i UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
I WASHINGTON. O.C 20460 ^Q jy R. - ^ G - 1 O O
-. * ••-• j ; -
823R86100
'MAR25B86
MEMORANDUM
OFPICSO*
WATER
SUBJECT: /EPA's Review and Approval Procedure for State Submitted
LrMDLe/WIAs
FROM: Bdnund M. Notaon, Di
Monitoring and Data Support Division (WH-553)
TO: Addressees
I am pleased to transmit to you the final guidance on EPA's review
and approval procedure foe State submitted total naxinun daily loads/
wasteload allocations (TJOI«/NLAs). This jri*p**^ was prepared in response
to requests from the Regions to define a process that the States and EPA
Regional offices can use in reviewing and approving TM3Ls/toLAs developed by
the States and submitted to EPA. for approval. In preparing this guidance.
each Region's current, procedure was reviewed and a prototype procedure was
developed. This prototype was then distributed as draft guidance to Regional
and Headquarters offices for review and comment.
Cbnments on the draft were received from the Office of General Counsel
(OGC); the Office of Water Enforcement and Permits (OWEP), Permits Division;
the Criteria and Standards Division/ Analysis and Evaluation Division, and
Industrial Technology Division in the Office of Water Regulations and '
Standards (CWRS); and four EPA Regional offices. The ocmnents were generally
very favorable and were used to improve the document as described below.
The OGC suggested improvement to wording in paragraph H, page 4, with
reference to public notices and public hearings, and in Appendix E for EPA'3
example letter requesting additional information from the State. Their
suggestion was to include a statement in the example letter urging prompt
response to questions raised by EPA. to avoid possible disapproval for not
responding in a timely fashion.
The Criteria and Standards Division, in OWRS, suggested adding to
•aph D on page 3, that the States need to develop TMJIa/WLAs where use
atta-i.nnhi3.ity analyses are required in accordance with section 131.10 of the
Water Quality standards regulation, the other divisions in OWRS had general
editorial connents which were incorporated into the text. The Permits
Division concurred with the document e-< being consistent with their program
requirements.
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The following changes ware node to the document in response to
coimenta received from the Regions:
o EPA'a antidegradation policy requirements' were added to paragraph
D, page 3, as an element in the review/approval process.
o The text was modified to clarify that fact sheets for minor permits
and advanced treatment (AT) project reviews may be used to review
State WLAs.
o Technical references were added to Appendix C to assist in preparing
EPA/State agreements.
o An example letter of disapproval of a State's TM3L/WLA ves added to
.Appendix E.
o Letters of EPA approval, requests for additional information, and/
or disapproval are to be signed by the Regional Administrator.
If you have any questions on this giiidanr*, please contact
Ed Brabkowski on FTS 382-7056.
Attachment
Addressees:
Ed Woo, Region I David Neleigh, Region VI
Roeella O'Oannor, Region II Robert Steiert, Region VII
Dale Wismer, Region III Bruce Zander, Region VIII
Mite McGee, Region IV Phil Woods, Region DC
Noel Kohl, Region V Tom Wilson, Region X
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
Guidance on EPA's Review and Approval Procedure
for State Submitted TMDLs/WLAs
Monitoring Management Section
Monitoring Branch
Monitoring and Data Support Oivisi
March 1986
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OudTmrs
Page
I. Introduction . 1
II. Overview of the Process 2
III. Questions and Answers on the WIA Review and Approval Process 5
Appendixes
A. Section 130.7, Water Quality Planning and Management Regulation A-l
B. Section 303(d) and Section 303(e), Clean Water Act B-l
C. General Outline - State/EPA Agreement for Development of
Wasteload Allocations C-l
D. Section 131.10 and Section 131.12, Water Quality Standards
Regulation D-l
E. Example Transmitted Letters E-l
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I. INTRODUCTION
Background
Section 303(d) of the Clean Water Act requires States to
identify those waters where water quality-based controls are
needed, rank them in priority order/ prepare total maximum daily
loads and wasteload allocations (TMDLs/WLAs) for each water
body/ and submit them to EPA for review and approval. The Water
Quality Planning and Management (WQM) regulation (40 CFR Part
130/ January 1985) describes .how States are to identify these
areas and prepare submissions to EPA/ and requires the States to
send these TMDLs/WLAs to the EPA Regional Office for review and
approval. Section 130.7 of the regulation/ which discusses the
process for identifying water quality .limited segments/ TMDLs/
WLAs/ setting priorities/ etc./ is included as Appendix A.
Sections 303(d) and 303(e) of the Clean Water Act are also inclur
as Appendix B.
Purpose
This guidance outlines a procedure which can be used by the
States and the EPA Regional office that will satisfy the
requirements of the Clean Water Act and the WQM regulation and
allow for adequate review by EPA. This procedure addresses
the administrative (i.e./ non-technical) aspects of developing
TMDLs/WLAs and submitting them to EPA for review and approval.
