United States Environmental Protection Agency Office of Water (4203) EPA 833-F-011 January 2000 (revised December 2005) Fact Sheet 2.9



### St ormwat er Phase II Final Rule FactSheetSeries Over view 1.0 – Stormwater Phas e II F i nal Rul e : An Ov erv i ew S m all MS 4 P r ogr am 2.0 – Smal l MS4 Stormwater Program Ov erv i ew 2.1 – Who’ s Cov e red? Des i gnati o n and Wai v ers of Regul ated Smal l MS4s 2.2 – Urbani z ed Areas : Defi ni ti on and Des c r i p ti on
Mi

ni

mum Cont r o l

Measur e s 2.3 – Publ i c Educ ati on and Outreac h 2.4 – Publ i c Parti c i pati on/ Inv o l v ement 2

. 5

–I llicitD i sch a rg e D e t e ct io n and El i m i nati o n 2.6 – Cons truc ti on Si te Runoff Control 2.7 – Pos t -Cons truc ti on Runoff Control 2.8 – Pol l u ti on Prev enti on/Good Hous ek eepi ng 2.9 – Permi tti ng and Reporti ng: T he Proc es s and Requi rements 2.10 – F ederal and State-Operated MS4s : Program Impl ementati o n C onstr uction P r ogr am 3.0 – Cons truc ti on Program Ov erv i ew 3.1 – Cons truc ti on Rai n fal l Er o s ivit y W a ive r Industr ial “ N o E x posur e” 4.0 – Condi ti onal No Ex pos ure Ex c l us i on for Indus tri a l Ac ti v i ty 

# Stormwater Phase II Final Rule Permitting and Reporting: The Process and Requirements 

# T he Stormwater Phase II Final Rule requires operators of certain small municipal separate storm sewer systems (MS4s) to obtain National Pollutant Discharge Elimination System (NPDES) permit coverage because their stormwater discharg es are considered “point sources” of pollution. All point source discharges, unlike nonpoint sources such as agricultural runoff, are required under the Clean Water Act (CWA) to be covered by federally enforceable NPDES permits. Those systems already permitted under the NPDES Phase I stormwater program, even systems serving less than 100,000 people, are not required to be permitted under the Phase II stormwater program. NP DES sto rm w ater p e rm its are issu edb y an NP DES p e rm ittin g auth o r ity , w h ich m a y b e an NP DESauth o r izedState o r a U.S. EP A Reg i o n in n o n - auth o r izedStates. Issu edMS4 p e rm it co n d itio n s m u st be s a t i s f i ed (i .e., dev e l opm ent an d i m pl em ent a t i o n of a s t orm w at er m a n a g e m e nt prog ram ) an d p e rio d i c rep o r ts m u st b e su b m ittedo n th e statu s an def f ectiv en ess o f th e p r o g ram . T h is f act s h eet explain s th e v a riou s perm it optio n s th at are av ailable to operators of reg u l ated sm all MS4 s an dd e tails th e p e rm it ap p licatio n an d rep o r tin g requ irem en ts. P r o g ram requ irem en ts f o r r e gul a t e dsm a l l M S 4 s a r e e xp l a i ne di n Fa c t She e t s 2

. 0 thr o ugh 2

. 8

. 

### What P erm itting Options Are Availabl e to Operators of Regulated Sm all MS4s? 

# U nlike the Phase I program that primarily utilizes individual permits for medium and large MS4s, the Phase II approach allows operators of regulated small MS4s to choose from as many as three permitting options as listed below. At this time the NPDES permitting authorities have issued general permits for regulated small MS4s. Operat ors of regulated small MS4s in urbanized areas, whether automatically designated or designated by the permitting authority, should have submitted their permit applications within 90 days of permit issuance. Regulated small MS4 stormwater management programs should be fully developed and implemented by the end of the first permit term, which is typically a 5-year period. The NPDES permitting authority reserves the authority to determine which permitting options are available to the regulated small MS4s. Refer to specific NPDES permitting authority for more details about permitting options in particular states. 

## ‘ G e neral P ermits

• G en eral perm its are s tron g l y en cour ag ed by EP A

. T h e P h as e II prog ram h a s been des i g n e d s p ecif i cally to accom m odate a g e n e ral perm it approach

.

• G en eral perm its pres cribe on e s e t of requ irem ents f o r all applicable perm ittees

. Gen e ral p e rm its are d r af tedb y th e NP DES p e rm ittin g auth o r ity , th en p u b lish e df o r p u b lic co m m e nt bef o re bein g f i n a lized an d is s u ed.

