Guidelines Water Quality Management Planning

GUIDELINES
                   WATER  QUALITY
          MANAGEMENT PLANNING
NOTE:   Unified planning requirements for the EPA Waste Water Treatment
       Works Construction Grant  Program and HUD Water and Sewer Facili-
       ties Grant Program are currently under preparation by both
       agencies.   In the interim period, these Preliminary Planning
       Guidelines provide the basic considerations to be addressed in
       meeting the requirements  of both organizations.
                  ENVIRONMENTAL PROTECTION AGENCY
                        WATER QUALITY OFFICE
                      WASHINGTON, D. C.  20460

                            January 1971

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GUIDELINES
                    WATER  QUALITY
          MANAGEMENT PLANNING
NOTE:   Unified planning requirements  for the EPA Waste Water Treatment
       Works Construction Grant Program and HUD Water and Sewer Facili-
       ties Grant Program are currently under preparation by both
       agencies.  In the interim period, these Preliminary Planning
       Guidelines provide the basic considerations  to be addressed in
       meeting the requirements of both organizations.
                   ENVIRONMENTAL PROTECTION AGENCY
                        WATER QUALITY OFFICE
                      WASHINGTON,  D. C.  20460

                            January 1971

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                          PLANNING GUIDELINES

                           TABLE OF CONTENTS

CHAPTER 1.     APPROACH TO WATER QUALITY MANAGEMENT PLANNING
CHAPTER 2.     BASIN PLANS
CHAPTER 3.     METROPOLITAN/REGIONAL PLANS
CHAPTER 4.     EPA PLAN EVALUATION PROCEDURES
CHAPTER 5.     EVALUATION OF CONSTRUCTION GRANT APPLICATIONS
               FOR CONFORMANCE TO PLANS
                                 III

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                           TABLE OF CONTENTS

       CHAPTER 1.  APPROACH TO WATER QUALITY MANAGEMENT PLANNING

Paragraph                                                    Paragraph
 Titles                                                       Numbers
General 	    1
Purpose   	    2
Applicability   	    3
Policy      	    4
References  	    5
Functional Planning for Water Quality 	    6

                   Figure 1-6.1.-Plan Relationships

Interim Procedures  	    7
Coordination  	    8
Processing of Plan	    9

                   Figure 1-9.2.-Plan Submission Process

                   Appendix 1-A Implementation Plan
                   Appendix 1-B Regulations
                   Appendix 1-C Standards Revision
                                    IV

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        CHAPTER 1.  APPROACH TO WATER QUALITY MANAGEMENT PLANNING

1.  GENERAL.

    a.  Effective plans are an essential part of the process of
establishing, implementing and maintaining water quality standards.
The national objectives and goals of the water quality standards,
supported by the extensive financial assistance program for the
construction of municipal waste treatment facilities determines both
the immediate and long-range objectives of water quality management
planning.  For the immediate period these are:

        (1)  To assure an acceptable level of certainty that water
quality standards implementation plans (See Appendix 1-A) will achieve
in-stream goals; and

        (2)  To maximize the cost effectiveness of investments in
pollution abatement and prevention actions required to achieve national
water quality objectives.

    b.  The long-range objectives are to improve and maintain established
water quality standards.  Continuation of the planning process will
attain these objectives by periodic updating of adopted plans.  In
addition there is a definite need to determine measures that would:
control all sources of pollution and improve management of receiving
waters to reduce adverse impacts of wastes; maximize the cost effective-
ness of measures needed to achieve this higher level of water quality
management; and relate water quality management more effectively to all
other environmental protection and resource use and management programs.

