Although stormwater has long been regarded as a major culprit in urban flooding, only in the past 30 years have policymakers appreciated the significant role stormwater plays in the impairment of urban watersheds. This recent rise to fame has led to a cacophony of federal, state, and local regulations to deal with stormwater, including the federal Clean Water Act (CWA) implemented by the U.S. Environmental Protection Agency (EPA). Perhaps because this longstanding environmental problem is being addressed so late in the development and management of urban watersheds, the laws that mandate better stormwater control are generally incomplete and were often passed for other purposes, like industrial waste control.
This chapter discusses the regulatory programs that govern stormwater, particularly the federal program, explaining how these programs manage stormwater only impartially and often inadequately. While progress has been made in the regulation of urban stormwater—from the initial emphasis on simply moving it away from structures and cities as fast as possible to its role in degrading neighboring waterbodies—a significant number of gaps remain in the existing system. Chapter 6 returns to these gaps and considers the ways that at least some of them may be addressed.
The CWA is a comprehensive piece of U.S. legislation that has a goal of restoring and maintaining the chemical, physical, and biological integrity of the nation’s waters. Its long-term goal is the elimination of polluted discharges to surface waters (originally by 1985), although much of its current effort focuses on the interim goal of attaining swimmable and fishable waters. Initially enacted as the Federal Water Pollution Control Act in 1948, it was revised by amendments in 1972 that gave it a stronger regulatory, water chemistry-focused basis to deal with acute industrial and municipal effluents that existed in the 1970s. Amendments in 1987 broadened its focus to deal with more diffuse sources of impairments, including stormwater. Improved monitoring over the past two decades has documented that although discharges have not been eliminated, there has been a widespread lessening of the effects of direct municipal and industrial wastewater discharges.
A timeline of federal regulatory events over the past 125 years relevant to stormwater, which includes regulatory precursors to the 1972 CWA, is shown in Table 2-1. The table reveals that while there was a flourish of regulatory activity related to stormwater during the mid-1980s to 1990s, there has been much less regulatory activity since that time.
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2
The Challenge of Regulating Stormwater
Although stormwater has long been regarded as a major culprit in urban
flooding, only in the past 30 years have policymakers appreciated the significant
role stormwater plays in the impairment of urban watersheds. This recent rise to
fame has led to a cacophony of federal, state, and local regulations to deal with
stormwater, including the federal Clean Water Act (CWA) implemented by the
U.S. Environmental Protection Agency (EPA). Perhaps because this longstand-
ing environmental problem is being addressed so late in the development and
management of urban watersheds, the laws that mandate better stormwater con-
trol are generally incomplete and were often passed for other purposes, like in-
dustrial waste control.
This chapter discusses the regulatory programs that govern stormwater, par-
ticularly the federal program, explaining how these programs manage stormwa-
ter only impartially and often inadequately. While progress has been made in
the regulation of urban stormwater—from the initial emphasis on simply moving
it away from structures and cities as fast as possible to its role in degrading
neighboring waterbodies—a significant number of gaps remain in the existing
system. Chapter 6 returns to these gaps and considers the ways that at least
some of them may be addressed.
FEDERAL REGULATORY FRAMEWORK FOR STORMWATER
The Clean Water Act
The CWA is a comprehensive piece of U.S. legislation that has a goal of re-
storing and maintaining the chemical, physical, and biological integrity of the
nation’s waters. Its long-term goal is the elimination of polluted discharges to
surface waters (originally by 1985), although much of its current effort focuses
on the interim goal of attaining swimmable and fishable waters. Initially en-
acted as the Federal Water Pollution Control Act in 1948, it was revised by
amendments in 1972 that gave it a stronger regulatory, water chemistry-focused
basis to deal with acute industrial and municipal effluents that existed in the
1970s. Amendments in 1987 broadened its focus to deal with more diffuse
sources of impairments, including stormwater. Improved monitoring over the
past two decades has documented that although discharges have not been elimi-
nated, there has been a widespread lessening of the effects of direct municipal
and industrial wastewater discharges.
A timeline of federal regulatory events over the past 125 years relevant to
stormwater, which includes regulatory precursors to the 1972 CWA, is shown in
Table 2-1. The table reveals that while there was a flourish of regulatory activ-
ity related to stormwater during the mid-1980s to 1990s, there has been much
less regulatory activity since that time.
47
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48 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
TABLE 2-1 Legal and Regulatory Milestones for the Stormwater Program
Rivers and Harbors Act. A navigation-oriented statute that was used in the 1960s and
1886
1970s to challenge unpermitted pollutant discharges from industry.
Federal Water Pollution Control Act. Provided matching funds for wastewater treat-
1948
ment facilities, grants for state water pollution control programs, and limited federal au-
1952
thority to act against interstate pollution.
