United States

Environmental Protection

Agency

Office of Water

(4203)

EPA 833-B-00-001

June 2000

Guidance Manual for 

Conditional Exclusion from

Storm Water Permitting Based 

On “No Exposure” of Industrial

Activities to Storm Water
ii

1.0 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 1

1.1 Purpose of the Guidance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 3

1.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 2

2.0 Who is Eligible to Qualify for the Conditional No Exposure Exclusion? . . . . . . . Page 3

2.1 Limitations on Eligibility for the No Exposure Exclusion . . . . . . . . . . . . . . Page 3

3.0 What is the definition of No Exposure? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 4

3.1 Industrial Materials / Activities That Do Not Require a 

 Storm Resistant Shelter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 4

3.2 Other Potential Sources of Contaminants . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 6

4.0 Certifying a Condition of No Exposure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 7

5.0 Are There Any Concerns Related to Water Quality Standards? . . . . . . . . . . . . . Page 8

6.0 What Do I Need To Do To Obtain the No Exposure Exclusion? . . . . . . . . . . . . . . Page 9

APPENDIX A - Frequently Asked Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 11

APPENDIX B - Areas Where EPA is the Permitting Authority . . . . . . . . . . . . . . . . Page 14

APPENDIX C - List of NPDES Permitting Authorities. . . . . . . . . . . . . . . . . . . . . . . Page 15

APPENDIX D - No Exposure Certification Form and Instructions. . . . . . . . . . . . . Page 25

APPENDIX E - Regulatory Language for the No Exposure Exclusion . . . . . . . . . . Page 26
iii

DISCLAIMER

The statements in this document are intended solely as guidance. This document is not intended,

nor can it be relied on, to create any rights enforceable by any party in litigation with the United

States. EPA and state officials may decide to follow the guidance provided in this document, or

to act in variance with the guidance, based upon an analysis of site-specific circumstances. This

guidance may be revised without public notice to reflect subsequent changes in EPA’s policy.
 Storm Water Discharge 

Associated with Industrial Activity

(40 CFR 122.26(b)(14)(i) - (xi))

• Facilities subject to storm water

effluent limitation guidelines; new

source performance standards, or toxic

pollutant effluent standards under 40

CFR Subchapter N.

• "Heavy" industrial facilities with SIC

codes listed in 40 CFR

122.26(b)(14)(ii), (iii), and (vi)

• "Light" industrial facilities with SIC

codes listed in 40 CFR 122.26(b)(14)

(xi), which conduct the activities

specified in that sections.

• Hazardous waste treatment, storage, or

disposal facilities.

• Landfills, land application sites, and

open dumps that receive or have

received industrial waste.

• Steam electric power generating

facilities.

• Sewage treatment works.

• Construction activity (including

clearing, grading, and excavation)

disturbing five or more acres of land, or

less than five acres of land if it is part of

a larger common plan of development

or sale of five acre or greater.

1.0 Introduction

The 1990 storm water regulations for Phase I of the federal storm water program identify

eleven categories of industrial activities under the definition of a "storm water discharge

associated with industrial activity" that must obtain a National Pollutant Discharge Elimination

System (NPDES) permit. The categories contain

industries listed either by reference to an

industry's Standard Industrial Classification

(SIC) code, or by a short narrative description of

the activity found at the industrial site (see text

box at right for more detailed descriptions). For

facilities that match the SIC codes or description

in one of the categories, only those that have a

storm water discharge to a municipal separate

storm sewer system (MS4) or waters of the

United States are required to seek permit

coverage. The NPDES permit requirements vary

between individual and general permits, but in

general involve the development of a storm

water pollution prevention plan based upon site

assessments, monitoring and reporting data on

storm water discharges, and mitigating any

possible effects of discharges on endangered

species and national historic properties (for EPA

issued permits).

Under the Phase I regulations, operators

of facilities within Category (xi), referred to as 

“light industry,” were exempted from storm

water permitting requirements, provided their

industrial materials or activities were not

exposed to precipitation or runoff (i.e., they had

no “storm water discharges associated with

industrial activity”). Only those facilities in

Category (xi) could take advantage of this “no

exposure” exemption, and such operators were

not required to submit any information

supporting their no exposure claim.

In 1992, the Ninth Circuit court remanded to EPA for further rulemaking the no exposure

exemption for light industry, concluding that the exemption was arbitrary and capricious for two

reasons. First, the court determined that EPA had not established a record to support its

assumption that light industry not exposed to storm water was not “associated with industrial

activity,” particularly when other types of industrial activities included in the 1990 regulation
2

 National Pollutant Discharge Elimination System - Regulations for Revision of the 1

Water Pollution Control Program Addressing Storm Water Discharges; Final Rule, 64 FR

68721 - 68851, December 8, 1999

were required to obtain permit coverage whether or not there was “exposure.” Secondly, the

court concluded that the exemption relied on the unverified judgement of light industrial facility

operators to determine non-applicability of permitting requirements. In other words, the court

was critical that operators would determine for themselves that there was “no exposure” and then

simply not apply for a permit without any further action. The result of the 1992 ruling was a

revised no exposure exemption (now a “conditional exclusion,” which may be simply referred to

as “exclusion” in this guidance) promulgated as part of the Phase II storm water regulations.1

The intent of the no exposure exclusion is to provide all industrial facilities regulated

under Phase I of the NPDES Storm Water Program (with the exception of construction activity;

Category (x)), whose industrial activities and materials are completely sheltered, with a

simplified method for complying with the Clean Water Act. Note that runoff from separate

office buildings and their associated parking lots does not need to be considered when

determining no exposure at an industrial facility.

As revised at 40 CFR 122.26(g), if a condition of no exposure exists at industrial facilities

regulated under Phase I of the Storm Water Program, then permits are not required for storm

water discharges from the facilities. Facilities wishing to take advantage of the permitting

exclusion must submit a certification to the permitting authority attesting to the condition of no

exposure. The new certification requirement now applies to all industrial facilities claiming

a condition of no exposure—including the Category (xi), light industrial facilities which

previously were not required to submit anything to be excluded from permitting

requirements. Facilities must maintain their condition of no exposure or, if conditions change,

obtain coverage under an applicable storm water permit. 

The following sections of this guidance provide detailed information on: 

• who is eligible for the revised no exposure exclusion;

• the definition of no exposure;

• how to complete the No Exposure Certification Form. 

Also included are supplemental reference materials to assist you in finding out if the No

Exposure Exclusion is applicable to your facility:

• Appendix A - Frequently Asked Questions

• Appendix B - Areas Where EPA is the Permitting Authority

• Appendix C - List of NPDES Permitting Authorities

• Appendix D - No Exposure Certification Form and Instructions

• Appendix E - Regulatory Language for the No Exposure Exclusion
3

If you have any questions regarding this guidance or any part of the overall NPDES Storm Water

Program, please contact either the appropriate Regional EPA or State Storm Water Coordinator. 

2.0 Who is Eligible to Qualify for the Conditional No Exposure Exclusion?

The conditional no exposure exclusion represents a significant expansion, in terms of

eligibility, of the original no exposure provision established in the 1990 NPDES Storm Water

Permit Application Regulations (commonly referred to as Phase I). Now, all Phase I industrial

categories, save for construction, are eligible to apply for the no exposure exclusion. 

2.1 Limitations on Eligibility for the No Exposure Exclusion

In addition to construction projects not being eligible, the following situations limit the

applicability of the no exposure exclusion:

• As of the printing date of this document, facilities not located in States or areas where

EPA is the NPDES permitting authority cannot apply for the no exposure exclusion.

 See Appendix B for a listing of areas where EPA is the authorized NPDES

permitting authority.

 If your facility is located in a State authorized to implement the NPDES Program,

contact the state permitting authority to find out if the no exposure exclusion has

been adopted in your state.

• The exclusion from permitting is available on a facility-wide basis only, not for

individual outfalls. Generally, if any exposed industrial materials or activities are found

on any portion of a facility, the no exposure exclusion is not available to that facility.

• If the permitting authority determines that a facility’s storm water discharges have a

reasonable potential to cause or contribute to a violation of applicable water quality

standards, the permitting authority can deny the no exposure exclusion.

