizeappropriatecorporateentitiesforinvestigationbased   uponbestavailableinformationincludinginspections.SomeofthefactorsthatOREwill q  considerindevelopingthetargetlistinclude:regionalprioritiesandstatusofongoing ] investigations,companycompliancecharacteristics(e.g.,whetherviolationshavebeen I previouslydocumented,thedegreeofenvironmentalharmandwhethersuchcompanyhasbeen 5 putonnoticeregardingstormwaterrequirements).ThesecondstepistoissueCWA308 ! requestsasnecessarytothecorporateheadquartersofeachofthelargenationalconstruction   firmsidentifiedforinvestigation. #  3      ThepurposeofOREsinformationcollectionactivitiesisto   documentandestablishatrendofcorporatewidenoncompliancebyidentifyingongoingand !  completedconstructionsitesinnoncompliance.Afteranalyzingtheresponsestothe308 "l! requests,OREwillensureappropriatefollowup,forexample,reinspections,Noticeof #X"  $D # Violationletters(NOV),ExpeditedSettlementOffers(ESO),ormoreformalenforcementaction, e asnecessary. #  4       Q   Eventhoughheadquartersledenforcementeffortsaredirectedatlargescaleconstruction ) operationsatthenationallevel,theapproachisdesignedsothatitcanbeeasilytailoredto  addressothersectorsofconcernbyaregionorstate.Regionsandstatesareencouragedtouse   thisenforcementelementofthesectorbasedstrategyasamodelwhendevelopingand   implementingtheirownsectorbasedintegratedstrategytoadvancestormwatercompliance.  t Additionally,theregionsandstatesareencouragedtousetheFrameworkforaProblemBased  ` ApproachtoIntegratedStrategieswhendevelopingandimplementingtheirspecificstrategies.  L    ! ! Howwillthisapproachadvancestormwaterenforcementandcompliance?  $    Throughthisapproach,EPAwillbeabletoaddressasignificantpercentageof a  constructionactivityoccurringnationwide,whileatthesametimefocusinglimitedEPA M  resourcesviariskbasedtargeting.Amodel308letter,inspectioncheckoffsheetand 9  inspectionreportappropriateforthistypeofapproachhavebeendevelopedbyOECAandare % availabletotheregionsandstates.Inaddition,theeffortwillsendthemessagetooperatorsthat  anationalstormwaterenforcementpresenceexistsandthatEPAisdedicatedtoensuringstorm  waterprogramcompliance.Finally,aspartofthisenforcementeffort,largebuildersand  developersfoundinnoncompliancewillberequiredtodevelopandimplementcorporatewide p comprehensiveenvironmentalmanagementprogramsthatensurecompliancewithfederaland \ staterequirementsbeforeconstructionbeginsatanyoftheirsites,nationwide. H  Howwilltheenvironmentalbenefitsoftheseeffortsbemeasured?      TheOfficeofWater(OW),aspartoftheeffluentlimitationguidelinesdevelopmentfor ] theconstructionanddevelopmentpointsourcecategory,isdevelopingmodelstoestimate I sedimentloadingreductionsatconstructionsites.@ #  5      ׀Thesemodelswillbeusedtoestimate 5 sedimentloadsreducedfromconstructionsitesasaresultofenforcementresponses. ! Additionally,samplingofspecificimpactedwaterwaystoobservetrendsintheamountof   pollutantsofinterestovertimeshouldbeusedwhereappropriate.Qualitatively,OREwillalso   evaluatethenumberofacreswherethenecessaryerosionandsedimentcontrolsareimplemented !  andmaintainedasaresultofthiseffort.Othermeasuresshouldbeincludedasappropriateto "l! showtheenvironmentalresultsofourefforts.  #X"   m'#& TimeFrame e 1.0  PhaseI(FY2003/20041stquarter)=(#(#   a.0 ` Riskbasedtargeting` (#` (#  3(&80J! !"3"  0  3;2&  b  .3  0` (#(#  Issueinitialroundof308letters3;S;݌ ` (#` (# Ќ  0  c.0` (#(#Reviewresponsesto308requestsanddetermineappropriateenforcement  ` response L ` (#` (# 0  d.0` (#(#Initiateenforcement$ ` (#` (# 0  e.0` (#(#Continuecomplianceassistanceandincentivesasappropriatea ` (#` (# @* (V8832.0  PhaseII(FY2004)9 (#(#  (f88"3"    3?2f  a  .3  0 `   Evaluateinitial308process3?A?݌` (#` (# Ќ  0  b.0` (#(#Reviseapproachasnecessaryandinitiatesecondroundasappropriate` (#` (# ! !";"  ;@0  2f  c  .3  0` (#(#  Completeinitialroundofenforcementactions;@@݌\` (#` (# Ќ  e  PartII:  4 A   ModelforaWatershedBasedApproachtoComplianceand EnforcementforIndustrial   FacilitiesLocatedinanImpairedWatershed  q  B Background  I   In2001and2002,OECAandRegionIIIdevelopedandimplementedawatershedbased ! complianceandenforcementstrategyforPhaseIstormwaterfacilitiesintheAnacostiaRiver   watershed,theAnacostiaWatershedStormWaterEnforcementStrategy._ #  6      _󀀀Thedetailsofthis   strategycanbefoundinAppendixB. #  7      ׀Examplesofbenefitsandmeasuresaredescribedbelow. !  0   s#s#  &(;88Howwillthisapproachadvancestormwaterenforcementandcompliance?  #X"   TheAnacostiaStrategyreliedonriskbasedtargetingallowingRegionIIItoleverage %0!$ limitedresourcesandeffectivelyfocusenforcementeffortsagainstnumerousandvariedpolluters &"% inawatershedburdenedwithsevereenvironmentalthreats.TheAnacostiaStrategycanbeused e asamodelbyregionsandstatesastheydeveloptheirownwatershedbasedenforcementstrategy Q forstormwater.Varioustoolsweredevelopedandtestedinthiseffortthatwillbeusefulto = regionsandstates.Thetoolsinclude:modelinspectioncheckoffsheets,complianceassistance ) material,approachesforidentifyingnonfilersandnonimplementersandtargetingpriority  sectors,proceduresforconductingstormwaterinspections,andlegalforms.     '(88& Howcantheenvironmentalbenefitsofthisapproachbemeasured?   