2. Illicit discharge: The Illicit Discharge Detection and Elimination program requires Colorado DOT to implement a program for detecting and removing illicit discharges and improperly disposed materials into the MS4.
3. Industrial facilities: Colorado DOT requires all facilities discharging stormwater to obtain specific authorization. This program highlights education to promote the minimization of pollutants from facilities contributing to the MS4.
4. Public education and outreach: Colorado DOT has implemented a public education program to promote behavior change and reduce pollutants in discharges from the MS4. Colorado DOT conducts a variety of outreach activities for employees and the public.
5. Permanent water quality: Each Colorado DOT region is responsible for evaluating new construction and redevelopment sites in the Colorado DOT MS4 permit area to determine whether stormwater controls are required. Controls are permanent water quality control (QC) measures.
6. Pollution prevention and good housekeeping: Colorado DOT prioritizes the minimization of pollutants in stormwater by developing runoff control plans for maintenance facilities, requiring the proper application of chemicals such as pesticides and fertilizers, and operating public roadways to promote safety and stormwater quality protection.
7. Wet weather monitoring: Colorado DOT assesses wet weather impacts from highways and the performance of control measures used to control stormwater discharges.

Of the seven MS4 programs, the Construction Sites MS4 Permit program focuses on construction stormwater management. The MS4 Construction Program Manual (Colorado DOT, 2023) assists Colorado DOT in consistently managing permit requirements. The Construction Sites MS4 Permit requires Colorado DOT to implement a program to reduce or prevent pollutant and sediment discharges to the MS4 for construction activities. This program helps to build consistency in the Colorado DOT stormwater management program. Temporary and permanent control measures are selected, designed, installed, implemented, and maintained to control all potential pollutant sources, especially sediment. In addition, Colorado DOT also requires a stormwater management plan, inspections of construction sites, associated control measures, and enforcement of permit requirements. To meet MS4 requirements for construction sites, Colorado DOT uses a variety of documents, forms, templates, guidelines, and training to ensure compliance during construction. Many of these documents can be found at https://www.codot.gov/programs/environmental/water-quality/construction-sites-program.

Approaches and Processes

Colorado DOT has a set of water quality specifications (i.e., Specification Sections 107.25, 208, 213, and 216) used for projects larger than 1 acre, which help Colorado DOT consistently perform construction stormwater management. These specifications are included in the contract documents. The contract spells out project-specific directions along with quantities of stormwater and E&SC measures so that contractors can accurately bid on the work. However, Colorado DOT personnel pointed out that the process for stormwater management differs depending on whether the project was design-bid-build, design-build, or construction manager/general contractor delivery. Colorado DOT has an oversight role within the MS4 program until Colorado DOT requires the contractor to obtain the CGP for all projects with land disturbances larger than 1 acre. The CGP for the state of Colorado is issued through the Colorado Discharge Permit System (CDPS) and is called the “Stormwater Construction Permit” (SCP). All projects with an SCP must follow water quality specifications. Subsequently, regional and headquarters staff perform MS4 and SCP inspections at the construction site. The statewide approach was implemented because the SCP requires Colorado DOT to be listed as the owner and the contractor to be listed as the operator (it is a dual permit). Colorado DOT ensures that work is performed according to the contract and conforms with the regulations and permits issued by the Colorado Department of Public Health and Environment (DPHE), the regulatory agency in Colorado.

The Colorado DPHE recently developed a new SCP, which requires Colorado DOT to make specification revisions for highway construction projects requiring the SCP. These revisions require resources and time. In addition, Colorado DOT has revised its regulatory authority to be practice-based so that the contractors are more proactive in complying with the SCP requirements. The regulatory mechanism approach has pushed the contractors who work with Colorado DOT to be more proactive in their construction stormwater management. Typically, and based on the contract, if contractors notice a deficiency, they must address those items to fully comply with the permits and the contract. Therefore, if deficiencies become a chronic problem and the contractor shows no motivation to comply, Colorado DOT has the resources and approach to assess liquidated damages to get the contractor and the control measures back in line.

Colorado DPHE implemented practice-based permitting to comply with federal and state stormwater and erosion control regulations and laws, which Colorado DOT is required to follow. As defined by Colorado DOT personnel, “practice-based” means that the documents do not define a rain or storm event to be controlled at a construction site. Therefore, Colorado DOT and the contractor are responsible to prevent or minimize pollutants or sediment from leaving the construction site. There are no numeric quantities to follow, and measurements of total dissolved solids and total suspended solids are not required. Rain gauges are not required. The approach ensures that no pollutants or sediments are discharged outside the limits of the construction permit area. Practice-based methods rely on observations, inspections, and proactive decisions to ensure sediments and pollutants do not leave the site.

The contractor conducts inspections of construction stormwater management practices and control measures. Inspections of a project’s SCP requirements occur every 7 days, with the option to conduct inspections more frequently based on the discretion of Colorado DOT personnel. Any findings or deficiencies noted in an SCP inspection are to be corrected within 2 calendar days; findings that note spills or discharges off the project site must be corrected upon observation. Subsequently, Colorado DOT personnel conduct MS4 monthly audit reports (MARs). For these audit inspections, a software program is used to document conditions and look for findings that are regular (minor issues found throughout the site), severe [discharge outside of the limits of construction (LOC)], chronic (several deficiencies at the same location), or chronic and severe (several instances of discharges outside of the LOC at the same location). Chronic conditions may result in liquidated damages assessed on the contractor by Colorado DOT for repeated findings at the same location that appear on two MARs conducted in the last 3 months. While MS4 deficiencies are deemed non-compliant, they also signal to Colorado DOT a breach of contract; that is, the contractor is not following the permit requirements defined in the contract, thereby leading to potentially assessing liquidated damages.

Liquidated damages can be assessed immediately after the seventh day for unaddressed deficiencies found in the MS4 audits and range from $1,500 per finding for regular findings to $5,000 per finding for chronic and severe findings. This condition is spelled out in Erosion Control Specification subsection 208.09: Regulatory Mechanism for Water Quality. Liquidated damages are assessed when the contractor is found in non-compliance with Specification 208, and the liquidated damages are deducted from payments owed to the contractor.

Based on Specification 208, liquidated damages can be applied for failure to comply with the specification and failure to perform the following:

• Implementing necessary actions required by the engineer
• Constructing or implementing erosion control or spill containment measures required by the contract or constructing or implementing them in accordance with the contractor’s project schedule
• Stabilizing disturbed areas as required

• Replacing or performing maintenance on an erosion control feature after notice from the engineer to replace or perform maintenance as required
• Removing and disposing of sediment from control measures as required
• Installing and properly utilizing a concrete washout structure for containing washout from concrete placement activities
• Performing permanent stabilization as required
• Preventing discharges not composed entirely of stormwater from leaving the construction site
• Surveying permanent water quality features when required on the project

Depending on the contract type, consultants are used as quality assurance (QA)/(QC) teams for innovative contracting projects such as design-build and construction manager/general contractor. The QA/QC teams perform inspections along with the project and MS4 inspections. Colorado DOT is also considering a program to qualify consultants as project compliance administrators so that, in addition to Colorado DOT personnel, consultants can oversee more aspects of construction stormwater management.

Benefits and Challenges

One of the benefits shared by Colorado DOT personnel is the use of specifications, which make contractors more proactive in their stormwater management and maintenance during construction. As long as the contractor is performing their job according to contract specifications, Colorado DOT lets them work without much interference. This approach has helped to improve relations between Colorado DOT and its contractors. Along with this benefit, the specifications also include processes for assessing liquidated damages to contractors when they are not working according to permit and contract requirements. The regulatory mechanism in Specification 208.09 stipulates liquidated damages that can be assessed, as well as stop work orders and the requirements that differentiate between assessing liquidated damages and stop work orders. The contractor is aware of this specification before the project starts. This approach allows Colorado DOT to assess liquidated damages when contractors are not working according to contract specifications.

The primary challenge mentioned by Colorado DOT personnel is determining quantities. During design, when control measures are over-quantified, design costs are inflated and potentially increase bids from contractors to account for the over-quantification. However, when control measures are under-quantified, change modification orders (CMOs) are issued to account for the additional work not originally included. Colorado DOT mentioned that CMOs that account for additional stormwater management work tend to be 20% to 40% more than if they were included in the original design.

Stormwater Pollution Prevention Plan

In lieu of a stormwater pollution prevention plan, Colorado DOT develops a stormwater management plan for each construction site that disturbs 1 acre or more of land, according to Construction Sites MS4 Permit program requirements and the state CDPS SCP. The objective of this plan is to prevent sediment from reaching outside the LOC as defined in the SCP permit. Various erosion control and pollution prevention requirements are addressed when developing the stormwater management plan as well as items to address public engagement and education initiatives, among others. Each project must have a site-specific plan and must consider all measures stated in the Colorado DOT Water Quality Specification 107.25 and the Erosion Control Specification 208. Colorado DOT uses a template to develop the project site-specific stormwater management plan, which can be found here: https://www.codot.gov/programs/environmental/landscape-architecture/swmp/stormwater-management-plan-swmp.

The stormwater management plan varies in length and complexity depending on project size, severity of site conditions, and proximity of the site to state waters and sensitive habitats. Typically, the plan encompasses measures for managing construction-induced runoff, erosion control, detection and elimination of illicit discharges, post-construction stormwater management (PCSM), and pollution prevention.

The stormwater management plan is required to contain information and control measures necessary for the following actions:

• Minimizing the amount of disturbed soil
• Controlling and minimizing erosion and sedimentation during and after the construction phase of a project
• Preventing runoff from off-site areas from flowing across the state
• Slowing runoff
• Reducing pollutants in stormwater runoff

Information needed for the stormwater management plan is listed in Table 4. In addition, the plan addresses the following factors when applicable to a highway construction project:

• Unstable stream reaches and flood mark
• Watershed areas
• Stream crossings
• Access routes for construction
• Access for maintenance of temporary and permanent erosion controls
• Borrow and waste disposal areas
• Critical natural and constructed slopes, soil types, eroding areas, rock outcroppings, and seepage zones
• Requirements imposed by adjacent landowners and stewards
• Construction dewatering methods and locations
• Detours
• Concrete washout methods and locations
• Fuel storage areas
• Methods of limiting off-site soil tracking

All projects that include 1 acre or more of soil disturbances require a site-specific stormwater management plan. The Colorado DOT requires plan designers to obtain and maintain

Table 4. Information needed for Colorado DOT’s SWMP (Colorado DOT, 2023).

certification from the Colorado DOT. The certification is available through a two-day training class provided by Colorado DOT. The stormwater management plan designer can be a Colorado DOT employee or a contractor. The design of the plan is completed before advertisement and bidding for design-bid-build projects. Form 128 includes requirements for when the stormwater management plan is prepared depending on the contract type used for a project. Form 128 documents all National Environmental Policy Act (NEPA) and stormwater management permits and requirements for a specific project.

