REVISED GRANT APPLICATION
AND WORK PLAN HANDBOOK
FOR
SECTION 208 AREAWIDE WATER QUALITY MANAGEMENT
ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D. C. 20460
DECEMBER 1975
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TABLE OF CONTENTS
14662
PREFACE
INTRODUCTION
Subsections
of
Regulations
I. GRANT APPLICATION REQUIREMENTS
A. Official EPA Forms for 208 4
Grant Application
B. OMB Circular A-95 6
Requirements
C. Policy Advisory Committee 8
D. Relationships with Other 10
Programs
E. Continuing Planning 16
F. Outline of the Work Plan 18
G. State Certification 20
II. WORK PLAN OUTLINE
A. Work Performed to Date 22
B. Proposed Planning Process 24
C. Necessary Actions by 36
Other Agencies
D. Schedule 40
E. Resource Budget 44
F. Disbursement and Milestones 46
III. REFINEMENT OF WORK PLAN 50
APPENDIX A:
40 CFR, Part 35.208-2,
Application Requirements
40 CFR, Part 35.220,
Work Plan Development
APPENDIX B:
40 CFR, Part 130.10(a),
Planning Process Requirements
40 CFR, Part 131.11 ,
Plan Content
35.208-2(a)(l)
35.208-2(a)(2)
35.208-2(a)(3)
35.208^2(a)(4)
35.208-2(a)(5)
35.208-2(a)(6)
35.208-2(b)
35.220-2(b)(l)
35.220-2(b)(2)
35.220-2(b)(3)
35.220-2(b)(4)
35.220-2(b)(5)
35.220-2(b)(6)
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PREFACE
This handbook is one of a series of handbooks
designed to provide State and areawide agencies with addi-
tional assistance in carrying out the provisions of Section
208 of the Federal Water Pollution Control Act Amendments
of 1972. This handbook provides specific assistance to
designated areawide agencies who must prepare the grant
application and work plan outline (in FY1976). It also
provides assistance to the States who must review the
areawide grant applications and work plan outlines before
submitting them to EPA. Other handbooks in this series
address area and agency designation, cost analysis, interim
outputs and management agencies.
These handbooks are intended as supplements to the
208 Regulations, Guidelines and EPA Policy Statements pub-
lished as program guidance (AM memoranda) by the Water Plan-
.ning Division. The handbooks repeat or reference the regu-
lations, guidelines and policies, and provide realistic
examples to assist designated areawide agencies in preparing
grant applications.
i-i Thi s. handbook is a revised edition of the Work Plan
Handbook for Section 208 Areawide Waste Treatment Management
Planning (Feb.1975).It now extends beyond initialwork
plan preparation guidance to include assistance in ful-
filling other,.grant application requirements for designated
areawide agencies. It additionally briefly discusses the
requirements for refinement of work plans within twelve
months of designation approval by the Regional Administration,
EPA reference documents useful in work plan and
application preparation include the following:
40 CFR, Part 35; Grants to State and
Designated Areawide Planning Agencies--
Conditions, Policies and Procedures
t 40 CFR, Part 130; Policies and Procedures
for Continuing Planning Process
40 CFR, Part 131; Preparation of Water
Quality Management Plans
t Guidelines for Areawide Waste Treatment
Management Planning (August, 1975)
This handbook was prepared under Contract No. 68-01-
3195 by Centaur Management Consultants, Inc., with the direc-
tion and support of James W. Meek and the Areawide Management
Branch.
Mark A. Pisano
Director, Water Planning Division
Washington, D. C.
U
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Note ซ-
This document is not a replacement to the Act, the
Regulations or official EPA Policy Statements. It is a
supplement to these documents, showing hypothetical ex-
amples to assist designated areawide agencies in respond-
ing to 208 program requirements. The examples in this
handbook do not constitute a uniform National EPA standard
of acceptability. Any clarification and specific condi-
tions applicable to a designated area should be discussed
with the .EPA Regional 208 Coordinator.
in
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INTRODUCTION
This handbook is designed to assist designated area-
wide 208 agencies in the preparation of grant applications
and in the refinement of work plans. It is also designed to
assist States in their review of areawide grant applications.
As a revised version of the February, 1975 work plan hand-
book, it incorporates and responds to recent modifications
in EPA policy and regulations.
The handbook is divided into three parts: (1) Grant
Application Requirements; (2) Outline of Work Plan; and
(3) Refinement of Work Plan.
EPA recognized that preparation of a detailed work
plan prior to a funding commitment could place time and
resource limitations on work plan development. This situa-
tion often resulted in refinement of work plans after the
grant award and a subsequent delay in actual planning start-
up. In view of this, EPA Regulations, 40 CFR Part 35, now
require an outline of the work plan at the time of grant
application. In this stage, the work plan outline is a
conceptualization of the activities, schedules, resources
and procedures that the areawide planning agency will bring
to bear in preparing the areawide plan. The areawide agency
is then allowed up to one year from the date of their designa-
tion approval to submit a refined work plan. In addition,
the areawide agency can apply for up to 5% of their total
grant for work plan development.
The refined work plan should focus on precise out-
put definition and prioritization. Given the limited time
and resources available, 208 agencies must identify and
concentrate on elements which can be implemented in the near
term and contribute to the solution of water quality problems
Designated areawide agencies must also work closely with the
State from the beginning of work plan preparation to avoid
duplication of efforts and to insure integration into the
State water quality management process.
Outputs should be defined in specific terms in the
refined work plan. This includes indication of level of
detail, accuracy and analytical confidence. Detailed
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scheduling and budgeting as well as the relationship between
tasks should be clearly shown. The refined work plan should
act as a blueprint for the two-year planning period; the
208 planning agency should be able to use the refined work
plan to arrange and direct their planning process on a day-
to-day basis.
A note of caution is in order at this time. Although
agencies will be given time to refine their work plans
before the planning period begins, the work plan outline
to be submitted with the grant application must provide an
initial framework for development, operation and management
of the planning process. It should represent a clear under-
standing of the relationship between the planning agency
and the State. It should also present EPA with a clear
indication of program direction and a sound basis for making
a grant decision.
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This Chapter outlines 208 grant application require-
ments found in 40 CFR, Part 35.208. All conditions must be
fulfilled before grants can be awarded. Careful preparation
of necessary submissions will expedite prompt EPA decision
on the application.
The Application Kit for Grant opens with a ten-page
EPA Form 5700-33 (5-74). This form is also referred to by
the Office of Management and Budget approval notice, OMB NO.
158-R0110. The example on the opposite page is the first
page of this ten-page form. These forms must be completed
as appropriate and reviewed with the grant application.
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: iฃA\ซ
Form Approved
OMBN0.158-R01W
APPLICATION FOR FEDERAL ASSISTANCE
(Nttncnnx true lion PTograms)
*(and for 208 Planning Grants)
PART I
3. Federal Grantor Agency
U.S. Environmental Protection Agency
Organizational Unit
Grants Administrative Branch
Administrative Office
1735 Baltimore Street
Street Address P.O. Box
Crystal City, Montana : 22208
City . State Zip Code
1. State Clearinghouse Identifier
222208
2. Applicant's Application No.
2
4. Applicant Name
Council of Governments
Department Division
Main Street
Street Address - P.O. Box
Center City Home
City ' County
Montana 12345
State Zip Code
5. Descriptive Name of the Project
Areawide Waste Treatment Management Plan (Sec. 208 of PL 92-500)
6. Federal Catalog No.
66-426
7. Federal Funding Requested
$ 528,300
8. Grantee Type
Stato Cniinty City , Other /Specify)
9. Type of Application or Request
y
*ป Npuu firanj - Conttnuatinn Knpplpmpnt Other Change^ (Specify}
10 Type of Assistance
X
. firant 1 nan _ Other (Specify)
1 1 . Population Directly Benefiting from the Project
500.000
12. Congressional District
a. 4th Congressional District
b 5th Congressional District
13. Length of Project
24 months
14. Beginning Date
May 15, 1975
15. Date of Application
16. The applicant certifies that to the best of his knowledge and bel ef the data in this application are true and correct, and that he will
comply with the attached assurances if he receives the grant. The applicant agrees that if a grant is awarded on the basis of the appli-
cation or any revision or amendment thereof, he will comply with all applicable statutory provisions and with the applicable terms, con-
ditions and procedures of the Environmental Protection Agency grant regulations (40 CFR Chapter I.Subchapter B) and of the grant
agreement.
TYPED NAME TITLE
TELEPHONE NUMBER
Mr. A. B. Clean Executive Director AREA NUMBER EXT.