• If changes at a facility result in industrial activities or materials becoming exposed, the no

exposure exclusion ceases to apply. You should apply for coverage under an applicable

NPDES permit for storm water discharges at least two days before the changes happen

that cause the condition of exposure.

• Past sources of storm water contamination that remain on site cause a condition of

exposure
4

3.0 What is the Definition of No Exposure?

No exposure means all industrial materials and activities are protected by a storm

resistant shelter to prevent exposure to rain, snow, snowmelt and/or runoff. 

Industrial materials and activities include, but are not limited to, material handling

equipment or activities; industrial machinery; raw materials, intermediate products, by-products,

and final products; or waste products. 

Material handling activities include storage, loading and unloading, transportation or

conveyance, of any raw material, intermediate product, by-product, final product or waste

product.

Many final products which are meant to be used outdoors (e.g., automobiles) pose little

risk of storm water contamination, i.e., the products cannot be mobilized by precipitation or

runoff, and are thus exempt from the requirement that these products be sheltered to qualify for

no exposure. Similarly, the containers, racks and other transport platforms (e.g., wooden pallets)

used for the storage or conveyance of these final products can also be stored outside, providing

the containers, racks and platforms are pollutant-free.

Storm-resistant shelters include completely roofed and walled buildings or structures, as

well as structures with only a top cover but no side coverings, provided material under the

structure is not otherwise subject to any run-on and subsequent runoff of storm water. 

EPA acknowledges there are circumstances where permanent, uninterrupted sheltering of

industrial activities or materials is not possible. Under such conditions:

• Materials and activities may be sheltered with temporary covers (e.g., tarpaulins) until

permanent enclosure can be achieved.

• The no exposure provision does not specify every such situation, but NPDES permitting

authorities can address this issue on a case-by-case basis, i.e., determine if the temporary

covers will meet the requirements of this section.

• In general, EPA recommends that temporary sheltering of industrial materials and

activities only be allowed during facility renovation or construction.

3.1 Industrial Materials / Activities That Do Not Require a Storm Resistant Shelter

While the intent of the no exposure exclusion is to promote a condition of permanent no

exposure, a storm-resistant shelter is not required for the following industrial materials and

activities:
5

3.1.1 Drums, Barrels, Tanks and Similar Containers. Drums, barrels, tanks and similar

containers that are sealed (“sealed” means banded or otherwise secured and without operational

taps or valves), are not exposed provided those containers are not deteriorated and do not leak. 

Unless the drums, barrels, etc., are opened while outdoors, or are deteriorated or leak, they will

likely not constitute a risk of contaminating storm water runoff. Consider the following in

making your no exposure determination:

• Containers can only be stored outdoors; any addition or withdrawal of material to / from

containers while outdoors will not allow you to certify no exposure.

• Simply moving containers while outside does not create exposure.

• Inspect all outdoor containers to ensure they are not open, deteriorated or leaking.

 EPA recommends that a designated individual regularly conduct these 

inspections.

 Any time external containers are open, deteriorated or leaking, they must

immediately be closed, replaced or sheltered.

 

 Containers, racks and other transport platforms (e.g.,wooden pallets) used with the

drums, barrels, etc., can be stored outside providing they are contaminant-free.

3.1.2 Above Ground Storage Tanks (ASTs). In addition to generally being considered not

exposed, ASTs may also be exempt from the prohibition against adding or withdrawing material

to / from external containers. ASTs typically utilize transfer valves to dispense materials which

support facility operations (e.g., heating oil, propane, butane, chemical feedstocks) or fuel for

delivery vehicles (gasoline, diesel, compressed natural gas). For ASTs to be operational and

qualify for no exposure:

• They must be physically separated from and not associated with vehicle maintenance

operations.

• There must be no piping, pumps or other equipment leaking contaminants that could

contact storm water.

• EPA recommends, wherever feasible, that ASTs be surrounded by some type of physical

containment (e.g., an impervious dike, berm or concrete retaining structure) to prevent

runoff in the event of a structural failure or leaking transfer valve. Note: any resulting

unpermitted discharge would violate the CWA.

3.1.3 Lidded Dumpsters. Lidded dumpsters containing waste materials, providing the

containers are completely covered and nothing can drain out holes in the bottom, or is lost in
6

loading onto a garbage truck. Industrial refuse and trash that is stored uncovered, however, is

considered exposed.

3.1.4 Adequately maintained vehicles, such as trucks, automobiles, forklifts, trailers or other

general purpose vehicles found onsite—but not industrial machinery—which are not leaking or

are otherwise a potential source of contaminants.

• Vehicles passing between buildings will likely come into contact with precipitation at

some time, but so long as they are adequately maintained they will not cause a condition

of exposure. Similarly, non-leaking vehicles awaiting maintenance at vehicle

maintenance facilities are not considered exposed.

 The mere conveyance between buildings of materials / products that would

otherwise not be allowed to be stored outdoors, does not create a condition of

exposure, provided the materials / products are adequately protected from

precipitation and could not be released as a result of a leak or spill.

3.1.5 Final products built and intended for use outdoors (e.g., new cars), provided the final

products have not deteriorated or are otherwise a potential source of contaminants. 

3.1.5.1 Types of final products not qualifying for a certification of no exposure: 

• Products that would be mobilized in storm water discharges (e.g., rock salt).

• Products which may, when exposed, oxidize, deteriorate, leak or otherwise be a potential

source of contaminants (e.g., junk cars; stockpiled train rails). 

• “Final” products which are, in actuality, “intermediate” products. Intermediate products

are those used in the composition of yet another product (e.g., sheet metal, tubing and

paint used in making tractors).

 Even if the intermediate product is “final” for a manufacturer and destined for

incorporation in a “final product intended for use outdoors,” these products are

not allowed to be exposed because they may be chemically treated or are

insufficiently impervious to weathering.

3.2 Other Potential Sources of Contaminants

3.2.1 Particulate Emissions From Roof Stacks and/or Vents. As stated in the Phase II

regulation, particulate emissions from roof stacks / vents do not cause a condition of exposure,

provided they are in compliance with other applicable environmental protection programs

(e.g., air quality control programs) and do not cause storm water contamination. Deposits of

particles or residuals from roof stacks / vents not otherwise regulated and which could be
7

mobilized by storm water runoff, are considered exposed. Exposure also occurs when, as a result

of particulate emissions, pollutants can be seen being “tracked out” or carried on the tires of

vehicles.

3.2.2 Acid Rain Leachate. As affirmed by a recent Environmental Appeals Board decision

against the General Motors Corporation, CPC-Pontiac Fiero Plant (CWA Appeal No. 96-5),

industrial facilities are also responsible for storm water discharges which contain pollutants

resulting from the leaching effect of acidic precipitation on metal building structures. Therefore,

operators must be aware when they attempt to certify a condition of no exposure of the existence

of structural elements that could be soluble as a result of contact with precipitation (e.g.,

uncoated copper roofs). If the dissolved metals or other contaminants could cause or contribute

to a water quality violation, a condition of no exposure cannot be certified. 

3.2.3 Pollutants Potentially Mobilized by Wind. Windblown raw materials cause a condition

of exposure. This is to alert operators to situations where materials sheltered from precipitation

can still be deemed exposed if the materials can be mobilized by wind.

4.0 Certifying a Condition of No Exposure

To obtain the conditional no exposure exclusion, you must submit a certification form

attesting your facility meets the definition of “no exposure.” You must do so even if you are a

Category (xi) facility operator. The No Exposure Certification Form, which is only for use in

areas where EPA is the NPDES permitting authority, is found in the Storm Water Phase II Rule

and is also included in this guidance in Appendix D.

EPA's certification form uses a series of yes/no questions on the nature of the industrial

activities and conditions at your facility. You may only qualify for the no exposure exclusion if

you answer "no" to all of the questions.

Important note: If the no exposure exclusion becomes available in States with

NPDES permitting authority, each State will issue its own form. The forms may be

similar to EPA’s.