t    `   Thefollowingthreemethodscanbeusedtomeasuretheenvironmentalbenefitsof  L  watershedbasedapproaches:(1)developcasestudiesforselectedfacilities(bysector)that  8  compareconditionspriortoenforcementandimplementationofstormwatercontrolsto $  conditionsatthesiteafterenforcementandsubsequentimplementationofstormwatercontrols u  (e.g.,compareprecomplianceconditionstopostcomplianceconditions);(2)compareindividual a  activitymeasures(e.g.,numberofinspectionsconducted)tooutcomemeasures(e.g.,numberof M  NoticesofIntent,orNOIs,submitted)asameansofdeterminingatrendtowardcompliance;and 9  (3)developquantitativemeasuresbasedonpollutantreductionmodelingdataforindustrialized % areasfromtheNationalUrbanRunoffProgram(NURP).Additionalmeasuresmaybeincluded  suchaswatershedmonitoringforpollutantsofinterest.    PartIII: p O  GeneralActivities  \ O   `    SpecifictoolstosupportthisstrategyarebeingdevelopedbyOECAandtheregions.Each 4 toolissummarizedbelow.DetailsareprovidedinAppendixC.    A.0  StormWaterTrainingProgram ]s#s#   ORE,alongwiththeOfficeofCompliance(OC)andOW,havedevelopedastormwater 5 trainingprogramfornewinspectorsandenforcementofficers.Theexpertiseandresourcesof ! eachofficeareusedtoprovidecomprehensivetrainingtotheregionsandstatesonEPAsNPDES   stormwaterpermitrequirements,inspectionproceduresandenforcementofstormwater   requirements.Thetraininglastsfourdays(threedaysinaclassroom,onedayinthefield)andhas !  beenconductedtwice.Thetrainingmaterials,inelectronicform,havealsobeencirculatedtothe "l! regionsandseveralstatesforuseintheirownworkshops. #X"  B.0  DevelopExpeditedSettlementOffer(ESO) %0!$s#s#   Stormwatercasesofteninvolvefacilitiesorsiteswherethecumulativeeffectof m'#& dischargescanhavesignificantenvironmentalimpact.Instormwatercases,issuingtimelyand Y(#' consistentenforcementactionstocompelcomplianceisnecessarytoachievethegoalof E)$( deterrence.ThiscanbeachievedthroughissuinganESO.AnESOprovides realtime 1*%) enforcementinsituationswhereviolationscanbequicklycorrectedandapenaltycollectedwithin +&* ashortamountoftime,generallyafewmonthsfromEPAsdiscoveryoftheviolation.  ,'+ Ї (;08' XsXXXsExperienceshowsthatESOsareextremelyusefulinaddressingcommon,clearcutviolationsthat e arerelativelyeasytocorrect.AjointregionalandOREworkgrouphasdevelopedanESOfor Q constructionsites. =   #XsXXXsW# C.0  DevelopGuidanceforApplyingCWAPenaltyPolicytoStormWaterCases s#s#     IndeterminingtheappropriatepenaltyforCleanWaterAct(CWA)cases,theAgencyis   directedtofollowtheRevisedInterimCleanWaterActSettlementPenaltyPolicy,datedFebruary  t 28,1995.Thispolicy,whichrequiresthecalculationofeconomicbenefitandgravity,workswell  ` formoretraditionalviolationswherethereisanexpectationofsubstantialcapitalexpenditures  L  andwherethegravityelementsareeasilyquantified.However,itisnotsoeasilyusedfor  8  calculatingpenaltiesforstormwaterviolations.Inanefforttoensurethatthepenaltyfactorsare $  appliedconsistentlyforstormwatercases,EPAisdevelopingguidanceonhowtoapplythe u  penaltypolicygravityfactorstostormwatercases. a   D.0  DevelopStormWaterComplianceAssistanceandAssessmentTools 9 s#s#   Modelcomplianceassistancetoolswillensurethataconsistentmessageisdeliveredtothe  regulatedcommunitytohelpthemachievecompliance.Modelcomplianceassessmenttoolswill  ensurethattheinformationgatheredbyaninspectorisadequatetodeterminewhetheran  enforcementactionisappropriate.Theywillalsoensurethatadequatedataiscollectedtosupport t anenforcementactionifwarranted . `   Inspectorcheckoffsheetsforconstructionsitesandindustrialfacilitieshavealreadybeen 8 developedandarecurrentlybeingusedinthefield.Othertoolsunderdevelopmentinclude: $ wirelessandtieredinspectorcheckoffsheets;astreamlinedinspectionreportprocess;a u comprehensivecomplianceassistancepackage;innovativewaystodelivercomplianceassistance a materialstotheregulatedcommunity;andamodeltoolsdatabasethatwillgiveregionsandstates M accesstostormwaterspecificcomplianceassistanceandassessmenttools.. 9  (00! !"3"  3Mc2  E  .3  0    DevelopStormWaterEnforcementTools 3Mc}c݌ s#s# Ќ    Modelstormwaterenforcementtoolswillensurethatlimitedenforcementresourcesare !  maximizedandthatenforcementofficersandinspectorshavethetoolstheyneedtoefficiently "t! developstormwaterenforcementcaseswhereappropriate.EPAhasdevelopeddraftnon #`" compliancescoringcriteriathatwillensureappropriateenforcementagainststormwaterviolators $L # nationwide.Thesecriteriaarecurrentlybeingfieldtested.EPAalsoplanstodevelopadditional %8!$ modelenforcementstrategiesandalegalformsdatabase.Finally,EPAisexploringthefeasability &$"% ofdelegatingtheauthoritytoissueadministrativeorderstoinspectorswhichwillallowan u'#& inspectortoimmediatelyaddressenvironmentalharmresultingfromuncontrolledstormwater a(#' runoff. M)$(    ,'+ PartIV e StormWaterPhaseIIComplianceandEnforcementApproach Q gBackground  )   ThePhaseIIStormWaterRuleisthenextstepinEPAsefforttopreserve,protect,and   improvethenationswaterresourcesfrompollutedstormwaterrunoff.PhaseIIexpandsthe   PhaseIprogrambyrequiringadditionaloperatorsofsmallMS4sinurbanizedareasandoperators  t ofsmallconstructionsitestoimplementprogramsandpracticestocontrolpollutedstormwater  ` runoff.PhaseIIisintendedtofurtherreduceadverseimpactstowaterqualityandaquatichabitats  L  bycontrollingtheunregulatedsourcesofstormwaterdischargesthathavethegreatestlikelihood  8  ofcausingcontinuedenvironmentaldegradation. $    Thewaterqualityimpactsassociatedwithuncontrolledrunofffromconstructionsitesare