1955
Water Quality Act. Required states to adopt water quality standards for interstate
1965
waters subject to federal approval. It also required states to adopt state implementation
plans, although failure to do so would not result in a federally implemented plan. As a
result, enforceable requirements against polluting industries, even in interstate waters,
was limited.
Federal Water Pollution Control Act. First rigorous national law prohibiting the dis-
1972
charge of pollutants into surface waters without a permit.
• Goal is to restore and maintain health of U.S. waters
• Protection of aquatic life and human contact recreation by 1983
• Eliminate discharge of pollutants by 1985
• Wastewater treatment plant financing
Clean Water Act Section 303(d)
• Contains a water quality-based strategy for waters that remain polluted after
the implementation of technology-based standards.
• Requires states to identify waters that remain polluted, to determine the total
maximum daily loads that would reverse the impairments, and then to allo-
cate loads to sources. If states do not perform these actions, EPA must.
Clean Water Act Section 208
• Designated and funded the development of regional water quality man-
agement plans to assess regional water quality, propose stream stan-
dards, identify water quality problem areas, and identify wastewater
treatment plan long-term needs. These plans also include policy state-
ments which provide a common consistent basis for decision making.
Clean Water Act Sections 301 and 402
1977
•
1981 Control release of toxic pollutants to U.S. waters
• Technology treatment standards for conventional pollutants and priority toxic
pollutants.
• Recognition of technology limitations for some processes.
NRDC vs. Costle. Required EPA to include stormwater discharges in the National
1977
Pollution Discharge Elimination System (NPDES) program.
Clean Water Act Amended Sections 301 and 402
1987
• Control toxic pollutants discharged to U.S. waters.
• Manage urban stormwater pollution.
• Numerical criteria for all toxic pollutants.
• Integrated control strategies for impaired waters.
• Stormwater permit programs for urban areas and industry.
• Stronger enforcement penalties.
• Anti-backsliding provisions.
Table continues next page
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THE CHALLENGE OF REGULATING STORMWATER 49
TABLE 2-1 continued
EPA’s Phase I Stormwater Permit Rules are Promulgated
1990
• Application and permit requirements for large and medium municipalities
• Application and permit requirements for light and heavy industrial facilities
based on Standard Industrial Classification (SIC) Codes, and construction
activity ≥ 5 acres
EPA’s Phase II Stormwater Permit Rules are Promulgated
1999
• Permit requirements for census-defined urbanized areas
• Permit requirements for construction sites 1 to 5 acres
Total Maximum Daily Load (TMDL) Program Litigation
1997-
2001 • Courts order EPA to establish TMDLs in a number of states if the states
fail to do so. The TMDLs assign Waste Load Allocations for stormwater
discharges which must be incorporated as effluent limitations in stormwa-
ter permits.
Section 323 of the Energy Policy Act of 2005
2006-
2008 • EPA promulgates rule (2006) to exempt stormwater discharges from oil
and gas exploration, production, processing, treatment operations, or
transmission facilities from NPDES stormwater permit program.
• In 2008, courts order EPA to reverse the rule which exempted certain ac-
tivities in the oil and gas exploration industry from storm water regulations.
th
In Natural Resources Defense Council vs. EPA (9 Cir. 2008), the court
held that it was “arbitrary and capricious” to exempt from the Clean Water
Act stormwater discharges containing sediment contamination that con-
tribute to a violation of water quality standards.
Energy Independence and Security Act of 2007
2007
• Requires all federal development and redevelopment projects with a foot-
print above 5,000 square feet to achieve predevelopment hydrology to the
“maximum extent technically feasible.”
The Basic NPDES Program: Regulating Pollutant Discharges
The centerpiece of the CWA is its mandate “that all discharges into the na-
tion’s waters are unlawful, unless specifically authorized by a permit” [42
U.S.C. §1342(a)]. Discharges do not include all types of pollutant flows, how-
ever. Instead, “discharges” are defined more narrowly as “point sources” of
pollution, which in turn include only sources that flow through a discrete con-
veyance, like a pipe or ditch, into a lake or stream [33 U.S.C. §§ 1362(12) and
(14)]. Much of the focus of the CWA program, then, is on limiting pollutants
emanating from these discrete, point sources directly into waters of the United
States. Authority to control nonpoint sources of pollution, like agricultural run-
off (even when drained via pipes or ditches), is generally left to the states with
more limited federal oversight and direction.
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50 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
All point sources of pollutants are required to obtain a National Pollutant
Discharge Elimination System (NPDES) permit and ensure that their pollutant
discharges do not exceed specified effluent standards. Congress also com-
manded that rather than tie effluent standards to the needs of the receiving wa-
terbody—an exercise that was far too scientifically uncertain and time-
consuming—the effluent standards should first be based on the best available
pollution technology or the equivalent. In response to a very ambitious man-
date, EPA has promulgated very specific, quantitative discharge limits for the
wastewater produced by over 30 industrial categories of sources based on what
the best pollution control technology could accomplish, and it requires at least
secondary treatment for the effluent produced by most sewage treatment plants.