The purpose of the certification form is twofold: 1) to aid you in determining whether you

have a condition of no exposure at your facility or site; and 2) to furnish the necessary written

certification that allows you to be relieved of permit obligations, provided you answer all the

questions in the negative. 

 If you answer “yes” to any of the questions about possible exposure, you must make

the appropriate changes at the facility before you apply for the conditional exclusion. 

These changes must remove the particular material, process or activity from exposure

to storm water. 
8

 If, you answered “no” to every question, you qualify for the no exposure exclusion. To

complete the process, you must sign and submit the form to your NPDES permitting

authority. 

Certification Facts:

• The Certification must be completed and submitted to your permitting authority once

every 5 years, and can only be done so if the condition of no exposure continues to exist at

the facility.

• A Certification must be submitted for each separate facility or site qualifying for the no

exposure exclusion.

• The form is non-transferable. If a new operator takes over your facility, the new operator

must immediately complete and submit a new form to claim the no exposure exclusion.

5.0 Are There Any Concerns Related to Water Quality Standards?

Yes. Operators who certified that their facilities qualify for the conditional no exposure

exclusion may, nonetheless, be required by the permitting authority to obtain permit coverage,

based on a determination that storm water discharges are likely to have an adverse impact on

water quality.

Many efforts to achieve no exposure can employ simple good housekeeping and

contaminant cleanup activities such as moving materials and activities into existing buildings or

structures. In some cases industrial operators may make major changes at a site to achieve no

exposure, such as constructing new buildings / shelters or constructing structures to prevent runon. However, significant changes undertaken to achieve no exposure can increase the

impervious area of the site. This occurs when a building is placed in a formerly vegetated area,

for example. An increase in impervious area often leads to an increase in the volume and

velocity of runoff, which, in turn, can result in a higher concentration of pollutants in the

discharge, since fewer pollutants are naturally filtered out.

The concern over increased imperviousness engendered the following question on the

Certification Form: “Have you paved or roofed over a formerly exposed, pervious area in order

to qualify for the no exposure exclusion? If yes, please indicate approximately how much area

was paved or roofed over.” This will aid the NPDES permitting authority in assessing the

likelihood of such actions impacting water quality standards. Where this is a concern, the facility

operator along with the permitting authority should take appropriate actions to ensure that water

quality standards are achieved.
9

6.0 What Do I Need To Do To Obtain the No Exposure Exclusion?

This section will walk you through the process of obtaining the no exposure exclusion. 

This information will be useful to non-EPA applicants as well, provided their permitting

authority has issued a no exposure certification form that is similar to EPA's (alert: a State's

certification form may have different requirements and deadlines than what is noted here). 

Repeat the steps for each individual facility or site.

Step 1: Determine if your industrial activity meets the definition of a “storm water discharge

associated with industrial activity,” as defined in Phase I of the NPDES Storm Water

program (refer to Section 1.0). If so, proceed to Step 2. If not, stop here. 

• If your facility is defined as an “industrial activity” under the Phase I Program

(including a “light industry” defined at Category (xi)), you need to either apply for a

storm water permit or submit a no exposure certification, in order to be in compliance

with the NPDES storm water regulations. 

• Construction activities are ineligible for the exclusion.

Step 2: Determine if your regulated industrial activity meets the definition of no exposure

and qualifies for the exclusion from permitting. If it does, proceed to Step 3. If not, stop here

and obtain industrial storm water permit coverage.

• Using personnel familiar with the site and its operations, inspect or scrutinize all

appropriate areas of the site to ascertain the site’s exposure condition as per this

guidance.

• As of the printing date of this guidance, the conditional no exposure exclusion

option is only available for facilities in areas where EPA is the NPDES permitting

authority. In all other areas, facility operators will not be able to apply until their

permitting authority makes the option available. (See Appendix B for a listing of areas

where EPA is the NPDES permitting authority.)

Step 3: Complete and submit the No Exposure Certification Form to your NPDES

permitting authority.

• Be aware that even if you certify no exposure, your NPDES permitting authority can

still require you to apply for an individual or general permit if it has determined that

your discharge is contributing to the violation of, or interfering with the attainment or

maintenance of, water quality standards, including designated uses.

• To maintain your exclusion from permitting, a certification must be completed and

submitted to your permitting authority once every 5 years. This can only be done if the
10

 See 40 CFR 122.26(b)(8) for the definition of a municipal separate storm sewer. 2

condition of no exposure continues to exist at the facility. 

Step 4: Upon request, submit a copy of the certification form to the municipality in which

your facility is located.

• You must submit a copy of your completed certification form to the operator of your

Municipal Separate Storm Sewer System (MS4) if they so request or require. An 2

MS4 operator could be the Department of Public Works, Sewer Commission, City

Engineering Department, etc. 

• If you need to contact your local MS4 operator (e.g., if you are unsure about

certification submittal requirements) and they are unknown to you, it may be useful to

check the telephone book, especially under the local government listings.

Step 5: When requested, allow your NPDES permitting authority or, if discharging into an

MS4, the MS4 operator, to inspect your facility. The permitting authority may make any

inspection reports publicly available upon request.

Step 6: Maintain a condition of no exposure. 

• The no exposure exclusion is conditional and not a blanket exemption. Therefore, if

onsite changes occur which cause exposure of industrial activities or materials to storm

water, you must then immediately comply with all the requirements of the NPDES

Storm Water Program, including obtaining a storm water discharge permit.

• Failure to maintain the condition of no exposure or obtain coverage under an NPDES

permit can lead to the unauthorized discharge of pollutants to waters of the United

States, resulting in penalties under the CWA. 
11

APPENDIX A - Frequently Asked Questions

Q1. Who can submit the No Exposure Certification?

A. At present, only those facilities located in areas where EPA is the NPDES permitting

authority can submit the No Exposure Certification. Facilities located where EPA is not the

permitting authority will not be able to submit the certification until the permitting authority

completes any necessary statutory or regulatory changes to adopt the no exposure provision. 

EPA recommends that facilities contact the appropriate permitting authority (see Appendix C)

for guidance on when and how to apply for a no exposure exclusion in their area.

Q2. Where do I send my No Exposure Certification?

A. If your facility is located in a State or area where EPA is the NPDES permitting authority, the

completed form and signed certification statement should be mailed to:

Storm Water No Exposure Certification

U.S. Environmental Protection Agency

Ariel Rios Building (4203)

1200 Pennsylvania Ave, NW

Washington, DC 20460

If your facility is located in a state that is authorized to implement the NPDES Program, you

must contact the state permitting authority. (See Appendix C)

Q3. Can a facility that is currently permitted under an individual storm water permit

claim no exposure?

A. Yes. As long as a facility can meet the definition of no exposure, there is nothing to preclude

a facility covered by an individual permit from submitting a certification. However, the facility

should consult with their permitting authority, especially if the individual permit contains

numeric effluent limitations for their storm water (“antibacksliding” provisions may prevent

these facilities from qualifying for the no exposure exclusion).

Q4. My facility was originally excluded from the Phase I regulations because it was

classified as a “light industrial facility” under category (xi). The facility has never had any

exposure to storm water runoff. With the publication of the final Phase II regulations do I

now need to certify that the facility meets the No Exposure Exclusion from NPDES Storm

Water Permitting?

A. Yes. See answer provided to question number 9, “What is the exclusion ‘conditional’ upon?”
12

Q5. Must a facility currently covered under the Multi-Sector General Permit (MSGP) file

a Notice of Termination (NOT) prior to applying for no exposure?

A. No. If a facility believes it meets the definition of no exposure, then storm water discharges

at that facility are no longer considered to be associated with industrial activity. Therefore, the

requirement to have a permit no longer exists. Upon this determination, the facility need only

submit a no exposure certification.

Q6. When and how often is a certification form required to be submitted?

A. Submission of the No Exposure Certification Form is required once every five years

(assuming the facility maintaining its no exposure status). Industrial operators applying for the

no exposure exclusion should note the date they first submitted the Form so they can resubmit a

new one five years hence.

Operators of new facilities must submit the Form before beginning operations. If new operators

fail to do so, the permitting authority will assume that the facility is required to be covered under

a storm water discharge permit. 