a  discussedindetailinAppendixA.Thewaterqualityimpactsassociatedwithstormwater M  dischargesfromMS4sposeaseriousthreattowaterquality.MS4sinurbanizedareasarea 9  concernbecauseofthehighconcentrationofpollutantsfoundinthesedischargestoinclude: % pesticides,fertilizers,oils,salt,litterandsediment.Concentrateddevelopmentinurbanizedareas  servestofurtherexacerbatethesituationbysubstantiallyincreasingimpervioussurfaces,suchas  citystreets,driveways,parkinglotsandsidewalks,onwhichpollutantsfromhumanactivities  settleandremainuntilastormeventwashesthemintonearbystormdrains.Anotherconcernis p thepossibleillicitconnectionofsanitarysewers,whichcanresultindiseasecausingpathogens \ enteringthestormsewersystem.Stormwaterrunoffpicksupandtransportstheseharmful H pollutantsuntreatedtowaterwaysviastormsewersystems.Whenleftuncontrolled,these 4 dischargescanresultinfishkills,thedestructionofspawningandwildlifehabitats,alossin   aestheticvalue,andcontaminationofdrinkingwatersuppliesandrecreationalwaterwaysthatcan q  threatenpublichealth.ThePhaseIIregulationswerepublishedonDecember8,1999. ] DischargesunderthisprogramwererequiredtohavecoverageunderanNPDESpermitbyMarch I 10,2003. 5  (;00! ! ComplianceandEnforcementPriorities        Attheoutset(FY20032005),outreachandcomplianceassistanceshouldbetheprimary !  methodofencouragingfacilitiestocomplywiththepermitapplicationprocessandpermitting "l! requirements. #  8      ׀Anumberofmaterialsalreadyexistorareunderdevelopmentandneedtobe #X" marketed,particularlytotheregulatedcommunity.XsXXXsTheConstructionIndustryComplianceAssistance $D # Center( _cicacenter.org_ ),whichisrunbytheNationalCenterforManufacturing#XsXXXsu#XsXXXsScienceswithOECA %0!$ grantfunds,isawebbasedenvironmentalcomplianceresourcecenterthatisbeingdevelopedinclose e consultationwiththeconstructionindustry.Thecenterincludesplainlanguageregulatory Q explanationsandlinkstoconstructionstormwaterresourcesincludinginformationandcontacts = regardinglocalregulationsandpermittingrequirements.#XsXXXszv#ԀOChasestablishedtheNationalCompliance ) AssistanceClearinghouse4te O  5  6xOxEnfo  7te yԀ(4te0 O  5  6xyOyEnfo  7te0 y4te0 O  5  http://cfpub.epa.gov/clearinghouse/6zO1zEnfo  7te:_z)whichcontainsapproximately100  stormwaterassistancetoolsfromEPA,states,andotherorganizations.TheClearinghousehasa   searchcapabilitytoassistmunicipalitiesinfindingpertinentinformation.OCdevelopedaLocal   GovernmentOperationsSectorNotebookinJanuary1999.Includedinthisnotebookaresectionsthat  t addressconstruction/propertymanagement,wastewatermanagement,waterresourcesmanagement,  ` watersupplyandvehicle/equipmentmaintenance,allofwhicharerelatedtostormwaterissues.In  L  addition,OCwilldeveloptwochecklistsrelatedtoconstruction,completeadraftauditprotocolfor  8  stormwater,developanexpertsystemforstormwaterconstructionissues,andcontinuetoupdate $  informationontheirwebsiteandtheClearinghouse. u  s  OWhasengagedinnumerousPhaseIIcomplianceassistanceeffortsoverthepastseveral M  yearstoinclude:developingaseriesoffactsheets,guidancedocuments,websites,andmodel 9  permitsandforms.Examplesofongoingoutreachactivitiesinregionsandstatesinclude:storm % waterworkshopsconductedincoordinationwithtradeorganizations;updatedwebsitescontaining  factsheets,guidancedocuments,formsandmodelSWPPPs;massmailingsofcompliance  assistanceinformation(focusmailingsinprioritywatersheds);meetingswithlocalhomebuilder  associations;and,promotingincorporationofstormwaterprogramrequirementsinformationinto p statesponsoredcontractor/builder/developertrainingprograms. \   ApplyingforapermitisafundamentalpartofthePhaseIIstormwaterprogram.Failure 4 todosoallowsanMS4entityorsmallconstructionsitetoescaperegulatoryscrutiny.Therefore,   thesecondarystageofcomplianceandenforcementpriorities(FY20052008)shouldinclude q  identifyingthosewhohavefailedtosubmitatimelyandcompletepermitapplication(e.g.,non ] filers).Therationaleforprioritizingnonfilersforenforcementactionisthatthosethathavenot I begunanyefforttocomplywilllikelyhavefewpollutioncontrolmeasuresinplace,thusposinga 5 greaterenvironmentalriskthanthosewhohavemadesomeefforttocomply.Accordingly,inFY ! 2005,complianceandenforcementstaffshouldshiftawayfromintensiveoutreachand   complianceassistancetowardidentifyingandactingagainstnonfilers.Priorityshouldbegiven   tosmallMS4sandsmallconstructionsiteswherenoncomplianceisharmingtheenvironment !  and/orpublichealth. #  9      ׀InFY2008,regionsshouldbeginassessingcompliancewithpermits(e.g., "l! conductinginspections,reviewingMS4AnnualReports,DMRs,SWPPPsandotherpermit #X" requirements)inordertoidentifyandtakeactionagainstsmallMS4sandsmallconstructionsites $D # thatarenotcomplyingwithpermitrequirements(e.g.,nonimplementers).Again,priorityshould %0!$ begiventothoseentitiesposingthegreatestrisktotheenvironmentand/orpublichealth. &"% Ї  Asageneralrule,theEnforcementManagementSystem(USEPA,1989)establishesthe e principleofescalationofenforcementresponseforcontinuing,uncorrectednoncompliance.This Q stormwaterstrategyrecommendsbeginningwithinformalenforcementandescalatingthe = severityoftheresponsebasedonthedegreeofcontinuingharm/threattotheenvironmentand/or ) publichealth.Beyondthat,theselectionof whoandwhereislefttothediscretionoftheregion.  