The Colorado DOT Water Quality Construction Section at headquarters manages the stormwater management plan template for designers. The template notes all areas required by the SCP and the contract and where project-specific information is needed. Typically, before active construction, the awarded contractor receives the following two tabs of information from the stormwater management plan notebook:

• Tab 1: Stormwater Management Plan Narrative (derived from the Stormwater Management Plan Template and reviewed by Colorado DOT prior to signing Form 128).
• Tab 2: Stormwater Management Plan Maps based on the permit requirements and part of the contract documents.

After the stormwater management plan is prepared, the plan reviewer checks it to ensure all components are included and detailed. Stormwater management plan reviewers must be Colorado DOT personnel, must maintain certification, and cannot review their own work. After the review, the stormwater management plan is sent to the contractor to implement, manage, and maintain throughout construction. The plan defines the project limits, areas of disturbance, sequence of construction, control measures for stormwater pollution prevention, methods of materials handling and spill prevention, methods of waste disposal, and final stabilization methods. During construction, the stormwater management plan can be modified by the contractor according to specifications.

Best Management Practices

At Colorado DOT, construction BMPs are called “control measures” and can be temporary or permanent. Generally, the Colorado DOT water quality specifications state the control measures that can be used across the state for highway construction. Specifications 208 and 216 define the control measures that can be used, which include the following:

• Erosion bales
• Silt fence (used regularly)
• Temporary berms (used regularly)
• Temporary slope drains
• Silt berms
• Rock check dams
• Sediment traps
• Sediment logs (used regularly)
• Silt dikes
• Concrete washout structures (used regularly)
• Prefabricated concrete washout structures
• Vehicle tracking pads (used regularly)
• Aggregate bags (used regularly)
• Storm drain inlet protection (used regularly)
• Topographical controls
• Stabilization methods
• Spill response plans
• Washout areas

• Erosion control blankets
• Grading techniques

If a contractor wants to use practices outside the Colorado DOT specifications and standards, the contractor can submit a non-standard control measure form that describes the potential practice. The Colorado DOT engineer then reviews and either approves or rejects its use. While non-standard control measures may be approved, flocculants cannot be used, since Colorado does not allow their use for water quality processes.

Beginning in 2009, Colorado DOT management and the state environmental department encouraged increased use of permanent BMPs. Currently, Colorado DOT retrofits these permanent stormwater management structures, which have been through a cycle of use and must be enlarged, smoothed, or expanded for use as temporary BMPs for new construction. Colorado DOT is developing processes for their design engineers to use permanent structures as temporary practices for new highway construction.

Training

Colorado DOT requires that the contractor employ a trained and certified Stormwater Management Plan Administrator. This administrator must possess working knowledge of and experience in construction stormwater management and hold a current Transportation Erosion Control Supervisor (TECS) certificate issued by Colorado DOT and obtained through a two-day training course at Colorado DOT’s water quality training center.

The first training day focuses on stormwater management plan administration and includes topics such as updating the stormwater management plan and reporting requirements. The second day of training explains stormwater management concepts and familiarizes the trainees with watersheds; drainage basins; soil types; control measures; installation, maintenance, and inspection requirements; channelized flows and sheet flows; evaluation and site management; and other items related to construction stormwater management. The trainees observe different scenarios and simulators to demonstrate how, for example, if a secondary drainage pipe is added, the drainage basin is doubled, which is accounted for in the design. The afternoon session of day 2 is conducted in the field at a training facility to demonstrate sheet, blow, and channelized flow; stockpile capacity; sensitive areas; concrete washouts; and proper BMP installation and inspection. Course completion certifies the trainee for 3 years, and a refresher class is required every 3 years after initial certification.

Additionally, Colorado DOT requires stormwater management plan designers and reviewers to be certified. They can become certified by completing training at a water quality training center. A two-day virtual class provides a basic understanding of construction stormwater management and E&SC principles for the design and review of stormwater management plans. This certification is required for Colorado DOT environmental staff who review stormwater management plans and all Colorado DOT and consultant staff who design stormwater management plans.

Colorado DOT also has a new hire training for Region Water Pollution Control Managers (RWPCMs). RWPCMs, who are Colorado DOT employees, are responsible for conducting the MARs at highway construction sites that have an SCP. As indicated by Colorado DOT personnel, the RWPCMs are key to auditing for MS4 compliance and assisting project staff with all other compliance measures. This training is an intensive two-year program that includes the following three tracks:

• First track: Field cross-training across all construction stormwater management permits and Colorado DOT regions.
• Second track: Learning about the MS4 program and additional responsibilities.
• Third track: Review of MS4 Construction Program Manual.

Audits

Colorado DOT has four audit tiers, as described in the MS4 Construction Program Manual. The following describes each tier:

• Tier I: The contractor follows the contract and performs Form 1176 SCP permit inspections as stated. Form 1176 is included in Appendix F.
• Tier II: MS4 permit inspections are MARs that RWPCMs perform over the shoulder of the contractor to verify and ensure compliance with permit requirements.
• Tier III: The Water Quality section from Colorado DOT headquarters performs audits of each region by overseeing and monitoring the work to ensure it is consistent and meets all permit requirements.
• Tier IV: Regulatory or internal audits performed by the Colorado DOT auditing department or a third-party contractor occur every 5 years.

While the Colorado DPHE conducts frequent audits of projects with an SCP Regulatory MS4, audits occur infrequently at Colorado DOT. However, a regulatory audit conducted by the Environmental Protection Agency (EPA) in 2015 found that Colorado DOT MS4 programs were not uniform and inconsistently implemented across the state. The MS4 Construction Program was emphasized, leading to the development of the MS4 Construction Program Manual. Colorado DOT made processes and approaches more uniform across all six DOT regions. When regulatory audits occur, they invoke changes to the stormwater management program.

Experiences and Findings

Sharing the experiences of Colorado DOT staff involved with construction stormwater program management helps other DOTs with their construction stormwater management program and associated processes and procedures for managing, tracking, monitoring, and reporting compliance with permit requirements.

The findings from Colorado DOT include the following:

• Proactive specifications for stormwater management: Colorado DOT’s Specifications 107.25, 208, 213, and 216 provide that, if contractors perform work according to the contract, they are in compliance with the contract. Compliance typically refers to minimum findings occurring during the MARs, thereby allowing better use of time to find solutions to issues. When the contractor stays on top of construction stormwater management and maintenance, Colorado DOT normally does not need to intervene or provide much information because the contractor is managing proactively in the field.
• Liquidated damages: Colorado DOT has set up a regulatory mechanism in their specifications that allows them to assess liquidated damages for non-compliance. Liquidated damages are assessed so that Colorado DOT can add more resources to help manage compliance. Liquidated damages are assessed per finding and based on failing to address a finding within 7 days. The amount of liquidated damages increases depending on the severity and frequency of the deficiency.
• Training program: Colorado DOT has established training and certification programs for construction stormwater management. A two-day TECS class certifies the contractor’s stormwater management plan administrator. Stormwater management plan designers and reviewers are also required to attend training and obtain certification to design and review the project site-specific plan. Finally, RWPCM new hire training for Colorado DOT MS4 auditors is an intensive two-year program that helps ensure uniformity and consistency of the statewide MS4 program.

Florida Department of Transportation

Florida adopted a statewide stormwater rule in 1982, making it the first state in the United States to require stormwater treatment for all new developments, including highways. The stormwater rule is technology-based and was captured from the National Pollutant Discharge Elimination System (NPDES). The rule is based on performance standards (e.g., environmental goals), and BMPs designed and presumed to meet the goals are implemented on construction projects. The Water Resources Implementation Rule for the state of Florida sets performance standards.

Performance standards for erosion and sediment control (E&SC) measures retain sediment on-site, with a backstop so that no discharge violates the state of Florida’s water quality standards, including those for turbidity. Therefore, the objectives of the state’s stormwater regulatory program and the Florida Department of Environmental Protection (DEP) are to protect water quality and to minimize erosion and sedimentation by requiring the use of effective BMPs during and after grading or removal of vegetation.

As mandated by the Clean Water Act (CWA), permits must be obtained for stormwater discharges from construction sites that meet or exceed the EPA’s criteria. The EPA administers CWA requirements by requiring Florida DOT to follow the NPDES CGP process. The Florida DEP implements the NPDES program and issues the NPDES CGP as the state regulatory authority. Florida DOT works with the Florida DEP and their contractors to obtain the necessary permits.

Various rules and regulations are in place for managing stormwater and associated permit requirements. Therefore, the Erosion and Sediment Control Designer and Reviewer Manual (referred to in this synthesis as “the Manual”) was created in 2007 for Florida DOT and Florida DEP. The Manual was updated in 2013 and contains the fundamental guidelines for preparing, implementing, and maintaining stormwater management during highway construction. The purpose of the Manual is to assist designers and reviewers by providing practical E&SC options as part of the SWPPP for the contractor to implement during construction. The overall purpose of the Manual is to build a level of consistency in technical expertise and professional conduct to ensure the desired benefits of the construction stormwater management program are achieved.

Beyond the Manual and guides available, each of the districts within Florida DOT has its own processes for monitoring and tracking construction stormwater management. Furthermore, it is important to note that the Manual provides guidelines only and does not dictate specific means and methods to the contractor, except for specifications and standards (e.g., a contractor is not allowed to clear more than 750,000 square feet for a project without engineering approval).

Approaches and Processes

Construction stormwater management at Florida DOT is part of project management, but the program includes personnel from various offices within the DOT, including construction and environmental. However, Florida DOT is undergoing a substantial change in its construction stormwater management program. Florida DOT is decentralized: districts handle day-to-day activities while headquarters provides support, policies, and oversight for stormwater management. The Florida DEP oversees the stormwater permitting process, and regional water management districts (WMDs) are delegated by the DEP across the state. The WMDs require environmental resource permitting (ERP) when installing additional impervious areas such as pavements or structures or impacting surrounding environments such as wetlands. Florida DOT has an Office of Environmental Management for proposed projects. The Florida DOT Roadway Design Office obtains the ERP with assistance from their consultant design engineers along with information received from the Office of Environmental Management. After the ERP is obtained

during design, Florida DOT includes this information in the contract documents and sends it to contractors so that they comply with the permit criteria and requirements during construction.