SIGNATURE OF AUTHORIZED REPRESENTATIVE CODE
201 233-3333
FOR FEDERAL USE ONLY
EPA Form 5700-33 (5-74)
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OMB Circular A-95 establishes rules and regulations
governing the formulation, evaluation, and review of Federal
programs and projects having a significant impact on area and
community development, including programs providing Federal
assistance to States and localities. A network of'State and
areawide planning and development clearinghouses has been es-
tablished to aid in the-coordination of this review.
EPA regulations 40CFR Part 35 require compliance
with applicable portions of the A-95 review process. These
portions are contained in Part I and Part IV of the A-95
Circular. Part I of this Circular refers to the notification
and review system. Review of the qrant application by the
clearinghouse establishes contact in the areawide 208 plan-
ning process between the designated planning agency and .other
governmental units in furthering intergovernmental coordina-
tion and review of the areawide 208 plans.
The areawide 208 planning agency must notify the
State and areawide planning and development clearinghouse
in the jurisdiction of the planning area of its intent to
apply for planning assistance. The grant application should
satisfy the summary information required in the notification
including: geographic location, description of work, environ-
mental considerations, title of Federal program providing
assistance, and the date of formal application.
Part IV of this Circular refers to coordination of
planning in multijurisdictional areas. The objectives of this
part include the encouragement of effective use of resources,
minimizing inconsistencies, and eliminating duplication in local
planning activities. This coordination can be helpful in pre-
cluding the funding of other projects that may conflict with
the 208 areawide plan.
The planning agency response to this requirement,
as shown in the accompanying example, is a statement from the
A-95 Clearinghouse Agency(s) acknowledging review of the grant
application and recommending its approval by EPA.
If the 208 planning agency is also the regional A-95
clearinghouse, then only State A-95 clearinghouse review is
necessary.
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TO: Mr. John Green, Regional Administrator
Environmental Protection Agency
FROM: State A-95 Clearinghouse
SUBJECT: A-95 Review Comments
Section 208 Water Quality Management
Grant Application from the Harbor
Area Council of Governments,
Designated Agency
The State A-95 Clearinghouse has reviewed the above
noted application and finds it consistent with regional plans.
It wishes to submit favorable review comments on this proposal
and recommends its favorable and expeditious review by the EPA
as a matter of high regional concern.
Prior to the June 12 meeting, at which the project.
was reviewed, conferences were held, or written and verbal
communications were had, with the following staff personnel:
City of Collingswood
Tuller County
City and County Health
Department
Town of Woodland Park
Teller County
Ci ty of Fountain
City of Manitou Springs
Planning Director
Waste Water Division
Director of Public Works
City Manager's Office
Planning Director
Administrative Assistant
Hydrologist
Director of Environmental
Health
Town Manager
Administrative Assistant
Town Clerk
City Manager
From these conferences and communications no adverse
comments were received, either verbally or in writing.
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Each 208 areawide agency must provide for meaningful
intergovernmental input in the 208 planning process. An out-
line of the methods and operating procedures for disseminating
information and incorporating input into decisions should
be included in the grant application.
The primary mechanisms and minimum requirement .for
intergovernmental input is the Policy Advisory Committee.
The Policy Advisory Committee should facilitate cooperation
between areawide water quality planning and related Federal,
State and local planning planning programs. The Committee
must include representatives of the State(s) and the public.
It may also include representatives of the Department of
Agriculture, Department of Interior and other Federal or
local agencies that can contribute to the areawide planning
process.
Existing Policy Advisory
criteria should be used wherever
tion should indicate:
Committees
possible.
that meet
The grant
these
applica
t the name of the committee
its composition including the name of
member agencies
the anticipated frequency of meetings
or schedules of meetings related to
key milestones in the planning process
the function of the committee
the organizational location of the
committee with respect to the planning
agency.
In politically complex area.s where a policy advisory
committee cannot include all groups which should have inputs
into the planning process, other existing forums or special
208 technical advisory committees should also be used to in-
clude those not formally included in the policy advisory
commi ttee.
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Areawide Planning Advisory Committee
An Areawide Planning Advisory Committee has been
created in conformance with the 208 program requirements. As
stated in these requirements, the public and Federal and State
agencies must also be given the opportunity to participate;
thus, the following agencies have agreed to become actively
involved in the planning process through the Advisory Committee:
Federa-1: U.S. Department of Agriculture-Soil Conservation Service
U.S. Army- Corps of Engineers
U.S. Department of Interior-Bureau of Outdoor Recreation
National Park Service
State: State Water Control Board
State Health Department
Division of State Planning & Community Affairs
Local: Regional Planning Agency
County Sanitation Department
Public: Metro League of Women Voters
Chamber of Commerce
The functions of the Committee include: approving public
coordination and information programs, providing overall policy
decision making inputs, assisting in identifying major problem
areas and primary alternatives, reviewing alternative recommen-
dations,and projections, advising on data acquisition programs,
reviewing major milestones, and reviewing inputs from related
programs (e.g., land use plans).
The Committee will report directly to the Director of
the 208 Regional Planning Agency. It will meet monthly during
the first year of the planning period to review initial policy
alternatives and control strategies. Thereafter, the Committee
will meet quarterly. The quarterly meetings will coincide with
the progress reports submitted to EPA and will provide the Com-
mittee with planning progress for their review.
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The grant application must provide evidence that the
proposed planning process takes into account the relationships
with affected State, local, Federal programs and with other
applicable resource and developmental planning programs. The
basic areas of coordination are: (1) State Water Quality
Management Planning; (2) 201 facilities planning; and (3)
other environmental activities.
Coordination with the State is absolutely essential
to the required integration of the areawide and State water
quality management processes. The grant application should
indicate how the designated areawide 208 agency will assure
that its plans will proceed in a timely manner and be coordinated
with water quality management planning developed by the State.
It should also indicate those key decision points at which
the State enters the 208 areawide water quality management
process.
10
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Coordination with State Water Quality Management Planning
The following liaison tasks, are considered to be
State responsibilities in the designated areawide water
quality management process and will be specifically
identified in a contract with the State to be prepared during
preparation of the final work plan:
1. Program Assistance
-- Information on State requirements, regulations
andguidelines
Review of planning process
Definition of new or revised State legislation
2; Technical Assistance
Information on water quality standards
Information on waste load allocations
Information on permit conditions
Information on water quality data
Information on facilities planning
3. Coordination
with State water quality management planning process
-- with Phase I Water Quality Management plans
with other environmental laws
with other State resource programs
with contiguous areawide planning activities
with advisory committee
4. Review and Certification
refined work plan
milestones and interim reports
final plan
In addition to these responsibilities, there are
many other tasks which could be incorporated into the con-
tract on a case by case basis depending on our needs and
the State's availability.
11
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iff*\','t itli^L t VV>,i*'
f &' '-C>ป)9^E.* * 4>itHr$|
Coordination
requires particular
ning process. Since
a number of similar
to description and s
systems, there is a
fl'ict between these
fully moni tored and
with Section 201 facilities planning
attention in the areawide 208 plan-
201 and 208 planning programs have
requirements, particularly in reference
election of service areas and treatment
great opportunity for overlap and con-
planning efforts unless they are care-
coordi nated.
EPA Program Guidance Memorandum, AM-2, dated
March 21, 1975, contains a detailed discussion on the rela-
tionship between 208 Areawide and 201 Facilities Planning
Programs. The current policy generally recognizes the con-
trolling nature of an approved 208 plan and specifies that
facility planning presently underway is expected to be
accepted and incorporated into the 208 plan that is being
developed.
12
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Coordination with 201 Planning
It is the policy of this agency that 201 facilities plan-
ning should be carried out with 201 funds wherever possible, but
that a maximum effort be made to insure coordination between two
separately funded but potentially duplicative planning programs.
A. In those communities where an adequate 201 plan has
been completed or is substantially underway, the 208 plan will
assume the plan as a given, or fixed alternative. This will1
apply to the following communities: Springdale, Acton, Somerset,
Parker City.
B. In those communities in which Step I 201 planning
will take place during the 208 planning period, a memorandum of
understanding will be negotiated between the State, the 201
planning agency, and the areawide planning agency, in order to
insure that common tasks are not performed twice, and to coor-
dinate the use of assumptions on population and economic pro-
jections, land use, wastewater generation, etc. The following
communities will be doing (or are likely to do) Step I 201
planning over the next 2 years: Tallis, Richmond, Danville,
Plainfield.