• A No tice o f Intent (NOI) serv es as th e ap p licatio n f

o r th e g e n e ral p e rm it. T h e p e rm ittee co m p lies w ithth e p e rm it requ irem en ts b y su b m ittin g an NOI to th e NP DES p e rm ittin g auth o r i ty th a t d e sc r i b e s th e st o rm w a t e r m a na ge m e nt p l a n , i n c l ud i ng b e st m a na ge m e nt p r actices (B MP s) an dm easur ab le g o als. A P h ase II p e rm ittee h a s th e f l ex ib ility to d e v e lo pFact Sheet 2.9 – Permitting and Reporting: The Process and Requirements Page 2

an

in div i du alized s t orm w ater prog ram th at addres s e s th e particu l ar ch aracteris tics an d n eeds of its s y s t em , p r o v id edth e b a sic requ irem ents o f th e g e n e ral p e rm it are s a tis f i ed.

• P erm ittees also can ch o o s e to sh are resp o n sib ilities f o r m eetin g th e P h as e II prog ram requ irem en ts
. T h os e entities ch o o s in g to d o so m a y su b m it j o intly w ith th e o th e r m un i cip a lities o r g o v e rnm e n t al en tities an NOI th at id en tif ies w h o w ill im p l em en t w h ichm i n i m um m eas ur es w ith in th e area s e rv ed by th e MS4.

• T h e p e rm ittee th en f

o llo w s th e P h ase II p e rm it ap p licatio n requ irem ents (see d i scu ssio n in n e x t qu estio n b e lo w)

. 

### Min i m i ze D u plication of E ffort T w o p e rm ittin g o p tio n s tailo redto m i n i m i ze du p licatio n o f ef

f o rt can b e in co rp o r atedinto th e g e n e ral p e rm it b y th e NP DES p e rm ittin g auth o r ity

. First, th e p e rm ittin g auth o r ity can reco g n i ze in th e p e rm it th at an o th e r g o v e rnm e n t al en tity is res pon s i ble un d er an NP DES perm it f o r im plem en tin g any or all m i n i m um m easur es. Resp o n sib ility f

o r im p l em en tatio n o f

th e m e a s ur e ( s) w o ul dr e st w i thth e o the r go ve rnm e nt a l en tity , th ereb y reliev i n g th e p e rm ittee o f its resp o n sib ility to im plem ent th at particu l ar m eas ur e(s )

. For ex am ple, th e NP DES p e rm ittin g auth o r ity co u l dreco g n i ze a co un ty ero s io n an d sed i m e nt co ntro l p r o g ram f

o r co n s tru c tio n sites th at w a s d e v e lo p e dto co m p ly w ith a P h ase I p e rm it. A s lo n g as th e P h as e II MS4s in th e coun ty com p ly w ithth e coun ty ’ s c o nstr uc t i o n p r o g r a m , th e y w o ul dno t ne e dt o d e ve l o p a n d im plem en t th eir ow n

con s tru c tion prog ram s becau s e s u ch activ ity w o u l d already be addres s e d by th e coun ty . Seco n d , th e NP DES p e rm ittin g auth o r ity can in clu d e co n d itio n s in a g e n e ral p e rm it th at d i rect a p e rm ittee to f o llo w th e requ irem ents o f an ex istin g qu alif y i n g lo cal p r o g ram rath er th an th e requ irem en ts of a m i n i m um m eas ur e. A qu alif y i n g l o cal prog ram i s def i n e d as a l o cal, State or T r ibal m un i cipal s t orm w ater prog ram th at im pos es requ irem en ts th at are equ i v a lent to th os e of th e P h as e II MS4 m i n i m um m eas ur es . T h e p e rm ittee rem a in s resp o n sib l e f o r th e im p l em entatio n o f th e m i ni m um m e a s ur e thr o ugh c o m p l i a nc e w i thth e qu a l i f y i ng l o cal prog ram . 

## ‘ Indi vi dual P erm i t s

• I n d iv idu a l p e rm its are requ iredf o r P h ase I “ m ed ium ” an d “ l arg e” MS4s , but n o t recom m e n d ed by EP A f

o r P h as e II prog ram im plem entation

.

• T h e perm ittee can eith er s u bm it an in div i du al application f

o r cov e rag e by th e P h as e II MS4 prog ram (s ee 40 C F R §122.34) or th e Ph as e I MS 4 prog ram (s ee 40 C F R §122.26(d)). • For individual coverage under Phase II, the permittee must follow Phase II permit application requirements and provide an estimate of square mileage served by the system and any additional information requested by the NPDES permitting authority. A permittee electing to apply for coverage under the Phase I program must follow the permit application requirements detailed at 40 CFR §122.26(d).