Existing facility operators have two options for submitting Certification Forms:

1) Facilities that want the storm water permitting exemption before being subject to the

mandatory permit application filing deadline, may submit the Form at any time up to the final

termination of the original MSGP. The earliest possible termination will occur on December 30,

2000. This is especially relevant for all Category (xi) “light industrial” facilities who have been

operating under their original, no-certification-required permitting exemption.

2) Facilities who presently have and intend to maintain permit coverage for their discharges, but

will attain a condition of no exposure later, may submit a Certification Form at any time during

the permit’s term following completion of the on-site changes that will result in the condition of

no exposure. As suggested above, note when the Form is submitted so a new one can be

submitted five years thereafter.

After the point of permit termination, any facility that has not submitted a No Exposure

Certification Form or otherwise applied for permit coverage will be out of compliance and

subject to enforcement.

Q7. What happens if a facility plans changes that may cause exposure?

A. If exposure could occur in the future due to some anticipated change at the facility, the

discharger should apply for and obtain coverage under an NPDES permit prior to such discharge

to avoid enforcement for violations of the Clean Water Act..
13

Q8. Is the Certification Form transferable to a new facility operator?

A. No. If a new operator takes over your facility, the new operator must complete, sign and

submit a new form to claim the no exposure exclusion.

Q9. What is the exclusion “conditional” upon?

A. The submission of the No Exposure Certification Form is, in effect, an application. It allows

any facility listed or described in the industrial categories covered by the Multi-Sector General

Permit (including the “light industrial” or Category (xi) facilities), that have no exposure of

materials or activities to storm water, to be excluded from permit coverage requirements. The

application, and therefore the approval of the exclusion, is conditional upon the permitting

authority’s acceptance of the certification. The permitting authority can review the information,

and contact or inspect the facility if there are questions regarding the facility’s no exposure claim. 

In addition, if the facility discharges into an MS4, the operator of the MS4 can request a copy of

the certification and inspect the facility. The public can also request a copy of the certification

and any inspection reports.

Q10. Can secondary containment outside qualify for the no exposure exclusion?

A. In general, if the secondary containment is adequately engineered to prevent any failure,

leakage or overflow such that there would simply be no discharge from that area of the facility,

no exposure could be claimed. Note: there must be proper disposal of any water or liquids

collected from the containment (e.g., discharged in compliance with another NPDES permit,

treated or trucked offsite).
14

APPENDIX B - Areas Where EPA is the Permitting Authority 

(Where the Conditional No Exposure Exclusion is Available as of 3/8/00)

 State / Territorial lands in:

Alaska Midway and Wake Islands

American Samoa New Hampshire

Arizona New Mexico

District of Columbia Northern Mariana Islands

Guam Oklahoma (Oil & Gas Exploration only; SIC 

Idaho 13xx and 5171)

Johnston Atoll Puerto Rico

Maine Texas (Oil & Gas Exploration only; SIC

Massachusetts 13xx)

 

 Indian Lands in:

Alabama Nevada (including all of Duck Valley, Fort 

Alaska McDermitt and Goshute Reservations)

Arizona (including all of Navajo Reservation) New York

California New Mexico

Colorado (including all of Ute Mountain North Carolina

 Reservation) North Dakota (including all of Standing Rock

Connecticut Reservation)

Florida South Dakota (including all of Pine Ridge 

Idaho and Lake Traverse Reservations)

Maine Oklahoma 

Massachusetts Oregon

Louisiana Rhode Island

Montana Texas

Mississippi Utah

New Mexico Washington

 

 Federal Facilities in:

Colorado

Delaware

Vermont

Washington
15

APPENDIX C - List of NPDES Permitting Authorities

The following represents a list of contacts to be utilized by those wishing to apply for the no

exposure exclusion from permitting. As of the printing date of this document, only those

facilities that are under EPA’s permitting authority (Regions 1 through 10 below) have the option

to apply for the no exposure exclusion. Such facilities should send their completed, signed

originals of the No Exposure Certification Form to: Storm Water No Exposure Certification,

U.S. Environmental Protection Agency, Ariel Rios Building (4203), 1200 Pennsylvania Ave,

NW, Washington, DC 20460. Facilities in all other parts of the country, who are under the

auspices of a particular state run program (designated below by the name of the state) should

contact the relevant state authority to obtain information on whether or not the state has, or will,

adopt the no exposure exclusion. 

EPA Headquarters

Name Telephone Internet

Office of Wastewater Management

U.S. Environmental Protection Agency Fax: 202-260-9544

Ariel Rios Building (4203)

1200 Pennsylvania Ave, NW

Washington, DC 20460

Daniel Weese, Storm Water Program Manager 202-260-6809 weese-daniel@epa.gov

Wendy Bell, Environmental Engineer 202-260-9534 bell.wendy@epa.gov

John Kosco, Environmental Engineer 202-260-6385 kosco.john@epa.gov

Patrick Ogbebor, Environmental Scientist 202-260-6322 ogbebor.patrick@epa.gov

Bryan Rittenhouse, Environmental Scientist 202-260-0592 rittenhouse.bryan@epa.gov

Contacts for EPA Storm Water Publications

Water Resource Center 24-hour voicemail

National Center for Environmental Publication 1-800-490-9198

Information

202-260-7786 center.water-resource@epa.gov

Fax 202-260-0386

NOI and No Exposure Certification Processing

Center

301-495-4145
16

EPA Region I

Address U.S. EPA - Region I

JFK Federal Building

Boston, MA 02203

Fax 617-565-4940

Name Title Telephone

Thelma Murphy Environmental Engineer 617-565-3569 FAX 617-565-4940

E-mail: murphy.thelma@epa.gov

Authorized State Offices in EPA Region I

Name and Title Address Telephone

Chris Stone Connecticut Department of Environmental Protection 860-424-3850

Storm Water Coordinator Bureau of Water Management FAX 860-424-

79 Elm Street 7074

Hartford, CT 06106-5127

Angelo Liberti Rhode Island Department of Environmental Management 401-222-4700

Supervising Sanitary Engineer Division of Water Resources Ext. 7225

235 Promenade Street FAX 401-521-

Providence, RI 02908 4230

David Cluley Rhode Island Department of Environmental Management 401-222-4700

Division of Water Resources ext. 7233

235 Promenade Street FAX 401-521-

Providence, RI 02908 4230

Brian Kooiker Environmental Conservation 802-241-3822

Chief Director, Permits Section Wastewater Management Division Ext. 2596

Sewing Building FAX 802-244-

103 S. Main Street 5141

Waterbury, VT 05671-0405
17

EPA Region II

Address U.S. EPA - Region II

Water Programs Branch

290 Broadway, 24th Floor

New York, NY 10007-1866

 212-637-3873

Fax 212-637-3887

Name Title Telephone

Sergio Bosques Caribbean Environmental Protection 787-729-6951

Storm Water Regional Coordinator Division Ext. 255

Central Europa Building, Suite 417 FAX 787-729-7747

1492 Ponce de Leon Avenue E-mail: bosques.sergio@epa.gov

Santurce, PR 00907-4127

Karen O'Brien Environmental Engineer 212-637-3717

New York, NY E-mail: obrien.karen@epa.gov

Authorized State Offices in EPA Region II

Name and Title Address Telephone

Barry Chalofsky New Jersey Department of Environmental Protection (CN- 609-633-7021

Manager, Bureau of Storm Water 423) Division of Water Quality FAX 609-984-

Permitting 401 E. State Street, Trenton, NJ 08625 2147

Ken Stevens New York State Department of Environmental Conservation 518-457-3656

Chief, Stormwater Management Bureau of Water Regulation Programs FAX 518-485-

Section 50 Wolf Road, Albany, NY 12233-3505 7786

Roberto Ayala Puerto Rico Environmental Quality Board 787-751-1891

Director, Water Quality Control 431 Ponce de Leon Avenue FAX 787-767-

Bureau 5th Floor, Office 527 1962

P.O. Box 11488, Hato Rey, PR 00910

Vacant Virgin Islands Planning and Natural Resources 340-773-0565

Division of Environmental Protection FAX 340-773-

1118 Watergut Homes, Christiansted 9310

St. Croix, VI 00820-5065
18

EPA Region III

Address U.S. EPA - Region III

1650 Arch Street

Philadelphia, PA 19103

 212-637-3873

Fax 212-637-3887

Name Title Telephone

Mary Letzkus Storm Water Coordinator 215-814-2087

E-mail: letzkus.mary@epa.gov

Authorized State Offices in EPA Region III

Name and Title Address Telephone

Chuck Schadel Delaware Department of Natural Resources and Environmental 302-739-5731