In Florida, along with the ERP, the contractor is required to obtain the NPDES CGP before construction begins. While the ERP and the NPDES CGP are similar, both must be obtained. For example, the ERP and the NPDES CGP have a section describing what the project team must do during construction. The project designers from Florida DOT complete this section during the ERP process, and contractors complete their portion of this section during the NPDES CGP process. Florida DOT is implementing changes in its stormwater management program to separate the responsibilities of managing stormwater from design through final construction. Clearly stating roles and responsibilities helps improve consistency in the Florida DOT construction stormwater management program.

Inspections of installed BMPs and control measures on construction projects occur every 7 days according to the NPDES CGP or within 24 hours of a storm event. The rule for conducting inspections after a storm event has been to inspect within 24 hours of one-half inch or more of rainfall, but this may be changing along with other modifications proposed by the Florida DEP and the NPDES CGP. The project team relies on third-party consultants for each district to ensure that the contractor monitors, manages, and maintains BMPs and control measures. Florida DOT personnel conduct regular audit inspections or checks when needed, such as after a major storm event.

Florida DOT follows the ERP and the NPDES CGP during construction to ensure compliance. Therefore, when a deficiency is discovered or sediment is found to be running off the site, third-party consultants step in to notify contractors of a failure and instruct them to fix the deficiency as soon as possible and address any issues occurring outside project limits, such as shoveling dirt or disposing of trash. When the contractor neglects stormwater management and maintenance, Florida DOT third-party consultants discuss the situation with the contractor. They may issue verbal warnings, written warnings, or deficiency letters for environmental deficiencies needing to be addressed. Florida uses a contractor past performance rating, part of which is environmental compliance. If a deficiency escalates, a past performance rating is negatively affected, making it more difficult for a contractor to gain future work with Florida DOT.

Consistency is built into the construction stormwater management program at Florida DOT. Guidelines provided by headquarters are consistently provided to all DOT districts. Management and enforcement fall on third-party consultants, while internal audits of the districts and the third-party consultants are the central office’s responsibility to ensure that stakeholders comply. This approach has helped Florida DOT build consistency into the program. However, with the newly revised construction stormwater management process implemented, Florida DOT personnel acknowledged that it might take time for stakeholders to get up to speed on the new practices.

Benefits and Challenges

When the project team, DOT staff, consultants, and contractors follow requirements and guidelines, Florida DOT realizes compliance, evident by cleaner waters near and around construction sites. Federal and state laws and regulations keep water clean by not allowing pollutants or sediment to leave a site and impact property or other receiving waters. Florida DOT’s goal is to minimize impact and negative public relations, since they receive complaints from the public and state legislators. Negative impacts on water bodies also affect tourism and recreation, which Florida is known for due to its tropical climate and numerous beaches. Florida DOT understands that following permit requirements and complying with all laws and regulations is an important component of roadway construction. Since Florida implemented stormwater management in 1982, the state has had cleaner waters that are not as severely impacted.

One of Florida DOT’s main challenges is related to environmental and weather conditions. During some months of the year, Florida receives rain every day. Consistent rainfall creates issues at highway construction sites, since the contractor is motivated to complete the project but also must adhere to stormwater and permit requirements for the site. When weather continuously impacts a construction site as work progresses, complying with stormwater permit requirements becomes more difficult.

Another challenge is finding space to construct BMPs. For example, since right-of-way (ROW) can be expensive, Florida DOT uses as much of the existing ROW as possible to avoid unnecessary ROW purchases. However, this situation can make placing effective BMPs difficult when there is little room to install and use them. Florida has many wetlands, rivers, lakes, and streams. Some of these receiving waters are designated as outstanding Florida water bodies, with their own special and more stringent criteria above and beyond NPDES CGP requirements. These criteria pose challenges to obtaining permits and managing stormwater and E&SC during construction near these water bodies.

Stormwater Pollution Prevention Plan

The previous process at Florida DOT was to provide a signed and sealed SWPPP and an E&SC plan to the contractor to implement and follow during construction. The SWPPP was a narrative of information about permanent and temporary practices, while the E&SC included plan drawings of the BMPs and locations. Because Florida DOT created the SWPPP and E&SC plan, any mistakes or errors would be the DOT’s responsibility, not the contractor’s. Moving forward, contractors will be required to be more involved in developing the SWPPP and E&SC plans. With the revised process, Florida DOT provides only specific project site information to the contractor to develop the SWPPP and E&SC plan.

The contractor is required to finalize the SWPPP using templates provided by Florida DOT. (See Appendix G for Form 251-B NPDES CGP SWPPP Template for Florida DOT Projects). The design team completes the design portions of the templates, which are sent to the contractor to complete the contractor’s section. The completed SWPPP template becomes the project-specific SWPPP, which can be used to obtain the NPDES CGP permit. Florida DOT is making this change because the contractor is responsible for installing and maintaining BMPs and control measures. Obtaining their input and finalizing plans are crucial to the success of the stormwater management plan for a highway construction project. In addition, Florida DOT uses performance-based stormwater management in which the contractor is held accountable for their responsibilities and actions.

With the change to the administration portion of the SWPPP and E&SC plan development, Florida DOT is no longer signing and sealing SWPPP and E&SC documents, which are temporary and living and typically change during construction, since highway construction project sites are dynamic. If the documents are signed and sealed, it is more difficult to adjust the plans. In fact, Florida DOT personnel stated that engineers are happy that they no longer must sign and seal the SWPPP and the E&SC plan. The new SWPPP process allows personnel to adjust the plans more easily as construction proceeds. Florida DOT provides the estimated quantities of BMPs to install and maintain on any highway construction project so that all contractors bid on the same items for stormwater management during procurement.

Best Management Practices

The Manual includes a variety of erosion control methods, sediment containment systems, and temporary construction site BMPs. The BMPs in the Manual include a description of BMPs that are categorized and provide instructions for installation and maintenance. While the

Manual includes dozens of BMPs and control measures, Florida DOT personnel indicated that most BMPs used for highway construction are silt fences, staked turbidity barriers, and floating turbidity barriers. Figure 22 shows a drawing of a staked turbidity barrier installation from the Manual. Florida DOT also indicated that silt fence is the most used BMP, but it requires constant maintenance and is a deficiency for the contractor to address on almost every highway construction project. Additional information is available for installers and inspectors of BMPs from the Florida Stormwater Erosion and Sedimentation Control Manual, Tiers I and II (https://www.fsesci.com/downloads/), developed by Florida DEP in 2018. Tier I is for installers, and Tier II is for inspectors.

Flocculants can be used as BMPs for E&SC when other practices do not meet permit requirements. Flocculant use commonly occurs when water becomes turbid around the construction site and standard practices cannot lower the turbidity levels to meet state water quality criteria. The Manual outlines using polymers and alum as flocculants to improve turbidity. The Manual describes the use, monitoring, and maintenance of flocculants. For example, if a polymer is used, it can change the water’s pH level; therefore, pH has to be monitored and controlled. Florida DOT is not allowed to use ionic flocculants, which have been found to kill fish and cause habitat damage.

Training

Any employee involved with installing, maintaining, and inspecting BMPs for Florida DOT highway projects undergoes certification training. The Florida DEP provides the Florida Stormwater, Erosion, and Sedimentation Control Inspector (FSESCI) program to train and certify inspectors for stormwater inspections on construction sites. This training program educates inspectors and installers on proper BMP selection, installation, layering, maintenance, and restoration. Also, the program teaches individuals to correctly inspect BMPs for use during and after construction in order to minimize or eliminate on-site and off-site impacts from uncontrolled erosion, sedimentation, and other pollutant discharges. The program is a two-day class that follows the Florida Stormwater, Erosion, and Sedimentation Control Inspector’s Manual. After completing the class, trainees take a one-hour proctored exam requiring a 70% or higher to pass and receive the FSESCI Qualified Inspector Certificate.

Some Florida DOT districts have certified third-party consultants who offer free training to DOT staff and contractors. Whether a person is trained and certified by the FSESCI program or by third-party consultants, after they have been trained and certified, they are not required to become re-certified or repeat any training on construction stormwater management.

Audits

The districts and the Construction Office from the central office headquarters conduct internal audits. Internal audits occur quarterly, with the central office auditing one district every three months. There are seven districts along with the Florida Turnpike Enterprise; each district is subjected to an internal audit every two years. Internal audits involve visiting a random selection of projects within a district and reviewing environmental and permit requirements, conditions of BMPs and control measures, documentation review, and field reviews to observe the field level for each project. Regulatory audits occur infrequently at Florida DOT. MS4 audits tend to be more focused but are not conducted often; therefore, Florida DOT does not spend much time preparing for them other than using internal audits to check and improve processes.

Experiences and Findings

Sharing the experiences of Florida DOT staff involved with construction stormwater program management helps other DOTs with their construction stormwater management program and

associated processes and procedures for managing, tracking, monitoring, and reporting compliance with permit requirements. The findings from Florida DOT include the following:

• Move from a prescriptive-based to performance-based approach: With a prescriptive approach, Florida DOT obtains permits, prepares the SWPPP and the E&SC plan, and provides them to the contractor to follow. This approach created accountability challenges: determining responsibilities for errors, poorly chosen BMPs, and improper installation and maintenance. In contrast, Florida DOT’s performance-based approach provides a template for the SWPPP and E&SC plan. The design team and contractors provide input to complete their portions. The contractor can then use the completed templates to obtain the NPDES CGP. The contractor is now more involved in developing the SWPPP, which clarifies responsibility for the administrative and practical application of stormwater controls.
• Set performance standards: As Florida DOT implements this performance-based approach, they set standards and performance measures in place of telling the contractors how to work. Designers in the past would provide the exact information for the contractors to follow; if that did not work, determining who was responsible for failure was difficult. Contractors are the construction experts; allowing them to use their expertise to manage construction stormwater makes sense.

Iowa Department of Transportation

Iowa DOT uses a construction stormwater program as a part of project management for highway projects. The Central Construction Office at the main headquarters for Iowa DOT is the primary resource and support center for construction. The regional construction field offices manage the contract administration of highway construction projects. The construction stormwater program is centralized in the Central Construction Office, which manages permits for highway construction projects. Each of the 13 Resident Engineer Offices across the six districts of Iowa DOT administers the construction stormwater management program and compliance during construction. The resident construction engineer manages the permit requirements with assistance from project inspectors who perform the inspections and audits of the practices and control measures used during construction to determine compliance with permit requirements. The Central Construction Office manages post-construction closeout of the stormwater and E&SC permits. It is important to note that Iowa DOT does not operate under an MS4 permit, and post-construction components of MS4 are not required.