• The NPDES permitting authority may allow more than one regulated entity to jointly apply for an individual permit.

• The NPDES permitting authority could incorporate in the individual permit either of the two permitting options explained above in the Minimize Duplication of Effort section. 

## ‘ Modification of a Phase I Individual Permit – A Co-Permittee Option

• The operator of a regulated small MS4 could participate as a limited co-permittee in a neighboring Phase I MS4’s stormwater management program by seeking a modification of the existing Phase I individual permit. A list of Phase I medium and large MS4s can be obtained from the EPA Office of Wastewater Management (OWM) or downloaded from the OWM web site.

• The permittee must follow Phase I permit application requirements (with some exclusions).

• The permittee must comply with the applicable terms of the Phase I individual permit rather than the minimum control measures in the Phase II Final Rule. 

### What Does the Permit Application Require? 

# O perators of regulated small MS4s are required to submit in their NOI or individual permit application the following information: 

### ‘ Best management practices (BMPs) are required for each of the six minimum control measures: 

## Ø Public education and outreach on stormwater impacts 

## Ù Public participation/involvement 

## Ú Illicit discharge detection and elimination 

## Û Construction site stormwater runoff control 

## Ü Post-construction stormwater management in new development/redevelopment 

## Ý Pollution prevention/good housekeeping for municipal operationsFact Sheet 2.9 – Permitting and Reporting: The Process and Requirements Page 3 ( S e e Fa c t She e t s 2

. 3 thr o ugh 2

. 8 fo r ful l d e sc r i p t i o ns of

eachm eas ur e, in clu d in g ex am ples of B M P s an d m eas ur able g o als ) 

### ‘

‘

‘ Meas ur able g o als f o r eachm i n i m um con trol m eas ur e ( i

. e , na rr a t i v e o r num e r i c st a n d a r d s use dt o gauge prog ram ef f ectiv en es s ) ; Estim atedm o nth s an dy ears in w

h ich actio n s to im p l em ent each m easur e w ill b e un d ertak e n , in clu d in g in terim m iles t on es an d f r equ e n c y ; an d T h e pers on or pers on s res pon s i bl e f o r i m pl em en t i n g or coordi n a t i n g th e s t orm w at er prog ram . 

### R e lying on A n oth e r E n tity T h e P h as e II perm ittee h a s th e option of rely in g on oth e r entities alread y p e rf o rm i n g o n e o r m o re o f th e m i n i m um co ntro l m eas ur es , prov ided th at th e ex is tin g con trol m eas ur e, or com pon en t th ereof , is at leas t as s trin g e n t as th e P h as e II ru le requ irem en ts
. For ex am ple, a coun ty already m a y h a v e an illicit d i sch a rg e d e tectio n an delim in atio n p r o g ram in p l ace an d m a y allo w an o p e rato r o f a reg u l atedsm all MS4 w ith in th e co un ty ’ s j urisd ictio n to rely o n th e co un ty p r o g ram in steado f f o rm u l atin g an d im plem en tin g a n e w prog ram . In s u cha cas e, th e p e rm ittee w o u l dn o t n eedto im p l em en t th e p a rticu l ar m easur e, b ut w o u l dstill b e u ltim ately resp o n sib l e f o r its ef

f ectiv e im plem en tation

. For th is reas on , EP A recom m e n d s th at th e p e rm ittee en ter in to a leg a lly b i n d in g ag reem en t w ith th e o th e r entity

. If th e p e rm ittee ch o o s es to rely o n an o th e r en tity , th ey m u st n o te th is in th eir p e rm it ap p licatio n an d s u

bs equ e n t reports
. A P h as e II perm ittee m a y ev en rely on an o th e r g o v e rnm e nt al en tity reg u l atedun d er th e NP DES sto rm w a ter p r o g ram to satisf y all o f th e p e rm ittee’ s p e rm it o b lig atio n s . Sh o u ldth is o p tio n b e ch o s en , th e p e rm ittee m u st n o te th is in its NOI, b ut d o e s n o t n eedto f ile p e rio d i c rep o r ts. 