It does not include the technical process for calculating TMDL/wt
or EPA's procedures for reviewing individual TMDLs/WLAs. Technic
guidance documents for developing water quality-based controls
and reviewing individual TMDLs/WLAs (such as technical guidance
developed by the Office of Water Regulations and Standards,
technical guidance for writing permits developed by the Office
of Water Enforcement and Permits, and technical agreements betwee
the Region and the States) are available. All TMDLs/WLAs must
meet the antidegradation policy (5131.12) and other requirements
of the Water Quality Standards (WQS) regulation.
This guidance describes a step-by-step .procedure for the
review of State submitted total maximum daily loads and wasteload
allocations as required by the WQM regulation and the Clean
Water Act (CWA) including a list of questions and answers to
focus on the key iss'ues. Pertinent sections of the WQM reguiatio
and,the CWA are in the Appendixes which also include an example
State/EPA technical agreement on developing TMDLs/WLAs, the
antidegradation policy from the WQS regulation/ and example
transmittal letters between the State submitting TMDLs/WLAs foe
EPA approval and EPA's letters of approval or disapproval.
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II. OVERVIEW OF THE PROCESS (See Figure 1)
A. The State Includes in Their Continuing Planning Process
a Description of the Procedures
Each State is required to establish and maintain a continu-
ing planning process (CPP) as described in section 303(e) of
the Clean Water Act. A State's CPP must contain/ amona other
items, a description of the process .that the State uses to
identify waters needina water guality-based controls, priority
rank these waters, develop TMDLs/WLAs, and a description of
the process that the State us«s to receive public review of
each TMDL/WLA. This description may be as detailed as the
Regional office and the State feel is necessary to adeouately
describe each step of the TMDL/WLA development process.
B. The State and EPA Agree on Technical Procedures
As a foundation for all TMDLs/WLAs prepared by the State,
EPA and the State should agree on the process that the States
will use to develop the WLAs and prepare a written agreement
which describes these procedures. Such an agreement promotes
consistency between projects and between States (i.e., how
background data is applied, how/which models are to be used,
how TMDLs are determined, how loads will be allocated, etc.;
see Appendix C for sample technical agreement). Bv agreeinn on
the procedures that the State will follow (as described in the
State's CPP and/or the State/EPA technical agreement), on.lv a
sample of WLAs need be reviewed in depth by EPAi This samnle
in-depth review is to ensure that the State is followina the
agreed-upon procedures and that the TMDLs/WLAs are acceotable.
If a problem is found, all WLAs may then be reviewed in areater
detail.
C. State Submits List of Waters, by Priority, Still Needing
TMDLs
As required under section 303(d) of the Clean Water Act,
each State prepares a list of waters (hy priority) that need
TMDLs, taking into account the severity of pollution and the
uses to be made of such waters. This list of waters is to be
submitted by the States to the EPA Regional office for approval.
Once approved, the list of waters is to be incorporated into the
State's Water Quality Management Pl'-n update. The State is also
to identify the pollutants causing or expected to cause violations
of the water quality standards in each waterway. (See section
304(a)(2) of Clean Water Act, and 40 CFR 130.7(b)(lM
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D. State Develops TMDLs/WLAs Where Needed
From the list of waters identified as needing TMDLs, and
where use attainability analyses are required, the State develop
TMDLs/WLAs at levels necessary to attain and maintain water
quality standards with consideration of the State's antidegrad-
atiqn provisions as required by the WQS regulation (see Appendix
0, 40 CFR, Section 131.10 and Section 131.12, Federal Register,
November 3, 1983). TMDLs/WLAs should be developed according to
the priority ranking established by the State and approved by EF
•
E. EPA Provides Assistance to States in Developing TMDLs/WLAs
Throughout the process, the EPA Regional offices are
available to provide technical assistance and advice to the
States in developing TMDL/WLAs.
F. State Issues Public Review Notice on TMDLs/WLAs, Holds
Public Hearing, if Warranted, and Sends to EPA for Approval
In accordance with the Water Quality Management regulation
and as described in a State's CPP, TMDLs/WLAs are to be made
available for public review and comment. The State should issue
a public notice offering an opportunity for a public hearing
pertinent to the TMDL under review; however, if no interest is
shown as a result of the public notice, it is possible to waive
the hearing. It is *l«r« possible to include TMDL/WLA reviews in
conjunction with public notices and hearings on NPDES permits,
municipal wastewater treatment works funded• with EPA grants, ,
water quality standards revisions, and water quality management
plan updates. Each notice should identify TMDLs/WLAs as part of
the subject matter.
Also, if a State feels that the water quality-based
controls are critical or if they anticipate that they may be
controversial, the State should involve the Regional office
as well as the public early in the process and continue to
involve than throughout the process rather than waiting until
WZAs are submitted to EPA for approval. (See Appendix E for
an example of a letter submitting a TMDLAILA to EPA for anproval
«nd the information to be included with the letter to facilitate
EPA review.)