Under the terms of their permits, these large sources are also required to self-
monitor their effluent at regular intervals and submit compliance reports to state
or federal regulators.
EPA quickly realized after passage of the CWA in 1972 that if it were re-
quired to develop pollution limits for all point sources, it would need to regulate
hundreds of thousands and perhaps even millions of small stormwater ditches
and thousands of small municipal stormwater outfalls, all of which met the tech-
nical definition of “point source”. It attempted to exempt all these sources, only
to have the D.C. Circuit Court read the CWA to permit no exemptions [NRDC
vs. Costle, 568 F.2d 1369 (D.C. Cir. 1977)]. In response, EPA developed a
“general” permit system (an “umbrella” permit that covers multiple permittees)
for smaller outfalls of municipal stormwater and similar sources, but it generally
did not require these sources to meet effluent limitations or monitor their efflu-
ent.
It should be noted that, while the purpose of the CWA is to ensure protec-
tion of the physical, biological, and chemical integrity of the nation’s waters, the
enforceable reach of the Act extends only to the discharges of “pollutants” into
waters of the United States [33 U.S.C. § 1311(a); cf. PUD No. 1 of Jefferson
County v. Washington Department of Ecology, 511 U.S. 700 (1994) (providing
states with broad authority under section 401 of the CWA to protect designated
uses, not simply limit the discharge of pollutants)]. Even though “pollutant” is
defined broadly in the Act to include virtually every imaginable substance added
to surface waters, including heat, it has not traditionally been read to include
water volume [33 U.S.C. § 1362(6)]. Thus, the focus of the CWA with respect
to its application to stormwater has traditionally been on the water quality of
stormwater and not on its quantity, timing, or other hydrologic properties.
Nonetheless, because the statutory definition of “pollutant” includes “industrial,
municipal, and agricultural waste discharged into water,” using transient and
substantial increases in flow in urban watersheds as a proxy for pollutant loading
seems a reasonable interpretation of the statute. EPA Regions 1 and 3 have con-
sidered flow control as a particularly effective way to track sediment loading,
and they have used flow in TMDLs as a surrogate for pollutant loading (EPA
Region 3, 2003). State trial courts have thus far ruled that municipal separate
storm sewer system (MS4) permits issued under delegated federal authority can
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THE CHALLENGE OF REGULATING STORMWATER 51
impose restrictions on flow where changes in flow impair the beneficial uses of
surface waters (Beckman, 2007). EPA should consider more formally clarifying
that significant, transient increases in flow in urban watersheds serve as a legally
valid proxy for the loading of pollutants. This clarification will allow regulators
to address the problems of stormwater in more diverse ways that include atten-
tion to water volume as well as to the concentration of individual pollutants.
Stormwater Discharge Program
By 1987, Congress became concerned about the significant role that storm-
water played in contributing to water pollution, and it commanded EPA to regu-
late a number of enumerated stormwater discharges more rigorously. Specifi-
cally, Section 402(p), introduced in the 1987 Amendments to the CWA, directs
EPA to regulate some of the largest stormwater discharges—those that occur at
industrial facilities and municipal storm sewers from larger cities and other sig-
nificant sources (like large construction sites)—by requiring permits and prom-
ulgating discharge standards that require the equivalent of the best available
technology [42 U.S.C. § 1342(p)(3)]. Effectively, then, Congress grafted larger
stormwater discharges onto the existing NPDES program that was governing
discharges from manufacturing and sewage treatment plants.
Upon passage of Section 402(p), EPA divided the promulgation of its
stormwater program into two phases that encompass increasingly smaller dis-
charges. The first phase, finalized in 1990, regulates stormwater discharges
from ten types of industrial operations (this includes the entire manufacturing
sector), construction occurring on five or more acres, and medium or large storm
sewers in areas that serve 100,000 or more people [40 C.F.R. § 122.26(a)(3)
(1990); 40 C.F.R. § 122.26 (b)(14) (1990)]. The second phase, finalized in
1995, includes smaller municipal storm sewer systems and smaller construction
sites (down to one acre) [60 Fed. Reg. 40,230 (Aug. 7, 1995) (codified at 40
C.F.R. Parts 122, 124 (1995)]. If these covered sources fail to apply for a per-
mit, they are in violation of the CWA.
Because stormwater is more variable and site specific with regard to its
quality and quantity than wastewater, EPA found it necessary to diverge in two
important ways from the existing NPDES program governing discharges from
industries and sewage treatment plants. First, stormwater discharge limits are
not federally specified in advance as they are with discharges from manufactur-
ing plants. Even though Congress directed EPA to require stormwater sources
to install the equivalent of the best available technology or “best management
practices,” EPA concluded that the choice of these best management practices
(referred to in this report as stormwater control measures or SCMs) would need
to be source specific. As a result, although EPA provides constraints on the
choices available, it generally leaves stormwater sources with responsibility for
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52 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
developing a stormwater pollution prevention plan and the state with the author-
ity to approve, amend, or reject these plans (EPA, 2006, p. 15).