To assist with construction stormwater management, Iowa DOT developed an Erosion and Sediment Control Field Guide, which includes information about permit requirements and regulatory agencies, training and certification, BMPs, SWPPP, frequently asked questions, and additional resources. The current version of the guide includes photographs and figures for visually outlining E&SC. Iowa DOT also has a Design Guide, with Chapter 10 outlining design aspects of sediment and erosion control BMPs, and a Construction Manual, with Chapter 7 discussing erosion control measures for use during construction. In addition, the Iowa Department of Natural Resources (DNR) provides a guide to Developing Stormwater Pollution Prevention and Best Management Practices. This guide provides a step-by-step approach to developing an effective, site-specific SWPPP for any project requiring the NPDES General Permit No. 2 (Stormwater Discharge Associated with Construction Activities), representing the CGP for Iowa DOT.

Approaches and Processes

The Iowa DNR, the state regulatory authority, has the authority from the EPA to issue NPDES general stormwater permits across the state. The Iowa DNR is the facilitator of General Permit

No. 2. Any construction project that disturbs more than 1 acre of land is required to obtain coverage under General Permit No. 2 before construction begins. During construction, Iowa DOT administers the permit, and the contractor must comply with permit requirements. The Iowa DNR has an online portal and uses an online application process to obtain coverage under General Permit No. 2. The permit is not applicable until a completed notice of intent (NOI) is submitted to the Iowa DNR and authorization is issued to Iowa DOT.

In 2018, Iowa DOT received Order for Compliance on Consent from the EPA. This order resulted from multiple inspections and audits of various Iowa DOT highway construction projects over several years. The outcome of the order was a penalty assessed to Iowa DOT, which therefore had to implement changes to its construction stormwater management program. The primary changes included establishing training and certification program requirements for construction staff, as well as E&SC specification changes and implementation of QA oversight inspections during construction in addition to weekly stormwater and E&SC inspections conducted on all highway construction projects. Overall, the order was perceived to have a positive impact, as it demonstrated to DOT management and contractors the importance of following environmental permit requirements.

Iowa DOT tracks permit authorizations through the Central Construction Office. General Permit No. 2 coverage is required on every highway construction project site that disturbs 1 acre or more of land; therefore, permit authorizations from Iowa DNR must be tracked. The information tracked includes start date, end date, and projects each permit covers. Knowing information such as expiration date allows Iowa DOT to renew the permit promptly so that it does not expire while a project is active. A simple spreadsheet is used to track permit authorizations. In addition, ensuring compliance during construction starts with confirming that every highway construction project has coverage complying with environmental and permit requirements. The Central Construction Office reviews project SWPPPs monthly to ensure proper coverage and to submit for permit authorizations when needed so that construction can begin.

At Iowa DOT, all stormwater permit documentation, such as inspection reports, permit authorizations, non-compliance notifications, the SWPPP, and other important forms and documents, is digitally stored for its highway construction projects. Iowa DOT uses Doc Express for stormwater management documentation.

Iowa DOT conducts weekly inspections of construction stormwater management and E&SC measures. Form 830214, shown in Figure 23, is used for weekly inspections, documentation of comments and observations, deficiencies, additions needed, and times when specific corrective actions were performed. The SWPPP, part of the contract documents, spells out inspection requirements, corrections for deficiencies, and timeframes for addressing deficiencies. If deficiencies are not resolved according to requirements, the resident construction engineer staff may issue non-compliance, which can lead to enforcement actions. A non-compliance form is used to document non-compliance of any nature and to communicate information to the contractor. The non-compliance notice form used by Iowa DOT is shown in Figure 24.

Any deficiency must be initially addressed within 72 hours of the inspection. The contractor has 7 calendar days to finalize the corrective action and comply with permit requirements. Iowa DOT uses its standard specification, which includes an item for the Mobilization for Erosion Control. The specification sets a specific unit price per day if corrective actions are not mobilized within 72 hours of notification of the deficiency and 7 days to complete all corrective actions. If mobilization takes longer than 72 hours or the corrective actions are not in place within 7 days, the construction engineer or project inspector can impose that unit price per day deduction from work payments.

Iowa DOT established guidelines for QA review inspections to be conducted on all projects that disturb 5 acres or more and are located in environmentally sensitive areas according to the EPA consent order. The permit authorization designates whether a project is disturbing more than 5 acres. QA inspections are conducted by Iowa DOT personnel who are technician-certified. Each QA inspection occurs at least once every 120 calendar days during the active construction phase of a project. In each QA inspection, the inspector reviews the project site for deficiencies, including any additional controls and project documents, which include previous inspection reports, training records of personnel, and subcontractor co-permittee statements.

The QA inspector is required to complete a QA inspection report (see Appendix H). After the inspection, the QA inspector meets with the project inspection staff to review findings and questions. If deficiencies are found or documentation is missing, the QA inspector communicates that information to the project inspection staff, who follow up with the contractor to correct deficiencies and provide the missing documentation.

To conduct stormwater permit inspections, Iowa DOT uses a web-based software system. However, this software system is not currently used widely across the state due to technological challenges that Iowa DOT is resolving.

Benefits and Challenges

Some of the benefits mentioned by Iowa DOT personnel when construction stormwater management is implemented successfully for highway projects include cleaner waters, fewer deficiencies, fewer non-compliance issues, and better relations between Iowa DOT and its contractors and the public. Bad publicity or complaints from the public due to improper stormwater management for a construction project are not what Iowa DOT wants to occur. Consistency and continuous management are key to successfully managing stormwater runoff and E&SC discharges.

One of the challenges mentioned by Iowa DOT personnel was the lack of staff available for planning, designing, developing, overseeing, and inspecting its construction stormwater management program. Iowa DOT has lost experienced staff over the years and is replacing them with less experienced individuals or not replacing them at all. Dueling priorities are also an issue. For example, a project inspector might be responsible for conducting weekly site inspections for stormwater management. However, that week’s work may also include extensive concrete pours that the project inspector must oversee. This situation may result in a less than thorough weekly site inspection, and items that are vital to stormwater management and E&SC may get overlooked.

Another challenge has been a lack of consistency in regulatory audits and inspections. In some cases, a regulatory inspector may find few issues and deficiencies, while for the same project, another inspector might find many issues and deficiencies. This situation causes confusion and difficulties about what must be done to comply with permit requirements.

Stormwater Pollution Prevention Plan

The Iowa DNR has guidelines for developing and implementing an SWPPP (see Figure 25). An SWPPP is developed to guide the design process by Iowa DOT for each construction site covered by General Permit No. 2. The SWPPP must be developed before Iowa DOT submits the NOI to Iowa DNR for General Permit No. 2 authorization. The staff responsible for developing the SWPPP depends on the staff responsible for preparing the overall design of a highway project. If the Central Design Office performs the engineering and design, then the SWPPP is typically developed by the internal Roadside Development Office, which is a part of the Central Office. If the project is designed by a district, each district’s internal staff engineers develop and prepare the SWPPP. If consultants prepare the design, the consultant design team develops the SWPPP and the plans for a project.

The SWPPP identifies project-specific potential sources of pollution that may reasonably be expected to affect the quality of stormwater discharge from construction activities. In addition, the SWPPP describes the implementation of practices to reduce the pollutants in stormwater discharge associated with industrial activity for construction activities at the construction site and to assure compliance with permit requirements.

After the SWPPP is developed, it becomes one of the contract documents. The SWPPP must be implemented at the start of construction. While Iowa DOT initiates the SWPPP, the contractor is responsible for installing, managing, adding, removing, and maintaining stormwater BMPs and E&SC measures. If changes to the SWPPP are needed, Iowa DOT specifications require the contractor to submit an amended SWPPP site map by essentially marking up the base site map plan prepared by the design group included with the original SWPPP.

Best Management Practices

The BMPs commonly used at Iowa DOT, referred to as E&SC measures, focus on temporary structures for controlling sediment and erosion of the construction site or permanent erosion. Chapter 10 of the Iowa DOT Design Manual—Roadside Development and Erosion Control—includes three sections: 10A) topsoil; 10B) seeding, fertilizing, and mulching; and 10C) erosion

control. Under 10C, the five categories of E&SC measures used by Iowa DOT for construction stormwater management are as follows:

1. Temporary sediment control devices: covers silt basins, silt fences, rock check dams, temporary sediment control basins, silt curtains, and stabilized construction entrances.
2. Stormwater detention: discusses silt fence for ditch check, rock check dam, temporary sediment control basin, silt basin, and slash mulch berm.
3. Vegetated buffers: outlines how undisturbed areas typically consisting of grass can be used in place of temporary sediment control devices.
4. Temporary sediment control devices for intakes and maintenance holes: covers erosion control devices for intakes and maintenance hole wells, grate intake sediment filter bag, and open-throat curb intake sediment filter.
5. Temporary sediment control in urban areas: outlines the limited space in and around construction sites in urban areas that make it difficult to place temporary stormwater and sediment control measures.

In addition, Iowa DOT rarely uses flocculants for E&SC—typically in last-resort situations or when trying something new—although their use is optional.

Training

As a result of an EPA inspection conducted over 15 years ago, Iowa DOT implemented a training program for stormwater management. Training is important for improving compliance, infusing consistency into processes, and implementing construction stormwater management successfully. Therefore, Iowa DOT has an Erosion and Sediment Control Training and Certification Program. Typically, DOT personnel, including resident construction engineers and project inspectors, take the training or certification courses in the program. Local public agencies, prime contractors, subcontractors, and consultants also take the courses. As stated by Iowa DOT personnel, anyone is welcome to attend the courses available in the program.

The training and certification program has two levels. The first is a web-based course, Erosion and Sediment Control Basics (ESC Basics). This course is a one- to two-hour session with no prerequisites, fee to attend, or exam to complete or pass. Iowa DOT specifications require the training, since every project with General Permit No. 2 coverage must have at least one DOT employee and one contractor holding the ESC Basics certificate, which is valid for 2 years before renewal is needed. The second level is the Erosion Control Technician (ECT) course, which is a two- to two-and-a-half-day class with no prerequisites but requires a fee to attend. An exam at the end of the course requires a score of 80% or higher to pass. Certification lasts for 5 years, and ECT certifications from other state DOTs or national programs are accepted for reciprocity by the Iowa DOT. Every resident construction engineer’s office has at least one DOT employee certified as an ECT. Every prime contractor working with Iowa DOT and on projects with General Permit No. 2 coverage needs at least one employee certified as an ECT.

Audits

Internal audits at Iowa DOT include weekly site inspections and QA review inspections. Since Iowa DOT does not fall under an MS4 program, regulatory audits by the EPA rarely occur. However, when they do, they tend to invoke significant changes in stormwater management and E&SC processes and approaches. The Iowa DNR, the state regulatory agency, audits Iowa DOT projects routinely or after receiving a complaint. For some projects, the Iowa DNR may become involved a few times a year, while many other projects will not have a regulatory audit performed. Involvement is at the discretion of the Iowa DNR. When the Iowa DNR audits a

project, they perform an inspection similar to weekly and QA inspections by visually observing practices and controls in the field in order to ensure that they are working properly and reviewing documentation, such as the SWPPP, to ensure that all required information is provided by the contractor. The Iowa DNR inspector reports the audit findings, recommendations, and potential corrective actions to the project inspection team, a process similar to the way QA inspections are conducted. The project inspection team is responsible for facilitating the efforts to fix deficiencies or violations.