G. EPA Reviews the State's TMDL/WLA
Ib meet the requirements of section 303 (d) of the CWA and the
W3M regulation, EPA must review and approve all TMDLs. EPA may
tailor its review to what is reasonable and appropriate; that is,
where a State has clearly described its process in its CPP, EPA
may conduct an in-depth review of a sample of the State's TMDLs/WIAs
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to determine how well the State is implementing its approval
process and give a less detailed review of the remaining TMDLs/
WLAs. This review of samples of the State submissions/ in
conjunction with a less-detailed review of all other TMDLs/WLAs
submitted to EPA by the State, will provide a reasonable basis
for EPA approving or disapproving individual TMDLs/WLAs. The
in-depth sample review may include TMDLs/WLAs supporting major
construction grants and other major control measures. (See
Water Quality Planning and Management Regulation, Federal
Register, January 11, 1985, page 1777.)
Total maximum daily loads and wasteload allocations must
reflect applicable State water quality standards including the
antidegradation policy. No wasteload allocation will be approve*
or NPDES permit revised if it will result in a water quality
standard being violated, or, in the case of waters whose quality
exceeds that necessary for the section 101(a)(2) goals of the
Clean Water Act, results in a lowering of water quality unless
the applicable public participation, intergovernmental review,
and baseline control requirements of the antideqradation policy
have been met. (See 40 CFR 131.12, Appendix D.)
H. EPA Approves or Disapproves State's Submission.
EPA either approves or disapproves the State's TMDL/WLA
within 30 days after submission by the State. An approved TMDL/
WLA is "certified" by the EPA as having been developed in accor-
dance with section 303(d) of the CWA and a letter of such approvc-
is transmitted to the State.
If EPA disapproves the State's TMDL/WLA, the EPA Regional
office, not later than 30 days after the date of disapproval,
must develop the TMDL/WLA in accordance with section 303(d)
and issue a public notice requesting comment on the revision.
After public review, EPA transmits the TMDL/WLA (revised, if
necessary) to the State. (See Appendix E for examples of EPA
approval, request for additional information, and disapproval
letters.)
I. State Includes Approved TMDLs/WLAs in WQM Plan Update, NPDES
Permits, and Construction Grants Projects
Once approved by EPA, the State incorporates approved TMDLs/
WLAs into its current Water Quality Management Plan and uses
them in setting control limits in NPDES permits, construction
grants projects, and in nonpoint source controls (i.e., best ma-
nagement practices - BMPs). (The Water Quality Management regu-
lation states that when EPA approves a TMDL submitted by a State
under section 303(d), the TMDL/WLA is to be deemed automatically
incorporated into the State's Water Quality Management Plan.
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The regulation treats this submission and approval as the
equivalent of a WQM plan update certification and approval.
(See Water Quality Planning and Management Regulation, Federal
Register, January 11, 1985, page 1777.)
III. QUESTIONS AND ANSWERS ON THE TMDL/WLA REVIEW AND APPROVAL
PROCESS
Q. When should the Region get involved with the develop-
ment of an individual TMDL/WLA being developed by
the State?
A. States may request EPA assistance at any time. If
a State anticipates that a WLA project will be
complex or controversial, the State should involve
the EPA Regional office (and the public) throughout
the development process rather than waiting until
they are submitted to EPA for approval.
Q. Must the EPA Region review all WLAs/TMDLs submitted
by the States?
A. Yes. However, where a State has clearly described
its TMDL/WLA development process in its CPP and EPA
has approved the process, EPA may conduct an in-depth
review of a sample of the State's TMDLs/WLAs to deter-
mine how well the State is implementing its process.
States are required to submit all TMDLs/WLAs to EPA
for review and approval. The in-depth review of a
sample of TMDLs/WLAs along with a less detailed
review of all other TMDLs/WLAs submitted by the
State, will provide a reasonable basis for approving
or disapproving individual TMDLs/WLAs. "Pact sheets"
prepared for minor permittees and submitted along
with the permit application may also be submitted
to EPA as a basis for reviewing WLAs for minor
permittees.
Q. How does the antidegradation policy affect TMDLs/WLAs
and NPDES permits?
A. Explicit procedures are established in the national
antidegradation policy. No TMDL/WLA can be developed
or NPDES permit issued that would allow a decline in
water quality unless all the applicable requirements
of the antidegradation policy have been met.
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Q. Can individual WLAs be submitted for review alonq
with permit applications or construction grant
applications?
A. Yes. Where a State has many waterbodies needing new
TMDLs/WLAs, the State's public notice and review
process can be accelerated if handled in conjunction
with applications for permits and/or construction
grants.
Q. After a TMDL/WLA is submitted to EPA, what is the
time period in which a decision for approval or
disapproval is to be made?
A. The Regional Administrator shall, not later than 30
days after date of submission, approve or disapprove
the TMDL/WLA. This length of time also applies to
EPA's review of the listing of priority-ranked segments
still requiring TMDLs/WLAs.
