Pennsylvania MS4 Collaboration Toolkit

Technical guidance for collaborating across municipal boundaries to achieve water quality goals

Center for Watershed Protection, Inc. (CWP)

July 15, 2024

Toolkit Introduction

To improve water quality in the U.S., state and federal agencies require local municipalities to address water quality issues. Watersheds are natural features that are not limited by city or county lines. So, when multiple municipalities work together, they are able to successfully meet water quality goals more economically. Many municipalities are interested in formally collaborating with each other but are unsure how to begin.

This Toolkit is designed for municipalities in Pennsylvania who want to work together to address National Pollutant Discharge Elimination System (NPDES) Municipal Separate Storm Sewer Systems (MS4) permit requirements for improved water quality. This step-by-step guide provides a framework for communities just beginning to create a collaboration, as well as continued assistance for existing collaborations.

This step-by-step guide provides a framework for communities just beginning to create a collaboration, as well as continued assistance for existing collaborations.

CWP interviewed existing MS4 collaborations in Pennsylvania to identify common benefits and challenges experienced by the different groups as they've worked together to address Total Maximum Daily Load (TMDL) and/or Pollutant Reduction Plan (PRP) objectives.

Combined with the insights from these interviews, CWP leveraged supplemental research and technical expertise to develop this Toolkit.

Use the interactive map to explore the existing MS4 collaborations. More information about these MS4 collaborations and their municipal partners can be found in the interactive tool linked below.

Explore Existing MS4 Collabs

Cost savings, strategic implementation, and improved municipal relationships are some of the most commonly reported benefits of collaboration.

Some of the reported challenges include technical capacity, long-term engagement, legal considerations, and O&M for stormwater projects.

This graphic shows bulleted lists for “Benefits” and “Challenges” commonly reported by MS4 collaborations. Benefits include: 1) Cost sharing and savings: Collaborative efforts enable all parties to share costs, leading to overall savings; 2) Strategic project implementation: Collaborations allow for thoughtful and strategic placement of stormwater management projects, maximizing water quality improvements through larger, most cost-effective initiatives; 3) Improved relationships: Collaborative efforts foster better relationships between neighboring municipalities and facilitate effective idea-sharing. Challenges include: 1) Capacity and skills: Some municipalities lacked the capacity and necessary skills to manage collaborative partnerships, such as grant and program management or group decision-making; 2) Sustained engagement: keeping all parties informed and engaged in the partnership over time; 3) Legal considerations: Legal assistance may be needed to navigate the complex legal frameworks associated with formal and even informal collaborative efforts; 4) Operations and maintenance: Proper accounting for and management of future stormwater project operations and maintenance pose challenges that need to be addressed.

The 5 Steps

The Toolkit’s "5 Steps" for municipal MS4 collaborations provide a flexible framework that is designed to be adjusted based on the collaboration’s purpose and the partners’ needs and circumstances.

Note that all technical guidance is based on the current PAG-13 permit and will need to be updated with any regulatory changes. This StoryMap and other resources on the Toolkit's website will be maintained accordingly.

This infographic presents the 5 steps for MS4 collaborations presented in the Toolkit. The 5 steps include: Step 1) Develop Purpose and Objectives; Step 2) Engage Partners; Step 3) Propose a Cost-Sharing Formula and Funding Strategy; Step 4) Create a Credit Distribution Method; and Step 5) Establish the Collaboration. — The 5 steps for municipal MS4 collaborations presented in the Toolkit

The following slides highlight key details about each of the 5 steps for establishing MS4 collaborations. Skip to the "Implementation & Reporting" section using the top menu bar for more information about how collaborations select locations and account for stormwater projects.

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Step 1: Develop Purpose and Objectives

Identifying a collaborative program’s purpose and objectives as well as appropriate partners is the first step for creating a program with the best chance of long-term success.

The process of developing the program’s purpose and objectives is guided by 3 actions:

Identifying appropriate partners: Consider the scale for the collaboration (i.e., watershed, county, regional); contact municipalities to gauge interest and begin working towards commitment.
Informing elected officials, municipal staff, and regulators: Solicit their support early in the collaborative process to reduce future misunderstandings and smooth the way forward for the collaboration.
Being inclusive: Give all potential partners the opportunity to participate in the development of the idea or in the selection of a core working group.