Experiences and Findings

Sharing the experiences of Iowa DOT staff involved with construction stormwater program management helps other DOTs with their construction stormwater management program and associated processes and procedures for managing, tracking, monitoring, and reporting compliance with permit requirements. The findings from Iowa DOT include the following:

• Resources: Iowa DOT staff noted that having enough resources is important for fully executing the construction stormwater management program. Iowa DOT is challenged with limited resources, thus making it difficult to fully execute the program successfully.
• Training and certification: Iowa DOT created its Erosion and Sediment Control Training and Certification Program to reduce deficiencies and improve consistency. The training program includes two levels: a web-based course on the basics of E&SC and an ECT certification course. Each has improved stormwater permit compliance.

New York State Department of Transportation

New York State DOT has a construction stormwater program as part of project management for highway projects. The Engineering Division within the Office of Environment at New York State DOT administers their construction stormwater program. New York State DOT is organized by geographic regions. Although regions manage stormwater management slightly differently, each is required to follow the State Pollution Discharge Elimination System (SPDES) for construction projects. The SPDES program began approximately 15 years ago and was not well received at first. However, the SPDES program today has matured due to training and awareness and is part of highway construction across each New York State DOT region. The New York State Department of Environmental Conservation (DEC) administers the SPDES and associated permits for highway construction.

The DEC developed both the New York State Stormwater Management Design Manual and the New York State Standards and Specifications for Erosion and Sediment Control (known as “the Bluebook”) to guide New York State DOT personnel in stormwater management. Contractors and consultants also follow the standards and specifications for E&SC, which describe standard practices, measures, and controls. These guidelines, along with the developed forms for tracking and inspection, build consistency in their stormwater management program for highway construction, which New York State DOT enforces during construction.

Approaches and Processes

New York State DOT follows the SPDES, which the New York State DEC administers. The state legislature enacted Article 17 of the Environmental Conservation Law to protect and maintain surface and groundwater resources, which included the creation of SPDES to maintain New York State waters within reasonable standards of quality. The owner of construction projects—in this case, New York State DOT for highway construction—involving soil disturbance of 1 or more acres is required to obtain coverage under the SPDES general permit for stormwater discharges

from construction activity (also known as the CGP). The SPDES program reduces and eliminates pollution in state water bodies and maintains the highest quality of water possible, consistent with public health, public enjoyment of water resources, protection and proliferation of fish and wildlife, and industrial development across the state. The EPA has approved the SPDES to control surface water and storm discharges in alignment with the CWA. The SPDES includes requirements to control point source discharges to groundwaters in addition to surface waters. The SPDES permit certification form used by New York State DOT is provided in Figure 26. Any contracting firm that installs and maintains SPDES BMPs is required to be certified by the New York State DEC.

During construction, New York State DOT and the contractor’s inspection personnel are tasked to periodically inspect all the SPDES practices in place for a highway construction project. The time frame is based on the BMPs installed at a construction site. Inspections are typically conducted every 14 days or after any major storm event. All BMPs used are photographed, and any deficiencies are noted as failed and sent to the contractor for correction. A common deficiency found during inspections is a silt fence not placed properly, not buried, or with high levels of sediment build-up. In those cases, the contractor would be instructed to correct the placement, bury the bottom of the fence, or remove the sediment before it becomes a larger issue. Also, if any erosion is found during an inspection, New York State DOT directs the contractor to place erosion control measures for the project. The stormwater inspection form used by New York State DOT is provided in Appendix I.

When a deficiency is found during an inspection, the contractor has a set time frame to correct the deficiency. Per the Bluebook, contractors must address deficiencies within 24 hours from the time they are discovered. As mentioned by New York State DOT personnel, deficiencies are addressed quickly. They are typically not a major issue for highway construction projects at New York State DOT.

All stormwater management documents are filed into ProjectWise, New York State DOT’s file management system. Spreadsheets are used to track permit requirements and BMPs. Inspection forms document deficiencies in BMPs and the corrective actions taken to maintain the practice.

Benefits and Challenges

When the SPDES and SWPPP are followed during highway construction, New York State DOT realizes cleaner waters around project sites, better flood mitigation, and fewer complaints from state representatives or the traveling public. In addition, New York State DOT has noticed fewer ecological impacts as fewer fish and less aquatic life are affected by the reduced or eliminated sediment and pollutant runoffs. Less sediment in recreational receiving waters is also a benefit by increasing the recreational value of the water body as well as the surrounding property values. Less sediment in receiving waters also means less dredging and maintenance.

One of the main challenges to construction stormwater management is having enough space to place BMPs and control measures. Some practices used by New York State DOT can be wide and take up space that may require using ROW. Obtaining ROW can be difficult and time-consuming, thereby delaying projects. Another challenge is having enough time during design to develop the BMPs comprehensively for a highway construction project. Lack of time means fewer details are included in the SPDES and SWPPP. Additionally, in the past, maintenance personnel would clean out BMPs (e.g., for sediments, pollutants, chemicals), but would not check to make sure they were working properly. Currently, inspectors and maintenance personnel must both clean out BMPs and ensure they are performing properly. In short, personnel are now doing their due diligence.

To address challenges, New York State DOT has made changes to its stormwater management program in recent years. One of the changes mentioned by New York State DOT personnel was moving from 4 inches to 6 inches of topsoil on restoration projects, because New York State DOT had issues getting plants and vegetation to return and grow each year. The 6 inches has made a substantial difference in vegetation growth, which is essential for erosion control.

Another adjustment was a requirement to use double-bagging for gravel or sandbags as weights to support temporary traffic signs around a construction site. Using only one bag, New York State DOT found that, if it were cut or punctured, sand and gravel would reach one of the BMPs, thereby causing additional maintenance. Double-bagging gravel and sand helps reduce sediment-laden runoff.

Stormwater Pollution Prevention Plan

For any highway construction project at New York State DOT, the design group responsible for the project determines whether a SWPPP is required based on criteria for generating the design. When an SWPPP is required, the highway and drainage design groups prepare the SWPPP for the project using a New York State DEC template and following the New York State Standards and Specifications for Erosion and Sediment Control. After the SWPPP is developed, it is added to the project plans and sent to the construction staff and the contractor. New York State DOT submits the SWPPP as a part of the SPDES permit application, which is entered into a permit database system that allows the New York State DEC to review and approve the permit and SWPPP. The construction staff performs monitoring and tracking of the SWPPP and compliance by the contractor periodically and after major storm events. After construction, regional environmental units or consultants working for New York State DOT monitor permanent controls to ensure they are functional or are repaired. The operations group within New York State DOT is responsible for maintaining permanent controls. If permanent controls need restoration, New York State DOT can contract out the work rather than assign it to the operations group. One of the forms used during construction for revising the SWPPP is provided in Figure 27.

Best Management Practices

Some permanent BMPs used by New York State DOT include swales for highway projects, dry swales, check dams, and retention ponds for intersection projects. Some of the temporary BMPs used by New York State DOT include silt fences, straw bales, sediment control logs, drainage interceptors, and check dams. New York State DOT uses any BMP tool available for any project depending on what is needed to manage stormwater, sediment, and erosion control. New York State DOT has the authority to use flocculants for stormwater management; however, these are rarely used due to the maintenance needed to check and refill the chemicals and change filters at BMP locations. In most cases, flocculants are considered a last-resort BMP for New York State DOT construction stormwater management. For example, although flocculants have been proposed for projects for half the price, in many cases, New York State DOT elects to use traditional BMPs that may cost more but require much less maintenance and oversight.

When the SPDES program began, New York State DOT noted that their personnel were not maintaining BMPs well. For example, swales were not maintained properly. When ditches needed to be cleaned of collected sediments, personnel would remove the berms, not recognizing that they must remain. Maintenance personnel are now aware of this situation and have developed methods to clean out ditches without disturbing the BMP.

Approximately 15 years ago, New York State DOT was not tracking types of BMP and their locations. However, some of the BMPs are permanent structures that must be maintained. Therefore, New York State DOT now tracks all BMPs installed and their locations using spreadsheets to help maintain these structures to comply with the SPDES. Each regional environmental unit across New York State DOT tracks its BMPs through project SWPPPs. Every BMP within the SWPPP is assigned a tracking number, and each practice type has a maintenance and inspection interval assigned to it.

Training

Training for the New York State DOT construction stormwater management program focuses on on-the-job training. More experienced personnel teach less experienced personnel how to perform stormwater management responsibilities in the field during construction. Little classroom training is conducted for stormwater management at New York State DOT. Stormwater management inspectors are required to become certified in some areas of the state (not all areas of the state require certified inspectors); this certification requires classroom training and a final exam. Self-guidance for using various stormwater management documents developed by New York State DOT and New York State DEC is also used to help personnel manage stormwater properly during construction.

Since the inception of the SPDES program, more training has led to better compliance with permit requirements and improved and more consistent installation and maintenance of BMPs. Project staff have more awareness, experience, and knowledge about the work requirements of any highway construction project.

Audits

Regulatory audits of New York State DOT’s construction stormwater management program are infrequent. However, when they do occur, New York State DOT has always performed well. For internal audits, New York State DOT must comply with the regulations and rules of the SPDES. New York State DOT and New York State DEC perform the inspection audits to determine what can be improved.

Experiences and Findings

Sharing the experiences of New York State DOT staff involved with construction stormwater program management helps other DOTs with their construction stormwater management program and associated processes and procedures for managing, tracking, monitoring, and reporting compliance with permit requirements. The findings from the New York State DOT include the following:

• Map out the locations of BMPs and control measures: New York State DOT realized that tracking the locations of BMPs and control measures was important so that proper maintenance at the right intervals would be conducted on the BMPs to keep them fully functional. Currently, New York State DOT designs BMPs with an overhead plan view and includes a tracking number. The plan view and tracking information are shared with contractors and consultants for proper installation and maintenance.
• Inspection of BMPs and SPDES requirements is a potential worker-power burden: With the use of the SPDES over the last 15 years, New York State DOT has constructed many more BMP control measures. As in roadway maintenance, the more BMPs, the more inspections and maintenance needed, thus requiring additional personnel. Therefore, New York State DOT uses consultants when needed to help fill this workforce burden.