Q. What is EPA's role if a TMDL/WLA or list of segments
requiring TMDLs submitted by the States is disapproved:
A. If the Regional Administrator disapproves the list
or an individual TMDL/WLA, it then becomes the
responsibility of EPA to establish a listing of
segments and/or a TMDL/WLA to implement the applicable
water quality standards. After public notice and
comment, EPA transmits the listing or loading to
the State for incorporation into the State's current
water quality management plan.
Q. How are approved TMDLs/WLAs used by the States?
A. Approved TMDLs/WLAs are used by the States in writing
NPDES permit limits, establishing limits for construc-
tion grants projects, and for implementing nonpoint
source controls. Approved TMDLs/WLAs are also
incorporated into current water guality management
plans.
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Q. Can the responsibility for reviewinq and approving
TMDLs/WLAs be delegated to States?
A. No. Just as the responsibility for reviewinq and
approving water quality standards under Section 303(c)
cannot be delegated, EPA also may not delegate the
responsibility for reviewing and aoprovinq the
effluent limitations (i.e./TMDLs/WLAs) resulting
from these water quality standards under Section
303(d). EPA's responsibility for reviewing and
approving TMDLs/WLAs is not related to whether or
not a State has been delegated activities in permits
or construction grants programs.
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APPENDIXES
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Appendix A
WATER QUALITY PLANNING AND MANAGEMENT REGULATION
Section 130.7 Total Maximum. Daily Loads (TMDL) and
Individual Water Quality-baaed Effluent Limitations.
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WATER QUALITY PLANNING AND MANAGEMENT REGULATION
Federal Register / Vol. SO. No. 8 / Friday. January "• IMS / Rules and Regulations
§130.7 Tataf msrimum dtty toads (T1WC)
and indMdual water quality basnd effluent
(a) General: The process for
identifying water quality limited
segments still requiring wastaload
allocations. load allocations and total
maxinum daily loads {WLAs/LAs and
TMDLs). setting priorities for developing
these loads: establishing these loads for
segments identified, including water
quality monitoring, modeling, data
analysis, calculation methods, and list of
pollutants to be regulated: submitting
the State's list of segments identified.
priority ranking, and loads established
(WLAa/LAa/TMDLs) to EPA for
approval: incorporating tht approved
loads into the State's WQM plane and
NPDES permits: and involving the
public affected dischargers, designated
areawida agencies, and ocal
governments in this process shall be
clearly described in the State Continuing
Planning Process (CPP).
(b) Identification and priority setting
for water quality limited segments still
requiring WLAs/LAs and TMDLs.
(1) Each State shall identify those
water quality limited segments still
requiring WLAs/LAs and TMDLs within
its boundaries for which:
(i) technology-based effluent
limitations required by sections "301(b).
306. 307. or other sections of the Act
(ii) more stringent effluent limitations
(including prohibitions) required by
either State or local authority preserved
by section S10 of the ACL or Federal
authority (e.s>. law. regulation, or
treaty): and
(iii) other pollution control
requirements (eg, bast management
practices) required by local State, or
Federal authority
are not stringent enough to implement
aay water quality standard (WQS)
applicable to such waters. The State
ahaJL establish a priority ranking for .
ty limited segments still
•raual
WLAa
/LAa and TMDL
I the
the severity of the pollution
lobe aude of such waters
the) pollutants "firing
or expected to cause violatioM of the
we ser quality standards.
ft) Each Slate shall Identify thoa*
water quality limited segments still
requiring WLAa/LAa and TMDLs or
parts thereof within its boundaries for
which controls on thermal diacharges
under section 301 or State or local
requirements an not stringent enough to
assure protection and propagation of a
balanced indigenous population of
aheilnah, fish aad wildlife.
(c) Development of TMDLs and
individual water quality based effluent
limitations.
(1) Each State shall establish WLAs/
LAs and TMDLs for the water quality
limited segments identified in paragraph
(b)(l) of this section, and in accordance
with the priority ranking. For pollutants
other than heat WLAs/LAs and TMDLs
shall be established st level* necessary
to attain and tnfiflt^'n the applicable
narrative and numerical WQS with
seasonal variations and a margin of
safety which takes into account any lack
of knowledge concerning the
relationship between effluent limitations
and water quality. Determinations of
WLAs/LAs and TMDLa shall take into
account critical conditions for stream
flow, loading, and water quality
parameters.
(I) TMDLa may be established using s
poilutant-by-pollutant or biomonitoring
approach. In many cases both
techniques may be needed. Site-specific
information should be used wherever
possible.
(ii) TMDLa shall be established for aU
pollutants preventing or expected to
prevent attainment of water quality
standards aa identified pursuant to
paragraph (b)(l) of this section.
Calculations to establish WLAs/LAs
and TMDLa shall be subject to public
review aa defined in the State CPP.
(2) Each State shall estimate for the
water quality limited segments still
requiring WLAs/LAs and TMDLs
identified in paragraph (bK2) of this
section, the total maximum daily
thermal load which cannot be exceeded
in order to aaaure protection and
propagation of a balanced, indigenous
population of shellfish, fiab and wildlife.
