Stormwater Runoff Associated with Industrial Activities

Who Needs a Rule 6 Permit?

A revised version of the Rule 6 National Pollutant Discharge Elimination System (NPDES) general permit for Storm Water Runoff Associated With Industrial Activity became effective November 26, 2003. The revised Rule 6 (327 IAC 15-6 [PDF File]) is consistent with Phase II federal Storm Water requirements. The IDEM Office of Water Quality provides a comprehensive online guidance on obtaining a Rule 6 permit.

Under the revised rule, most industrial facilities in Indiana are subject to the Rule 6 permitting requirements if 1) runoff from a precipitation event or from ice or snow melt waters are exposed to (come into contact with) the facility's manufacturing processing activities, raw materials storage areas, or intermediate products storage areas, and 2) that runoff then leaves the facility from one, or several, point source(s) that discharge into a Municipal Separate Storm Sewer System (MS4), or directly into the waters of the state.

It is always the facility operator, rather than the property owner, that is responsible for compliance with Rule 6, and/or other Storm Water discharge limitations and requirements.

Thirty-two (32) specific categories of industrial activities are often included within these parameters, as well as the following facilities:

1. hazardous waste treatment, storage, or disposal facilities;
2. landfills, land application sites, open dumps, and transfer stations;
3. steam electric power generating facilities;
4. wastewater treatment plants with a design flow of 1,000,000 gallons per day or more; and
5. agricultural chemical fertilizer and pesticide distribution facilities.

Who Does Not Need a Rule 6 Permit?

There are three (3) groups of facilities that may not be subject to Rule 6 requirements:

1. Facilities for which an individual NPDES Storm Water permit (using application form 2F [PDF FIle]) may be required, including those with subcategories and the associated effluent limitations listed in 40 Code of Federal Regulations (CFR), Parts 411 through 443), such as:
1. Cement manufacturing;
2. Feedlots;
3. Fertilizer manufacturing;
4. Petroleum refining;
5. Phosphate manufacturing;
6. Steam electric power generation;
7. Coal mining (can also operate under a Rule 7 Permit);
8. Mineral mining and processing;
9. Ore mining and dressing; and
10. Asphalt manufacturing.
2. Facilities that can successfully demonstrate eligibility for a conditional no exposure exclusion (which must be granted by IDEM).
3. Facilities for which IDEM determines that the general Rule 6 permit requirements would not be sufficient to protect water quality of the receiving stream, or because those facilities have other factors that may require more specific Storm Water control requirements. If an individual Storm Water permit is required, IDEM will notify representatives at those facilities, who will have 30 days to submit an application for an individual NPDES discharge permit.

To obtain a conditional no exposure exclusion, a facility must certify on a conditional no exposure certification form submitted to IDEM, and demonstrate during a subsequent IDEM inspection, that no Storm Water runoff from the:

1. Industrial plant yard;
2. Immediate access roads and rail lines;
3. Material handling sites;
4. Refuse sites;
5. Process wastewaters disposal sites;
6. Material handling equipment storage and maintenance sites;
7. Shipping and receiving areas; or
8. Other out-of-doors areas of the facility can be contaminated by pollutants associated with the manufacturing process, or the raw materials, intermediate products, byproducts, or waste products associated with the manufacturing process.

Some of the Things a Facility Must Do To Comply With Rule 6 Include:

Facilities wishing to operate under a Rule 6 permit first must submit a Notice of Intent (NOI) to the IDEM Office of Water Quality:

IDEM-Office of Water Quality
Rule 6 Storm Water Coordinator
100 N. Senate Avenue, Room 1255
Indianapolis, IN 46206

1. The NOI letter must be submitted at least 90 days before beginning industrial operations at a new facility. Similarly, facilities that received notification from IDEM of that they need to renew and an existing Rule 6 permit, also have 90 days to submit a renewal NOI letter.
2. The NOI letter must be accompanied by a $50 application fee and proof (a copy of the legal notice) that the applicant has notified the public in the newspaper of largest circulation in the county or area where the activity is to take place, of his or her intent to operate under a Rule 6 industrial Storm Water permit.
3. The NOI letter must include (at least, but not limited to) the following information:
   1. Name of responsible corporate officer or duly authorized representative.
   2. Name and contact information of the individual who can provide assistance with information pertaining to the facility's permit.
   3. A brief narrative description of the industrial processes performed at the facility.
   4. Identification of the number and location of each outfall where Storm Water exposed to industrial activity will be discharged to a water of the state.
   5. The identification of past and present NPDES permits, if applicable.
   6. The latitude and longitude coordinates of the facility outfall(s).
   7. The identification of the regulated MS4 entity receiving the Storm Water discharge, if applicable.