C. In those communities where Step I planning is not
likely to start during the 208 period, the areawide plan will
set the parameters for subsequent 201 planning.
13
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The areawide planning process must take into considera-
tion other planning activities that may influence the water
quality environment of the area. The grant application should
identify proposed coordination of the 208 planning effort
with other planning activities, including:
State and
use and
plans
Iccal land
development
HUD 701-Water, Sewer and
Flood Insurance plans
River Basin plans
Air Quality Mainte-
nance Area planning
Solid Waste Management
plans
Water Supply Planning
Areawide Transportation
plans
State Coastal Zone Manage-
ment plans
COE-Urban Studies Program
USDA-Forest Service and
Soil Conservation
Servi ce
Historic District planning
The coordination with these activities should
include the proposed use of (1) consistent data bases,
including growth projections (2) complimentary strategies
(3) periodic 208 areawide plan reviews by other agencies
to meet their environmental or environmentally related
objectives, and (4) periodic reviews of other areas' plan-
ning activities to ensure the consideration of their impact
on water quality.
The response to coordination requirements, shown in
the accompanying example, should list the specific steps
that are planned to accomplish the coordination between the
ฃ08 areawide planning and other environmentally related
planning efforts.
14
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Statement of Coordination with Other Environmental Plans
The proposed planning process and work plan outline
accounts for previous environmental planning, as well as
the coordination with ongoing efforts. The planning agency
pledges its support of a coordinated planning program,
which will account for, at minimum, the following major
environmental planning/study efforts affecting the 208 Area:
Study Title
Jones River Basin Study
NPDES Permit Studies
Lead Agency
State Water Control Board
State Water Control Board
Coastal Zone Management Study Division of State Planning and
Community Affairs
Water Quality Monitoring
Program
Jones River Basin Study
Norma River Basin Study
Area Transportation Plan
Air Quality Maintenance
Area Studies
Regional Comprehensive
Planning Programs
State Water Control Board
Corps of Engineers
State Water Quality Agency
Department of Highways
State Air Pollution Control
Board
Peninsula Planning District
The lead agencies coordinate their efforts with applicable
Federal agencies (e.g., Div. of State Planning and Community
Affairs with NOAA on Coastal Zone Management).
inputs
i
for revi-
The river basin studies will provide the
sions to the waste load allocations and the area's water qual-
ity standards. The permit study will support the point source
control strategy alternatives with information on the effluent
loads of major point sources. The monitoring program will helj
establish the feedback mechanism to evaluate control actions.
Coordination with air pollution plans will establish consist-
ent projections for growth to meet both air and water standards
Coastal zone and regional plans will be used as basic land use
inputs to determine patterns of development and projections of
land use.
15
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The 208 program requirements call for a statement to
be included in the grant application which indicates that the
continuing planning process, after the initial preparation and
approval of an areawide plan, will be financially self-sus-
taining. The grant application should indicate the mechanisms
to achieve this goal.
The approved plan must be reviewed and updated annually
If substantial revisions result, the entire planning report
should be revised accordingly. Relatively minor revisions re-
sulting from such an update can be. documented in an addendum to
the initial report. The continuing planning may be performed by
a planning staff attached to the designated management agency(s)
or by the designated planning agency in coordination with the
management agency(s). The applicable organizational structure
must be documented in the final plan along with the financial
arrangements to pay for the continuing planning process.
Some of the financial mechanisms to be considered are:
funding contributions of member agency or
government units
general revenue funds allocated to planning and
related activities
user charges for waste treatment facilities
general obligation bonds
, A brief discussion of the funding mechanisms to be
considered, as shown in the accompanying example, should empha-
size the intent of the planning agency to accomplish a finan-
cially self-sustaining planning effort.
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Continuing Planning
In support of the continuing areawide planning by the
COG, both of the Planning District Commissions in the 208 area
pursue programs of comprehensive planning for their respective
sub-regions, under the authority of the State Area Development
Act. This Act requires the maintenance of continuing process
by each Commission established under the Act. The funds for
this planning effort are established by charter agreement among
the participating units of local government in each sub-region.
The Sanitation District also carries out a number of elements of
the continuing planning program, particularly in the areas of
water quality monitoring to supplement State data, special prob-
lem studies, and on-going facilities planning and design. The
funds for operation of these,functions come from the normal
user revenues generated by the District services.
The COG budget is also supported by grants from State
and Federal agencies, but approximately 50% of the budget is
provided by local member contributions. This local contribution
can be used to fund continuing planning process. During the
preparation of the plan, a number of management alternatives
will be examined. The chosen management scheme will address
the question of continued funding of the planning process
(e.g., industrial user charges).
The annual update of the plan will be performed by
the COG in conjunction with the selected management agency
or agencies. The effectiveness of the update will depend on
the evaluation and monitoring tools developed as part of the
plan. Changes in land use and socio-economic parameters,
together with appropriate water quality and facility variables,
will be used in the update and a public hearing will be held
prior to adoption of the updated plan.
The COG recognizes the need for financing the basic
elements of a continuing planning process and pledges to
cooperatively pursue the establishment of such financing for:
the 208 program.
17
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The bulk of the 208 grant application package con-
sists of the work plan outline wherein the applicant de-
scribes the activities, schedules, resources and procedures
it will bring to bear in preparing the areawide plan.
Although this work plan will be refined during a period of
up to one year from the date of the Regional Administrator's
approval of the designation, the outlined work plan should
not be undertaken as a simple exercise to complete the grant
application process. Rather, it should represent a carefully
prepared conceptualization of 208 planning for the designated
area. It should be developed in sufficient detail to provide
the State and EPA with a clear indication of the proposed
project's direction and to enable the State and EPA to
adequately evaluate the proposed grant request.
Explanations and examples of required work plan
outline elements are presented in Chapter II.
18
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intentionally left blank
19
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The State certification is intended to assure EPA
that the grant application and work plan outline have been
coordinated between the designated planning agency and the
State. In their review, the State should pay particular
attention to all State requirements that may be applicable
to the activities proposed in the application and the work
plan outline, including relationship with the State river
basin plans and other State water resource and water quality
requirements. The State certification should acknowledge:
The technical and procedural adequacy of the
work plan outline to accomplish the objectives
of the 208 areawide planning. The determination
of adequacy should evaluate if the work plan out-
line includes such^things as sufficient technical
staff, awareness of major problems, sufficient
public participation, and consideration of
alternative solutions.
The assurance that the work plan outline activ-
ities do not duplicate past or existing water-
quality management activities, including facility
planningactivities.
The actual State recommendation that the grant
application and work plan outline should be approved
by EPA.
Although only the positive aspects of the State
certification have been listed, the certification could
indicate that the State does not recommend the work plan
for approval by EPA. Reasons for the disapproval should
be provided.
The State response should be a brief statement similar
similar to the accompanying example. This statement is the
acknowledgement of the State review and its summary findings
as to approval or disapproval of the grant application and
work plan outline.
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Regional Administrator
U.S. Environmental Protection Agency, Region III
Curtis Building
6th & Walnut Streets
Philadelphia, Pennsylvania 19106
Dear Sir:
I have reviewed the Warden County application for a
grant under Section 208 of the Federal Water Pollution Control
Act, and find:
(1) that the proposed work complies with all
State requirements, including the applicable
303(e) plan prepared under 40 CFR Part 131;
(ii) that the proposed planning work program is
adequate and necessary to accomplish the
development of a plan under Section 208;
(ill) that, insofar as is known, the planning will
not duplicate any work which has been done
or is being done to meet the facilities plan-
ning requirements of Sections 35.917-35.917-9
of 40 CFR, Part 35.
(iv) that the State certifies that the grant
application should be approved by EPA.
Sincerely yours,
R. Smith, Director
Environmental Control
State of Delaware
Dover,. Delaware
21
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EPA Regulations 40CFR Part 35.208-2 require an ouc-
line of work plan which will be submitted pursuant to 40CFR
35.220.
The following material covers what
in a work plan outline based on the content
the final work plan (40CFR 35.220).
"-0*
must be submitted
requirements of
The work plan outline should include a list of
previous or on-going work and results that will be available
to the planning process. For most metropolitan areas a wide
variety of related planning work, data, and pertinent informa-
tion has been gathered and would prove useful to the 208
areawide planning. These related activities should include
those of local government units, State governments, agencies
and commissions, and Federal or Federally sponsored activities
Of particular interest is information from completed and
on-going basin planning, facilities planning, and Corp of
Engineers Urban Studies.