Sock estimates shall take into account
tha normal water temperatures, flow
rates, sea sons I variations, existing
source* of hoat Input* and the
diasipetive capacity of tha identified
i or parts thereof. Such estimates
shall tacfasde a calculation of the
•awiiaiim heat input that can be made
aato each each part sttd shall include e
•Bargm of safety which takes into
I aoy lack of knowledge
ids* ils i iliiMsasnl of thermal
population of
wildlife
m tha identified waters or parts thereof.
(d) SudouscMR end SPA appnroL (1)
Each State shall aahaait to tha Regional
Administrator tnm tea to time for
approval tha Hsttng of water quality
limited segments requiring WLAa/LAa
aad TMDLs identified under paragraph
(b) of this section. All WLAs/LAs and
TMDLa eetsbUshsd under paragraph (c)
for water quality limited segments sr.
continue to be submitted to EPA for
review and approval. Schedules for
submission of WLAs/LAs and TMDL
shall be determined by the Regional
Administrator and the Slate.
The Regional Administrator shall
either approve or disapprove »ueh lit
and .loadings not later than 30 days a
the date of submission. If the Region*
Administrator approves such listing t
loadings, the State shall incorporate
them into its current WQM plan. If th
Regional Administrator disapproves
such listing and loadings, he shall no
later than 30 days after the date of su
disapproval identify such waters in
such State and establish such loads ft
such waters aa determined necessary
implement applicable WQS. The
Regional Administrator shall prompt!
issue s public notice seeking commen
on such listing snd loadings. After
considering public comment and oak
any revisions he deems appropriate, t
Regional Administrator shall transmit
the listing and loads to the State, whit
shall incorporate them into its current
WQM plan.
(e) For the specific purpose of
developing information and as resourt
allow, each State shall identify all
segments within its boundaries which
has not identified under paragraph (b)
this section and estimate for such
waters the TMDLs with seasonal
variations and margins of safety, for
those pollutants which the Regional
Administrator identifies under section
30«(a)(2) as suitable lor such calculate
and for thermal discharges, at a level
that would assure protection and
propagation of a balanced indigenous
population of fish, shellfish and wildli:
However, then is no requirement for
such loads to be submitted to EPA for
approval and establishing WLAa/LAt
aad TMDLs for those waters identifier
m paragraph (b) of this section shaU b
gjpv^fl fii£D4r priority«
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Appendix B
CLEAN WATER ACT
Section 303(d) and 303(e)
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Appendix B
THE CLEAN WATER ACT
As Amended Through December 1981
Secticn 303(d) and Section 303(e)
3O3(d)(l)(A) Each State shall identify those waters within its bound-
aries for which the effluent limitations required by section 301(b)(l)
(A) and section 301(b)(l)(B) are not stringent enough to implement
any water quality standard applicable, to such waters. The State shall
establish a priority ranking for such waters, taking into account the
severity of the pollution and the uses to be made of such waters.
(B) Each State shall identify those waters or parts thereof within
its boundaries for which controls on thermal discharges under section
301 are not stringent enough to assure protection and propagation of a
balanced indigenous population of shellfish, fish, and wildlife
(C) Each State shall establish for the waters identified in para-
graph (1)(A) of this subsection, and in accordance with the priority
ranking, the total maTimnm daily load, for those pollutants which the
Administrator identifies under section 304 (a) (2) as suitable for such
calculation. Such load shall be established at a level necessary to im-
plement the applicable water quality standards with seasonal varia-
tions and a margin of safety which takes into account any lack of
knowledge concerning the relationship between effluent limitations and
water quality.
(D) Each State shall estimate for the waters identified in para-
L (l).(D) of this subsection the total maxiimim daily thermal
sessrwisl variations, existing sources of heat input, and the dissipative
capacity of the identified waters or parts thereof. Such estimates shall
include a calculation of the maximum heat input that can be made
into each such part and shall include a margin of safety which takes
into account any lack of knowledge concerning the development of
thermal water quality criteria for such protection and propagation
in the identified waters or parts thereof.
(2) Each State shall submit to the Administrator from time to
time, with the first such submission not later than one hundred and
eighty days after the date of publication of the first identification of
poUntants under section jr-r"— --•-••
identified >T<^ th* loads si
(B), (l)(C), and (1)(D) of
either approve or disapprove such identification and load not later
than thirty days after toe date of submission. If the Administrator
approves such identification and load, such State shall incorporate
them into its current plan under subsection (e) of this section. If the
Administrator disapproves such identification sad load, he shall not
later than thirty days after the date of such disapproval identify such
waters in such State and establish such loads for such waters as he
determines necessary to implement the water quality standards
applicable to such waters and upon such identification and establish-
ment the State shall incorporate them into ite current plan under
subsection (e) of this sect*.j.
