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  This prototype was then  distributed as draft guidance to Regional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.
                               -1-

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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
                              -2-

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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
                              -3-

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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.
                               -4-

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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.
                                 -5-

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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.
                         -6-

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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.
                         -7-

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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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