The work plan outline response, as shown in the
example, is a list of activities, report titles, maps,
computer programs or files, etc. Included is a brief
statement on the work content. If relevant studies exist
in the area but are not to be used in the areawide plan,
be noted with a justification for not using the
During the refinement of the work plan, this
be revised as more existing planning information
this should
i nformati on.
list should
becomes available to the designated areawide agency,
22
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Work Performed to Date
Several plans and studies have been prepared or are in
preparation by RCOG and other agencies that will be used as
input to the 208 planning effort. Included in these are the
following items:
(a) The 1990 Regional Sewer Plan by the Valley Sanitary
Sewer Commission Is adopted but is in need of updating
and major expansion and revision. It will be used as
a source document for land-use inputs and facility plans.
(b) The Interim Water Quality Management Plan by RCOG is
based on the regional plan and will be used as a
source document for the revision of waste load allo-
cations and the -standard setting process.
(c). The 1990 Regional Land Use Plan by the County Planning
Board is the basis for all functional elements in that
it provides land use and population estimates and fore-
casts. This plan is now undergoing major revisions.
It will be used as the major source of area growth
patterns.
(d) Current Population Estimates (1974) by the State
Department of Water Resources will be used as the
population source document for estimates of municipal
facility reviews.
(e) Alternative Population and Employment Forecasts by the
Department of Labor will be used as the source document
for control totals on future major employment sectors
and population (by age and sex). It will be used as
an input to regional economic forecasts.
(f) Housing Market Analysis (1974) by RCOG is the source
document for current housing stock and control totals
for future housing demand (by type of units). It will
be used as a source of sewer service projections..
(g) Facility Plans (1974) by the Sanitary Sewer Commission
are currently in the planning phase at Store Point
and Wilkes. The data collected for these studies will
be incorporated in the areawide plan.
(h) On-going studies describing the natural environment and
policies for the preservation thereof include the Moment,
Fountain, Sand and Jimmy Camp Creeks Flood Plain analy-
ses, the reports on land capability and ecology prepared
by RCOG, the various maps and unpublished work on soils,
topography, drainage basins, developing areas, etc.
In addition, the following information will be obtained
from several levels of local and State governments:
State monitoring programs
Current 303(e) plans
t Results from permit applications
Development information from communities including
zoning laws, land use plans, sewerage maps, etc.
23
-------
The second part of the work plan outline is a des-
cription of the proposed planning process developed pursuant
to 40CFR Part 130.10. This section of the Regulations
specifies that a planning process must include: (1) public
participation; (2) adequate intergovernmental inputs; (3)
coordination with other planning activities; (4) preparation,
adoption, and revision of Water Quality Management plans; and
(5) the establishment and implementation of regulatory programs
Previously discussed requirements of the grant applica-
tion submission address items 2 and 3 above (see Section I of
this Handbook). Thus, the work plan outline should address
items 1, 4, and 5. These requirements may be satisfied by
submitting the following information in the work plan outline:
Objectives of the Planning Process
Proposed Outputs of the Planning Process
Proposed Public Participation Programs
The aim of the planning process is to formulate an
areawide water quality management plan that can be imple-
mented. The planning process must integrate technical means
for pollution control with management arrangements capable of
implementing the controls, and provide for public participa-
tion in plan development. The overall objective is to
establish continuing institutional arrangements for decision
making and management aimed at achieving water quality goals
and standards. More specifically:
t The planning agency must coordinate with State
water quality management planning and other planning
programs in identifying and evaluating feasible
measures to control point and nonpoint sources of
pol1ution.
24
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t Individual programs must be directed at standards
that incorporate 1983 goals of this Act and desires
of the public.
t Planning efforts should be placed in priority,
stressing the most serious water quality problems
and most institutionally feasible controls. Those
problems for which there are no, or only limited,
feasible solutions should be given lower planning
priority. Non-structural solutions should be con-
sidered wherever possible.
Interim planning outputs, especially those re-
lated to continuing municipal treatment works con-
struction, should be singled out for early completion.
Management analysis should start early in the
process to insure adequate time to develop and imple-
ment a plan.
EPA has published water quality criteria information
under Section 304(a) of the Act for the establishment of
State water quality standards. The criteria generally repre-
sent minimum acceptable levels of water quality for related
uses, unless local circumstances are shown to support less
restrictive criteria for specific parameters. Exceptions to
the 1983 water quality goal of swimmable and fishable waters
may be allowed under either: (i) naturally occurring
conditions, (ii) mutually conflicting uses of the waters or
(iii) technological infeasibility.
Antidegradation statements included in present
standards provide that no degradation of high quality
w-aters will be allowed except to allow necessary and
justifiable economic and social development. The
objectives of the 208 areawide plan should take into
consideration the State's policy and strategy for anti-
degradation. For high quality waters, the State has the
opportunity to determine whether to allow degradation down
to the 1983 goal or to provide for more stringent levels of
protection, up to no discharge, in order to protect present
quality. Alternatively, the State may choose to allow
degradation of waters with a water quality level presently
above the 1983 goal. In no instance, however, is the water
quality to be degraded to a level where the 1983 goal is no
longer sustainable. The State's planning process, in coor-
dination with the local planning agencies, will be the basis
for applying these guidelines to individual bodies of water.
25
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Objectives of the Planning Process
The following objectives have been adopted by the
COG:
Coordinate with State water quality manage-
ment planning and other planning activities
Encourage public participation in decision
making
Develop regulatory programs to prevent and
control point and nonpoint sources of pol-
lution
0 Develop a management system for continued
environmental decision making and manage-
ment
Set those arrangements into operation by the
end of the planning period
Establish self-sustaining funding for con-
tinued environmental planning and management.
More specifically, the COG will address these
objectives with the following program elements.
Water Quality Standards. The COG will
furnish the public with information as
to the types of actions or controls and
the technical feasibility of achieving
these standards. It will consult with
the State and with the public to deter-
mine the locally desired uses of waters.
After this consultation, the COG will
represent the area in the standard set-
ting process with the State. This ac-
tivity has been given high priority.
Municipal Facilities. The COG, in consultation
with operational agencies and local govern-
ments, will determine service areas for
municipal treatment priorities. Since 3
construction grants are needed prior to
June of 1976, specific sub-priorities have
been developed for this program.
26 continued
-------
3. Waste Load Allocations. The COG has agreed to
work with the State to obtain revisions,
based on the tentative standards, to pro-
vide waste load allocations for all sources.
Revised allocations are planned for April
1977.
4. Pretreatment Regulations. The COG and the
operating agencies will jointly develop a
set of pretreatment requirements in coordi-
nation with EPA's pretreatment regulations,
and a program to carry out those require-
ments. This program is to be completed by
the Spring of 1977.
5. Land-Use. In view of the rapid growth of
the fringe area, the COG believes that
particular emphasis must be placed on (i)
developing additional land development
controls to guide subdivisions and to mini-
mize the storm drainage problem; (ii)
determining preliminary routing, sizing and
timing of major sewer interceptors; and
(iii) updating land use plans to determine
sewer interceptors and treatment facility
requirements for each subarea.
6. Nonpoint Sources. The COG does not
anticipate any work on silviculture,
mining, or salt water intrusion since
these problems are not encountered in
the area nor will it formulate strate-
gies for regulating construction activ-
ities since the State is instituting a
Statewide control program. After con-
sultation with the State, it has been
decided that a program controlling
urban runoff and runoff from solid waste
disposal sites will be 'completed during.
the planning period. The COG will col-
lect sufficient data to determine the
magnitude of the remaining nonpoint
source problem's and their possible solu-
tions. The schedule for further non-
point source work will be determined
jointly with the State Water Pollution
Control Administration.
''continued'"'. TV.
-------
Preservation and Protection. The COG is
mindful of the streams in the area that
presently have water quality above the
1983 goal for "swimmable and fishable"
waters. In order to preserve and pro-
tect these waters, the COG will include
in its planning efforts the investiga-
tion of zoning which permits no dis-
charges into those streams, the allow-
ance of additional discharges provided
they are equal to the quality of the
water, and the provision of growth up to
an established maximum stream load.
28
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intentionally left blank
29
-------
The specific outputs of the planning process should
relate directly to the water quality objectives of the area,
the institutional setting and the particular pollution prob-
lems encountered in the area. In addition, close coordination
with the State water quality planning office must.be maintained
to insure that the areawid-e 208 plan meets State requirements
and can be incorporated into the State water quality management
process.
: Individual areawide 208 plans will not be uniform in
^nature, but tailored to each area's needs and problems. After
assessing water quality objectives, available means for
Teaching those objectives, and the likelihood of support and
implementation, the local agency should set realistic priori-
-ti'es for the solution of the most significant water quality
problems. EPA policy encourages concentrati o.n on key
problem areas.