Second, because of the great variability in the nature of stormwater flow,
some sources are not required to monitor the pollutants in their stormwater dis-
charges. Even when monitoring is required, there is generally a great deal of
flexibility for regulated parties to self-monitor as compared with the monitoring
requirements applied to industrial waste effluent (not stormwater from indus-
tries). More specifically, for a small subset of stormwater sources such as Phase
I MS4s, some monitoring of effluent during a select number of storms at a select
number of outfalls is required (EPA, 1996a, p. VIII-1). A slightly larger number
of identified stormwater dischargers, primarily industrial, are only required to
collect grab samples four times during the year and visually sample and report
on them (so-called benchmark monitoring). The remaining stormwater sources
are not required to monitor their effluent at all (EPA, 1996a). States and locali-
ties may still demand more stringent controls and rigorous stormwater monitor-
ing, particularly in areas undergoing a Total Maximum Daily Load (TMDL)
assessment, as discussed below. Yet, even for degraded waters subject to
TMDLs, any added monitoring that might be required will be limited only to the
pollutants that cause the degraded condition [40 C.F.R. §§ 420.32-420.36
(2004)].
Water Quality Management
Since technology-based regulatory requirements imposed on both stormwa-
ter and more traditional types of discharges are not tied to the conditions of the
receiving water—that is, they require sources only to do their technological best
to eliminate pollution—basic federal effluent limits are not always adequate to
protect water quality. In response to this gap in protection, Congress has devel-
oped a number of programs to ensure that waters are not degraded below mini-
mal federal and state goals [e.g., 33 U.S.C. §§ 1288, 1313(e), 1329, 1314(l)].
Among these, the TMDL program involves the most rigorous effort to control
both point and nonpoint sources to ensure that water quality goals are met [33
U.S.C. § 1313(d)].
Under the TMDL program, states are required to list waterbodies not meet-
ing water quality standards and to determine, for each degraded waterbody, the
“total maximum daily load” of the problematic pollutant that can be allowed
without violating the applicable water quality standard. The state then deter-
mines what types of additional pollutant loading reductions are needed, consid-
ering not only point sources but also nonpoint sources. It then promulgates con-
trols on these sources to ensure further reductions to achieve applicable water
quality goals.
The TMDL process has four separate components. The first two compo-
nents are already required of the states through other sections of the CWA: (1)
identify beneficial uses for all waters in the state and (2) set water quality stan-
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THE CHALLENGE OF REGULATING STORMWATER 53
dards that correlate with these various uses. The TMDL program adds two
components by requiring that states then (3) identify segments where water
quality goals have not been met for one or more pollutants and (4) develop a
plan that will ensure added reductions are made by point and/or nonpoint
sources to meet water quality goals in the future. Each of these is discussed
below.
Beneficial Uses. States are required to conduct the equivalent of “zoning”
by identifying, for each water segment in the state, a beneficial use, which con-
sists of ensuring that the waters are fit for either recreation, drinking water,
aquatic life, or agricultural, industrial, and other purposes [33 U.S.C. §
1313(c)(2)(A)]. All states have derived “narrative definitions” to define the
beneficial uses of waterbodies that are components of all water quality standard
programs. Many of these narrative criteria are conceptual in nature and tend to
define general aspects of the beneficial uses. For categories such as aquatic life
uses, most states have a single metric for differentiating uses by type of stream
(e.g., coldwater vs. warmwater fisheries). In general, the desired biological
characteristics of the waterbody are not well defined in the description of the
beneficial use. Some states, such as Ohio, have added important details to their
beneficial uses by developing tiered aquatic life uses that recognize a strong
gradient of anthropogenic background disturbance that controls whether a wa-
terbody can attain a certain water quality and biological functioning (see Box 2-
1; Yoder and Rankin, 1998). Any aquatic life use tier less stringent than the
CWA interim goal of “swimmable–fishable” requires a Use Attainability Analy-
sis to support a finding that restoration is not currently feasible and recovery is
not likely in a reasonable period of time. This analysis and proposed designa-
tion must undergo public comment and review and are always considered tem-
porary in nature. More importantly, typically one or more tiers above the opera-
tive interim goal of “swimmable–fishable” are provided. This method typically
will protect the highest attainable uses in a state more effectively than having
only single uses.