Environmental Engineer II Control FAX 302-739-

Division of Water Resources/Pollution Control Branch 3491

89 Kings Highway, Dover, DE 19901

email: cschadel@state.de.us

Brian Clevenger Maryland Department of the Environment 410-631-3543

Chief, Program Review Division 2500 Broening Highway FAX 410-631-

Baltimore, MD 21224 4883

R.B. Patel Pennsylvania Department of Environmental Resources -BWQM 717-787-8184

Chief of Permits Section/ Division of Permits and Compliance FAX 717-772-

 Sanitary Engineer IV 400 Market Street State Office Building, 10th Floor 5156

P.O. Box 8465, Harrisburg, PA 17105-8465

Burton Tuxford Virginia Department of Environmental Quality 804-698-4086

Environmental Engineer 629 East Main Street, Richmond, VA 23219 FAX 804-698-

4265

Arthur A. Vickers West Virginia Department of Environmental Protection 304-558-8855

Engineer, Storm Water Office of Water Resources FAX 304-558-

Coordinator 1201 Greenbrier Street, Charleston, WV 25311 8855
19

EPA Region IV

Address U.S. EPA - Region IV

Atlanta Federal Center

61 Forsyth Street, SW

Atlanta, GA 30303-8960

Fax 404-562-8692

Name Title Telephone

Mike Mitchell Environmental Scientist 404-562-9303 FAX 404-562-8692

E-mail: mitchell.michael@epa.gov

Floyd Wellborn Storm Water General Permit Writer 404-562-9296 FAX 404-562-8692

E-mail: wellborn.floyd@epa.gov

Authorized State Offices in EPA Region 4

Name and Title Address Telephone

Jim Coles Alabama Department of Environmental Management 334-271-7936

Chief, Industrial Branch Water Division, Industrial Branch FAX 334-270-5612

(1751 Dickinson Drive, Montgomery, AL 36109-2608)

P.O. Box 301463, Montgomery, AL 36130-1463

Eric Livingston Florida Department of Environmental Protection 850-921-9915

Environmental Administrator Stormwater/NPS Management Section FAX 850-921-5217

2600 Blair Stone Road, Tallahassee, FL 32399-2400

Lawrence Hedges Georgia Department of Natural Resources 404-656-4887

Program Manager Environmental Protection Division - Non-Point Source FAX 404-657-7379

205 Butler Street, SE, Suite 1070, Atlanta, GA 30334

Douglas Allgeier Department of Environmental Protection 502-564-3410

Industrial Section Supervisor Kentucky Division of Water FAX 502-564-4245

14 Reilly Road, Frankfort, KY 40601

Jim Morris Mississippi Department of Environmental Quality 601-961-5151

Chief, General Permits Branch Office of Pollution Control FAX 601-961-5703

P.O. Box 10385, Jackson, MS 39289-0385

Bill Mills North Carolina Division of Water Quality 919-733-5083,

Environmental Engineer 512 N. Salisbury Street Ext. 548

(Industrial) P.O. Box 29535, Raleigh, NC 27626-0535 FAX 919-733-9919

Rick Nuzum South Carolina Department of Health and Environmental 803-734-9251

Storm Water Section Manager Control FAX 803-734-5216

Bureau of Water Pollution

2600 Bull Street, Columbia, SC 29201

Internet: WPO#123#DHEC4005.COLUMB35#c#NUZUM@

gm.STATE.SC.US

Robert Haley, III Tennessee Water Pollution Control 615-532-0669

Environmental Engineer L&C Annex, 6th Floor FAX 615-532-0614

401 Church Street, Nashville, TN 37243-1534
20

EPA Region V

Address U.S. EPA - Region V

77 W. Jackson Blvd.

Mail Code WQP16J

Chicago, IL 60604

Fax 312-886-7804

Name Title Telephone

Peter Swenson Environmental Engineer 312-886-0236

E-mail: swenson.peter@epa.gov

Authorized State Offices in EPA Region 5

Name and Title Address Telephone

Chuck Fellman Illinois EPA 217-782-0610

Storm Water Management 1021 North Grand Ave. East FAX 217-782-

P.O. Box 19276 9891

Springfield, IL 62794-9276

Lori Gates Indiana Department of Environmental Management 317-233-6725

Storm Water Coordinator 100 N. Senate Avenue FAX 317-233-

P.O. Box 6015 8637

Indianapolis, IN 46206-6015

E-mail: lgate@opn.dem.state.in.us

Susan Benzy Michigan Department of Natural Resources 517-335-4188

Chief, Storm Water Permits Unit Surface Water Quality Division FAX 517-373-

P.O. Box 30273 9958

Lansing, MI 48909

Dan Sullivan Minnesota Pollution Control Agency 612-296-7219

Staff Engineer/Storm Water Water Quality Division FAX 612-282-

Coordinator 520 Lafayette Road North 6247

St. Paul, MN 55155-4194

Robert Phelps Ohio EPA, Water Pollution Control 614-644-2034

Storm Water Coordinator 1800 Watermark Drive FAX 614-644-

P.O. Box 1049 2329

Columbus, OH 43216-1049

Erich Rortvedt Wisconsin Department of Natural Resources 608-264-6273

Storm Water Administrative 101 S. Webster FAX 608-267-

Assistant P.O. Box 7921 2800

Madison, WI 53707
21

EPA Region VI

Address U.S. EPA - Region VI

1445 Ross Avenue, Suite 1200

Dallas, TX 75202-2733

Fax 214-665-2191 (Water Quality)

214-665-2168 (Enforcement)

Name Title Telephone

Brent Larsen Environmental Scientist 214-665-7523

Municipal Permits Section E-mail: larsen.brent@epa.gov

Authorized State Offices in EPA Region 6

Name and Title Address Telephone

Eric Dunn Arkansas Department of Environmental Quality 501-682-0627

8001 National Drive, P.O. Box 8913, Little Rock, AR 72219- FAX 501-682-

8913 0910

E-mail: dunne@adeq.state.ar.us

Darlene Bernard Louisiana Department of Environmental Quality 504-765-0525

Storm Water Permits Coordinator Office of Water Resources, 7290 Bluebonnet Boulevard FAX 504-765-

P.O. Box 82215, Baton Rouge, LA 70810 0635

E-mail: darleneb@deq.state.la.us

Don Mooney Oklahoma Department of Environmental Quality 405-702-8100

Water Quality Program, P.O. Box 1677

Oklahoma City, OK 73101-1677

E-mail: donald.mooney@deqmail.ok.state.us

Steve Ligon Texas Natural Resource Conservation Commission 512-239-4527

Storm Water Permits Team Leader Wastewater Permits Section (MC-148)

P.O. Box 13087, Austin, Texas 78711

E-mail: sligon@tnrcc.state.tx.us

EPA Region VII

Address U.S. EPA - Region VII

726 Minnesota

Kansas City, KS 66101

Fax 913-551-7765

Name Title Telephone

Ralph Summers NPDES Permits Coordinator 913-551-7418

E-mail: summers.ralph@epa.gov
22

Authorized State Offices in EPA Region 7

Name and Title Address Telephone

Joe Griffin Iowa Department of Natural Resources 515-281-7017

Storm Water Coordinator Environmental Protection Division FAX 515-281-

900 E. Grand Avenue, Des Moines, IA 50319-0034 8895

Shawn Howell Kansas Department of Health and Environment 785-296-5549

Storm Water Coordinator Industrial Programs Section FAX 913-296-

Building 283 - Forbes Field 5509

J Street and 2 North, Topeka, KS 66620

Evangeline Bays Missouri Department of Natural Resources 573-526-2928

Environmental Specialist 205 Jefferson Street FAX 314-751-

P.O. Box 176, Jefferson City, MO 65102 9396

Jim Yeggy Nebraska Department of Environmental Quality 402-471-2023

Stormwater Coordinator The Atrium FAX 402-471-

1200 N Street, Suite 400 2909

P.O. Box 98922, Lincoln, NE 68509-8922

EPA Region VIII

Address U.S. EPA - Region VIII

999 18th Street, Suite 500

Denver, CO 80202-2466

Fax 303-312-6071

Name Title Telephone

Vernon Berry U.S. EPA - Region VIII 303-312-6234

Storm Water Coordinator (8EPR-EP) 999 18th Street, Suite 500 E-mail: berry.vern@epa.gov