Finally,eachregionisrequiredtodevelopandimplementanenforcementstrategyforsmallMS4s   andsmallconstructionsiteswithinoneyearfromthedateofthisdocument. #  10         X XXXs  XX  ! ! (80#X X ##XsX XX׌#    '#, AppendixA  e  ModelforaSectorBased Approachfor @ LargeScaleConstructionActivities  Q  DetailedProblemIdentificationandBaselineforConstruction A (! ! (88Whatarethewaterqualityimpactsassociatedwithconstructionactivity?   (i28   Stormwaterrunofffromconstructionactivitieshasasignificantimpactonwaterquality.   Uncontrolledrunofffromconstructionsitesisawaterqualityconcernbecauseofthedevastating  t effectthatsedimentationhasonlocalwaterbodies,particularlysmallstreams.Numerousstudies  ` haveshownthattheamountofsedimenttransportedbystormwaterrunofffromconstructionsites  L  withnocontrolsissignificantlygreaterthanfromsiteswithcontrols.The2000NationalWater  8  QualityInventory:2000Reportindicatesthatstates,tribes,andterritoriesreportedthaturban $  runoff,stormsewersandnonpointsourcerunoffcontributetobacteriadeposition,oxygen u  depletionandincreasedturbidityandaretheleadingsourcesforimpairedwaterqualityinour a  riversandstreams.Uncontrollederosionfromconstructionsitesisasignificantsourceof M  sedimentpollutiontonearbystreams.Duringstorms,constructionsitescanbethesourceof 9  sedimentladenrunoff,oftenoverwhelmingasmallstreamchannelscapacity,resultingin % streambedscour,streambankerosion,anddestructionofnearstreamvegetativecover.Whereleft  uncontrolled,sedimentladenrunoffhasbeenshowntoresultinthelossofinstreamhabitatsfor  fishandotheraquaticspecies,andincreaseddifficultyinfilteringdrinkingwater,thelossof  drinkingwaterreservoirstoragecapacity,andnegativeimpactsonthenavigationalcapacityof p waterways.Inadditiontosediment,constructionactivitiesyieldpollutantssuchaspesticides, \ petroleumproducts,constructionchemicals,solvents,asphalts,andacidsthatcancontaminate H stormwaterrunoff.Totalsuspendedsolid(TSS)concentrationsfromuncontrolledconstruction 4 siteshavebeenfoundtobemorethan150timesgreaterthanconcentrationfromundeveloped   land(Horneretal.,1990;inCWP,2000).Solidscontributetomanywaterquality,habitatand q  aestheticproblemsinourwaterways,likeincreasedturbidityanddestructionofhabitatforfish ] andbottomdwellingorganisms. I ! ! (82 WhatistheprofileofconstructionactivityintheU.S.?  p  !   Theconstructionindustryisamongthelargestsectorsinthenationaleconomy,accounting   forapproximately4percentoftheU.S.grossdomesticproduct.Theconstructionindustry !  disturbsanestimated2.2millionacresoflandeachyearinthenation(USDA,1999).Muchof "l! thatactivityisduetocommercialandresidentialdevelopment,aswellasheavyconstructionof #X" roadsandhighways,sewersystemsandbridges.Whilehundredsofthousandsofcontractorsare $D # operatingatanygiventime,asignificantamountofnewconstructionintheUnitedStatesis %0!$ conductedbyarelativelylimitednumberoflargenationalfirms.Forinstance,itiscommonfor &"% largecommercialretailchainstobuildmorethanonehundrednewstoreseachyear.Withrespect m'#& toresidentialdevelopment,astudyconductedbytheCensusBureaufoundthatapproximately40 Y(#' percentofnewhomeconstructionisconductedbylargebuilders,thosebuildingmorethan100 E)$( unitsperyear. 1*%)    ,'+ HowareconstructionactivitiesregulatedundertheNPDESStormWaterProgram?  e 0   s#s#   In1990,EPApromulgatedregulationsrequiringoperatorsofconstructionactivities = disturbingfive(5)ormoreacresoflandtoobtainauthorizationtodischargestormwaterunderan ) NPDESindustrialstormwaterpermit.(40CFR122.26(b)(14)(x)).Theregulationsestablished  whatisreferredtoasPhaseIoftheStormWaterProgram.Becauseofthelargenumberof   regulatedactivities,EPAandstatesrelyontheuseofgeneralNPDESpermitstoprovidepermit   coverageforstormwaterdischargesfromconstructionactivities.TheprimaryfocusofEPAand  t stateissuedgeneralpermitsarethedevelopmentandimplementationofStormWaterPollution  ` PreventionPlans(SWPPPs).Developedbyasiteoperator,aSWPPPidentifiesstructuraland  L  nonstructuralcontrolsthatwillbeusedattheconstructionsiteto,amongotherthings,minimize  8  erosionanddischargesofsedimenttoreceivingwaters.Thesecontrolsareoftenlowtechnology $  andlowcostlikegoodhousekeeping,employeetraining,andmaterialhandlingprocedures. u  @* Whatisthecompliancestatusoftheregulatedconstructionactivities? M     Since1992,EPAandstateshaveimplementedanumberofcomplianceassistance % activitiestocommunicatetheregulatoryrequirementsoftheStormWaterProgramtotrade  associations,contractorsanddevelopers.Guidancedocumentsontheproperdesignand  implementationofsedimentanderosioncontrols,andtrainingmaterialsforconstructionoperators  arewidelyavailable.TheOfficeofWastewaterManagementwebsitehelpsoperatorsidentify p whetherornottheyneedapermitandprovidesstatecontactinformationandcopiesofEPAand \ statestormwaterpermits,applicationformsandothertechnicalguidance(see H 4onO  5  http://www.epa.gov/npdes/stormwater6\pincl  7as).Inaddition,thenewConstructionIndustryCompliance 4 AssistanceCenter(4s O  5  http://www.cicacenter.org)6incl  7s$ǪԀprovidesquickaccesstocompliancetools,contacts   andexpertsvialinkstoEPAandstatewebsites.Despitetheseoutreachefforts,compliancewith q  thestormwaterprogramisgenerallyreportedaspoor. ]   Ina2000ReporttoCongress,EPAestimatedthatthetotalnumberofconstruction 5 activitiesintheU.S.subjecttoPhaseIoftheStormWaterProgramexceed62,000startsperyear ! (USEPA,2000).Yetasurveyofstatesfoundthatlessthan20,000constructionsitesactually   appliedforpermitcoveragein1999.DatafromEPAandstateinspectionsofconstructionsites   reportsimilarfindings.Inspectorsreportthatroughly50percentoftheconstructionsites !  