This graphic includes icons for the 3 guiding actions in Step 1: Identify appropriate partners; inform elected officials, municipal staff, and regulators; and be inclusive. Each action has a representative graphic/icon.

Step 1: Develop Purpose and Objectives (continued)

Bringing together representatives from all potential partner organizations and relevant parties to outline a clear purpose and objectives for the collaboration provides direction that helps keep the collaboration on course.

Hosting group discussions with designated facilitators asking guiding questions can help the group determine its shared purpose and objectives.

This graphic includes discussion prompts for Step 1 to develop a purpose and objectives. The prompts include: 1) Describe the issue, problem, or challenge that would benefit from collaboration. 2) What does success look like for the collaboration? 3) What expectations does the group have for outcomes from the collaboration? 4) What would the group like to hear about the collaboration 5 years from now? What was accomplished? How did things change?

Step 2: Engage Partners

Additional partner outreach and engagement may be necessary to secure commitments to the collaboration. This may involve meeting with city administrators or presenting to elected officials at public meetings.

At this point, the collaboration may find it helpful to select a lead organization to coordinate the collaboration’s work and provide consistent messaging. Lead organizations can fulfill many different types of administrative and managerial duties.

This graphic includes example responsibilities for the lead organization of a collaboration. These include: 1) Arrange, plan, and coordinate all meetings; 2) Oversee and administer BMP projects; 3) Prepare, finalize, and submit annual reports; 4) Manage and administer collaboration funds; 5) Pay invoices and prepare annual finance reports; 6) Act as a consultant contracting agent; 7) Maintain all records for the collaboration; 8) Assist in identifying grant funding opportunities.

Step 2: Engage Partners (continued)

As you work to engage partners, remember to:

Engage Regulators: Contact the appropriate PA DEP Regional Office when beginning the collaboration.
Leverage Multi-Sector Partnerships: Consider the potential impacts of the collaboration on a larger scale and engage diverse types of stakeholders. Include watershed and conservation organizations, which often have long-standing community relationships, knowledge of property owners, grant writing capability, and connections to communities with environmental justice considerations.

Step 3: Propose a Cost-Sharing Formula and Funding Strategy

Cost sharing and funding strategies for collaborations must be divided fairly between the partners involved. The division of costs is based on two principles:

Establishing a direct relationship between the collaboration’s revenue sources and its function whenever possible (i.e., stormwater fees, water/sewer authority fees, and grant funds)
Distributing costs on the most equitable basis for the collaboration’s purpose (i.e., municipal contributions)

Step 3: Propose a Cost-Sharing Formula and Funding Strategy (continued)

After accounting for fee revenue and grant funds, the additional expenses and program costs for the collaboration are likely to be from municipal contributions. The program partners must decide on the best cost share method(s) for their partnership. Methods include:

Equal shares (equal percentages)
Population (count, percentage of total)
Impervious cover (area, percentage of total)
Impaired streams (length, percentage of total)
MS4 planning area (area, percentage of total)
Combination of methods

CWP developed a spreadsheet with cost-share templates that you can download to compare these methods for your collaboration.

Cost-Share Template Spreadsheet

Step 4: Create a Credit Distribution Method

Pollutant reduction credits (“credits”) are earned from BMP implementation that reduces sediment and nutrient pollution to address the objectives of a TMDL or PRP as part of NPDES MS4 permit requirements.

Calculating the credit from the implementation of BMPs through a collaborative effort is based on the combined planning area for the participating MS4s.

Step 4: Create a Credit Distribution Method (continued)

Generally, credit distribution would be consistent with the cost sharing formula or slightly adjusted. For example, the credit distribution could be based on a municipality’s percentage of the total pollutant load from all participating municipalities, as shown in the example provided.

Step 5: Establish the Collaboration

The structure of an established collaboration can range from a loose network of municipalities to a formalized, separate organization with the ability to maintain its own finances. The choice of structure directs how the collaboration’s partners maintain accountability.

Collaborations that cross municipal boundaries are often formalized by an Intergovernmental Agreement (IGA) or a Memorandum of Understanding (MOU).