• Require contractors to take photographs and videos of corrective actions: New York State DOT learned early that, despite contractors’ reports that everything had been addressed and fixed, the next inspection would prove otherwise. Therefore, New York State DOT changed its policy to require contractors to take photographs and videos of their corrective actions to ensure that the BMPs were fixed and no longer deficient.

Pennsylvania Department of Transportation

PennDOT has a Bureau of Operations at its central office, which includes a stormwater section. The state stormwater management regulatory agency is the Pennsylvania DEP. The Bureau of Operations assists with the permitting processes, and the individual districts throughout Pennsylvania lead the stormwater management efforts during design and construction. Each of the 11 PennDOT districts has an environmental manager who helps with stormwater management during construction. Each district also has a stormwater maintenance manager who manages post-construction maintenance of control measures but is not generally involved during construction. PennDOT personnel mentioned that they have limited resources at the central office and the districts to manage stormwater and E&SC during the construction of highway projects.

The Pennsylvania Stormwater Management Act 167 was enacted by the state legislature in 1978 partly in response to the impacts of accelerated stormwater runoff resulting from land development projects across the state. Act 167 established a comprehensive systematic program to develop watershed-based stormwater management plans that provide control measures for activities affecting stormwater runoff, including construction.

PennDOT has a Keystone Environmental e-Permitting System (KEES), which houses stormwater permit applications for state and federally funded projects. Along with KEES, PennDOT follows the Pennsylvania Code, Title 25, Chapter 102 and Chapter 105. Chapter 102 requires an NPDES permit from the Pennsylvania DEP for construction activities with earth disturbances greater than or equal to 1 acre. Chapter 105 outlines the general permits required for specific types of activities that may impact water bodies in and around construction sites.

Approaches and Processes

In 2018, as part of a consent agreement with the EPA, PennDOT implemented a compliance management program (CMP) to guide its execution of policies and procedures for construction stormwater runoff. The program applies to projects that require coverage under the NPDES permit for stormwater discharges resulting from construction activities. The CMP contains the following five primary elements:

1. Stormwater inspection training: A key element of the CMP is to train and certify personnel to conduct construction stormwater inspections.
2. Stormwater self-audit program: A three-tiered QC process for construction stormwater inspections.
3. Compliance response policy: Provides the actions PennDOT staff, consultants, and contractors must take to respond to deficiencies, violations, or recurring compliance issues.
4. Stormwater compliance data: To assist in organizing stormwater compliance data and reporting, PennDOT implemented an electronic tracking system.
5. Public information portal: Provides public information about the CMP as required by the EPA consent agreement on a website. Information is updated every 3 months.

In relation to the consent agreement from the EPA, PennDOT staff mentioned that they have revised the construction stormwater management program based on EPA requirements, which

has positively impacted and led to improvements managing stormwater compliance during construction.

The Bureau of Clean Water within the Pennsylvania DEP administers the NPDES permitting and CMP for construction stormwater management and oversees the implementation of Act 167 in the DEP regional offices. The Bureau of Clean Water also administers the statewide E&SC program based on Chapter 102 of Title 25 of the Pennsylvania Code. An NPDES permit is required from the DEP for any construction activities with ground disturbances of 1 or more acres of land. PennDOT uses the following two types of NPDES permits:

1. PAG-02 NPDES General Permit for Discharges of Stormwater Associated with Construction Activities
2. NPDES Individual Permit for Discharges of Stormwater Associated with Construction Activities

PennDOT also uses the Chapter 102 Erosion and Sediment Control Permit, which is required for 25 acres or more of road maintenance activity (as defined in Chapter 102).

After the project is awarded, the contractor is required to provide information related to the permit requirements, which includes the following:

• Signing the Co-Permittee Acknowledgement Form, which is also signed by a PennDOT representative so that both the DOT and the contractor can be held accountable for compliance
• Identifying licensed professionals to be present on-site and responsible for implementing critical stages of the approved erosion and sediment pollution control (ESPC) plan and the PCSM plan
• Developing a preparedness, prevention, and contingency plan

PennDOT has revamped its construction stormwater management program in the last 10 years. One of the major additions was the development of an application for field tablets and smartphones to document construction stormwater inspections. The application is used to conduct inspections in accordance with the NPDES construction stormwater permit. In recent years, the application has been updated to match the Pennsylvania DEP Visual Site Inspection Report (VSIR), a standard form for conducting stormwater inspections during construction. The application is more robust and useful since the update, as it allows for more information to be entered and can be used to take photographs of deficiencies. The application is part of a more integrated program in which, if a deficiency is identified, notifications about a series of events are sent to district personnel and the contractor to address the deficiency as quickly as possible. The notifications are sent continually until the deficiency is addressed. The VSIR application is used in the field to track and monitor construction stormwater management and associated control measures. PennDOT developed a VSIR user’s manual in 2021 for correct use of the application. All applications used for construction stormwater management and inspections are integrated with the PennDOT engineering construction management system (ECMS) web-based application that captures all information for a project, including construction stormwater management. The collection of information in the ECMS allows PennDOT to generate reports submitted to the PennDOT Deputy Secretary and the EPA as part of the consent agreement.

Inspections of stormwater and control measures during construction occur weekly, at a minimum, and after rainfall events, which are documented in the VSIR application. If an inspection is not conducted or not completed correctly, the ECMS sends out notifications to upper management until the inspection is completed correctly. The ECMS also helps PennDOT collect compliance data and track NPDES CGP permit requirements across the field applications and the ECMS. The data collected includes dates of notices of intent, submission, and approval; the start of earth disturbance activities; inspections conducted by the districts; self-audits conducted and the

associated findings; inspections conducted by regulatory agencies and associated findings; alerts for missing weekly inspections; compliance actions against PennDOT; and notice of termination submission and approval.

When deficiencies are found during an inspection, they are documented. Corrective actions follow the Compliance Response Policy (CRP) summary table (see Appendix J), which was developed as a result of the EPA consent agreement. The CRP summary table contains the sequence of actions PennDOT personnel take to ensure the contractor is in compliance with permit requirements, which include the time to correct and the expected actions of the inspector-in-charge, PennDOT district, and contractor. After the inspector-in-charge of a project notifies the contractor of a deficiency, the contractor is directed to correct deficiencies within 24 hours if pollution has already occurred. If pollution has the potential to occur, the contractor is directed to correct deficiencies no later than the end of the next business day. Also, if rain is forecasted, repairs must be made before the rainfall occurs.

The CRP summary table has the following six categories:

1. Deficiencies resulting in significant discharge of pollutants
2. Deficiencies that could result in significant discharge or pollutants
3. Failure to comply with the approved ESPC plan
4. Concerns about compliance with the ESPC plan
5. Concerns about a design aspect of the ESPC plan
6. Failure to perform a visual site inspection

When a deficiency in one of the first two categories in the CRP summary table occurs, the Pennsylvania DEP or a delegated county conservation district (CCD) is contacted by PennDOT within 4 hours of the finding. The VSIR documenting the non-compliance deficiency is sent to the Pennsylvania DEP or the delegated CCD within 5 calendar days. In general, if a deficiency has led to or may lead to a release of concentrated pollutants (e.g., sediment-laden runoff, concrete washout water) into receiving waters, it falls into one of the first two categories. Deficiencies in the first two categories may include missing, inoperable, or ineffective erosion and sediment BMPs.

Upon reduction, loss, or failure of any erosion and sediment BMP, the contractor must take sufficient action to restore, repair, or replace the E&S BMP or provide an alternative treatment method consistent with the CRP summary table. Restored E&S BMPs or alternative treatments are required to be at least as effective as the original E&S BMP after it is properly installed. Sufficient actions must be undertaken to ensure that no pollutants are discharged into receiving waters.

After a deficiency has been addressed, a follow-up inspection is conducted to ensure the deficiency was addressed properly and the corrective actions taken have resulted in a control measure in compliance with permit requirements. When deficiencies are not addressed in a timely manner or are not repaired to the original conditions of the ESPC plan, PennDOT can charge liquidated damages to the contractor for permit non-compliance. Based on the CRP summary table, the PennDOT district can hold payments of work if the contractor fails to resolve a deficiency within the stated time to correct. Liquidated damages are assessed to contractors when they fail to begin deficiency repair work within 24 hours of notification and for each additional 24-hour period until compliance is attained.

Benefits and Challenges

Changes invoked by the EPA consent agreement were mentioned by PennDOT personnel as a primary benefit. Although the work to comply with the consent agreement was difficult and time-consuming, the processes in place currently are much better than those before the consent agreement. Construction stormwater management is a more formal process for PennDOT;

guidelines and policies provide details about effective stormwater management during construction and compliance with permit requirements.

One of the challenges mentioned by PennDOT personnel is that many personnel and agencies are involved with construction stormwater management, thereby making the approach complex. Sometimes it is difficult for PennDOT to get stakeholders on the same page. Also, the Pennsylvania DEP has delegated authority to 65 CCDs for stormwater management, which complicates approaches and approvals. To overcome the challenges of involving various personnel, agencies, and districts in construction stormwater management for a highway project, PennDOT mentioned that consistent processes and definitions are vital so that stakeholders understand the approach and are on board with how stormwater will be managed during construction.

Stormwater Pollution Prevention Plan

In Pennsylvania, in lieu of an SWPPP, two stormwater management plans are normally required for highway construction projects. One is the ESPC plan used during construction, and the other is for PCSM. The ESPC plan is a required document for permit compliance for construction projects that disturb 5,000 square feet or more of land. The purpose of the ESPC plan is to identify potential erosion and sediment issues and to define effective control measures used together with construction operations to minimize erosion and sediment-laden runoff.

Each ESPC plan typically consists of the following information:

• Maps and drawings showing the topography of the construction site, proposed alterations, locations of erosion and sediment BMPs and control measures, and instructions for inspecting, maintaining, and repairing erosion and sediment BMPs when deficiencies are identified
• A narrative report that describes the project and indicates the purpose, engineering assumptions, and calculations for erosion and sediment BMPs
• Detailed instructions defining staging, sequencing, and scheduling of operations from the contract documents, along with installation and removal information for erosion and sediment BMPs and control measures

PennDOT typically hires consultants to develop the ESPC and PCSM plans. PennDOT districts, with the assistance of consultants, obtain the necessary permits for the project before award. The inspector-in-charge of the project is responsible for overseeing contractor adherence to the ESPC plan during construction.

Best Management Practices

Under Chapter 102 regulations, the Pennsylvania DEP requires PennDOT to develop, implement, and maintain effective erosion and sediment BMPs and control measures to reduce erosion and prevent sediment-laden runoff resulting from construction activities from entering receiving waters. Common erosion and sediment BMPs used during construction include compost filter socks, sediment traps, water filter bags, swales, vehicle tracking pads at entry and exit points, pipe and channel outlet protection, and stabilization products.