inspecteddonotevenhavepermitcoverage.Ofthesitesthathaveappliedforpermitcoverage, "l! noncompliancewithpermitrequirementsremainssignificant. #X"  PastEffortstoAchieveCompliance %0!$    IntheSummerof2001,EPAsettledanationalenforcementactionagainstWalMartfor m'#& violationsofstormwaterrequirementsundertheCleanWaterAct.Theallegedviolations Y(#' occurredat17WalMartconstructionsitesinTexas,NewMexico,OklahomaandMassachusetts. E)$( ThesettlementcommitsWalMarttodevelopandimplementacomprehensiveenvironmental 1*%) managementplantoincreasecomplianceateachofthestoresconstructionsitesnationwide +&*   ,'+ throughadditionalinspections,training,recordkeepingandimplementationofBestManagement e Practices. Q   BuildingontheWalMartcase,ORE,inJuly2001,distributedletterstoothernational ) membersoftheretail,developmentandconstructionindustrytoinformthemoftherecentcivil  judicialsettlementwithWalMart,andtohighlighttheneedtoensurecompliancewiththeCWA.   Inaddition,theletteralsoincludedacopyofEPAsAuditPolicy IncentivesforSelfPolicing:   Discovery,DisclosureandPreventionofViolations.Todate,therehavebeennospecific  t inquiriestotheAgencyundertheAuditPolicy.Nonetheless,significantnoncompliancewith  ` stormwaterrequirementsatconstructionsitescontinues.  L     8     Appendix B  e  ModelforaWatershedBasedApproachforIndustrialFacilities  U  DetailedProblemIdentificationandBaselineforaWatershed  A  (88 Whatarethewaterqualityimpactsassociatedwithindustrialactivity(nonconstruction)?     Activitiesthattakeplaceatindustrialfacilitieslikeautosalvageyards,airports,marinas,   wastetransferstations,cementandasphaltmanufacturers,andrecyclersareoftenexposedto  t stormwater.Therunofffromtheseactivitiesdischargesindustrialpollutantsintonearbystorm  ` sewersystemsandwaterbodies.Pollutedstormwaterrunofffromindustrialactivitieshasa  L  significantimpactonwaterquality,contributingpollutantslikeoil,grease,toxicchemicals,heavy  8  metalsandfloatablesintostreams,lakes,rivers,baysandoceans.Highlevelsofpollutants $  negativelyimpacttheintegrityofaquaticecosystemsresultinginbeachclosures,shellfishbed u  closures,limitsonfishing,limitsonrecreationalcontact,compromiseddrinkingwatersupplies, a  andaestheticimpact. M   !(88 Whatistheprofileofindustrialactivity(nonconstruction)intheU.S.?  %   Whileelevencategoriesof"stormwaterdischargesassociatedwithindustrialactivity"  requireanNPDESindustrialstormwaterpermit,informationrelatedtothespecificnumberof  industrialfacilitiesthatactuallymeetthedefinitionofthesecategoriesisnotavailable.Thisis p becauseonlyapercentageofanygivencategoryisrequiredtoobtaincoverageunderanNPDES \ stormwaterpermit.Forexample,anyindustrialfacilitythatdischargesstormwatertoapublicly H ownedtreatmentworksortoacombinedsewerisnotcoveredbythestormwaterregulations. 4 Also,anumberofheavyindustrialfacilitieshavestormwaterdischargescoveredunderan   existingindividualNPDESpermitthatincludesbothprocesswastewaterandstormwater q  controls.EPAtrackstheseindividualNPDESpermitsseparately,andthustheyareexcludedfrom ] thecountofcoveredfacilitiesinthedatabase.Additionally,lightindustriesarerequiredtoobtain I permitcoverageonlyiftheindustrialactivityisexposedtostormwater.Therefore,amuch 5 smallerpercentageoflightindustrialfacilitiesarerequiredtoobtainstormwaterpermitcoverage. !   Duetothecomplexpermittingcriteria,itisdifficulttodefinitivelyquantifyanexact   profileofindustrialactivityintheU.S.EPAhasestimatedthatthereexistabout445,000 !  industrialactivities(excludingconstruction)thathavethepotentialtomeetthedefinitionofstorm "l! waterassociatedwithindustrialactivity.However,thenumberofindustrialactivitiesthatactually #X" haveastormwaterdischargeassociatedwithindustrialactivity(basedonregionalandstate $D # inspectiondata)isestimatedatmorethan150,000. %0!$  "( 88! HowareindustrialactivitiesregulatedundertheNPDESStormWaterProgram? m'#&    In1990,EPApromulgatedregulationsrequiringoperatorsofindustrialfacilitiesincluded E)$( inoneofthe11categoriesof"stormwaterdischargesassociatedwithindustrialactivity"(40CFR 1*%) 122.26(b)(14)(_i_)-(xi))thatdischargestormwatertoamunicipalseparatestormsewersystem +&* (MS4)ordirectlytowatersoftheUnitedStatestoobtainauthorizationunderanNPDES  ,'+ _industrialstormwaterpermit.Becauseofthelargenumberofindustrialactivities,EPAandstates e havelargelyreliedontheuseofgeneralNPDESpermitstoprovidepermitcoverageforstorm Q waterdischargesfromindustrialdischargers.TheprimaryfocusofEPAandstateissuedpermits = isthedevelopmentandimplementationofaStormWaterPollutionPreventionPlan(SWPPP). ) Generallydevelopedbyasiteoperator,aSWPPPidentifiesstructuralandnonstructuralcontrols  thatwillbeusedattheindustrialsiteto,amongotherthings,minimizedischargeofpollutantsto   receivingwaters.Thesecontrolsareoftenlowtechnologyandlowcostapproacheslikegood   housekeeping,employeetraining,andmaterialhandlingprocedures.  t    $(88" Whatisthecompliancestatusoftheregulatedindustrialactivities?  