Step 5: Establish the Collaboration (continued)

Types of collaborative structures include:

Collaborations with IGA only: Formalized by an IGA signed by all partners.
Standalone Collaborations with IGA: Same as above but with the ability to apply for grants as a 501(c)3 nonprofit or other standalone organization.
Joint Authorities: A water or sewer authority that administers stormwater management with MS4 permittees as partners based on an IGA.
Informal Collaborations: Collaboration with no formal agreement or commitment between partners. Useful for experimenting with collaboration on a temporary basis or for sharing costs for public education, outreach, public involvement, participation, and training.

Step 5: Establish the Collaboration (continued)

PA DEP requires the use of legal agreements – intergovernmental agreements (IGAs) or memorandums of understanding (MOUs) – so that there is an explicit understanding between the partners involved.

CWP developed example agreement templates that you can download and adapt to suit your collaboration's partners and needs.

Example Agreement Templates

Implementation & Reporting

For collaborative BMPs to be acceptable to PA DEP as pollutant reduction projects, the projects must be:

in the same watershed as the MS4 planning area per the "Pollutant Aggregation Suggestions for MS4 Requirements Table";
no further than one (1) mile from the planning area boundary; and,
within the jurisdiction of the municipality(ies) under the PRP.

The "Pollutant Aggregation Suggestions for MS4 Requirements Table" and more information about PRP/TMDL plan requirements can be found on PA DEP's website using the link below.

PA DEP PRP/TMDL Plan Requirements

The following table contains more information about BMP credit reporting for collaborations with and without joint PRPs/TMDLs.

MS4 Collaboration Agreement Type	Annual MS4 Status Reports	NPDES Final PRP/ TMDL reports
WITH Joint PRPs/TMDLs	Only report load reductions for BMPs completed within municipal boundaries.	Report 1) all BMPs installed within municipal boundaries and 2) all BMPs installed within the boundaries of all MS4s participating in the joint PRP or TMDL.
WITHOUT Joint PRPs/TMDLs	Same as above. BMP credit reporting for Annual MS4 Status Reports is the same regardless of whether the collaboration has joint PRPs/TMDLs.	Report all BMPs installed within municipal boundaries. Note that the reported credit and load reductions must be calculated based on the partner's baseline calculation method from their separate PRP or TMDL.

Framework for Success

Maintaining the momentum of a collaborative MS4 partnership requires thoughtful leadership and participation. To maintain your collaboration's momentum long-term, consider these three guiding principles:

Proceed with care
Deal with problems directly
Maintain a cooperative mindset

Proceed with care

This graphic is titled “Proceed with Care” and contains 6 bullet points. 1) To develop and maintain the collaboration’s overall vision, prepare for meetings thoughtfully and carefully. 2) Follow the established decision-making procedures for the collaboration. 3) Conduct a thorough analysis of several options for organizing and funding the collaboration. This will provide potential partners and municipal officials with the information they need to make decisions. 4) Conduct a realistic assessment of what is feasible for the collaboration, both financially and politically. 5) For long-term success, set expectations for working out details with all involved parties. 6) Use a written agreement, contract, or memorandum of understanding to guide the collaboration.

Deal with problems directly

This graphic is titled “Deal with Problems Directly” and contains 4 bullet points. 1) Deal with concerns, problems, and conflicts promptly and directly. 2) Document and learn from failures and missed opportunities. 3) Identify challenges from past tension or historical animosity between neighboring municipalities. 4) Recognize, name, and call out these challenges so that the collaboration can develop and implement strategies that support moving forward.

Maintain a cooperative mindset

This graphic is titled “Maintain a Cooperative Mindset” and contains a banner and 3 bullet points. Banner: A positive, supportive, and solution-driven attitude is a fundamental piece of a successful collaborative program. 1) Flexibility: Be willing to negotiate and explore creative solutions to challenges. 2) Patience: Avoid announcing premature or unrealistic deadlines and implementation dates. 3) Proactivity: Seek out opportunities to collaborate with new partners and to collaborate more effectively with existing partners.

Continue exploring CWP's PA MS4 Collaboration Toolkit website for more information and resources.

Toolkit Website