Recognizing that problems, priorities, and State/
local agreements will vary from place to place, 208 area-
w-ide plan outputs shall include consideration of the
following elements:
1. planning bounderies
2. water quality assessment and segment
classi ficati on
3. inventories and projections
4. nonpoint assessment
5. water quality standards
6. total maximum daily loads*
7. point source load allocations*
8. municipal waste treatment systems needs
9. industrial waste treatment systems needs
10. nonpoint source control needs
11. residual waste control and land disposal
needs
12. urban and industrial storm water needs
13. target abatement dates
14. regulatory programs
15. management agencies
16. environmental, social, economic impacts
A list of suggested outputs associated with each of
these elements is presented in the following example. The
local agency in agreement with the State may use this list
in selecting and further defining the proposed outputs. The
list of outputs should be in sufficient detail to help deter-
mine the program budget and present a clear indication of
program direction.
* These items will not be determined by designated areawide
planning agencies unless the State has delegated such
responsibilities to the designated agency. Where such
delegation has-not taken place the State shall determine
these items for the designated planning agency.
30
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Analytical Steps and Planning Outputs
1. Working maps indicating
a. the designated areawide planning district
b. state identified areas in need of municipal facili-
ties planning
c. water quality and effluent limited segments
d. all significant dischargers
e. fixed monitoring stations
2. Water quality assessment and segment classification
considering
a. all existing and potential sources of pollution
b. upstream sources of pollution
c. in-stream water qua 1ity
d. specific water quality parameters needed in the
maximum daily load allocation process.
3. Demographic and economic inventories and projections
with
a. a ranked list of municipal and industrial polluters
b. a summary of existing land uses
c. disaggregated 20-year growth .projections
d. projected municipal and industrial wasteloads '
e. projected land use patterns
4. Nonpoint source assessment including
a. description of problems, sources and segments
affected
b. identification of sources outside the designated
area
5. Revision of water quality standards
6. Maximum allowable pollution loads and thermal limits
for each water quality criterion being violated or ex-
pected to be violated over the next 20 years taking
into account ;
a. applicable water quality standards
b. seasonal variations
c. dissipative capacity of water
d. margin of safety given limited knowledge of some
problem
e. potential growth :-
(a description of all mathematical models used will be
furnished)
--, continued .
-------
7. Point source allocations for each pollutant by water
quality segment over the 5-year planning period, tak-
ing into account
a. total allocation for the 5-year period
b. anticipated growth
c. NPDES permitting process
8. Analysis of municipal waste treatment systems needs by
5-year increments over a 20-year period including dis-
cussion of
a. load reductions necessary to attain water
quality standards and effluent limitations
b. population to be served
c. cost and availability of land
d. results of Step I and II planning underway
9. Calculation of industrial waste treatment system needs
including
a. anticipated industrial point source wasteload
reductions needed to meet standards
b. consideration of alternatives to municipal treat-
ment of industrial sources
10. Nonpoint source analysis of pollutants to be considered
under the State/EPA agreement including
a. identification of all best management practice
measures necessary to control problems
b. evaluation of those measures in terms of past
history of use, time needed to establish them,
regulatory programs to achieve them, management
program to administer them and cost of the program
by 5-year increments
11. Residual waste and land disposal needs including
a. specification of control measures needed, and
b. a control implementation strategy
12. Analysis of urban and industrial storm water system
needs, controls and costs for
a. existing urban and industrial storm water systems
b. future service areas anticipated over the next 20
years
continued
O L-
-------
13. Target abatement dates for all major sources of pollu-
tion including
a. interim and final completion dates
b. specifications for a tracking system
14. Outline of regulatory programs including .
a. description of existing controls to be utilized
b. description of necessary additional controls and
method of obtaining them
15. Specification of all management agencies to
a. construct, operate and maintain all treatment
works
b. implement all point and nonpoint control prog-rams
16. An assessment of the initial plan and major alterna-
tives of the planning process including identification
of
a. plan schedule
b. effectiveness in meeting water quality..goals
c. direct costs
d. social, economic and environmental impacts
33
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>*
*
A program for public involvement should be formulated as soon
after designation of the 208 agency as possible. The program, an
integral part of the planning process, should outline the specific
means for public participation at each step in the process, including
development and modification of the work plan. The planning process
should be designed so that progression from one stage to another
cannot take place without well-defined feedback from the public.
The program should be an active one. Since the optimum de-
gree of public involvement will usually not occur spontaneously,
simply providing information to those who ask for it is not adequate.
An active program is needed to seek out those who can provide useful
inputs, as well as those who will be affected by the plan (e.g.,
League of Women Voters, Chamber of Commerce, conservation groups).
The program should include adequate provision for disseminating
information to the public. One of the greatest inhibitors to active
public involvement in planning programs is the lack of readily avail-
able information. To preclude a lack of information in public parti-
cipation programs, all data and information available to planners
must be easily accessible to the public. Depositories of documents
and data should be clearly identified to the public. Assistance should
be provided in locating specific documents or data retained in the
depository; reproduction equipment should be available for use at a
moderate cost. Mailing lists and publications should also be used
if appropriate.
The program should be allocated adequate time and funding
within the overall planning effort. Planning and operating an
effective program will probably require the full-time efforts of
one, and perhaps more, persons. Costs of the program should be
included in the planning budget.
The planning agency should designate and identify to the
public the person or persons directly responsible for the public
involvement program.
The program should be responsive to all interested citizens.
Participation in 208 planning should not be dominated by any one
interest group or individual. This can best be done by including
without exception in mailings, notifications, etc., all parties who
express interest in the project or who have been involved in commu-
nity issues related to water quality planning and management. Ano-
ther arrangement would feature a fully funded citizen's advisory
group acting in partnership with the planning and management agencies.
The proposed schedule should structure public involvement
around key stages in the planning process, such as establishment of
goals, refinement of work plan, design of alternatives, impact
assessment, acceptance of final plan, plan revision, etc.
34
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Public Participation Summary
Information Material
Periodic press releases will be made during the Section 208
planning program.
Public meetings on the plan and its progress will be held. Noti-
fication of said meetings will be published in the local news-
paper three times, on days the agency is advised that readership
would be best. Thirty days notice Will be given before, the hearing
is held.
Summaries of the plan and program reports will be made available
to the public and media.
Assistance to the Public
Upon request, the designated agency will provide, insofar as possi-
ble, any group or individual with information and technical material,
Consultation
Each affected jurisdiction will be contacted and given copies of
the resolutions. A Citizen's Advisory Committee will be esta-
blished, composed of representatives of affected agencies, and
will be enlarged on commencement of the planning program. During
the project, it is expected that the Committee will meet at least
bimonthly to review progress and to provide feedback to the plan-
ning process.
Notification
A list of interested and affected people and agencies will be
maintained in the offices of the designated agency. This list
will be used to send out information, etc., on the project.
Access to Information
Copies of all pertinent data and water quality material are being
and will continue to be kept on file with 'the designated agency.
Reasonable cost reproduction is already available.
Enforcement
Should any citizen wish to make suggestions or report violation
of water quality management regulations, they will be welcome.
The item will be reviewed -by the staff of the designated agency
and its consultant. If imminent danger to life and limb exists,
the appropriate regulatory body-will be notified. The suggestion
or report will be placed on the agenda for the next regular Citi-
zen's Advisory Committee meeting. If necessary, a report will
be made to the governing board of the RCOG, but in any event,
disposition of the item will be reported to the individual or
agency involved.
Rule Making
Prior to the.adoption of any rule or regulations, a public
meeting will be held (more than one if deemed necessary) and
the proposal will be made available to the public.
Public Information Assistance
To ensure that the public and elected officials understand the
plan and the planning process, a public educational consultant
will be retained to assist in the preparation of releases, re-
ports, programs, etc.
35
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If the designated planning agency anticipates the
need for planning support from other local or State agen-
cies, then those agencies and their contributions should
be identified in the work plan outline. The work plan out-
line should indicate how the support will be coordinated,
either during the planning phase or during both the planning
and implementation phases. It should also include documenta-
tion of acceptance by the affected agency of such work or
action. Documentation may take the form of memorandum of
understanding, etc.
The examples shown in response to this requirement
are letters of understanding between local and State
agencies and the designated 208 planning agency agreeing
to participate in the areawide planning process.
During refinement of the work plan, the tasks
identified for these other agencies will be defined in
detail and formally included in the detailed project
scheduli ng.