The concept of tiered beneficial uses and use attainability is especially im-
portant with regard to urban stormwater because of the potential irreversibility
of anthropogenic development and the substantial costs that might be incurred in
attempting to repair degraded urban watersheds to “swimmable–fishable” or
higher status. Indeed, it is important to consider what public benefits and costs
might occur for different designated uses. For example, large public benefits (in
terms of aesthetics and safety) might be gained from initial improvements in an
urban stream (e.g., restoring base flow) that achieve modest aquatic use and pro-
tect secondary human contact. However, achieving designated uses associated
with primary human contact or exceptional aquatic habitat may be much more
costly, such that the perceived incremental public gains may be much lower than
the costs that must be expended to achieve that more ambitious designation.
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54 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
BOX 2-1
Ohio’s Tiered Aquatic Life Uses
“Designated” or “beneficial” uses for waterbodies are an important aspect of the CWA
because they are the explicit water quality goals or endpoints set for each water or class of
waters. Ohio was one of the first states to implement tiered aquatic life uses (TALUs) in
1978 as part of its water quality standards (WQS). Most states have a single aquatic life
use for a class of waters based on narrative biological criteria (e.g., warmwater or cold-
water fisheries) although many states now collect data that would allow identification of
multiple tiers of condition. EPA has recognized the management advantages inherent to
tiered aquatic life uses and has developed a technical document on how to develop the
scientific basis that would allow States to implement tiered uses (EPA, 2005a; Davies and
Jackson, 2006).
Ohio’s TALUs reflect the mosaic of natural features across Ohio and over 200 years of
human changes to the natural landscape. Widespread information on Ohio’s natural his-
tory (e.g., Trautman’s 1957 Fishes of Ohio) provided strong evidence that the potential
fauna of streams was not uniform, but varied geographically. Based on this knowledge,
Ohio developed a more protective aquatic life use tier to protect streams of high biological
diversity that harbored unique assemblages of rare or sensitive aquatic species (e.g., fish,
mussels, invertebrates). In its WQS in 1978, Ohio established a narrative Exceptional
Warmwater Habitat (EWH) aquatic life use to supplement its more widespread general or
“Warmwater Habitat” aquatic life use (WWH) (Yoder and Rankin, 1995).
The CWA permits states to assign aquatic life uses that do not meet the baseline
swimmable-fishable goals of the CWA under specific circumstances after conducting a Use
Attainability Analysis (UAA), which documents that higher CWA aquatic life use goals (e.g.,
WWH and EWH in Ohio) are not feasibly attainable. These alternate aquatic life uses are
always considered temporary in case land use changes or technology changes to make
restoration feasible. The accrual of more than ten years of biological assessment data by
the late 1980s and extensive habitat and stressor data provided a key link between the
stressors that limited attainment of a higher aquatic life use in certain areas and reaches of
Ohio streams. This assessment formed the basis for several “modified” (physical) warm-
water uses for Ohio waters and a “limited” use (limited resource water, LRW) for mostly
small ephemeral or highly artificial waters (Yoder and Rankin, 1995). Table 2-2 summa-
rizes the biological and physical characteristics of Ohio TALUs and the management con-
sequences of these uses. Channelization typically maintained by county or municipal
drainage and flood control efforts, particularly where such changes have been extensive,
are the predominant cause of Modified and Limited aquatic life uses. Extensive channel
modification in urban watersheds has led to some modified warmwater habitat (MWH) and
LRW uses in urban areas. There has been discussion of developing specific “urban”
aquatic life uses; however the complexity of multiple stressors and the need to find a clear
link between the sources limiting aquatic life and feasible remediation is just now being
addressed in urban settings (Barbour et al., 2006).
The TALUs in Ohio (EWH LRW) reflect a gradient of landscape and direct physical
changes, largely related to changes to instream habitat and associated hydrological fea-
tures. Aquatic life uses and the classification strata based on ecoregion and stream size
(headwater, wadeable, and boatable streams) provide the template for the biocriteria ex-
pectations for Ohio streams (see Box 2-2). Identification of the appropriate tiers for
streams and UAA are a routine part of watershed monitoring in Ohio and are based on
biological, habitat, and other supporting data. Any recommendations for changes in
aquatic life uses are subject to public comment when the Ohio WQS are changed.
Ohio’s water quality standards contain specific listings by stream or stream reach with
notations about the appropriate aquatic life use as well as other applicable uses (e.g., rec-
reation). Much of the impact of tiered uses on regulated entities or watershed management
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THE CHALLENGE OF REGULATING STORMWATER 55
TABLE 2-2 Key features associated with tiered aquatic life uses in the Ohio WQS.
SOURCE: EPA (2005a), Appendix B.
efforts arises from the tiered chemical and stressor criteria associated with each TALU.
Criteria for compounds such as ammonia and dissolved oxygen vary with aquatic life use
(see Table 2-2). Furthermore, application of management actions in Ohio, ranging from
assigning antidegradation tiers, awarding funding for wastewater infrastructure and other
projects, to issuing CWA Section 401/404 permits, are influence by the TALU and the bio-
logical assemblages present.