Denver, CO 80202-2466

Authorized State Offices in EPA Region 8

Name and Title Address Telephone

Kathy Dolan Colorado Department of Public Health and Environment 303-692-3596

Environmental Scientist Water Quality Control Division WQCD-P-B2 FAX 303-782-

4300 Cherry Creek Drive South, Denver, CO 80246 0390

E-mail: kathy.dolan@state.co.us

Brian Heckenberger Montana Department of Environmental Quality 406-444-5310

Water Quality Specialist Permitting and Compliance Division Fax 406-444-1374

P.O. Box 200901, Helena, MT 59620-0901

E-mail: bheckenberger@state.mt.us

Randy Kowalski North Dakota Department of Health 701-328-5244

Environmental Scientist/Storm Division of Water Quality FAX 701-328-

Water 1200 Missouri Avenue 5200

Coordinator P.O. Box 5520, Bismarck, ND 58506-5520

E-mail: rkowalsk@state.nd.us
23

Name and Title Address Telephone

Stacy Reed South Dakota Department of Environment and Natural 800-737-8676

Natural Resources Engineer Resources FAX 605-773-

Division of Environmental Services 6035

Joe Foss Building

523 E. Capitol, Pierre, SD 57501-3181

E-mail: stacy.reed@state.sd.us

Harry Campbell Utah Department of Environmental Quality 801-538-6923

Environmental Engineer/ Division of Water Quality FAX 801-538-

Storm Water Coordinator 288 North 1460 West 6016

P.O. Box 144870, Salt Lake City, UT 84114-4870

E-mail: hcampbel@deq.state.ut.us

Brian Heath Wyoming Department of Environmental Quality 307-777-6359

Environmental Scientist Water Quality Division FAX 307-777-

Herschler Building 5973

122 West 25th Street, Cheyenne, WY 82002

E-mail: bheath@ missc.state.wy.us

EPA Region IX

Address U.S. EPA - Region IX

75 Hawthorne Street

San Francisco, CA 94105

Fax 415-744-1235

Name Title Telephone

Eugene Bromley Storm Water Coordinator 415-744-1906

E-mail: bromley.eugene@epa.gov

Authorized State Offices in EPA Region IX

Name and Title Address Telephone

Bruce Fujimoto California State Water Resources Control Board 916-657-0908

State Storm Water Coordinator Division of Water Quality FAX 916-657-1011

Chief of Storm Water Unit (901 P Street, Sacramento, CA 95814)

P.O. Box 944213, Sacramento, CA 94244-2130

Alec Wong Hawaii Department of Health 808-586-4309

Coordinator Clean Water Branch FAX 808-586-4352

919 Ala Moana Boulevard, Room 301

Honolulu, HI 96814

Rob Saunders Bureau of Water Division and Control 702-687-4670

Environmental Engineer, Division of Division of Environmental Protection Ext. 3149

Conservation and Natural Resources 333 W. Nye Lane, Carson City, NV 89710 FAX 702-687-5856
24

EPA Region X

Address U.S. EPA - Region X

1200 6th Avenue

Seattle, WA 98101

Fax 206-553-0165

Name Title Telephone

Misha Vakoc Storm Water Coordinator 206-553-6650

E-mail: vakoc.misha@epa.gov

Authorized State Offices in EPA Region X

Name and Title Address Telephone

Paul Keiran Oregon Department of Environmental Quality 503-229-6345

2020 SW 4th Avenue, Suite 400, Portland, OR 97201- FAX 503-229-5359

5884

Stanley J. Ciuba Washington Department of Ecology 360-407-6435

Storm Water Management Program

Water Quality Program

P.O. Box 47600, Olympia, WA 98504-7600
25

APPENDIX D - Applying for the No Exposure Exclusion:

NO EXPOSURE CERTIFICATION for Exclusion from

NPDES Storm Water Permitting

NPDES Form 3510-11

 

 You may also obtain the form and instructions 

(ADOBE Acrobat version) from:

http://www.epa.gov/owmitnet/sw/phase2/app4.pdf 
NPDES

FORM

3510-11

United States Environmental Protection Agency

Washington, DC 20460

NO EXPOSURE CERTIFICATION for Exclusion from

NPDES Storm Water Permitting

A. Facility Operator Information

1. Name: 2. Phone:

3. Mailing Address: a. Street:

b. City: c. State: d. Zip Code: –

EPA Form 3510-11 (10-99) Page 1 of 4

–

Form Approved

OMB No. 2040-0211

B. Facility/Site Location Information

1. Facility Name:

2. a. Street Address:

b. City: c. County:

d. State: e. Zip Code:

3. Is the facility located on Indian Lands? Yes No

4. Is this a Federal facility? Yes No

5. a. Latitude: ° ' " b. Longitude: ° ' "

6. a. Was the facility or site previously covered under an NPDES storm water permit? Yes No

b. If yes, enter NPDES permit number: ____________________

7. SIC/Activity Codes: Primary: Secondary (if applicable):

8. Total size of site associated with industrial activity: __________________ acres

9. a. Have you paved or roofed over a formerly exposed, pervious area in order to qualify for the no exposure exclusion? Yes No

b. If yes, please indicate approximately how much area was paved or roofed over. Completing this question does not disqualify you for the no exposure

exclusion. However, your permitting authority may use this information in considering whether storm water discharges from your site are likely to have

an adverse impact on water quality, in which case you could be required to obtain permit coverage.

Less than one acre One to five acres More than five acres

Submission of this No Exposure Certification constitutes notice that the entity identified in Section A does not require permit authorization for its storm water

discharges associated with industrial activity in the State identified in Section B under EPA’s Storm Water Multi-Sector General Permit due to the existence

of a condition of no exposure.

A condition of no exposure exists at an industrial facility when all industrial materials and activities are protected by a storm resistant shelter to prevent

exposure to rain, snow, snowmelt, and/or runoff. Industrial materials or activities include, but are not limited to, material handling equipment or activities,

industrial machinery, raw materials, intermediate products, by-products, final products, or waste products. Material handling activities include the storage,

loading and unloading, transportation, or conveyance of any raw material, intermediate product, final product or waste product. A storm resistant shelter is

not required for the following industrial materials and activities:

– drums, barrels, tanks, and similar containers that are tightly sealed, provided those containers are not deteriorated and do not leak. “Sealed”

means banded or otherwise secured and without operational taps or valves;

– adequately maintained vehicles used in material handling; and

– final products, other than products that would be mobilized in storm water discharges (e.g., rock salt).

A No Exposure Certification must be provided for each facility qualifying for the no exposure exclusion. In addition, the exclusion from NPDES permitting is

available on a facility-wide basis only, not for individual outfalls. If any industrial activities or materials are or will be exposed to precipitation, the facility is

not eligible for the no exposure exclusion.

By signing and submitting this No Exposure Certification form, the entity in Section A is certifying that a condition of no exposure exists at its facility or site,

and is obligated to comply with the terms and conditions of 40 CFR 122.26(g).

ALL INFORMATION MUST BE PROVIDED ON THIS FORM.

Detailed instructions for completing this form and obtaining the no exposure exclusion are provided on pages 3 and 4.
C. Exposure Checklist

Are any of the following materials or activities exposed to precipitation, now or in the foreseeable future?

(Please check either “Yes” or “No” in the appropriate box.) If you answer “Yes” to any of these questions

(1) through (11), you are not eligible for the no exposure exclusion. 

