II'1 Considerations for Planning an MS4 Audit or Inspection

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II.1 Considerations for Planning an MS4 Audit
or Inspection
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Overall Considerations

• It is vital to determine your objectives
• Determine compliance
• Prepare for permit re-issuance
• Support ongoing or anticipated enforcement
• Increase program performance via compliance
  assistance
• A combination of the above
• This determination will dictate the type of
  activity to be performed

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Type of Activity - Audits

• Audit
• Comprehensive program-wide evaluation
• Can be Single- or Multi-permittee
• Requires multiple days and multiple auditors
• Generally requires significant preparation and
  coordination with the permittee(s)
• Protocol based on MS4 Evaluation Guide and NPDES
  Compliance Inspection Manual

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Purpose of Audits

• Audits can fulfill many objectives
• Compliance Status / Enforcement Action
• Permit Review
• Clear correct requirements ?
• Enforceable language ?
• Permit Renewal
• Technical Assistance / Compliance Assistance
• Effectiveness

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Purpose of Audits

• Is It Working ?
• Implementation Assessment
• Comparison with SWMP implementation schedule
• Comparison with Phase I/II regulations
• Permittee vs. permittee assessment
• Effectiveness Assessment
• Pollutants of Concern
• Current and future TMDLs
• Community or watershed-based goals

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Type of Activity - Inspections

• One or more specific focus areas, one permittee
• Intended to be completed in approximately one day
• Requires limited preparation time and
  coordination with permittee
• Protocol based on MS4 Evaluation Guide, NPDES
  Compliance Inspector Manual and MS4 Screening
  Guidance (in development)
• Limited advance notification

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Purpose of Inspections

• Compliance assessment based on specific permit
  requirements
• Screening exercise to identify areas of program
  weakness or potential violations
• Screening exercise to determine whether the
  program is in need of an audit
• Comprehensive audit
• Targeted audit
• Enforcement
• Additional data gathering/validation to support
  claims

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Records Review

• Three common times to review records
• When selecting activity and applicable MS4
  program(s) to audit
• Prior to conducting (or during) the audit or
  inspection
• ID Questions
• ID issues
• ID Red flags
• Upon completion of the field activities to assess
  accuracy and completeness of MS4 submitted reports

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Records to Review Questions to Ask

• Permit
• Identify key compliance activities and dates
• Are requirements enforceable?
• SWMP
• Identify the MS4s stated obligations and
  schedules
• Review individual sections or the whole document?
  
• Annual Report
• Identify completed activities and milestones
• Areas of suspected non-compliance?
• Past Audit/ Inspection Reports /Correspondences
• Extent of prior deficiencies and have they been
  rectified?
• Website, others ?

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Be Successful Know the Following

• Key personnel and departments
• Generally understand how the personnel,
  departments, and programs inter-relate
• Key permit conditions and dates
• Jargon specific to the permittee
• Key accomplishments, challenges and failures

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Are Permittee Supplied Records Good Indicators Of
Compliance?

• Look for signs of non-compliance
• Vague language
• Failure to fully meet obligations and milestones
• Missing or absent elements
• Presentation of excuses not previously disclosed
• Records will remain available - listen, observe
  and then compare against records
• Did the MS4 do what it said?
• Was the reported information accurate?

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Scheduling Considerations

• Prior to scheduling the activity, consider
• Established compliance dates
• Conduct planned activity before or after key
  dates?
• Permit Re-Issuance
• Year 1-2 is generally best for clarity and
  setting expectations
• Year 4 is generally best for re-issuance
• Seasonality
• Precipitation
• Construction activity
• Minor municipal maintenance
• Other Water Program Considerations
• TMDLs

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Audits Require Pre-Notification

• Multi-program and multi-permittee activities
  require extensive logistical planning
• One or more pre-visit communications such as
  meetings and teleconferences
• Generation of a audit agenda/outline
• Generally requires some degree of flexibility in
  intra-week schedule setting
• 30 days advance notice is a good target

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Notification for Audits

• Consider providing an increasing amount of
  information as the audit approaches
• 30 days prior - Notice of Audit
• Two weeks prior - Intended focus areas and
  tentative schedule
• One week prior Teleconference to confirm focus
  areas, schedule and logistics
• Final clarification during the Kick-off meeting

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Notification for Inspections

• How much notice is required for an effective
  inspection?
• Do you need to interview program staff or merely
  make observations?
• Do you need to review onsite records?
• When is limited (or no) notification appropriate
• Suspected or known non-compliance
• Focused or specific areas of interest

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Notification for Inspections

• How much pre-notice is required for these
  fieldbased observations?
• Presence, applicability, and maintenance of BMPs
  at public and private construction sites
• Observing municipal operations and maintenance
• Presence, applicability, and maintenance of post
  construction BMPs at new development sites
• The presence of BMPs at industrial, commercial
  and high risk runoff sites
• Placement of public education materials (e.g.,
  stencils, pet-waste stations, signage on
  permanent BMPs)

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Additional Scheduling and Notification
Considerations

• Determine what can be accomplished?
• Two program elements per person per day?
• Allocate ample time for travel and meetings
• Identify and request the key personnel (e.g.,
  inspectors, planners)
• Determine how many observations are needed for a
  representative sampling?
• Municipal field crews start and end their day
  early plan accordingly

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Targeting

• What programs are going to be targeted?
• Programs requiring routine inspections and/or
  audits
• Programs with expiring permits
• In response to known or suspected non-compliance
• In response to environmental concerns (303(d)
  listing, TMDL, public health)
• In response to other ongoing or anticipated
  regulatory actions (municipal enforcement case)

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Targeting

• Consider using a hierarchy of programs
• Those that want to merely comply with the permit
• Those that want to protect and improve water
  quality but do not know how to
• Those that have a formulated plan that is defined
  and quantifiable

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Prioritization

• Determine which programs or programs areas are
  highest priority?
• Established history of violations
• Poor (or poorest) performers
• Mix of good and poor performers
• Mature vs. developing programs
• Programs with different stated goals
• Comply with the permit
• Protect and improve water quality

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Prioritization

• Consider setting expectations based on program
  maturity
• Generally, mature programs
• Are in their second or third permit term
• Have made significant changes to their approach
  and programs
• Understand the need for and anticipate going
  beyond the permit requirements
• Attempt to lead by example and are active in the
  MS4 regulatory circles

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Conclusions

• Objectives should drive decisions about what type
  of activity is needed.
• Be prepared for all potential outcomes and adhere
  to sound NPDES inspection principles.