36
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TO: Mr. T. Rolf, Director
FROM County Planning Agency
SUBJECT: Areawide 208 Planning Participation
The County Planning Agency is pleased to support
your request for revised land use plans. The Agency agrees
to participate with RPG in preparing the necessary inputs
to the Section 208 areawide plan and to make the applicable
changes to the 1977 county land use plan. These changes con-
sist of revisions to current maps to show the areawide land
use features on a 1" = 2000 ft. scale on all census tracts
within the SMSA. :
The County Planning Agency will meet with the area-
wide planning advisory committee to lay the groundwork for
discussion of major land use policy issues. Following these
meetings the County Planning Agency will work with the land
use task force of the RPG planning staff to develop the details
of recommended land use controls. More specific land use plan-
ning activities to be performed by the County Planning Agency
will be defined in the on-going work with the task force. The
results of these discussions will be factored into the overall
planning schedule.
37 continued
-------
TO: Mr. T. Rolf, Director
Regional Planning Group
FROM: State Water Control Board
SUBJECT; Areawide 208 Planning Participation
The State Water Control Board will assist the
Regional Planning Group providing information to the 208
areawide planning program. The initial support will be in
revising the waste load allocations, in schedules of com-
pliance, and in the coordination of the water quality
standards to be achieved by the areawide plan.
More specifically, the direct planning input to
be provided by the State will consist of the following work
elements,
Classify stream segments.
Assemble existing water quality data and note
applicable standards.
Assemble existing inventory of discharges.
0 Assemble estimates of existing population, employ-
ment, and land use for the next 20 years.
Disaggregate basin data by segments.
Assemble existing water quality models.
t Refine waste load allocations.
Model existing discharges and stream segments.
Analyze results of revised waste load allocations.
Document allocations and compliance schedules.
These elements will be included in a contract to be
worked out during the refinement of your work plan. The
State will also perform the coordination, review, and certifi
cation efforts required to integrate your areawide planning
process with the State water quality management plan.
The Board, as a member of the Areawide Planning Ad-
visory Committee, will participate in the policy sessions to
determine the priority of major control alternatives.
38
-------
intentionally left blank
39
-------
The work plan outline must present a preliminary
schedule demonstrating interrelationships of proposed work
elements and anticipated dates of completion. Chapter 3
of the "Guidelines for Areawide Waste Treatment Management
Planning" (August 1975) includes a suggested flow chart
of the major activities to be undertaken during the planning
period. Using thi's flow chart as a starting point, the
designated Agency will develop its own proposed systematic
schedule of activities, each with its link to other
activities, in-house or consultant resources, time frame
for completion, and milestones. This preliminary schedule
will be presented in the work plan outline.
While this preliminary schedule will be refined
during preparation of the final work plan following grant
award, the proposed planning activities should still be
thought out in.enough detail at this stage to enable the
preparation of a reasonable planning schedule. In most
cases, this will require a break-down of activities into
tasks. By assigning time and resource needs to each task,
their schedule and interrelationships can be displayed
systematically in a flow chart.
The tasks listed in the schedule should be related
to the budgets (discussed in Section II E) and especially
to the outputs of the planning process (discussed in Section
II B.2). The work plan outline, should reflect an output
oriented process with activities leading towards products.
In the accompanying example, a top level block
diagram is shown. Only a portion of the task schedule is
shown with one of the items expanded to include the task
description. The level of detail in the diagrams or task
descriptions submitted in the work plan outline should be
worked gut between the areawide planning agency and the EPA
Regional office^ "
40
-------
Detailed Schedule
The COG has developed an initial network for the
purposes of scoping the planning program. The following block
diagram represents the major work elements under which we have
identified basic tasks. The initial network is available for
EPA review.
-PROGRAM MANAGEMENT-
DATA ACQUISITION AND ANALYSIS
PLAN FORMULATION-
IDENTIFY |
PROBLEM L
ESTABLISH
"MANAGEMENT
COORDINATION
ORGANIZE
STAFF
DEVELOP
pANALYTICAL
METHODS
DETERMINE
-LAND USE
PROJECTIONS
DETERMINE
POINT
r SOURCE-I
SUB-
PLANS-
DETERMINE J
OBJECTIVES
COMBINE
^ALTERNATIVE-
SELECT
CONSULTANTS
*
DEVELOP DATA
.AND ANALYTICAL.
BASE *
SCHEDULE
-PUBLIC -J
MEETINGS F ~|
FINALIZE
WORK PLAN
A. Establish 1
basis and I
methods of .
analysis 1
B. Acquire |
data and i
| information !
C. Prepare j
analytic 1
memoranda j
ASSESS SELECT REPORT
^IMPACT > PLAN >PLAN J
ALI tKNrt 1 1 VL ?
REVIEW WASTE _> CONTROLS NP
LOAD ALLOCA- |_ SU
-9
3- .J
TIONS PLANS
A
\ DETERMINE ALTERNATE
ALTERNATIVE MANAGEMENT
(-MANAGEMENT =ปPLANS ^
AGENCIES
ADOPT
-BY COG -
APPROVE BY
-ADVISORY - DESIGNATION
COMMITTEE >OF MANAGEMENT
-CERTIFICATION -
BY STATE
L-APPROVAL BY EPA-1
AGENCY
* Task Element Number II
following example.
is expanded in more detail in the
41
continued
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Preliminary Schedule
Accompanying the initial network the COG has
prepared a project work schedule by title of project task
and by task description.
PROJECT WORK SCHEDULE
Project Task
Periodic Milestones
I. Program Initiation
A. Establish the Water Quality
Task Force
B. Establish program management
and recruit staff
C. Prepare consultants work scope
D. Finalize Work Plan
II. Development of Data & Analytical
Base
A. Establish basis and methods of
analysis
1. Evaluate and extend sub-area .
del ineatl on
2. Develop and enhance data
processing
3. Developm small area allo-
cation method
4. Establish a surveillance
system
B. Acquire data and information*
1. Collect population, employ-
ment and land use data
2. Acquire NPDES data
3. Acquire water quality
sampling data
Man-Months Months from Project Start
In-
House
-
0.5
0.5
1.0
5.0
3.0
14.0
4.0
2.0
6.0
3.0
6.0
Consul-
tant
- '
6.0
1.0
2.0
0.0
3.0
0.0
0.0
8.0
123456789 10
*
o
4 o 4
<ซซ!
etc.
*Task element II.B. is expanded in the following example.
Legend
- Reports to State, EPA, Advisory Committee
o - Public Information Report
0 - Public Meeting
* - Program Review
42
conti nued
-------
Planning Schedule
For each of the items in the preceding project task
list, the COG has outlined a description of the activity
and has estimated the manpower requirements and resultant
costs. For example;
II.B ACQUIRE DATA AND INFORMATION
B.1 Collect Population, Employment and Land Use Data
This information is available at scattered locations
in the area. The COG maintains such files, but they will be
supplemented by additional collection efforts through the County
Sanitation District, State Department of Labor Statistics, and
the four county planning organizations.
Manpower - 6 man months @ $l,500/mm = $9,000
B.2 Acquire NPDES Data
Information from the U.S. EPA and State discharge
permits will be acquired early in the project, and at intervals
thereafter, for data regarding present dischargers and actions
required during the permit period.
Manpower - 3 man months @ $l,500/mm = $4,500
B.3 Acquire Water Quality Sampling Data
The proposed sampling program consists of determining
the water quality runoff from each of the eight identified hydro-
logic watersheds within the planning area. The existing continu-
ous water quality recorder operated by the State on mile 46.2 of
the Green River will be supplemented by the planning agency with
two more continuous recorders - one at the mouth of Sand Creek and
the other at the mouth of Mud Creek. These three recorders will
divide the planning area into approximately three equal areas and
will provide diurnal and seasonal water quality data together with
data over a range of hydrologic events throughout the two year
planning period. In addition, grab samples will be taken period-
ically [an average of once a month) at 8 other locations within
the planning area during the first year to determine more localized
water quality information. The State University laboratories will
be used to analyze the samples taken.
Equipment - 2 continuous recorders and operation $ 8,000
- lab tests - 100 samples @ 50/sample 5,000
Manpower - 14 man months @ $l,500/mm = 21,000
Total $34,000
B.4 Etc,
43
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The budget for the planning process should be
itemized in accordance with the project tasks defined in
the preliminary schedule. For each task in the schedule
estimates should be made of -the types of skills and man-
days necessary to complete the task. These estimates
should then be converted into costs by tasks with appro-
priate personnel salary rates, fringe benefits, travel
expenses, special equipment, materials, and supplies.