### Wh at Does th e P erm i tReq u i re? 

# T he operator of a regulated small MS4 has the flexibility to determine the BMPs and measurable goals, for each minimum control measure, that are most appropriate for the system. The chosen BMPs and measurable goals, submitted in the permit application, become the required stormwater management program; however, the NPDES permitting authority can require changes in the mix of chosen BMPs and measurable goals if all or some of them are found to be inconsistent with the provisions of the Phase II Final Rule. Likewise, the permittee can change its mix of BMPs if it determines that the program is not as effective as it could be Fact Sheets 2.3 through 2.8 further describe each of the minimum control measures, while the permit requirements for evaluation/assessment and recordkeeping activities are described in separate sections below. 

### Menu of BMPs T h e B M P s fo r m i ni m um m e a s ur e s 3 thr o ugh 6 ( a s l i s t e di n th e perm it application requ irem en ts s ection , abov e) are n o t en f o rceab le un til th e NP DES p e rm ittin g auth o r ity p r o v id es a list, o r “ m en u , ” o f B M P s to assist p e rm ittees in th e d e sig n an d im plem entation of th eir s t orm w ater m a n a g e m e nt prog ram s . T h e NP DES p e rm ittin g auth o r ity w a s requ iredto p r o v id e th is m e n u

as an aid f o r th os e operators th at are un s ur e of th e m o s t appropriate an d ef f ectiv e B M P s to u s e. Sin ce th e m e n u

w a s in ten d ed to s e rv e as g u i dan ce on ly , th e operators can eith er select f r o m th e m e n u

o r id en tif y

o th e r B M P s to m eet th e p e rm it requ i r em ent s . EPA h a s dev e l oped a m e n u

of BMPs th at can be acces s e d at EP A ’ s Storm w ater W e b Site ( h t t p : / /www. e p a . g o v/n p d e s / s t o rmwa t e r ). 

### WhatSt andar d s A pply? 

# A Phase II small MS4 operator is required to design a program that: 

### ‘
‘ ‘ Redu ces th e d i sch a rg e o f p o llutant s to th e “ m ax im um ex tent practicable” (MEP ); P r o t ects w a ter qu ality ; an d Satisf i es th e ap p r o p r iate w a ter qu ality requ irem en ts o f th e Clean W a ter A c t. C o m p lian ce w ithth e techn i cal s t an dard of MEP requ ires th e s u cces s f u l im plem en tation of approv ed B M P s . T h e P h as e II Fin a l Ru le co n s id ers n a rrativ e ef f l u e n t lim itatio n s th at requ ire th e im plem en tation of B M P s an d th e ach iev e m e n t of m eas ur able g o als as th e m o s t appropriate f o rm of ef f l u e nt lim itatio n s to ach iev e th e p r o t ectio n o f w a ter qu ality , rath er th an requ irin g th at s t orm w ater dis c h a rg es m eet n um eric ef f l u e nt lim itatio n s . E P A i ssue dP h a s e I I N P D E S p e rm i t s c o nsi s t e nt w i thi t s August 1, 1996, Interim P e rm ittin g A pproach policy , w h ich calls f o r BMPs i n f

i rs t
- roun ds t orm w at er perm i t s an d expan d ed or bet t e r tailo redB M P s in su b s equ e n t p e rm its, w h ere n ecessary , to p r o v id e f o r th e attainm e nt o f w a ter qu ality stan d a rd s. In cases w

h ere in f o rm atio n ex ists to d e v e lo p m o re sp ecif i c co n d itio n s o r lim itatio n s to m eet w a ter qu ality stan d a rd s, th ese co n d itio n s o r lim itatio n s sh o u ldb e in co rp o r atedin to th e sto rm w ater p e rm it. Mo n ito rin g is n o t requ iredun d er th e P h ase II Ru le, b ut th e NP DES p e rm ittin g auth o r ity h a s th e d i scretio n to requ ire m o n itorin g if deem ed n eces s a ry . 

### What Evaluation/Rep orting Ef f

o rts Are R e quir e d ? Frequency of Reports Re p o r ts m u st b e sub m itte da nnua lly dur i ng the fir s t p e rm it term
. Fo r su b s equ e n t p e rm it term s, rep o r ts m u st b e su b m itted in

y ears 2 an d4 o n ly , un l ess th e NP DES p e rm ittin g auth o r ity requ es ts m o re f r equ e n t reports
.Fact Sheet 2.9 – Permitting and Reporting: The Process and Requirements Page 4 