The Pennsylvania DEP Erosion and Sediment Pollution Control Program Manual (https://greenport.pa.gov/elibrary//getfolder?folderid=4680) provides guidelines for those engaged in earth disturbance activities to prepare E&SC plans that comply with Chapter 102 permit regulations. The manual includes information on BMP sequencing, site access, sediment barriers and filters, runoff conveyance BMPs, sediment basis, sediment traps, outlet protection, stabilization methods and standards, streambank stabilization, grading standards, and areas of concern.

In relation to flocculant use for construction stormwater management, PennDOT personnel mentioned that they do not use polyacrylamide and rarely use any type of flocculant for stormwater management during construction. The Pennsylvania DEP provides non-chemical options as alternatives to flocculants. PennDOT does not have a specific policy for using flocculants other than that they are to be used only as a last resort.

Training

PennDOT has several training programs for construction stormwater management, including (E&SC) measures design, construction stormwater inspection, and PCSM design. Based on the consent agreement with the EPA and the establishment of the CMP, PennDOT developed its mandatory construction stormwater inspection training program for in-house and consultant inspectors. The purpose of this training is to emphasize the importance of E&SC, improve the effectiveness of visual site inspections, and train individuals to use the VSIR application. When performed correctly, site inspections reduce the potential for pollution, minimize PennDOT’s and the contractor’s exposure to risk associated with stormwater pollution, and ensure PennDOT complies with the applicable permits. The training covers various topics dealing with the construction, inspection, maintenance, and potential compliance issues related to E&SC measures on PennDOT projects. This self-paced, web-based training is accessed through the Training Calendar provided on the PennDOT website.

In addition, Pennsylvania DEP offers Pennsylvania Clean Water Academy training for the PAG-01 NPDES general permit. The course has the following five online modules:

• Chapter 1: Provides a high-level overview of the PAG-01 permit during which course participants learn about the background and objectives, eligibility requirements, and administrative processes associated with the permit.
• Chapter 2: Explains the similarities and differences between the PAG-01 General Permit and the PAG-02 General Permit.
• Chapter 3: Explains the PCSM BMPs that permit applicants select.
• Chapter 4: Discusses the information needed to apply for the PAG-01 General Permit coverage. A submission checklist is used, and each item is explained.
• Chapter 5: Provides information about the various actions taken by a permittee following approval of coverage under the permit.

Audits

The Stormwater Self-Assessment Program is a three-tiered QC process for construction stormwater inspections. Each level is performed by different personnel to ensure a comprehensive and impartial evaluation. The three levels are as follows:

• Level 1: Includes field inspections using the VSIR application required by the NPDES CGP permit. These field inspections are typically performed by the inspector-in-charge for a project or a designer through the VSIR application and are completed weekly or after each measurable stormwater event, defined as 0.25 inches of rainfall or more.
• Level 2: Includes district self-inspections that are also field inspections performed by trained personnel other than those assigned to the project field inspection team. At least one district self-inspection is conducted per construction season for each active construction project.
• Level 3: Includes stormwater self-audits performed by trained personnel other than those assigned to the field or district self-inspections. The Central Office Construction Quality Assurance Section normally performs these inspections. At least one stormwater self-audit is completed per construction season for each active construction project.

Experiences and Findings

Sharing the experiences of PennDOT staff involved with construction stormwater program management helps other DOTs with their construction stormwater management program and associated processes and procedures for managing, tracking, monitoring, and reporting compliance with permit requirements. The findings from PennDOT include the following:

• Transparency and consistency: PennDOT has realized that transparency in construction stormwater management is key for personnel to understand the approach and to align expectations. Transparency also helps PennDOT be consistent in its approach to construction stormwater management by following the available published guidelines and adhering to the Pennsylvania DEP NPDES CGP permit requirements.
• Training: PennDOT has developed various training programs for stormwater management, including training for design, implementation, and inspection, which have helped build more consistency and expertise into their stormwater management program. Some of these training programs resulted from the EPA consent agreement.

Texas Department of Transportation

The second largest state in the United States, Texas crosses different ecosystems, from coastal and tropical areas in the east and south to hill country karst areas in central Texas and deserts and arid conditions in the west and north. The Environmental Resource Management–Operations Compliance Section of the Environmental Affairs Division at the central office is a dedicated section within Texas DOT and has four full-time employees who dedicate their time to oversight, management, and compliance of construction stormwater, MS4, and facilities management programs. The 25 districts and the associated construction offices across the state manage stormwater and E&SC of a project during construction.

The Texas DOT stormwater management program consists of the CGP and the MS4 program, both of which are administered by the Texas Commission on Environmental Quality (CEQ) through the Texas Pollutant Discharge Elimination System (TPDES) permitting program. Texas DOT intends to ensure that all construction activities discharging to MS4s have developed and implemented a SWPPP following the TPDES CGP requirements. When CGP requirements are met, MS4 permit requirements are also met.

Texas DOT developed guidelines and tools for use in construction stormwater management. Texas DOT has an SWP3 (its term for SWPPP), which provides guidelines for completing the project site-specific SWPPP summary sheets and binder documentation. Texas DOT also follows Specification Item 506, which details the standards for temporary E&SC during construction. In addition, Design Division Roadway Standards include criteria for compliance with stormwater management and permit requirements. Texas DOT also has a web page (https://www.txdot.gov/business/resources/environmental/stormwater/bmp-resources.html) of BMP construction job aids for environmental resources that describe various practices and controls that can be implemented on Texas DOT highway projects. Finally, the approved products list provides contractors with a website with information about approved E&SC products (e.g., erosion control blankets, roll-on products, and seeding) that can be used to manage stormwater and erosion during construction.

Approaches and Processes

Texas DOT construction operations are regulated by the TPDES CGP, which applies to stormwater discharges from construction activities that disturb 1 acre or more of land. However, Texas DOT personnel pointed out that construction projects that disturb less than 1 acre of land must develop an SWPPP, install BMPs, and inspect the site regularly; however, these projects do not need a CGP. Administered by Texas CEQ, the CGP has requirements to develop an SWPPP for

a construction project that includes specific information on stormwater management and E&SC for highway construction projects. The CGP is a co-permit for which Texas DOT and the contractor pull their own CGPs (i.e., obtain them to start work). Texas DOT is the primary operator responsible for providing plans and specifications, while the contractor is the primary operator of daily stormwater management operations during construction. However, both parties are responsible for complying with permit requirements; that is, the regulatory agency can impose a fine on a contractor directly when not in compliance. The CGP was renewed in March 2023, and all projects after this date use the new CGP. With the advent of a renewed CGP, Texas DOT had to update guidelines and training programs.

Along with a renewed CGP, Texas DOT developed a new SWPPP template in the last couple of years. Previously, each district used slightly different templates, resulting in a lack of consistency. With 25 districts using different SWPPP templates, tracking and understanding the SWPPPs became cumbersome. By requiring the use of a new template, Texas DOT expects more consistency in the information provided in the SWPPP, since it is organized similarly for all highway construction projects across all districts.

One of the major tools Texas DOT uses for stormwater management is Form 2118–Construction SWPPP Field Inspection and Maintenance Report, provided in Appendix K. This form is used by inspectors when conducting inspections of stormwater management and E&SC measures. Form 2118 meets the requirements of the CGP. Each section of Form 2118 is completed in full for every stormwater management inspection of a highway construction project.

Form 2118 includes the following sections:

• Project Information: Includes all necessary project details to be recorded in the form.
• Inspected BMPs/Areas: All BMPs used on a project are marked. The inspection ensures that all BMPs are functioning and maintained properly to comply with permit requirements.
• Corrective Actions, Maintenance, Updating, or Additional Controls: Lists the actions and maintenance required to fix a deficiency, along with updates to BMPs and control measures and any additional measures needed for the project that the contractor addresses. This section also has a box to report the priority of the deficiency. Any changes noted are updated in the project site-specific SWPPP.
• Temporary and Permanent Stabilization: When construction is complete or work stops for 14 or more days, erosion control and stabilization measures are used. This section notes whether temporary or permanent stabilization is needed.
• Observations: Notes about field operations of stormwater management and the BMPs in place. Observations typically contain information about items in compliance that must be monitored so that they do not progressively become non-compliant.
• Compliance Certification: Provides that the inspector has noted whether the project complies, along with a signature and date.
• Contractor Notification: The contractor is provided with the inspection report within 1 day of the inspection and must review and sign this section.
• Inspection Certification: A certification statement confirming that the Texas DOT certifying representative, typically a project manager or engineer, provides accurate information.
• Post Signature Updates: This section documents items, notes, or corrections taken after the form was signed.

Texas DOT has a Ladder Guidance Escalation Document for inspections, which defines deficiencies as low-, medium-, and high-priority as follows:

• Low-priority deficiency: Particular BMPs require attention before the next inspection, since these deficiencies, while not causing immediate issues, must be addressed before they become larger problems. If low-priority deficiencies are not addressed for two consecutive inspections, they are elevated to medium-priority.

• Medium-priority deficiency: Requires attention by the contractor within 3 working days. Medium-priority refers to a deficiency that can potentially harm human health or the environment. Any medium-priority deficiency not addressed within 1 week is escalated to high-priority.
• High-priority deficiency: Requires immediate attention by the contractor. High-priority deficiencies cause immediate endangerment to human health and the environment. High-priority deficiencies can become a violation based on a regulatory agency audit; therefore, they are addressed immediately. Work in areas around the high-priority deficiency must stop to address the deficiency. Area engineers and the project manager must be notified of any high-priority deficiencies by the inspector.

Texas DOT also uses a Construction Stage Gate Checklist (CSGC), which is a part of its environmental management system (EMS). The CSGC is used as a construction project inspection and communication tool. The CSGC helps ensure that Texas DOT and the associated contractor for a project meet their commitment to environmental compliance by providing a comprehensive overview of all environmental requirements and identifying areas where improvements, additional attention, or actions are needed. As a part of the CSGC, district environmental quality coordinators perform quarterly and annual inspections of projects using EMS Form 2448, which investigates not only stormwater management and E&SC but also any other environmental impacts from the project.

Benefits and Challenges

Benefits mentioned by Texas DOT personnel include fewer CGP and MS4 violations and deficiencies, along with cleaner water protected from sediment, chemicals, and other pollutants found at construction sites that can harm surrounding receiving waters, habitats, and wetlands. Proper construction stormwater management provides better flood control and less liability for the traveling public. Stormwater running off a site or dust in the air around a highway construction site is detrimental to the public, who file complaints. By holding stormwater runoff and dust in check with proper stormwater management, less negative publicity about environmental protection is generated.