L      `     Oneofthebiggestchallengesistoensurethatallofthehundredsofthousandsofpotential $  facilitieswithstormwaterdischargesassociatedwithindustrialactivityarecoveredbyastormwater u  permit.EPAandstateshaveimplementednumerouscomplianceassistanceactivitiestocommunicate a  theregulatoryrequirementsoftheStormWaterProgramtotheregulateduniverse.Guidance M  documentsontheproperdesignandimplementationofaSWPPPhavebeendevelopedandarewidely 9  available.TheOfficeofWastewaterManagementwebsitehelpsoperatorsidentifywhetherornot % theyneedapermit,providesstatecontactinformation,copiesofEPAandstatestormwaterpermits,  applicationformsandothertechnicalguidance(see4onO  5  http://www.epa.gov/npdes/stormwater6j~ilde  7as!).In  addition,(OC)hasestablishedtheNationalComplianceAssistanceClearinghouse  (4MMO  5  http://cfpub.epa.gov/clearinghouse/index.cfm?Tab=Home)6ilde  7sN4teNO  5  6ilde  7teNԀwhichprovidesquickaccessto p compliancetools,contactsandexpertsvialinkstoEPAandstatewebsites. \   DespitecontinuedEPAandstateoutreachefforts,compliancewiththestormwater 4 programisgenerallyreportedaspoor.DatafromEPAandstateinspectionsofindustrialsites   indicatethatamajorityofindustrialfacilities/sitesinspecteddonothaveanNPDESstormwater q  permit.Lessthanhalf(approximately75,000)arecurrentlypermitted,whichisfarlessthanthe ] numberoffacilitiesthatrequireauthorizationunderanNPDESindustrialstormwaterpermit.Of I thesitesthathaveappliedforpermitcoverage,noncompliancewithpermitrequirementsremains 5 significant.  !  %(+88$LocalWatershedBasedStrategy:TargetIndustrialFacilitiesLocatedinanImpaired   WatershedforInvestigation(e.g.,AnacostiaRiverWatershed) !     TheAnacostiaRiverWatershedreachesupstreamfromtheDistrictofColumbiainto #\" suburbanMaryland,coveringapproximately170squaremilesoflandintwocountiesandDC.It $H # drainsoneofthemostdenselypopulatedsectionsofthemetropolitanDCarea.Withapopulation %4!$ ofmorethan800,000,thewatershedfacestypicalpressuresassociatedwithanurbanizedarea & "% pollution,developmentandencroachmentuponnaturalresources.Onceopenspaceshavebeen q' #& transformedbyagricultureandurbanizationresultinginheavysedimentdeposition,hightoxic ](#' andnutrientloads,floatabledebris,habitatdegradation,andstreambankerosion.Accordingto I)$( theBiennialFederalWorkplanfortheAnacostiaRiverWatershed,April22,1997,theAnacostia 5*%) has beenseverelyimpairedasaresultofstormwaterrunoff.In1999,OREandRegionIII !+&* developedandimplementedtheAnacostiaWatershedStormWaterEnforcement_Strategy  ,'+ (AnacostiaStrategy),ariskbasedtargetingstrategytoaddressstormwaterviolatorslocatedinthe e watershed. Q   TheAnacostiaStrategycontemplatesfourbasicsteps.Thefirststepistoidentifythe ) impairedwatershed.EPAidentifiedtheAnacostiaRiverasanimpairedwatershedbasedona  numberoffactors:(1)existenceofahighhumanhealthandecologicalriskfactorsbasedonfish   advisories;(2)bioassessmentsurveydata,andvariousotherimpairedwatershedindicatorslike   toxiccontaminationofsediments(PCBs),lossofnaturalhabitat,highrateofdiseasecausing  t pathogens,highurbanstormwaterrunoff,andlowdissolvedoxygen;(3)locationnearan  ` EnvironmentalJusticearea;(4)frequentuseforrecreationalandsubsistencefishing;and,(5)  L  identificationasaprioritywatershedbytheChesapeakeBayExecutiveCouncil,theWhiteHouse  8  TaskForceonEcosystemManagement,andthenonprofitenvironmentalgroup,American $  Rivers. u    Thesecondstepistousevariousinformationsourcestoestablishthenonfiler/non M  implementeruniverse.EPAusedthefollowingsourcestoidentifytheuniverseintheAnacostia 9  Riverwatershed:Dunns&Bradstreetdatabase;electronicyellowpages;DeLormeStreetAtlas; % permitapplicationdatabases;citizencomplaints;Federal(USParkService,Departmentof  Agriculture,andtheArboretum)andstateresourcetrustees(MD,DC,VAenvironmental  agencies);andpoliceunits(DCMetropolitanEnvironmentalCrimesUnit).    Thethirdstepistoprioritizethenonfilersandnonimplementeruniverseaccordingto \ environmentalrisktothewatershed.EPAdeterminedthat(1)facilitieswithStandardIndustrial H Classification(SIC)codesectorswithpotentialforhighlycontaminatedrunoff(e.g., 4 transportationfacilities),(2)industrieswithpollutantsexposedtorainfall(e.g.,concreteand   asphaltfacilities),and(3)regionIIIspriorityindustrialsectors(e.g.,autosalvageyards,marinas, q  transportationsectors)posedthegreatestthreatofenvironmentalharmtotheAnacostiaRiver ] watershed. I   Thefourthstepistoinvestigateandtakeappropriateenforcementaction.EPAsentout ! morethan1000stormwateroutreachletterstothenonfilers/nonimplementersidentifiedabove   providingnoticeofEPAsstormwaterprogramrequirements.EPAconductedapproximately200   inspectionsatsiteswhereno,oraninadequate,responsewasreceived.EPAreviewedthe !  inspectionreportsandrankedthemaccordingtononcompliancescoringcriteria(e.g.,whether "l! therewasanNPDESpermit,SWPPP,evidenceofdischarge,BMPimplementation,etc.). #X" Enforcementactionswereinitiatedagainsttwentyseven highscorers(twentythree $D # administrativeorders,threeadministrativepenaltyorders,andoneciviljudicialreferral). %0!