Contracts or* consulting services should be identified
separately from local planning agency staff. The consult-
ing services must also be related to specific tasks and
products.
All cost information included in a grant applica-
tion is subject to a cost analysis. Therefore, it should
be specific and complete and in accordance with EPA form
number 5700-33 described in Section I, A. The EPA
Regional offices have additional guidance and examples for
the preparation of cost information.
The accompanying example represents the summary
sheet of a work plan outline budget. Under each of the major
headings an itemization must be submitted in accordance with
the tasks described in Section II.D. The itemization
should conform to this summary example in terms of the cost
categories listed.
44
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PROPOSED BUDGET BY WORK ELEMENT
FRINGE SUPPLIES & OTHER TOTAL INDIRECT
WORK ELEMENTS SALARIES (13.5%) TRAVEL EQUIPMENT CONTRACTUAL DIRECT DIRECT (30%) TOTAL
Finalize Work Plan 5.523 746 6,269 1,881 8,150
Land Use Planning 33,141 4,474 37,615 11,285 48,900
Pop. & Eco. 18,808 2,539 10,000 31,346 9,404 40,750
Projections
Water Quality 50,873 6,868 17,500 75,231 22,569 97,800
Nonpoint Source 44,186 5,965 50,154 15,046 65,200
Point Source 77,330 10.440 87,769 26,331 114,100
Institutional 22,568 3,047 12,000 37,615 11,285 48,900
Planning
Public 48,627 6,565 7,500 62,692 18,808 81,500
Participation
Program 7.2,931 9,846 4,800 19,000 106,577 31,973 138,550
Management
State 4,202 567 -1,500 ; 6.269 1,881 8,150
Coordination
Urban & Storm 26,242 3,543 14,100' 43,885 13,166 57,050
Drainage . .
Facilities 71,806 9,694 81,500 24.450 105.950
Planning
TOTAL $815,000
45
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In order .to be effective, the final work plan will
have target completion dates for the various outputs as well
as interim milestones. These milestones will be used to
evaluate program progress and, where necessary; to make the
changes to the work plan. The milestones will also be related
to the disbursement schedule* to insure the responsible expend!
ture of Federal funds.
The disbursement from the planning agency to the
local staff, contractors, 'consul tants, and ^bther agencies
should track the progress being made on the schedule with
the available funds. Quarterly progress report of plan
accomplishments will :be submi tted 'to the EPA Regional Adminis-
trator. \ : ,
At this stage3, the'work pi an outl i ne will include a
preliminary disbursement schedule relating estimated disburse-
ments to progress. Each item in the milestone list should
be related to the project task in the prdpos'ed work schedule.
The accompanying example indicates the 1evel-of-detai1 which
is appropriate for the grant application
*Note: .Additional information on grant disbursement through
letters-df-credit is available in EPA-AM memorandum
No. ,13 entitled "Implementation of Letter of Credit
.for 208 Grants", dated October 22, 1975.
46
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Disbursements and Milestones
A final quarterly disbursement chart will be prepared
after detailed scopes are set up for in-house work and consultant
services. Quarterly progress reports will be prepared through th
DWR program management system and submitted to the Regional Admin
istration of U.S. EPA. These reports will show actual versus
planned expenditures and mark progress against major milestones.
The table below shows a preliminary list of milestones to be con-
firmed after the grant award and set up .of detailed scopes.
Month Task Description
1 IB, 1C Establish task force and management control
Plan public involvement .
3 IVG1 Complete characterization of .flows' and .loads ,from
continuous sources .'..',
6 ID Complete revisions to iniital work plan; select
and contract consultants
9 IIC Depict environmental background data ;'
11 IVA-D Complete water quality sampling
15 IIID1 Recommend land use strategies to achieve water
quality objectives
15 VIA-D Complete verification of all models needed for
study of alternatives
15 IVG2 Complete estimates of flows and loads from inter-
mittent point sources
15 V D Set final water quality objectives for study
18 VIIIG, Screen sub-plans for continuous ,and intermittent
VIIIH sources to select leading alternatives
19 IXD Develop alternative management plans
19 VIII I, Produce and test areawide technical plans
VII K
20 XI Complete evaluation and select areawide plan
21 IXE Detail management policies for selected plan
22 XII Complete assessment
24 XIII Prepare final report and submit for review
30 Final approval and certification
continued .
47
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o
C>
O
o
ฐ. 5
o
o
1
TOTAL GRANT VALUE .$815,000
i 1 1 1 1 , H.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
MONTHS
CL3ULATIVE DISBURSEMENTS
48
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intentionally left blank
49
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Refined Work Plans are to be developed after grant
award and must be submitted within the time frame specified
in the grant conditions.
These refinements supplement the work plan out-
line contained in the application for funds and demonstrate
the basis for effective project management. They must:
1. Provide any information needed to overcome deficiencies
in meeting grant application criteria;
2. Demonstrate the correction of any deficiencies or
uncertainties in the grant application which have been
Identified by the State or EPA;
3. Provide for meeting any grant conditions established
by EPA which affect the plan of work, schedule, budget
and/or accounting procedures;
4. Meet fully the criteria provided by the EPA Regional
Office. The example shown on the opposite page illus-
trates one such set of criteria.
During this stage of the planning process, it is
critical that the designated areawide planning agency work
closely with both the State and EPA to insure a final pro-
duct reflecting both the State and areawide water quality
management process. In addition, the refinement process
should include input from the Policy Advisory Committee,
technical advisory committees established as part of the
areawide planning process, and other interested individuals
or groups.
50
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Refined Work Plan Criteria
A. Identify the membership of the Areawide Planning Advisory
Commi ttee;
B. Describe the intended operation of the Areawide Planning
Advisory Committee including frequency of meetings, and
committee responsibilities.
C. Ranking waste management or receiving water quality problems
in the area according to their relative seriousness and
urgency and including: '
1. an identification of the geographic coverage of each
water quality problem '
2. a brief identification of the extent to which each prob-
lem will be addressed in the planning process.
D. Briefly describe and evaluate prior investigations and the
adequacy of presently available data for formulating plans
regarding each waste problem to be addressed fry the> pTari'ning
process and identify the major information deficiencies.
E. Provide a more detailed plan of work:
1. Describe the goals and objectives of the planning process
These goals and objectives must focus on the water qual-
ity problems to be dealt with in the planning process and
must reflect the priority of these problems;. -
2. Describe each task or activity with:
a) Level of detail, accuracy and/or completeness
required for each analysis.
b) Identification of the extent, nature and purpose of
any computerized mathematical modeling to be done
including a description of whether such modeling
involves the development of new models or the exten-
sion and refinement of existing models.
c) Where appropriate and to the extent feasible, an
identification of the alternatives to be considered
and the main technical procedures to be used.
d) Identification of the geographic area to be covered
in carrying out each task.
3. A concise listing of all outputs (draft, interim, or
final), including reports, technical memos, working
papers, policy papers, etc., and a brief description of
each output. The expected publication date must also be
shown.
51 continued
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4. A schedule and a chart, PERT, CPM or other, which is suf-
ficient to clearly identify:
a) all significant tasks or activities included in the
plan of work by name and number.
b) the sequence of undertaking and completing tasks and
activities.
c) the relationship and/or interdependence of tasks and
activities.
d) the schedule, to at least a monthly level of detail,
for undertaking and completing each task and/or
a c t i v i ty.
e) each interim and final product or report including
those required to be submitted to the State and/or
EPA.
5. Description of specific procedures which will be used to
evaluate compliance with proposed budgets and schedules
on no less than a monthly basis (procedures should cover
all portions of the planning effort including that con-
ducted by the grantee, contractors and other agencies
accepting responsibilities).
ซ
6. Description of procedures for coordinating 208 planning
wi th:
a) Facilities planning, funded partially or wholly by a
Step 1 grant, either underway or expected to be
initiated in the future.
b) HUD 701 and land use planning.
c) Air quality maintenance planning.
d) Coastal Zone Management and shoreline management
planning.
e) PI anni ng_ pursjjant to Section 209 and:State Water
Quality Management planning under the Act.
f) Other water quality related planning.
Describe the specific procedures to be followed in assuring
adequate public participation during plan development, review
and adoption.
continued
52
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G. Generally describe the proposed content of the quarterly mile-
stone reports. As a minimum, the milestone report must con-
tain a discussion of current progress and expenditures for
each task as compared with projected progress and expenditures
outlined in the work plan. Lack of scheduled progress or cost
overruns are to be discussed in detail and a program described
for correcting any problems. Reports are to contain a brief
but comprehensive discussion of work performed during the
quarter and other pertinent information.