One of the main challenges that Texas DOT has experienced is building consistency into its construction stormwater management program. In the past, many districts conducted their construction stormwater management differently from one another—even among area offices within the same district. Each district would have its own template for designing the SWPPP. Texas DOT now provides a standard template for each district to create more consistency in construction stormwater management. Also, deficiencies used to be prioritized without considering how different districts defined low-, medium-, or high-priority. Therefore, implementing guidelines, forms, and templates has helped alleviate inconsistencies in developing the SWPPP and conducting site inspections.

Another challenge is keeping enough personnel to manage the permitting and stormwater processes that must be conducted for each project. Having fewer and less experienced personnel leads to more issues; moreover, these employees must be trained, thereby causing additional issues for Texas DOT. Respondents mentioned that inspectors are a “revolving door,” since for every 20 hired, another 20 resign.

Furthermore, as mentioned earlier, Texas is a large state with several ecosystems spanning different areas of the state. These ecosystems pose unique challenges to construction stormwater management; for instance, BMPs and approaches to SWPPP may apply to work in one area, but not in others.

Stormwater Pollution Prevention Plan

Texas DOT uses summary sheets and mandatory SWPPP binders to develop and manage stormwater during construction. The SWPPP provides an action plan to prevent or minimize sediment and other pollutants at construction sites from reaching state water bodies during construction activities. The SWPPP for highway construction projects outlines erosion control, sediment control, and BMPs that can be used to control those pollutants during construction.

The SWPPP at Texas DOT is prepared at the district level. Design engineers and environmental staff are responsible for developing and preparing the SWPPP for construction. In some cases, consultants may also prepare the SWPPP. The SWPPP summary sheets must be completed to prepare the SWPPP. The SWPPP summary sheets outline the project’s proposed construction activities that may generate sediment or pollutants. The summary sheets also outline the selected BMPs for construction to manage stormwater runoff from the project site. After the SWPPP summary sheets are developed, they are included as plan sheets in the Texas DOT construction drawings for the highway project. The contractor manages and maintains the SWPPP throughout the construction phase, while Texas DOT conducts the SWPPP inspections (weekly or bi-weekly). The SWPPP binder is stored and maintained by Texas DOT.

In addition to the summary sheets, the SWPPP also includes the SWPPP binder. The SWPPP binder is used by Texas DOT personnel during construction to store all required documents as required by the CGP. The binder includes copies of the SWPPP summary sheets and all required appendices. Texas DOT project personnel must use, complete, and maintain up-to-date and current SWPPP binders while construction activities are ongoing. Overall, the SWPPP summary sheets and binder are considered living documents by Texas DOT and are to be maintained and updated while the project has active construction activities. Although SWPPP documents can be electronic or hard copies, Texas DOT prefers using digital files; therefore, the DOT continues to move toward an e-construction platform for all aspects of a highway construction project.

Best Management Practices

Texas DOT has the following four categories of construction BMPs used for stormwater management and E&SC:

1. Erosion control devices and practices
2. Sediment control devices and practices
3. Pollution prevention and housekeeping practices
4. BMPs for environmental permits, issues, and commitments (EPIC)

Each BMP listed in these categories includes a design fact sheet and an inspection fact sheet used by Texas DOT design engineers, project inspectors, and consultants. The information also helps contractors understand building plans and inspection processes that occur during construction.

Erosion control devices and practices help minimize the potential for erosion by protecting exposed soil. The erosion control devices and practices used on Texas DOT projects during construction include the following:

• Vehicle tracking
• Biodegradable erosion control logs
• Preservation of existing vegetation
• Stockpile management
• Sediment control fence
• Outlet protection

• Rock filter dam
• Temporary pipe slope drain
• Runoff interception
• Vegetated filter strips and buffers

Sediment control devices and practices help reduce or eliminate sediment discharges outside the project limits caused by stormwater runoff. The sediment control devices and practices used on Texas DOT projects during construction include the following:

• Floating turbidity barrier
• Sediment control fence
• Stockpile management
• Stabilized construction entrance and exit
• Biodegradable sediment control logs
• Construction perimeter silt fence
• Street sweeping
• Stream and clear water diversion
• Sediment trap
• Earthen berm

Pollution prevention and housekeeping practices help minimize stormwater pollution by managing non-sediment pollutants such as chemicals and trash found at highway construction sites. The pollution prevention and housekeeping practices used by Texas DOT during construction include the following:

• Spill and leak response
• Stockpile management
• Sanitary waste management
• Chemical management
• Concrete waste management
• General materials and equipment management
• Materials and equipment used over water
• Dewatering controls
• Watering trucks and street sweepers

EPIC BMP measures and practices are implemented during construction to protect biological, historical, and archeological sites; vegetation and habitats; and water resources. EPIC are also used to manage hazardous materials. EPIC are typically used during construction when required by the NEPA process rather than for stormwater management.

EPIC BMPs used on Texas DOT construction projects include the following:

• Amphibian and reptile exclusion fence
• Preservation of existing vegetation
• Tree protection
• Vegetation filter strips and buffers
• Dewatering controls

Texas DOT has no policy for using flocculants as a BMP for E&SC. Texas DOT staff mentioned that flocculants are not used often and that a few districts in Texas DOT have used them in rare instances. Flocculants are used mostly as a last resort when other practical options do not suffice.

Texas DOT has several options for stormwater management training. Training programs are either online or in-person and set up in tracks in a training matrix for inspectors, designers, environmental personnel, and contractors. The inspector training track includes learning how to

inspect BMPs and use Form 2118 to record deficiencies and complete inspections. The classes for designers focus on learning how to properly prepare the SWPPP and associated summary sheets. Texas DOT also offers required training classes for contractors. In addition, Texas DOT has a required eight-hour online class to learn about the different types of BMPs allowed for use on construction projects that Texas DOT employees and external employees (from contractors to consultants) can attend. This training informs them how to design and prepare the SWPPP and inspect stormwater management during construction. Texas DOT personnel and third-party construction engineering and inspection (CEI) personnel are required to take the training, while consultants and local government agencies are also allowed to take courses at their discretion. District DOT staff typically conduct in-person training. The Operations Compliance Section of the Environmental Affairs Division at the central office is in charge of training district personnel, who lead the in-person training and provide virtual training for CEIs.

Each Texas DOT district has at least one District Environmental Quality Coordinator (DEQC). These coordinators are responsible for ensuring stormwater and environmental compliance in the districts and teaching district inspectors. Stormwater subject matter experts from the Operations Compliance Section of the Environmental Affairs Division at the central office teach an annual DEQC Summit to update the DEQCs on any changes to the CGP, processes and procedures, training, and so forth.

Texas DOT currently teaches much of its training in-house, with the help of DEQCs in each district, and has eliminated many outside vendors who taught classes previously. This situation has increased the number of personnel trained and has also resulted in DOT cost savings.

Audits

Internal audits, also referred to as EPIC surveys, inspect all aspects of the environment, permitting, issues, and commitments, along with stormwater management and E&SC measures. Audits are conducted in each district (typically every 5–6 years) by stormwater personnel from the Operations Compliance Section at headquarters. The inspection takes approximately 4 days in each district and focuses on three to four projects in detail. A checklist is used to review all aspects of the SWMP for a project, including permit, SWPPP summary sheets, SWPPP binder, and BMPs and control measures in place on the project. The Construction Division conducts a similar internal survey; stormwater compliance is one component of this construction survey. Finally, the EMS Construction Stage Gate Checklist, which is completed by the project manager or DEQC at least annually on each project, also focuses on stormwater and environmental compliance.

The EPA and the FHWA have performed regulatory audits in the past, but rarely. These audits are difficult to prepare because the time of their occurrence is unknown. However, a few years ago, an EPA regulatory audit led to changes resulting in the current EMS program. The FHWA audited the NEPA program and reviewed Texas DOT’s compliance with its stormwater management program and its EPIC program. The state regulatory agency, Texas CEQ, conducts regulatory audits of Texas DOT construction projects. The Texas CEQ has recently audited highway construction projects for the MS4 program to determine compliance with those permit requirements.

Experiences and Findings

Sharing the experiences of Texas DOT staff involved with construction stormwater program management helps other DOTs with their construction stormwater management program and

associated processes and procedures for managing, tracking, monitoring, and reporting compliance with permit requirements. The findings from Texas DOT include the following:

• Consistency: Texas DOT realized recently that many districts handled construction stormwater management differently from one district to the next. This inconsistency made it cumbersome to track and monitor all projects under construction and to inspect projects using different processes. By using new guidelines, forms, and templates that are now standard for all districts, Texas DOT has achieved more consistency in its program.
• Digital stormwater management: Texas DOT is moving all documents and information related to stormwater management, E&SC, and the SWPPP to electronic and digital files to ensure all documentation is stored properly and can be referred to later if needed.
• Co-permits: Texas DOT has set up its CGP as a co-permittee. Texas DOT and the contractor are responsible for complying with permit requirements, which adds more accountability on the contractor, who can be directly cited by a regulatory agency when not in compliance with permit requirements.
• In-house trainers: Texas DOT uses in-house personnel to teach their stormwater classes in lieu of outside vendors. In addition, Texas DOT is also building more online classes to reach larger audiences, resulting in more availability of classes and higher numbers of personnel trained annually. The use of in-house personnel and online classes also allows for updating training classes more easily as permit requirements and guidance change.

Summary of Case Examples

The six case examples provided in-depth information about the state of the practice related to state DOT construction stormwater management programs. Each of the state DOTs was asked to discuss the approaches and processes used for construction stormwater management, including the following:

• Obtaining required permits and ensuring compliance with permit requirements
• Benefits and challenges experienced by state DOTs when managing construction stormwater runoff
• Preparing and managing SWPPPs, BMPs, and control measures
• Training for construction stormwater management including BMP installation and inspection training
• Internal and regulator audits
• Experiences and findings helping state DOTs with their construction stormwater management program

Table 5 outlines similarities and differences found in the six state DOTs related to their approach to permitting, E&SC, site plan, and the state regulatory agency that administers the permit and provides regulatory audits of construction sites.

In addition, the case examples provided information on the training programs for construction stormwater management. Table 6 summarizes the training programs offered by the six state DOTs for in-house and contractor personnel, including designers, inspectors, and installers.

Finally, each state DOT was asked to provide experiences and findings that have impacted construction stormwater management. Table 7 summarizes the experiences and findings collected from the case examples. Similarities are evident in proactive and performance-based approaches, building in consistency, and providing training for construction stormwater management. Other findings include the use of liquidated damages when deficiencies are not addressed, requirements for contractors to take photographs of corrective measures, and the use of co-permitting, in which the DOT and the contractor are equally accountable for permit compliance.