Ohio has been expanding its use of tiered uses by proposing tiered uses for wetlands
(http://www.epa.state.oh.us/dsw/rules/draft_1-53_feb06.pdf) and developing new aquatic
life uses for very small (primary headwater, PHW) streams. Both of these water types have
a strong intersection with urban construction and stormwater practices. In Ohio this is es-
pecially so because the proposed mitigation standards for steams and wetlands are linked
to TALUs (Ohio EPA, 2007).
Davies and Jackson (2006) present a good summary of the Maine rationale for TA-
LUs: “(1) identifying and preserving the highest quality resources, (2) more accurately de-
picting existing conditions, (3) setting realistic and attainable management goals, (4) pre-
serving incremental improvements, and (5) triggering management action when conditions
decline” (Davies et al., 1999). Appendices A and B of EPA (2005a) provide more detailed
information about the TALUs in Maine and Ohio, respectively.
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56 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
Water Quality Criteria. Once a state has created a list of beneficial uses
for its waters, water quality criteria are then determined that correspond with
these uses. These criteria can target chemical, biological, or physical parame-
ters, and they can be either numeric or narrative.
In response to the acute chemical water pollution that existed when the
CWA was written, the primary focus of water quality criteria was the control of
toxic and conventional pollutants from wastewater treatment plants. EPA de-
veloped water quality criteria for a wide range of conventional pollutants and
began working on criteria for a list of priority pollutants. These were generally
in the form of numeric criteria that are then used by states to set their standards
for the range of waterbody types that exist in that state. While states do not have
to adopt EPA water quality criteria, they must have a scientific basis for setting
their own criteria. In practice, however, states have promulgated numerical wa-
ter quality standards that can vary by as much as 1,000-fold for the same con-
taminant but are still considered justified by the available science [e.g., the water
quality criteria for dioxin—Natural Resources Defense Council, Inc. vs. EPA, 16
F.3d 1395, 1398, 1403-05 (4th Cir. 1993)].
The gradual abatement of point source impairments and increased focus on
ambient monitoring and nonpoint source pollutants has led to a gradual, albeit
inconsistent, shift by states toward (1) biological and intensive watershed moni-
toring and (2) consideration of stressors that are not typical point source pollut-
ants including nutrients, bedded sediments, and habitat loss. For these parame-
ters, many states have developed narrative criteria (e.g., “nutrients levels that
will not result in noxious algal populations”), but these can be subjective and
hard to enforce.
The use of biological criteria (biocriteria) has gained in popularity because
traditional water quality monitoring is now perceived as insufficient to answer
questions about the wide range of impairments caused by activities other than
wastewater point sources, including stormwater (GAO, 2000). As described in
Box 2-2, Ohio has defined biocriteria in its water quality standards based on
multimetric indices from reference sites that quantify the baseline expectations
for each tier of aquatic life use.
Antidegradation. The antidegradation provision of the water quality stan-
dards deals with waters that already achieve or exceed baseline water quality
criteria for a given designated use. Antidegradation provisions must be consid-
ered before any regulated activity can be authorized that may result in a lower-
ing of water quality which includes biological criteria. These provisions protect
the existing beneficial uses of a water and only allow a lowering of water quality
(but never lower than the baseline criteria associated with the beneficial use)
where necessary to support important social and economic development. It es-
sentially asks the question: is the discharge or activity necessary? States with
refined designated uses and biological criteria have used these programs to their
advantage to craft scientifically sound, protective, yet flexible antidegradation
rules (see Ohio and Maine). Antidegradation is not a replacement for tiered
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THE CHALLENGE OF REGULATING STORMWATER 57
BOX 2-2
Ohio’s Biocriteria
After it implemented tiered aquatic life uses in 1978, Ohio developed numeric biocrite-
ria in 1990 (Ohio WQS; Ohio Administrative Code 3745-1) as part of its WQS. Since des-
ignated uses were formulated and described in ecological terms, Ohio felt that it was natu-
ral that the criteria should be assessed on an ecological basis (Yoder, 1978). Subsequent
to the establishment of the EWH tier in its WQS, Ohio expanded its biological monitoring
efforts to include both macroinvertebrates and fish (Yoder and Rankin, 1995) and estab-
lished consistent and robust monitoring methodologies that have been maintained to the
present. This core of consistently collected data has allowed the application of analytical
tools, including multimetric indices such as the Index of Biotic Integrity (IBI), the Inverte-
brate Community Index (ICI), and other multivariate tools. The development of aquatic
ecoregions (Omernik, 1987, 1995; Gallant et al., 1989), a practical definition of biological
integrity (Karr and Dudley, 1981), multimetric assessment tools (Karr, 1981; Karr et al.,
1986), and reference site concepts (Hughes et al., 1986) provided the basis for developing
Ohio’s ecoregion-based numeric criteria.