2.  PURPOSE.

    a.  These guidelines delineate the general policies, procedures
and requirements for development of the necessary plans and the
evaluation of the effectiveness of the developed plans in meeting
national water quality objectives.  Primary emphasis is given to the
actions necessary to implement current regulations (18CFR601.32 and 33)
on grants for water pollution control.  These regulations (Appendix 1-B)
were published on July 2, 1970, and require that any municipal waste
treatment facility or interceptor sewer receiving grant support under
Section 8 of the Federal Water Pollution Control Act, as amended, be
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included in a basin plan, and where appropriate,  also a metropolitan/
regional plan.  The purpose of these regulations is to insure that:

        (1)  The massive construction grant investment to which the
Federal Government is committed is cost effective;

        (2)  The investment will be supplemented by actions to abate
other sources of pollution; and

        (3)  The investment will provide maximum protection and enhance-
ment of water quality.

    b.  The States and their political subdivisions have primary
financial responsibility for water pollution control and are assigned
the basic responsibility for this expanded planning effort.  The Federal
role is primarily one of assistance, guidance, and evaluation.

    c.  Under the regulations, planning is required in two distinct
but related geographic areas:

        (1)  The basin hydrologic system into which liquid wastes are
discharged or ultimately flow (basin plan).

        (2)  The urban concentration and/or grouping of small cities
metropolitan/regional plan).

    d.  Where such plans do not presently exist, a certain amount of
time will be needed to develop them.  Therefore, procedures are
provided in paragraph 7 of these Guidelines on the development and
evaluation of interim plans based on available information which can be
used while States and communities develop detailed plans.  These
interim procedures are not to be used after July 1, 1973.

3.  APPLICABILITY.  These Guidelines apply to Federal, State, inter-
state, and local planning agencies concerned with development of water
quality management plans required by 18CFR601.32-3.  Chapters 4 and 5
are applicable mainly to organizational elements of EPA which are
concerned with development, management, and coordination of the programs
of the agency.

4.  POLICY.

    a.  Implementation of Regulations, 18CFR601.32-3 leading
to the development of an effective water quality management planning
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process will be accomplished in accordance with the Guidelines contained
herein.

    b.  All necessary steps will be taken to encourage the development of
required plans by the States and political subdivisions (general purpose
units of government) where regulatory and other authorities can assure
implementation of the plans.  For those problems of interstate areas,
appropriate interstate mechanisms must insure necessary coordination
among the respective interests.

    c.  Planning under the regulations will identify the need for States
to  update and improve established water quality standards (methods for
revising water quality standards are set forth in appendix 1-C).

    d.  The planning requirements for Federal waste water collection
and treatment grant programs will be unified.  Through EPA and HUD
planning requirements as implemented by these Guidelines and the HUD
Areawide Planning Requirements, grants awarded by HUD for Water and
Sewer Facilities must meet the same administrative and regulatory
requirements with respect to comprehensive planning and functional waste
water collection and treatment planning and programming.

    e.  The following areawide (metropolitan and regional) planning
determinations are to be made prior to any EPA or HUD grants for waste
water collection or treatment facilities.

        (1)  That there is adequate long-range comprehensive planning
for the area, carried out by an officially recognized areawide planning
agency, which provides a basis for areawide waste water collection and
treatment functional planning.

        (2)  That there is, consistent and coordinated with comprehensive
planning, adequate planning for long-range waste water collection and
treatment facilities for the area which sets forth the basic framework
of the functional system of which the proposed project is a part.

        (3)  That, consistent with comprehensive and functional planning,
there is an adequate short-range program for a unified or officially
coordinated functional waste water collection and treatment system for
the area.

        (4)  That the project to be assisted is consistent with the
planning and programming called for under (2) and (3) above.
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5.  REFERENCES.   The following references provide the authorities on
which various paragraphs of these guidelines are based.

    a.  Federal Water Pollution Control Act, 33 U.S.C.A. 1151 et seq.(1970)

    b.  National Environmental Policy Act of 1969, P.L. 91-190.

    c.  Executive Order 11507 (1970), Federal Facilities.

    d.  Executive Order 11514 (1970), Environmental Quality.

    e.  Grants for Pollution  Control, 18CFR601.32-3

    f.  BOB Circular A-85 and A-95.

    g.  Reorganization Plan No. 3 of 1970.

    h.  Environmental Assessment of FWQA Actions, FWQA Order COM 3200.1.

    i.  Areawide Planning Requirements, Department of Housing and Urban
Development, HUD 6415, issuance series.