$   Currently,EPAisimplementingthesecondphaseoftheAnacostiaStrategy.Re m'#& inspectionsofalltwentysevensiteswhereenforcementactionswerepreviouslytakenhavebeen Y(#' conducted.Amajorityofthesesiteswerefoundtobeincompliancerequiringnofurtheraction. E)$( However,enforcementisplannedforseveralsitesbasedoncontinuednoncomplianceandthreat 1*%) ofenvironmentalharmtothewatershed. +&*      ,'+ AppendixC e DevelopmentofComplianceandEnforcementTools Q   A.0  DevelopExpeditedSettlementOffer(ESO)forStormWater(construction) _ #  11      _)s#s#   Stormwatercasesofteninvolvefacilitiesorsiteswherethecumulativeeffectof   dischargescanhavesignificantenvironmentalimpact.Instormwatercases,issuingtimelyand   consistentenforcementactionstocompelcomplianceisnecessarytoachievethegoalof  t deterrence. Thiscanbeachievedthroughissuinganexpeditedsettlementoffer( ESO)pursuant  ` totherevisionstothe ConsolidatedRulesofPracticeGoverningtheAdministrativeAssessment  L  ofCivilPenalties,IssuanceofComplianceorCorrectiveActionOrders,andtheRevocation,  8  TerminationorSuspensionofPermits( ConsolidatedRules),40C.F.R.Part22,particularly $  40C.F.R.22.13(b). #  12      ׀AnESOprovides realtimeenforcementinsituationswhereviolations u  canbequicklycorrectedandapenaltycollectedwithinashortamountoftime,generallyafew a  monthsfromEPAsdiscoveryoftheviolation. M    TherevisionstoPart22providealessresourceintensivemechanismforprocessing % widespreadviolationsassociatedwithrelativelysmallpenaltyamounts.Relativelylimited  penaltyamountsarecontemplatedbythisapproachinkeepingwiththenatureoftheviolations  andtheviolator.Thesizeofthepenaltyforeachviolationisimportanttothesuccessofan  expeditedsettlementprogram.Penaltiesthatarerelativelyhighmaydiscourageviolatorsfrom p settlementandmayreflectfactorsthatmakeapplicationofanofferofrapidsettlement \ inappropriate.Ontheotherhand,penaltiesneedtobehighenoughtocatchtheattentionofother H violatorsandprovidethelevelsofspecificandgeneraldeterrencesoneededinthisarea. 4  (;08%  Thepurposeofexpeditedsettlementsistosupplement,notreplace,thetraditional q  administrativeandjudicialenforcementoptions.Theprogramenablestheregionstoestablisha ] credibleandpervasivefieldpresence.Traditionalenforcementactionsshouldbepursuedforall I violationswhereanexpeditedsettlementisnotadequatetoaddressthelevelofnoncomplianceor 5 thenatureoftheviolator(e.g.,wherethereisasignificantenvironmentalharm,largeeconomic ! benefit,repeatviolator),orwheretheviolatordeclinestheofferforexpeditedsettlement.      Inanefforttoensurethatstormwaterenforcementistimely,consistentandwidespread,a !  jointOREandregionalworkgrouphasdevelopedadraftESOforconstructionsites.The "l! workgrouphasdevelopedthefollowingtoolstosupportthiseffort:anESOfieldtestprocedure; #X" aninspectioncheckoffsheet;apenaltycalculationworksheet;anESOsettlementagreement;and e criteriadeterminingwhichsitesareeligibleforanESO.Sitesthatmeetallofthefollowing Q criteriacanbeESOeligible:(1)constructionsitesupto50acres;(2)siteswherethepenalty = calculatedviatheESOworksheetisnomorethan$15,000;(3)siteswherethereisnoevidenceof ) significantenvironmentalimpact(e.g.,turbidityobservedinreceivingwater);(4)siteswherethe  operatorisafirsttimeviolator;and(5)siteswheretherearenonon-allowablestormwater   discharges(e.g.,aprocesswastewaterdischargesuchastruckwashingordischargefroma   concretebatchplantoperation). XsXXXsAfteroneyearofimplementation,OREwillevaluatethe  t effectivenessoftheESOforstormwaterandmakeanychangesthatmaybeneededtoensurethe  d continuedusefulnessofthistool.#XsXXXs#   P  TimeFrame ,   (&801.0  PhaseI(FY03)i s#s#   Developexpeditedsettlementprocess( ESO)forconstructionandmodelforms A   (08  FieldtestESOforconstruction    Conductevaluationandreviseasnecessary    FinalizeanddistributeESOforconstructiontoregionsinsummer2003 d ! ! :(f802.0  PhaseII(FY04) #  13      <s#s#   DevelopESOforautosalvageyardsandmodelforms y  (08:  FieldtestESOforautosalvageyards Q   Conductevaluationandreviseasnecessary )   FinalizeanddistributeESOforautosalvageyardstoregions !    `    ! !ع (80 B.DevelopGuidanceforApplyingCWAPenaltyPolicytoStormWaterCases  "t!     IndeterminingtheappropriatepenaltyforCWAcases,theAgencyisdirectedtofollow $L # theRevisedInterimCleanWaterActSettlementPenaltyPolicy,datedFebruary28,1995.This %8!$ policy,whichrequiresthecalculationofeconomicbenefitandgravity,workswellformore &$"% traditionalviolationswherethereisanexpectationofsubstantialcapitalexpendituresandwhere u'#& thegravityelementsareeasilyquantified.Itisnotsoeasilyusedforcalculatingpenaltiesfor a(#' stormwaterviolations. e   Inanefforttoensurethatthepenaltyfactorsareappliedconsistentlyforstormwatercases, = EPAhascreatedajointOREandregionalworkgrouptodevelopguidance(s)onhowtoapplythe ) penaltypolicygravityfactorstostormwatercases.Theworkgroupwillfocuspredominantlyon  theB(healthandenvironmentalharm)andD(significanceofnoneffluentlimitviolations)   factorsofthepenaltypolicy.Initially,theworkgroupplanstotreateachtypeofstormwater   violator(industrial,constructionandMS4)separately.Aftercompletingthateffort,ifitisfound  t thatthetypesofviolationsoverlap,theworkgroupwillconsideranintegratedpolicyforalltypes  ` ofviolations.  L  TimeFrame $  1.0  PhaseI(FY03/FY041stquarter)a s#s# 0  Reviewexistingpenaltypolicyguidance9 s#s#    `      Develop&distributedraftguidanceforconstructionstormwaterviolatorsforreview& (#     comment    Reviewcommentsandreviseguidance0  0ps#s#0ps#ps#ps#s#   Distributedraftguidanceforconstructionstormwaterviolatorsforfieldtesting H    `      Evaluatedraftguidanceforconstructionstormwaterviolatorsandreviseas  (#      necessary q  ! ! (882.PhaseII(FY04) I 0  Developanddistributedraftguidanceforindustrialstormwaterviolatorsforreview& ! comment s#s#   Reviewcommentsandreviseguidance0  0ps#s#0ps#ps#! s#s#   Distributedraftguidanceforindustrialstormwaterviolatorsforfieldtesting  (#  #X"    `     h    $D #   Evaluatedraftguidanceforindustrialstormwaterviolatorsandreviseasnecessary %0!