### Required Report Content T h e rep o r ts m u st in clu d e th e f o llo w i n g : 

### ‘

‘
‘
‘
‘ T h e statu s o f co m p lian ce w ith p e rm it co n d itio n s , in clu d in g an assessm en t o f th e ap p r o p r iaten e ss o f th e s e lected B M P s an d prog res s tow a rd ach iev i n g th e s e lected m eas ur able g o als f o r eachm i n i m um m eas ur e; R e s u lts of any in f o rm ation collected an d an alyzed, in clu d in g m o n ito rin g d a ta, if any ; A

sum m a ry o f th e sto rm w ater activ ities p l ann e df o r th e ne xt r e p o r t i ng c y c l e ; A

ch an g e in any identif ied bes t m a n a g e m e nt practices or m eas ur able g o als f o r any m i n i m um m eas ur e; an d No tice o f rely in g o n an o th e r g o v e rnm e n t al en tity to satisf y

so m e o f th e p e rm it o b lig atio n s (if ap p licab le). 

### A Change in Selected BMPs If

, u

pon ev al u a t i o n of th e prog ram , i m prov ed con trol s are id entif iedas n ecessary , p e rm ittees sh o u ldrev i se th eir m i xo f B M P s to prov ide f o r a m o re ef f ectiv e prog ram . Su ch a ch an g e , an d an explan ation of th e ch an g e , m u s t be n o ted in a report to th e NP DES p e rm ittin g auth o r ity

. 

### Wh at are th e Record k eep i n g Req u i rem en ts? 

# R ecords required by the NPDES permitting authority must be kept for at least 3 years and made accessible to the public at reasonable times during regular business hours. Records need not be submitted to the NPDES permitting authority unless the permittee is requested to do so. 

### Wh at Are th e Dead l i n es f o r Com p l i a n ce? A s statedp r ev io u s ly , th e NP DES p e rm ittin g auth o r ities h a v e is s u ed perm its f o r reg u l ated s m all MS4s

. Operators of reg u l ated s m all MS4s in ur ban i zed areas , w h eth e r autom a tically d e sig n a tedo r d e sig n a tedb y th e p e rm ittin g auth o r ity , sh o u ld h a v e su b m ittedth eir p e rm it ap p licatio n s w ith in 9 0 d a y s o f perm it is s u an ce. R e g u l ated s m all MS4 s t orm w ater m a n a g e m e n t prog ram s s h ou l dbe f u l l y dev e l oped an d i m pl em ent e d by th e en d of th e f i rs t perm i t t e rm , ty pi cal l y a 5- y ear peri od. 

### Wh at are th e P e n a l t i e s f o r Non c om p l i a n ce? 

# T he operator of a regulated small MS4 is required to obtain an NPDES permit that is federally enforceable, thus subjecting the permittee to potential enforcement actions and penalties by the NPDES permitting authority if the MS4 operator does not fully comply with application or permit requirements. This federal enforceability also includes the right for interested parties to sue under the citizen suit provision of the CWA (section 505; 33 USC § 1365). 

### F o r Additional Inf o rm ation Cont ac t s 

## L

L

L U.S. EP A Of f i ce of W a s t ew ater Man a g e m e nt h t t p : / /www. e p a . g o v/n p d e s / s t o rmwa t e r Ph on e: 202- 564- 9545 Yo ur NP DES P e rm ittin g Auth o r ity . Mo st States an d T e rritories are auth orized to adm i n i s t er th e NP DES P r o g ram , ex cep t th e f o llo w i n g , f o r w h ichEP A is th e p e rm ittin g auth o r ity : A l as k a Gu am District o f Co lum b ia J o hn s to n A t o l l Idah o M idw a y an d W a k e Is lan d s Mas s achu s etts North e rn Marian a Is lan d s New Ham p sh ire P u e rto Rico New Mex i co T r u s t T e rrito ries Am erican Sam o a A

lis t of n a m e s an d teleph on e n um bers f o r eachEP A R e g i on an d State is located at h t t p : / /www. e p a . g o v/ n

pdes / s t orm w at er(cl i c k on “ C on t act s ” ). 

### R e ference D o cum e nts 

## L EP A ’ s Storm w ater W e b Site h t t p : / /www. e p a . g o v/n p d e s / s t o rmwa t e r

• S torm w a ter P h as e II Fin a l R u le Fact Sh eet Series

• S to rm w a ter P h ase II Fin a l Ru le (6 4 FR 68722)

• N a t i o na l M e nu o f B e st M a na ge m e nt P r a c t i c e s fo r Storm w ater P h as e II

• M eas ur able Goals Gu idan ce f o r P h as e II Sm all MS4s

• S to rm w a ter Case Stu d ies

• Andm a ny o the r s