Successful application of biocriteria in Ohio was dependent on the ability to accurately
classify aquatic ecosystem changes based on primarily natural abiotic features of the envi-
ronment. Ohio’s reference sites, on which the biocriteria are based, reflect spatial differ-
ences that were partially explained by aquatic ecoregions and stream size. Biological indi-
ces were calibrated and stratified on this basis to arrive at biological criteria that present
minimally acceptable baseline ecological index scores (e.g., IBI, ICI). Ohio biocriteria strati-
fied by ecoregion aquatic life use and stream size are depicted in Figure 2-1.
FIGURE 2-1 Numeric biological criteria adopted by Ohio EPA in 1990, using three biologi-
cal indices [IBI, ICI, and the Modified Index of well-being (Mlwb), which is used to assessed
fish assemblages] and showing stratification by stream size, ecoregion, and designated use
(warmwater habitat, WWH; modified warmwater habitat-channelized, MWH-C; modified
warmwater habitat-impounded, MWH-I; and exceptional warmwater habitat, EWH).
SOURCE: EPA (2006, Appendix B). The basis for the Ohio biocriteria and sampling meth-
ods is found in Ohio EPA (1987, 1989a,b), DeShon (1995), and Yoder and Rankin (1995).
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118 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
FIGURE 2-5 Trend of lead concentrations in stormwater in EPA rain zone 2 from 1980 to
2001. Although the range of lead concentrations for any narrow range of years is quite
large, there is a significant and obvious trend in concentration for these 20 years.
SOURCE: National Stormwater Quality Database (version 3).
FIGURE 2-6 Trend of the organophosphate pesticide diazinon in MS4 discharges that flow
into a stormwater basin in Fresno County, California, following a ban on the pesticide. The
figure shows the significant drop in the diazinon concentration in just four years to levels
where it is no longer toxic to freshwater aquatic life. EPA prohibited the retail sale of diazi-
non for crack and crevice and virtually all indoor uses after December 31, 2002, and non-
agriculture outdoor use was phased out by December 31, 2004. Restricted use for agricul-
tural purposes is still allowed. SOURCE: Reprinted, with permission, from Brosseau
(2007). Copyright 2006 by Fresno Metropolitan Flood Control District.
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THE CHALLENGE OF REGULATING STORMWATER 119
bution to stormwater pollution. The EPA’s authority to prioritize and target
products that increase pollutants in runoff, both for added testing and regulation,
seems clear from the broad language of TSCA [15 U.S.C. § 2605(a)]. The un-
derutilization of this national authority to regulate environmentally deleterious
stormwater pollutants thus seems to be a remediable shortcoming of EPA’s cur-
rent stormwater regulatory program.
CONCLUSIONS AND RECOMMENDATIONS
In an ideal world, stormwater discharges would be regulated through direct
controls on land use, strict limits on both the quantity and quality of stormwater
runoff into surface waters, and rigorous monitoring of adjacent waterbodies to
ensure that they are not degraded by stormwater discharges. Future land-use
development would be controlled to prevent increases in stormwater discharges
from predevelopment conditions, and impervious cover and volumetric restric-
tions would serve as a reliable proxy for stormwater loading from many of these
developments. Large construction and industrial areas with significant amounts
of impervious cover would face strict regulatory standards and monitoring re-
quirements for their stormwater discharges. Products and other sources that
contribute significant pollutants through stormwater—like de-icing materials,
urban fertilizers and pesticides, and vehicular exhaust—would be regulated at a
national level to ensure that the most environmentally benign materials are used
when they are likely to end up in surface waters.
In the United States, the regulation of stormwater looks quite different from
this idealized vision. Since the primary federal statute—the CWA—is con-
cerned with limiting pollutants into surface waters, the volume of discharges are
secondary and are generally not regulated at all. Moreover, given the CWA’s
focus on regulating pollutants, there are few if any incentives to anticipate or
limit intensive future land uses that generate large quantities of stormwater.
Most stormwater discharges are regulated instead on an individualized basis
with the demand that existing point sources of stormwater pollutants implement
SCMs, without accounting for the cumulative contributions of multiple sources
in the same watershed. Moreover, since individual stormwater discharges vary
with terrain, rainfall, and use of the land, the restrictions governing regulated
parties are generally site-specific, leaving a great deal of discretion to the dis-
chargers themselves in developing SWPPPs and self-monitoring to ensure com-
pliance. While states and local governments are free to pick up the large slack
left by the federal program, there are effectively no resources and very limited
infrastructure with which to address the technical and costly challenges faced by
the control of stormwater. These problems are exacerbated by the fact that land
use and stormwater management responsibilities within local governments are
frequently decoupled. The following conclusions and recommendations are
made.
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120 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
EPA’s current approach to regulating stormwater is unlikely to pro-
duce an accurate or complete picture of the extent of the problem, nor is it
likely to adequately control stormwater’s contribution to waterbody im-
pairment. The lack of rigorous end-of-pipe monitoring, coupled with EPA’s
failure to use flow or alternative measures for regulating stormwater, make it
difficult for EPA to develop enforceable requirements for stormwater discharg-
ers. Instead, under EPA’s program, the stormwater permits leave a great deal of
discretion to the regulated community to set their own standards and self-
monitor.