Next, the facility must develop and implement a Storm Water Pollution Prevention Plan (SWP3), and submit a completed SWP3 Checklist Form certifying to IDEM that such a plan is in place. The SWP3 Checklist Form must be signed by a qualified professional, and submitted to IDEM within 365 days of the submittal of the NOI letter. A "qualified individual" is a person "trained and experienced in Storm Water treatment techniques and related fields as may be demonstrated by state registration, professional certification, experience, or completion of coursework that enable the individual to make sound, professional judgments regarding Storm Water control or treatment and monitoring, pollutant fate and transport, and drainage planning."

The SWP3 itself (not the checklist form) must be retained at the facility, and made available for review during any on-site inspection. Periodically, the plan must be reviewed, and revised if changes at the facility alter conditions that could affect runoff.

If IDEM notifies a facility that their SWP3 is ineffective or deficient, a facility representative must make the required changes to the SWP3 and submit the amended plan within 60 days of the written notification.

Finally, the facility must implement a comprehensive sampling protocol that demonstrates that the Storm Water Pollution Prevention Plan (SWP3) is effectively limiting and reducing contaminates in Storm Water discharges. Some of the sampling requirements are:

1. All samples are to be "grab samples" taken within the first 30 minutes Storm Water discharges from a participation event of one-tenth, or more, inches of rain. Samples taken less than 72 hours after a previous precipitation event, or runoff from melting ice or snow are not suitable for sampling purposes.
2. The first grab sample(s) must be taken before beginning implementation of the SWP3. Afterward at least one sample must be taken each year, with a minimum of three months between sampling events.
3. Facilities must test for a number of variables, including but not limited to: pH, oil and grease, nitrates, phosphorous, chemical and biochemical oxygen demand, and suspended solids, as well as for any other pollutants that are reasonably expected to be present in the facility's storm water discharge.
4. Sampling parameters must be compared from year to year from the second through the fifth year of permit coverage.
5. Laboratory results must be reported to IDEM no later than 30 days after the sampling occurs.

What to Expect

Once an application for new Rule 6 permits or conditional no exposure exclusions is deemed to be complete, it generally will be processed by the IDEM Office of Water Quality within 30 days.

A Rule 6 permit must be renewed every 5 years, or for those who do not need a permit, the conditional no exposure exclusions also must be renewed every 5 years. NOI letters for new facilities are due at IDEM 90 days before operations begin. Renewal NOI letters should be submitted to IDEM 90 days before the existing permit expires. Neither Rule 6 permits, nor exclusions are transferable, so if the facility changes hands, the new owner/operator must reapply for a permit or exclusion within 60 days of the transfer.

On the other hand, if a permitted or excluded facility is closing, a Notice of Termination (NOT) must be submitted to IDEM within 30 days of closure. NOTs also must be submitted to IDEM if the facility is transferring ownership, intends to discharge all its Storm Water into a combined sewer system, or otherwise ceases to discharge Storm Water to an MS4 or to the waters of the state (ie. Instead begins discharging to an on-site retention basin).

Facilities operating under a Rule 6 permit are assessed a $100 annual fee every January.

Comparing the Revised Rule 6 to the Previous Requirements

The revised Rule 6 permit that became effective November 26, 2003, differs from the previous version in several ways.

Now: the Rule 6 permit must be renewed every 5 years.
Previously: it was perpetual.

Now: the samples must be grab samples, and the discharge must be sampled at least once every year.
Previously: the samples were composite samples, with one sample required the first year, and two samples required the second year, but with no further sampling required after the second year.

Now: visual inspections no longer are a valid method of assuring the SWP3 plan is protective of water quality.
Previously: visual inspections were the only action required after the sampling of the second year was completed.

Previously: certain industrial activities were presumed to not require a Rule 6 permit (or individual NPDES Storm Water discharge permit) unless the facility operator determined that there was a potential for the Storm Water to be expose to the industrial process.
Now: all facilities discharging to a MS4 or to the waters of the state must request certification from IDEM that they are eligible, and IDEM then conducts and inspection to determine whether they are eligible for a conditional no exposure exemption.

To obtain additional information regarding Storm Water Run-off Associated with Industrial Activity (Rule 6), to obtain a Notice of Intent letter format, a conditional no exposure exemption form, a Storm Water Pollution Prevention Plan (SWP3) checklist [PDF], or a Notice of Termination Letter contact:

Alison Beumer
Rule 6 Coordinator,
Phone: (317) 233-0202 or toll-free at (800) 451-6027 ext. 30202

E-mail: abeumer at idem.IN.gov

You may also get more information on the Rule 6 program by visiting the IDEM Office of Water Quality's Storm Water Rule 6 Web page.

Changing Ownership / Transferring General NPDES Permit-by-Rule Permits