$ 3.0  PhaseIII(FY05)  m'#&s#s#   Develop&distributedraftguidanceforMS4violatorsforreview&comment E)$(   Reviewcommentsandreviseguidance +&*   ,'+   DistributedraftguidanceforMS4stormwaterviolatorsforfieldtesting e    `      EvaluatedraftguidanceforMS4stormwaterviolatorsandreviseasnecessary =   Issuefinalguidance(s)   C.DevelopStormWaterComplianceAssistanceandAssessmentTools      AjointOCandregionalworkgrouphasbeenestablishedtodevelopcomplianceassistance  d andassessmenttoolsthatwillimprovecomplianceanddevelopadatabasethatwillgiveregions  P  andstatesaccesstothesetools.Modelcomplianceassistancetoolswillensurethataconsistent  <  messageisdeliveredtotheregulatedcommunitytohelpthemachievecompliance.Model (  complianceassessmenttoolswillensurethattheinformationgatheredbyaninspectorisadequate y  todeterminewhetheranenforcementactionisappropriate.Theywillalsoensurethatadequate e  dataiscollectedtosupportanenforcementaction ifwarranted. Q    Severalmodelcomplianceassistancetoolswillbedevelopedbytheworkgroup.First,the ) workgroupwilldevelopacomprehensivecomplianceassistancepackage.Thecomponentswill  begatheredfromtheextensivearrayofalreadydevelopedcomplianceassistancematerialsand  willbesupplementedbymaterialsdevelopedbytheworkgroup,likeaninspectioncheckoffsheet  thatwillhelptheregulatedcommunitydeterminewhethertheyareincompliance. #  14      ׀Second,the t workgroupwillfocusoninnovativewaystodelivercomplianceassistancetoolstotheregulated ` community(e.g.,providebuildingpermitofficeswithacomplianceassistancepackageforstorm L watertobehandedouttoeveryapplicantforabuildingpermit). 8   Twomodelcomplianceassessmenttoolshavealreadybeendeveloped,aninspectorcheck u offsheetforconstructionsitesandaninspectioncheckoffsheetforindustrialfacilities.Other a complianceassessmenttoolsareplannedfordevelopment.Oneexampleisatieredcheckoff M sheetwhichwillshortenthetimetheinspectorspendsinthefield(e.g.,checkoffsheetswillbe 9 tieredtoaspecifickindofinspection screeninginspectioncheckofsheetappropriatewhere % aninspectionwillbefollowedupwitha308lettervs.acomprehensiveinspectioncheckoff   sheetwherenofurtherinformationgatheringiscontemplated).Anotherexampleiswireless   PDAcompatibleinspectioncheckoffsheetswhichwillstreamlinetheinspectionreportprocess. !  Uponreturntotheoffice,theinspectorwilldownloadtheinspectioncheckoffsheetcompletedin "p! thefieldontotheirPC.Aninspectionreportwillbegeneratedautomaticallyupondownload. #\" Inspectorswillhavetheoptionofaddingnarrativecomments. $H # ЀTimeFrame & "%  (&881.0  PhaseI(FY03,FY041stquarter)](#'s#s# Ї  Solicitmodeltoolsfromregionsandstatesformodeltoolsdatabaseandcreate  (#  e   distributionmethod(ongoing) Q   Developtieredinspectorcheckoffsheets )  (88 (08  Fieldtesttieredinspectorcheckoffsheets     Conductevaluationandreviseasnecessary  t   Finalizeanddistributetoregions  L  2.0  PhaseII(FY04)$ s#s#   Developwirelessinspectorcheckoffsheets a   (80 (08  Fieldtestwirelessinspectorcheckoffsheets 9    Conductevaluationandreviseasnecessary    Finalizeanddistributetoregions      Developstreamlinedinspectionreportprocess \   Pilotstreamlinedinspectionreportprocess 4   Conductevaluationandreviseasnecessary q    Finalizeanddistributetoregions I   Developcomplianceassistancepackage !   Conductevaluationandreviseasnecessary     Finalizeanddistributetoregions "l!  (00! ! D.DevelopStormWaterEnforcementTools  $D #   AjointOREandregionalworkgrouphasbeendevelopingtoolsthatwillhelpenforcement & "% officersdotheirjobmoreeffectivelyandefficiently.First,theworkgrouphasdevelopeddraft q' #& noncompliancescoringcriteriaforconstructionsites.Noncompliancescoringcriteriahelpsan ](#' enforcementofficerdeterminetheappropriatelevelofenforcementforaspecificviolation.Itwill I)$( promoteconsistent,concertedenforcementfromregiontoregionforstormwaterviolations.The 5*%) draftnoncompliancescoringcriteriaiscurrentlybeingfieldtestedviapaperbasedcasestudies. !+&* Second,theworkgroupwillcontinuetodevelopandpromotetheuseofsectorbased,watershed  ,'+ basedandothertypesofriskbasedstormwaterenforcementstrategies.Stormwaterstrategies e facilitatetheleveragingoflimitedenforcementresources.Third,theworkgroupwilldevelopa Q modellegalformsdatabase.Thisdatabasewillgiveregionsandstatesaccesstostormwater = specificlegalformsthatcanbequicklytailoredtofitvarioustypesofstormwaterenforcement ) scenarios.Thedatabasewillinclude:stormwateroutreachletters,noticesofnoncompliance,  noticesofviolation,administrativeorders,administrativepenaltyorders,expeditedsettlement   offers,civiljudicialreferralsandconsentdecrees.Fourth,theworkgroupwillexplorethe   feasabilityofdelegatingtheauthoritytoissueadministrativeorderstoinspectors.Thisdelegation  t willallowaninspectortoaddressenvironmentalharmresultingfrompollutedstormwater  ` dischargesimmediately.  L  TimeFrame $   (&801.0  PhaseI(FY03/FY041stquarter)a s#s#   Revisenoncompliancescoringcriteria 9   (08  Fieldtestnoncompliancescoringcriteria    Conductevaluationandreviseasnecessary    Finalizeanddistributetoregions \ ! ! (802.PhaseII(FY04) 4   Develop/compilemodelformsdatabase q    Distributetoregions I   Exploredelegationofauthorityforinspectors !   Securedelegationauthorityfrommanagementasappropriate   0   s#s#   '(88