(3) For toe specific purpose of developing information, each State
shall identify all waters within its boundaries which it hss not
identified under paragraph (1)(A) and (1)(B) of this subjection
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and rrt**""*^ for soeh waters the total "'•*'"'""' dafly load with see-
tonal variations and P1";™* of safety, for thoM pollutant** which the
Administratcx identifies under section 304(a)(2) at suitable for such
calculation and for thermal discharge*, at a level that would assure
tection and propagation of a balanced indigenous population of
fe*
SEC 3Oi3(«) (1) Each State shall hare a continuing planning process ap-
proved under paragraph (2) of this subsection which is consistent
with this Act.
(2) Each State shall submit not later than 120 days after the date
of ™T enactment of the Water Pollution Control Admendments of
1972 to the Administrator for his approval a proposed continuing
pUonJDg process which is consistent with this Act. Not later than
thirty days after the date of submission of such a process the Admin-
istrator shall either approve or disapprove such process. The Admin-
istrator shall from time to time renew each State's approved plan-
ning pro rent for the purpose of insuring that such planning process
is at all times consistent with this Act. The Administrator shall not
approve any State permit program under title IV of this Act for any
State which does not have an approved continuing planning process
under this section.
(3) The 'Administrator *h*H approve any 'wn^""'"^ planning
process submitted to him under this section which will result in plans
for all navigable waters within such State, which include, but are
not limited to, the. following:
(A) effluent limitations and schedules of compliance at least
as stringent as those required by section 301(b)(l), section 301
(b)(2), section 306, and section 307, sad at least as stringent
ae any requirements contained in any applicable water quality
standard in effect under authority of this section;
(B) the incorporation of all elements of any applicable area-
wide waste management plans under section 208, and applicable
beam plans under section 209 of this Act;
(Q total """fr"""* dafly load for pollutants in accordance
with subsection (d) of thw eectioa;
(D) procedures for revision:
(B) adequate authority for mtetgoveinmental cooperation;
(Fy adequate implementation, tn«^nrifp
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Appendix C
GENERAL OUTLINE
EPA/STATE AGREEMENT FOR DEVELOPMENT
OF WASTEEOAD ALLOCATIONS
Since conditions, procedures, and methodologies may vary
between EPA Regions and their States, a general outline of an
example agreement is provided. This outline can be used in
conjuction with the referenced technical guidance documents
to prepare EPA/State Agreements.
C-l
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Appendix C
.GENERAL OUTLINE
EPA/STATE AGREEMENT FOR DEVELOPMENT
OP W\STELOAD ALLOCATIONS
I. General
A. Purpose, Scope, and Authority
B._ Statement of Policy
II. Water Quality Standards Considerations
A. General
B. Type of Stream Classifications
III. Allocation Procedures and Policies
A. Basic Approach for Establishing Boundaries
for Effluent Limitations Determination
B. Determination of Effluent Limitations Using
Water Quality Models
C. Determination of Effluent Limitations Using
Other Analytical Tools
D. Special Case Policies
IV. Approval of Wasteload Allocations
.V. Incorporation of Allocations into NPDES Permits
A. General
, B. Priority Considerations
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References
1. Water Quality Standards Handbook, U.S. EPA, Office of Water
Regulations and Standards, Washinaton, D.C. December 1933.
2. Technical Support Manual: Waterbody Surveys and Assessments
for Conducting Attainability Analyses. Volume I. U.S. EPA,
Office of Water Regulations and Standards, Washinaton, D.C.
November 1983.
3. Technical Support Manual: Waterbody Surveys and Assessments
for Conducting Attainability Analyses. Volume II: Esturine
Systems. U.S. EPA, Office of Water Regulations and Standards
Washington, D.C. June 1984.
4. Technical Support Manual: Waterbody Surveys and Assessments
for Conducting Attainability Analyses. Volume III: Lakes.
U.S. EPA, Office of Water Regulations and Standards,
Washington, D.C. November 1984.
5'. Technical Guidance Manual for Performing Waste Load
Allocations, Book II: Streams and Rivers; Chapter 1, BOD/DO
Impacts (October 3, 1983) EPA-440/4-84-020.
6. Technical Guidance Manual for Performing Waste Load
Allocations, Book II: Streams and Rivers; Chanter 2,
Nutrient/ Eutrophication Impacts (November 30, 1983) EPA-
440/4-84-021.
7. Technical Guidance Manual for Performing Waste Load
Allocations Book II: Streams and Rivers; Chapter 3, Toxic
Substances (June 18, 1984) EPA-440/4-84-022.
8. Technical Guidance Manual for Performing Waste Load
Allocations, Book VII: Lakes and Impoundments; Chapter 2,
Nutrient/Eutrophication Impacts (August 29, 1983) EPA-440/4-
84-019.
9. Technical Guidance Manual for Performing Waste Load
Allocations, Book VII: Permit Averaging Periods (September
28, 1984) EPA-440/4-34-023.
10. Water Quality Assessment: A Screening Procedure for Toxic
and Conventional Pollutants (August 29, 1983) EPA-600/6-82-
•004 a,b,c.
11. Technical Support Document for Water Quality-based Toxics
Control, Office of Water, U.S. Environmental Protection
Aqency, September, 1985.