Implementation of the federal program has also been incomplete. Current
statistics on the states’ implementation of the stormwater program, discharger
compliance with stormwater requirements, and the ability of states and EPA to
incorporate stormwater permits with TMDLs are uniformly discouraging. Radi-
cal changes to the current regulatory program (see Chapter 6) appear necessary
to provide meaningful regulation of stormwater dischargers in the future.
Future land development and its potential increases in stormwater
must be considered and addressed in a stormwater regulatory program.
The NPDES permit program governing stormwater discharges does not provide
for explicit consideration of future land use. Although the TMDL program ex-
pects states to account for future growth in calculating loadings, even these more
limited requirements for degraded waters may not always be implemented in a
rigorous way. In the future, EPA stormwater programs should include more
direct and explicit consideration of future land developments. For example,
stormwater permit programs could be predicated on rigorous projections of fu-
ture growth and changes in impervious cover within an MS4. Regulators could
also be encouraged to use incentives to lessen the impact of land development
(e.g., by reducing needless impervious cover within future developments).
Flow and related parameters like impervious cover should be consid-
ered for use as proxies for stormwater pollutant loading. These analogs for
the traditional focus on the “discharge” of “pollutants” have great potential as a
federal stormwater management tool because they provide specific and measur-
able targets, while at the same time they focus regulators on water degradation
resulting from the increased volume as well as increased pollutant loadings in
stormwater runoff. Without these more easily measured parameters for evaluat-
ing the contribution of various stormwater sources, regulators will continue to
struggle with enormously expensive and potentially technically impossible at-
tempts to determine the pollutant loading from individual dischargers or will
rely too heavily on unaudited and largely ineffective self-reporting, self-
policing, and paperwork enforcement.
Local building and zoning codes, and engineering standards and prac-
tices that guide the development of roads and utilities, frequently do not
promote or allow the most innovative stormwater management. Fortu-
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THE CHALLENGE OF REGULATING STORMWATER 121
nately, a variety of regulatory innovations—from more flexible and thoughtful
zoning to using design review incentives to guide building codes to having sepa-
rate ordinances for new versus infill development can be used to encourage
more effective stormwater management. These are particularly important to
promoting redevelopment in existing urban areas, which reduces the creation of
new impervious areas and takes pressure off of the development of lands at the
urban fringe (i.e., reduces sprawl).
EPA should provide more robust regulatory guidelines for state and lo-
cal government efforts to regulate stormwater discharges. There are a num-
ber of ambiguities in the current federal stormwater program that complicate the
ability of state and local governments to rigorously implement the program.
EPA should issue clarifying guidance on several key areas. Among the areas
most in need of additional federal direction are the identification of industrial
dischargers that constitute the highest risk with regard to stormwater pollution
and the types of permit requirements that should apply to these high-risk
sources. EPA should also issue more detailed guidance on how state and local
governments might prioritize monitoring and enforcement of the numerous and
diverse stormwater sources within their purview. Finally, EPA should issue
guidance on how stormwater permits could be drafted to produce more easily
enforced requirements that enable oversight and enforcement not only by gov-
ernment officials, but also by citizens. Further detail is found in Chapter 6.
EPA should engage in much more vigilant regulatory oversight in the
national licensing of products that contribute significantly to stormwater
pollution. De-icing chemicals, materials used in brake linings, motor fuels,
asphalt sealants, fertilizers, and a variety of other products should be examined
for their potential contamination of stormwater. Currently, EPA does not appar-
ently utilize its existing licensing authority to regulate these products in a way
that minimizes their contribution to stormwater contamination. States can also
enact restrictions on or tax the application of pesticides or even ban particular
pesticides or other particularly toxic products. Austin, for example, has banned
the use of coal-tar sealants within city boundaries. States and localities have
also experimented with alternatives to road salt that are less environmentally
toxic. These local efforts are important and could ultimately help motivate
broader scale, federal restrictions on particular products.
The federal government should provide more financial support to state
and local efforts to regulate stormwater. State and local governments do not
have adequate financial support to implement the stormwater program in a rig-
orous way. At the very least, Congress should provide states with financial sup-
port for engaging in more meaningful regulation of stormwater discharges. EPA
should also reassess its allocation of funds within the NPDES program. The
agency has traditionally directed funds to focus on the reissuance of NPDES
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122 URBAN STORMWATER MANAGEMENT IN THE UNITED STATES
wastewater permits, while the present need is to advance the NPDES stormwater
program because NPDES stormwater permittees outnumber wastewater permit-
tees more than five fold, and the contribution of diffuse sources of pollution to
degradation of the nation’s waterbodies continues to increase.
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