Yes No

1. Using, storing or cleaning industrial machinery or equipment, and areas where residuals from using, storing

or cleaning industrial machinery or equipment remain and are exposed to storm water

2. Materials or residuals on the ground or in storm water inlets from spills/leaks

3. Materials or products from past industrial activity

4. Material handling equipment (except adequately maintained vehicles)

5. Materials or products during loading/unloading or transporting activities

6. Materials or products stored outdoors (except final products intended for outside use [e.g., new cars] where

exposure to storm water does not result in the discharge of pollutants)

7. Materials contained in open, deteriorated or leaking storage drums, barrels, tanks, and similar containers

8. Materials or products handled/stored on roads or railways owned or maintained by the discharger

9. Waste material (except waste in covered, non-leaking containers [e.g., dumpsters])

10. Application or disposal of process wastewater (unless otherwise permitted)

11. Particulate matter or visible deposits of residuals from roof stacks and/or vents not otherwise regulated

(i.e., under an air quality control permit) and evident in the storm water outflow

NO EXPOSURE CERTIFICATION for Exclusion from

NPDES Storm Water Permitting

D. Certification Statement

I certify under penalty of law that I have read and understand the eligibility requirements for claiming a condition of “no exposure” and obtaining an

exclusion from NPDES storm water permitting.

I certify under penalty of law that there are no discharges of storm water contaminated by exposure to industrial activities or materials from the industrial

facility or site identified in this document (except as allowed under 40 CFR 122.26(g)(2)).

I understand that I am obligated to submit a no exposure certification form once every five years to the NPDES permitting authority and, if requested, to

the operator of the local municipal separate storm sewer system (MS4) into which the facility discharges (where applicable). I understand that I must

allow the NPDES permitting authority, or MS4 operator where the discharge is into the local MS4, to perform inspections to confirm the condition of no

exposure and to make such inspection reports publicly available upon request. I understand that I must obtain coverage under an NPDES permit prior

to any point source discharge of storm water from the facility.

Additionally, I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a

system designed to assure that qualified personnel properly gathered and evaluated the information submitted. Based on my inquiry of the person or

persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is to the best of my

knowledge and belief true, accurate and complete. I am aware that there are significant penalties for submitting false information, including the possibility

of fine and imprisonment for knowing violations.

Print Name:

Print Title:

Signature: _____________________________________________________________________________________

Date:

EPA Form 3510-11 (10-99) Page 2 of 4

NPDES

FORM

3510-11

Form Approved

OMB No. 2040-0211
Section B. Facility/Site Location Information

1. Enter the official or legal name of the facility or site.

2. Enter the complete street address (if no street address exists, provide

a geographic description [e.g., Intersection of Routes 9 and 55]), city,

county, state, and zip code. Do not use a P.O. Box number.

3. Indicate whether the facility is located on Indian Lands.

4. Indicate whether the industrial facility is operated by a department or

agency of the Federal Government (see also Section 313 of the Clean

Water Act).

5. Enter the latitude and longitude of the approximate center of the facility

or site in degrees/minutes/seconds. Latitude and longitude can

be obtained from United States Geological Survey (USGS) quadrangle

or topographic maps, by calling 1-(888) ASK-USGS, or by accessing

EPA’s web site at http://www.epa.gov/owm/sw/industry/index.htm and

selecting Latitude and Longitude Finders under the Resources/Permit

section.

Latitude and longitude for a facility in decimal form must be converted

to degrees (°), minutes ('), and seconds (") for proper entry on

the certification form. To convert decimal latitude or longitude to

degrees/minutes/seconds, follow the steps in the following example.

Example: Convert decimal latitude 45.1234567 to degrees (°), minutes

('), and seconds (").

a) The numbers to the left of the decimal point are the degrees: 45°.

b) To obtain minutes, multiply the first four numbers to the right of the

decimal point by 0.006: 1234 x 0.006 = 7.404.

c) The numbers to the left of the decimal point in the result obtained

in (b) are the minutes: 7'.

d) To obtain seconds, multiply the remaining three numbers to the

right of the decimal from the result obtained in (b) by 0.06:

404 x 0.06 = 24.24. Since the numbers to the right of the decimal

point are not used, the result is 24".

e) The conversion for 45.1234567 = 45° 7' 24".

6. Indicate whether the facility was previously covered under an NPDES

storm water permit. If so, include the permit number.

7. Enter the 4-digit SIC code which identifies the facility’s primary activity,

and second 4-digit SIC code identifying the facility’s secondary activity,

if applicable. SIC codes can be obtained from the Standard Industrial

Classification Manual, 1987.

8. Enter the total size of the site associated with industrial activity in acres.

Acreage may be determined by dividing square footage by 43,560, as

demonstrated in the following example.

Example: Convert 54,450 ft2 to acres

Divide 54,450 ft2 by 43,560 square feet per acre:

54,450 ft2 ÷ 43,560 ft2/acre = 1.25 acres.

9. Check “Yes” or “No” as appropriate to indicate whether you have paved

or roofed over a formerly exposed, pervious area (i.e., lawn, meadow,

dirt or gravel road/parking lot) in order to qualify for no exposure. If yes,

also indicate approximately how much area was paved or roofed over

and is now impervious area.

Instructions for the NO EXPOSURE CERTIFICATION for

Exclusion from NPDES Storm Water Permitting

EPA Form 3510-11 (10-99) Page 3 of 4

NPDES

FORM

3510-11

Form Approved

OMB No. 2040-0211

Who May File a No Exposure Certification

Federal law at 40 CFR Part 122.26 prohibits point source discharges of

storm water associated with industrial activity to waters of the U.S. without

a National Pollutant Discharge Elimination System (NPDES) permit. However,

NPDES permit coverage is not required for discharges of storm water

associated with industrial activities identified at 40 CFR 122.26(b)(14)(i)-

(ix) and (xi) if the discharger can certify that a condition of “no exposure”

exists at the industrial facility or site.

Storm water discharges from construction activities identified in 40 CFR

122.26(b)(14)(x) and (b)(15) are not eligible for the no exposure exclusion.

Obtaining and Maintaining the No Exposure Exclusion

This form is used to certify that a condition of no exposure exists at the

industrial facility or site described herein. This certification is only applicable

in jurisdictions where EPA is the NPDES permitting authority and must be

re-submitted at least once every five years.

The industrial facility operator must maintain a condition of no exposure at

its facility or site in order for the no exposure exclusion to remain applicable.

If conditions change resulting in the exposure of materials and activities to

storm water, the facility operator must obtain coverage under an NPDES

storm water permit immediately.

Where to File the No Exposure Certification Form

Mail the completed no exposure certification form to:

Storm Water No Exposure Certification (4203)

USEPA

401 M Street, SW

Washington, D.C. 20460

Completing the Form

You must type or print, using uppercase letters, in appropriate areas only.

Enter only one character per space (i.e., between the marks). Abbreviate

if necessary to stay within the number of characters allowed for each item.

Use one space for breaks between words. One form must be completed

for each facility or site for which you are seeking to certify a condition of no

exposure. Additional guidance on completing this form can be accessed

through EPA’s web site at www.epa.gov/owm/sw. Please make sure you

have addressed all applicable questions and have made a photocopy for

your records before sending the completed form to the above address.

Section A. Facility Operator Information

1. Provide the legal name of the person, firm, public organization, or any

other entity that operates the facility or site described in this certification.

The name of the operator may or may not be the same as the name of

the facility. The operator is the legal entity that controls the facility’s

operation, rather than the plant or site manager.

2. Provide the telephone number of the facility operator.

3. Provide the mailing address of the operator (P.O. Box numbers may be

used). Include the city, state, and zip code. All correspondence will

be sent to this address.
Instructions for the NO EXPOSURE CERTIFICATION for

Exclusion from NPDES Storm Water Permitting

EPA Form 3510-11 (10-99) Page 4 of 4

NPDES

FORM

3510-11

Form Approved

OMB No. 2040-0211

Section C. Exposure Checklist

Check “Yes” or “No” as appropriate to describe the exposure conditions at

your facility. If you answer “Yes” to ANY of the questions (1) through (11)

in this section, a potential for exposure exists at your site and you cannot

certify to a condition of no exposure. You must obtain (or already have)

coverage under an NPDES storm water permit. After obtaining permit

coverage, you can institute modifications to eliminate the potential for a

discharge of storm water exposed to industrial activity, and then certify to

a condition of no exposure.