12. Policy for Review of Advanced Treatment Projects Notice.
Federal Register, Volume 49, page 21462, May 21, 1984.
13. Guidance for State Water Monitoring and Wasteload Allocation
Programs, Office of Water, U.S. Environmental Protection
Agency, Washington, D.C. (October 1985) EPA 440/4-85-031.
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Appendix D
WATER QUALITY STANDARDS REGULATION
Section 131.10 and Section 131.12 Antidegradation Policy
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Appendix D
WATER QUALITY STANDARDS RS3UIATICN
Federal Register / Vol. 48. No. 217 / Tuesday. November tt. 19B3 / Rules and Regulations 51407
f 131.10
(a) Each State must specify
appropriate water uses to be achieved
and protected. Tht classification of tht
wattn of tht Statt must take into
consideration the uat and value of water
for public water supplies, protection and
propagation of flah. shellfish and
wildlife, recreation in and on the water.
agricultural industrial, and other
purposes including navigation. In no
case snail a State adopt waste transport
or waste assimilation aa a designated
use for any waters of the United States.
(b) In designating uses of a water
body and the appropriate criteria for .
those uses, the State shall take into
consideration the water quality
standards of downstream waters and
shall ensure that its water quality
standards provide for the attainment -
and maintenance of thrwater quality
standards of downstream waters.
(c) States may adopt sub-categories of
a use and set the appropriate criteria to
reflect varying needs of such sub*
categories of uses, for instance, to
differentiate between cold water and
warm water fisheries.
(d) At a minimum, uses are deemed
attainable if they can be achieved by the
imposition of effluent limits required
under Sections 301(b) and 308 of the Act
and cost-effective and reasonable best
management practices for nonpoint
source control.
(e) Prior to adding or removing any
use. or establishing sub-categories of a
use. the State shall provide notice and
an opportunity lor a public hearing
under I 13UO(b) of this regulation.
(f] States may adopt seasonal uses as
an alternative to redaaaifying a water
body or segment thereof to uses
requiring less stringent water quality
criteria. If seasonal uses are adopted.
water quality criteria should be adjusted
to reflect the seasonal use*, however.
such criteria shall not preclude the
attainment and maintenance of a more
protective use in another season.
(g) States may remove a designated
use which is not an existing use. as
defined in 1131J. or establish sub-
categories of a use if the State can
demonstrate that attaining the
designated use is not feasible because
(1) Naturally occurring pollutant
concentrations prevent iH« attainment of
the use: or
(2) Natural, ephemeral, intermittent or
tow flow conditions or water levels
prevent the attainment of the use. u»le*e
these conditions may be compensated
for by the discharge of sufficient volume
of effluent discharges without violating
State water conservation requirements
to enable use* to be met or
13) Human caused conditions or
sources of pollution prevent the
attainment of the use and cannot be
remedied or would cause more
environmental damage to cooed than to
leave in place: or
(4) Oams, diversions or other types of
hydrologic modifications- preclude the
attainment of the use, and it is not
feasible to restore the water body to ita
original condition or to operate such
modification in a way that would result.
in the attainment of the use: or
(5) Physical conditions related to the
natural features of the wafer body, such
as the lack of a proper substrate, cover.
flow, depth, pools, riffles, and the like.
unrelated to water quality, preclude
attainment of aquatic life protection
uses: or
(8) Controls more stringent than those
required by Sections 301(b) and 306 of
' the Act would result in substantial and
widespread economic and social impact
(h) State* may not remove designated
uses if:
(1) They are existing uses, as defined
in Section 131 J. unless a use requiring
more stringent criteria is added: or
(2) Such use* will be attained by
implementing effluent limit* required
under Section 30T(b) and .06 of the Act
and by implementing cut-erTectrve and
reasonable best .management practices
for nonpoint source control.
(i) Where existing water quality
standards specify designated uee* lew
than those which are presently being
attained, the State shall revise its
standards to reflect the use* actually
being attained.
(j) A State must conduct
attainability analysts aa described in
iiaiJfg) whenever:
(1) The State designate* or ha*
designated uses that do not include the
uses specified in Section 101(a)(2) of the
Actor
(2) The State wishes to rrnove a
designated us* mat is specified in
Section 10a(a|(2) of the Act or to adopt
subcalegories of uses specified in
Section 101(a|(2] of the Act which
require less stringent criteria.
(k) A State is not required to conduct
a use attainability analysis under this
Regulation whenever designating use*
which include those specified in Section
101(a)(2)oftheAct
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f 13 •• 12
(•) The State shell develop «nd adopt
• statewide antidegradatton Rolicy and
identify tha mtthod* for implementing
such policy pursuant to this subpurt The
antidegradation policy and
implementation methods shall at a
minimum. b« conaiatant with tha
following
(1) Existing inatraam watar uaaa and
tba lavtl of watar quality nacaasary to
protect tha existing uses shall ba
fftta^ffy* and protected.