6.  FUNCTIONAL PLANNING FOR WATER QUALITY.  Water quality management
planning is intended to provide for continuous, systematic and coordin-
ated development of an efficient and effective course of action to
protect or enhance the quality of the waters of a discrete area.  The
guidelines identify two categories of plans:  basin and metropolitan/
regional or areawide plans.

    a.  Basin Plans. The basin plan provides an overview of the impact
of pollution sources and alternative pollution control measures on the
receiving waters, basic information on stream flows and water quality,
and requirements for jurisdictional cooperation at various levels.

        (1)  A basin is here defined as either:

              (a)  A hydrologic area or that portion thereof located
within an individual State and having boundaries mutually agreed upon
by the State and EPA  (see paragraph 8.a for interstate basins); or

              (b)  The hydrologic area within the jurisdiction of an
interstate agency, where such  jurisdiction includes authority to
implement the plan through substantially the same powers as those



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possessed by the member States.

        (2)  The State is to designate the agency responsible for basin
planning, and where there are exceptions to "a" and "b" above,  these
are to be resolved between the State and EPA.

    b.  Areawide (Metropolitan/Regional) Plans.  These areawide
functional plans are subsets of the Water Quality Management Plan for
a river basin and are the functional waste water collection and
treatment (sewerage) plan elements of the comprehensive areawide Plan
as set forth in the HUD Areawide Planning Requirements (see paragraph
5.i).  These guidelines place primary emphasis on regional waste water
management systems as well as the location and capacity aspects of the
collection system.  Such systems mean one or more treatment works which
provide integrated, but not necessarily interconnected waste disposal
for a community, metropolitan area or region.  Metropolitan areas and
regions are to be designated by the States and concurred in jointly by
HUD and EPA as Areawide Planning Jurisdictions (APJ's) guided by the
HUD Areawide Planning Requirements.

        (1)  A metropolitan APJ is defined generally as a Standard
Metropolitan Statistical Area (SMSA) as defined by the Office of
Management and Budget.  Further explanation of a metropolitan APJ is
contained in the HUD Areawide Planning Requirements (see paragraph 5.i.)

        (2)  A regional APJ is defined as a geographic area, other
than a metropolitan area as defined above, encompassing or extending
into the jurisdiction of more than one unit of local, general govern-
ment and mutually agreed upon by the State(s) concerned and EPA as
requiring integrated regional water quality management.

    c.  Planning Organization.

        (1)  Areawide Planning Organizations.  The EPA Regional Office,
jointly with the HUD Area Office and with the governor or his designee
will recognize Areawide Planning Organizations (APO's) guided by the
HUD Areawide Planning Requirements.

        (2)  Basin Planning Organizations.  States will designate as
appropriate the basin planning organization.  Coordination is necessary
between Areawide Planning Organizations and Basin Planning Organizations,
It is suggested that in those instances where the APO's in the Basin
are not represented in the Basin Planning Organization, that a commit-
tee structure be established as part of the Basin Planning Organization
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as a mechanism for coordination.  Where Basin Planning Organizations are
not established, the State agencies responsible for river basin water
quality planning are encouraged to establish planning advisory committees
for each river basin with representatives from the APO's within the
river basin.  The purpose of these committees will be to provide liaison
on policy and other matters between the APO's and the State agency and
to coordinate areawide (metropolitan and regional) planning with basin
water quality planning.  State agencies are encouraged to furnish
technical assistance to such planning advisory committees and to give due
consideration to their recommendation and proposals with respect to
policies, priorities and projects to be incorporated into the river
basin water quality plan.

    d.  Plan Relationships.  The metropolitan/regional plan must be
consistent with the areawide comprehensive plan and the basin plan and
all must consider the environmental impact of the implementation of the
plan.  Ideally, basinwide information on flows, water quality, and major
proposed measures (solutions) would be developed first.  This, in turn,
would be used by regional planners in evaluating growth patterns and
regional configurations.  The basin planner would then integrate and
suggest any refinements.  In practice, basin planning will draw on
existing metropolitan/regional plans for information on sources and
solutions.  Figure 1-6.1 illustrates the relationship among basin,
regional and metropolitan plans.  A separate regional plan will not
be necessary where EPA has agreed to the State's request to submit only
a basin plan, if the basin plan gives firm assurance that adequate
coverage is given to relevant regional plan elements, and:

        (1)  Waste discharges in a planning area do not affect water
quality outside of area;

        (2)  Waste discharges have no interaction within the basin;

        (3)  Population is scattered and isolated and insufficient to
require regional consideration for water quality management;

        (4)  No major population or economic expansion is expected
in the next five years; and

        (5)  Basin plan will provide adequate coverage of pollution
sources within the EPA.

    e.  Plan Content.  A major objective is to establish a logical,
systematic water quality management planning process which includes
land and water planning and organizational and financial arrangements
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for implementation. This planning is a viable, dynamic, and constantly
improving process including evaluation, feedback and coordination with
a variety of local, regional, State, interstate and Federal agencies.
There must be distinct milestones in time to avoid continuing postpon-
ment of conclusions for want of "more data." The following general
coverage will be provided in the planning process. (A more detailed
description is contained in Chapters 2 and 3).

(1) Objectives. State what water use goals are to be achieved
and the objectives to reach these goals. Where water quality standards
have not been established, the desired water uses should be established
by public hearings. Where standards need to be upgraded, the plan
should propose revisions.

(2) Statement of the Problem. Analyze concisely the nature
of the problem(s): impact on water quality, geographic extent,
social (demographic) and economic forces, the various waste loads and
technical considerations for handling these loads, and rates of change
in the problems.

(3) Planning Premises. Set forth major premises upon which
the plan is based. This would include legislative authority, specific
local conditions, institutional problems, resources such as matching
grants and achievement of goals and objectives set forth in areawide
comprehensive planning.

(A) Alternative Solutions. Various strategies (plan of action)
to reach the objectives set by (1) above will be analyzed and reported
in detail. Proposed solutions may include various treatment measures,
process changes, in-stream measures, flow regulation, and land use
policies. Evaluations of abatement/prevention plan alternatives should
present information on such factors as impact on water quality, capital
and operation and maintenance costs, probability of achieving the
desired results, and differences in social and economic impacts.
Environmental impacts of the alternatives studied will be assessed for
both benefical and detrimental effects (such as compatibility with
recreational uses, historical sites, etc.) Evaluation of alternatives
will consider both tangible and intangible benefits and costs.

(5) Water Quality Management Strategy. A strategy will be
presented for achieving the objectives proposed in (1) above on the
evaluation of the strengths and weaknesses of relevant alternatives
in (4) above. The selected strategy should contain specific proposals
for implementation of water quality standards or water use goals,
including public and private responsibility, laws and ordinances,
organizational arrangements, financing, schedules, priorities
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and environmental impact. The strategy should also discuss
the availability of needed resources such as manpower (both types and
number), financial assistance, and materials (that might be in short
supply).

f. Plan Evaluation. The agencies responsible for developing the
water quality management plan will insure a continuing evaluation of the
plan for the purpose of measuring the performance, changing plan
objectives as necessary to meet State and national goals, and refining
the plan in the light of new technology. In no case will a plan be
considered acceptable by EPA if the actions proposed would fail to
result in attainment of water quality standards as set forth in the
implementation schedule.

(1) The basin plan should provide the main input on hydrology,
location and characterization of waste sources (including storm water,
combined sewers, non-point sources), treatment levels (present and
future), water quality effects (present and future), land use, basin-
wide alternatives (such as transbasin diversions, flow augmentation)
and basinwide priorities for construction.

(2) The metropolitan/regional plan should provide the main
input on land use, growth, estimated waste production, process design,
service areas, collection systems, sewer drainage areas, investigation
of local and regional alternatives, cost estimates, financing and
institutional arrangements. If no metropolitan/regional plan is to
be prepared, the basin plan should then include the expected environ-
mental impacts of any projects proposed for the basin.