Section D. Certification Statement

Federal statutes provide for severe penalties for submitting false information

on this application form. Federal regulations require this application to be

signed as follows:

For a corporation: by a responsible corporate officer, which means:

(i) president, secretary, treasurer, or vice-president of the corporation

in charge of a principal business function, or any 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 decisions 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;

For a partnership or sole proprietorship: by a general partner or the

proprietor; or

For a municipal, State, Federal, or other public facility: by either a

principal executive or ranking elected official.

Paperwork Reduction Act Notice

Public reporting burden for this certification is estimated to average 1.0 hour

per certification, including time for reviewing instructions, searching existing

data sources, gathering and maintaining the data needed, and completing

and reviewing the collection of information. Burden means the total time,

effort, or financial resources expended by persons to generate, maintain,

retain, or disclose to provide information to or for a Federal agency. This

includes the time needed to review instructions; develop, acquire, install,

and utilize technology and systems for the purposes of collecting, validating,

and verifying information, processing and maintaining information, and

disclosing and providing information; adjust the existing ways to comply with

any previously applicable instructions and requirements; train personnel to

be able to respond to a collection of information; search data sources;

complete and review the collection of information; and transmit or otherwise

disclose the information. An agency may not conduct or sponsor, and a

person is not required to respond to, a collection of information unless it

displays a currently valid OMB control number. Send comments regarding

the burden estimate, any other aspect of the collection of information, or

suggestions for improving this form, including any suggestions which may

increase or reduce this burden to: Director, OPPE Regulatory Information

Division (2137), USEPA, 401 M Street, SW, Washington, D.C. 20460.

Include the OMB control number of this form on any correspondence. Do

not send the completed No Exposure Certification form to this address.
30

APPENDIX E - Regulatory Language for the 

“No Exposure Exclusion”

68840 Federal Register / Vol. 64, No. 235 / Wednesday, December 8, 1999 / Rules and Regulations

 (g) Conditional exclusion for (ii) Complete and sign vehicles used in material

“no exposure” of industrial (according to §122.22) a handling; and

activities and materials to certification that there are no (iii) Final products, other

storm water. Discharges discharges of storm water than products that would be

composed entirely of storm contaminated by exposure to mobilized in storm water

water are not storm water industrial materials and discharge (e.g., rock salt).

discharges associated with activities from the entire

industrial activity if there is facility, except as provided in (3) Limitations. (i) Storm

“no exposure” of industrial paragraph (g)(2) of this section; water discharges from

materials and activities to (iii) Submit the signed construction activities

rain, snow, snowmelt and/or certification to the NPDES identified in paragraphs

runoff, and the discharger permitting authority once (b)(14)(x) and (b)(15) are not

satisfies the conditions in every five years; eligible for this conditional

paragraphs (g)(1) through (iv) Allow the Director to exclusion.

(g)(4) of this section. “No inspect the facility to (ii) This conditional

exposure” means that all determine compliance with the exclusion from the

industrial materials and “no exposure” conditions; requirement for an NPDES

activities are protected by a (v) Allow the Director to permit is available on a

storm resistant shelter to make any “no exposure” facility-wide basis only, not

prevent exposure to rain, inspection reports available to for individual outfalls. If a

snow, snowmelt, and/or the public upon request; facility has some discharges 

runoff. Industrial materials or and of storm water that would

activities include, but are not (vi) For facilities that otherwise be “no exposure”

limited to, material handling discharge through an MS4, discharges, individual permit

equipment or activities, upon request, submit a copy of requirements should be

industrial machinery, raw the certification of “no adjusted accordingly.

materials, intermediate exposure” to the MS4 operator, (iii) If circumstances change

products, by-products, final as well as allow inspection and and industrial materials or

products, or waste products. public reporting by the MS4 activities become exposed to

Material handling activities operator. rain, snow, snow melt, and /or

include the storage, loading runoff, the conditions for this

and unloading, transportation, (2) Industrial materials and exclusion no longer apply. In

or conveyance of any raw activities not requiring storm such cases, the discharge

material, intermediate resistant shelter. To qualify for becomes subject to

product, final product or this exclusion, storm resistant enforcement for un-permitted

waste product. shelter is not required for: discharge. Any conditionally

 (1) Qualification. To qualify similar containers that are anticipates changes in

for this exclusion, the operator tightly sealed, provided those circumstances should apply

of the discharge must: containers are not deteriorated for and obtain permit

 (i) Provide a storm resistant and do not leak (“Sealed” authorization prior to the

shelter to protect industrial means banded or otherwise change of circumstances.

materials and activities from secured and without (iv) Notwithstanding the

exposure to rain, snow, snow operational taps or valves); provisions of this paragraph,

melt, and runoff; (ii) Adequately maintained the NPDES permitting

 (i) Drums, barrels, tanks, and exempt discharger who
authority retains the authority stored outdoors (except final operator of the local MS4 into

to require permit products intended for outside which this facility discharges

authorization (and deny this use, e.g., new cars, where (where applicable). I

exclusion) upon making a exposure to storm water does understand that I must allow

determination that the not result in the discharge of the NPDES permitting

discharge causes, has a pollutants); authority, or MS4 operator

reasonable potential to cause, (G) Materials contained in where the discharge is into the

or contributes to an instream open, deteriorated or leaking local MS4, to perform

excursion above an applicable storage drums, barrels, tanks, inspections to confirm the

water quality standard, and similar containers; condition of no exposure and

including designated uses. (H) Materials or products to make such inspection

 (4) Certification. The no railways owned or maintained upon request. I understand

exposure certification must by the discharger; that I must obtain coverage

require the submission of the (I) Waste material (except under an NPDES permit

following information, at a waste in covered, non-leaking prior to any point source

minimum, to aid the NPDES containers, e.g., dumpsters); discharge of storm water from

permitting authority in (J) Application or disposal of the facility. I certify under

determining if the facility process wastewater (unless penalty of law that this

qualifies for the no exposure otherwise permitted); and document and all attachments

exclusion: (K) Particulate matter or were prepared under my

 (i) The legal name, address visible deposits of residuals direction or supervision in

and phone number of the from roof stacks/vents not accordance with a system

discharger (see § 122.21(b)); otherwise regulated, i.e., under designed to assure that

 (ii) The facility name and an air quality control permit, qualified personnel properly

address, the county name and and evident in the storm water gathered and evaluated the

the latitude and longitude outflow; information submitted. Based

where the facility is located; (iv) All “no exposure” upon my inquiry of the person

 (iii) The certification must certifications must include the or persons who manage the

indicate that none of the following certification system, or those persons

following materials or statement, and be signed in directly involved in gathering

activities are, or will be in the accordance with the signatory the information, the

foreseeable future, exposed to requirements of § 122.22: “I information submitted is to

precipitation: certify under penalty of law the best of my knowledge and

 (A) Using, storing or that I have read and belief true, accurate and

cleaning industrial machinery understand the eligibility complete. I am aware there are

or equipment, and areas requirements for claiming a significant penalties for

where residuals from using, condition of “no exposure” and submitting false information,

storing or cleaning industrial obtaining an exclusion from including the possibility of

machinery or equipment NPDES storm water permitting; fine and imprisonment for

remain and are exposed to and that there are no knowing violations.”

storm water; discharges of storm water

 (B) Materials or residuals on contaminated by exposure to

the ground or in storm water industrial activities or

inlets from spills/leaks; materials from the industrial

 (C) Materials or products facility identified in this

from past industrial activity; document (except as allowed

 (D) Material handling under paragraph (g)(2)) of this

equipment (except adequately section. I understand that I am

maintained vehicles); obligated to submit a no

 (E) Materials or products exposure certification form

during loading/unloading or once every five years to the

transporting activities; NPDES permitting authority

 (F) Materials or products and, if requested, to the

handled/stored on roads or reports publicly available