(2) Whtrt tha quality of lha waters
exceml levels necessary to support
propHgation of fish, shellfish, and
wildlife and recreation in and on tha
water, that quality shall ba maintained
and protected unless lha State finds.
after full satisfaction of tha
intergovernmental coordination and
public participation provisions of tba
State's conKr.uing planning process, that
allowing lower water nueuty is
necessary to accommodate important
economic or social development in the
area in which the waters are located. In
allowing such degradation or lower
water quality, the Stole shall assure
water quality adequate to protect
existing uses fully. Further, the Slate
shall assure that there shall be achieved
the highest statutory and regulatory
requirement for all new and existing
point sources and all cost-effective and
reasonable best maniteeir.ent practices
for nonpoint source coatroL
(3) Where high quality waters
constitute an outstanding National
resource, such aa waters of National and
State parka and wildlife refuges and
waters of exceptional recreational or
ecological significance, that water
quality shall be maintained and
protected.
(4) IB thoae eases where potential
water quality impairment associated
with a thermal discharge is involved, the
antidegradation policy and
implementing method shall be
consistent with section 318 of the Act
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Appendix E
EXAMPLE TRANSMITTAL LETTERS
The following letters are provided as examples to initiate
the review process and EPA's action. Included as examples are
the State's transmittal of completed TMDLs/WLAs to EPA requesting
approval, EPA's letter approving the State's TMDL/WLA, EPA's
letter requesting additional information prior to approval, and
EPA's letter of disapproval.
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EXAMPLE; STATE LETTER TO EPA REQUESTING TMDL/WLA APPROVAL
Regional Administrator
U.S. Environmental Protection Agency
Region
Street Address
City, State, Zip Code
Dear
In accordance with 40 CFR 130.7(d) and section 303(d) of
the Clean Water Act (33 U.S.C. 1251 et. seq.), the (State water
pollution control agency) submits for your review and approval
the (wasteload allocations and/or total daily maximum load) for
the (discharges) to (waterbody) as being established at a level
necessary to meet the applicable water quality standard(s) with
consideration of seasonal variation and a margin of safety.
This (wasteload allocation/total daily maximum load) was
given public review during (date(s) of review period) and approved
by the State and will serve as the basis for NPDES permits,
construction grants projects, and for incorporation into the
State's Water Quality Management Plan. To facilitate your review,
we are enclosing the calculations used to develop the WLA/TMDL.
Sincerely yours,
State Water Pollution Control Offici
Enclosure*
* Methods used, analyses, and calculations showing that the
WLA is established at a level necessary to implement the
applicable water quality standards. [See 40 CFR 130.7(c)]
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BCMfLE: EPA LbTrfclR TO STATE APPRCVING TMDL/WIA
Chief, Water Division
State Water Pollution Control Agency
Street, Box Nuitoer
CLty, State, Zip Code
Dear
We have oonpleted our review of the' total raaxiitum daily load/wasteload
allocation for the (discharges) to (waterbody) as submitted by your agency on
(date). Prom our review, the effluent limits as established (e.g., oxygen
demanding substances, nutrients; general toxicity, toxic substances, etc.) for
the defined segment are approved.
This total ra&xiitum daily load/wasteload allocation meets the requirements
for total maxima daily loads and wasteload allocations as specified under
section 303(d) of the Clean Water Act and is hereby approved.
Sincerely yours,
Regional Administrator
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EXAMPLE; EPA LLTi'KR TO STftTE REQUESTING ADDITIONAL INFORMATION
Chief, Water Division
State Water Pollution Control Agency
Street/ Box Number
City, State, Zip Code
Dear
We have completed our review of the total maximum daily load/wasteload
allocation for the (discharges) to (waterbody) as submitted for approval by
your agency on (date). We have the following contents or questions:
3.
etc.
We cannot proceed in our review of your request for approval until a
satisfactory reply is received on the above cements or questions. A prompt
responce is requested to avoid disapproval.
Should the submitted TMDL/WLA be disapproved, EPA will, in accordance
with Section' 303(d) of the Clean Water Act, establish the TMDL/WLA for the
(discharges) to the (waterbody) as defined and as determined necessary to
implement the applicable water quality standard(s).
If you have any questions, or need further clarification of our cements,
please contact (name) on (phone number).
Sincerely yours,
Regional Administrator
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EXAMPLE: EPA LETTER TO STATE DISAPPROVING TMDL/WLA
Chief, Water Division
State Water Pollution Control Agency
Street, Box Number
City, State, Zip Code
Dear
We have completed our review of your response (dated) to
our comments and questions (dated) regarding the TMDL/WLA submitted
by your agency (dated) for the (discharges) to (waterbody). We
find the TMDL/WLA not acceptable and is hereby disapproved for
the following reasons:
1.
2. '
3.
etc.
In accordance with section 303(d) of the Clean Water Act,
EPA will, within thirty (30) days from this date, establish the
TMDL/WLA for (discharges) to (waterbody) necessary to implement
the water quality standard(s) including consideration of seasonal
variation and a margin of safety.
Sincerely yours,
Regional Administrator
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