H. Identify all organizations other than the applicant whose
participation is necessary to carry out the plan of work in-
cluding:
1. Tasks or activities to be wholly conducted by other public
agencies.
2. Description of the action(s) expected on the part of each
identified public agency where less than total responsi-
bility for a task or activity is assigned (exclude inci-
dental and minor coordination).
3. Listing of tasks or portions of tasks to be accomplished
by consultants under contract.
I. Document that each identified agency has accepted rosponsibil
ity for the described action(s) (documentation regarding
review of the plan by local officials is not required).
J. Provide a manpower and cost-distrib.ution table.
53
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ง 85.208-2' Application rcqulremonU.
(a) Kach agency applylnR for section
208 plannlntr Rrants shall meet the fol-
lowing application requirements:
(1) Applications shnll be made to
EPA on such forma ns t.he Admlnlstra-
tor may prescribe pursuant to 8 30.315 of
this Chapter.
(2) Evidence shall be provided that
all requirements of OMB Circular No.
A-S5 have been met.
(3) A statement shnll be provided In-
dicating that provisions have been made
or will be made for the establishment of
the following appropriate advisory
groups:
(1) For State planning areas, a policy
advisory committee for cnch approved
planning area; the membership and role
of this committee shall be consistent
with 8 130.16(c) of this Chapter;
(11) For areawlde planning areas, a
policy advisory committee whose mem-
bership ahull be consistent with ! 130.10
(d) of this Chapter.
(4) A statement shnll be provided that
Uio proposed activity takes Into account
the relationship with affected State, local
and Federal programs, and with other
applicable resource and developmental
planning programs as set forth In 8 130.-
34 (a) of this Chapter.
(6) A statement shall be Included In-
dicating that the planning process will
become financially self-sustaining and
provide for annual update of the plan
once the Initial plan Is developed and
approved.
(0) An outline of the work plan which
the applicant will submit pursuant to
{ 35.220 herein shall be provided by State
and designated areawide planning
agencies.
(7) A statement indicating how
matching funds, if required, will be
provided.
. (b) Area wide planning agencies desig-
nated by the Oovernor(s) shall provide,
. in addition to the requirements set forth
in 8 35.208-2(a), a certification docu-
ment submitted by the State planning
'agency designated pursuant to $ 130.12
of this Chapter, which document shall
include a statement that the State has
reviewed the application and finds that:
(1) The proposed work complies or
does not comply with all State require-
ments, including any applicable plan(s)
prepared pursuant to Part 131 of this
Chapter;
(2) The proposed planning work pro-
cram Ls or Is not adequate and necessary
to accomplish the development of a plan
pursuant to Part 131 of this Chapter;
(3) Insofar as is known, the planning
will or will not duplicate any work which
has been done or Is being done to meet
the facilities planning requirements of
{35.917-35.917-0 of this Part and other
water quality management planning re-
quirements of Part 131 of this Chapter;
and
(4) That the State either recommends
or does not recommend that the grant
application should be approved by EPA.
(c) State planning agencies shall sub-
mit, in addition to the requirements of
8 35.208-2(a), evidence of compliance
with the procedures of 8 130.13 of this
Chapter, including evidence that ade-
quate communication was made with
chief elected officials of local units of gov-
ernment In the designation of local
areas.
ง 35.220 Work plun development.
ง .15.220-1 ApplirnliUilr.
The specific requirements of this sec-
tion are applicable only to work plans re-
lated to grants awarded alter June 30,
1975.
ง 35.220-2 Content.
(a) Planning in State planning areas.
State planning agencies must submit a
work plan based on the approved con-
tinuing planning process, Including the
State/EPA agreement, prepared pursu-
ant to I 130.10 of this Chapter, and
which is consistent with the require-
ments herein anil the requirements of
9 130.11 of this Chapter. The work plan
shall be included as an element of the
State program plan submitted pursuant
to section 106 of the Act which will set
forth a work schedule, cost and resource
budget and disbursement schedule.
(b) Planning In areawlde planning
areas. Designated areawide planning
agencies must submit a work plan which
contains:
(1) A description of all work per-
formed to date which will be used in the
plan development;
(2) A description of the proposed
planning process developed pursuant to
J 130.10 of this Chapter which will be
utilized to <1> identify and evaluate
feasible measures to control point and
nonpolnt pollution sources, which meas-
ures may take Into account all source lo-
cation and review measures necessary to
meet State implementation plan require-
ments in the area, (ID develop an Inte-
grated areawlde plan to control these
sources, and (111) establish an areawlde
management program (including financ-
ing) for plan Implementation;
(3) A description of any necessary ac-
tion In the planning to be taken by agen-
cies other than the applicant and pro-
cedures to be used In coordination of such
activities; documentation of the accept-
ance by the affected responsible agency
of such required work or action shall be
Included and presented with the work
plan;
(4) A schedule showing required in-
terrelationships of work to be accom-
plished and anticipated dates of com-
pletion;
(5) A cost and resource budget, in-
cluding work to be done under contract
or by Intcrngency agreement, and
(6) A proposed disbursement schedule
with specific progress milestones related
to disbursements.
ง 35.220-3 .Siibinifwion.
As expedltlously as possible, grantees
conducting State and areawlde planning
must submit to the Regional Administra-
tor a written work plan meeting the re-
quirements of 8 35.220-2. For areawide
planning agencies, the work plan shall be
submitted not later than twelve months
from the date of the Administrator's ap-
proval of the designation. A copy of the
areawldo planning agency's work plan
and future significant modifications
thereto shall be provided to the State
planning agency designated pursuant to
5 130.12 of this Chapter for review and
comment. Pursuant to 8 35.220-3, sub-
mission and approval of the work plan Is
a precondition to release of grant funds
for further areawlde planning pursuant
to Part 131 of this Chapter.
ง 35.220-4 Funding for work plan devel-
opment.
Where the grant agreement, subject to
provisions of { 35.212, provides for work
plan development, the grantee will obli-
gate generally not to exceed five percent
(07e>) of the total award for that purpose.
Further additional obligation is not au-
thorized until approval of the work plan
l.s granted by the Regional Administrator.
Where work plan development Is set as a
milestone in the grant agreement, the de-
cision on size of the initial advance will
take into account this five percent (5%)
limitation.
APPENDIX A
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ง 130rlO I'lmini
irciiiunt.x. S 1-31.11I'lun content.
(a) Ttie State and designated area-
wide planning agencies shall establish
a planning process which provides for
the establishment of necessary institu-
tional Arrangements and management
programs to make and implement coor-
1 dlnnted decisions designed to achieve
water quality goals and standards. The
planning process shall Include:
(1) Public participation during plan
development, review, and adoption in ac-
cordance with section 101 (c) of the Act
and In accordance with Part 105 of this
Chapter;
(2) Adequate intcreovcmmentuj input
in the development and implementation
of water quality management plans as
described In! 130.17;
(3) The coordination and Integration
of the water quality management plan-
ning tn State planning areas and in des-
ignated areawldc planning areas as de-
scribed in 9 130.33. and coordination of
water quality management planning
with related Federal, Stati. interstate,
and local comprehensive, functional, and
other developmental planning activities,
including land use and other natural re-
sources planning activities, as described
in { 130.34;
(4) The preparation, adoption, and re-
vision, of water quality management
plans for the appropriate areas and
waters within the State that fulfill the
requirements contained In Part 131 of
this Chapter;
(5) The establishment and implemen-
tation of regulatory programs identified
in approved water quality management
plans prepared pursuant to Part 131 of
this Chapter;
Recognizing thnt the level of detail
mny vary according to the water quality
problems, the following elements shall bo
Included In each water quality manage-
ment plan unless a certification pursuant
to 5 130.1Kb) of this Chapter provides
otherwise:
a) Planning "boundaries. A delinea-
tion, on a map of appropriate scale, of
tlio following: (1) The approved State
plnnning areas included In the State
planning process submitted and ap-
proved pursuant to IS 130.41 of this Chnp-
ler nnd nroawldc planning areas desig-
nated pursuant to } 130.13 of this
Chapter.
(2) Those areas in which facilities
planning has been deemed necessary'by
tho State pursuant to 8 35.017-2 of this
Chapter.
i3) The location of each water quality
pud cJnuent limitation segment'Identified
in S 131.1Kb) (2).
i4> The location of each significant
discharger identified in 8 131.11(c).
(5) The location of fixed monitoring
.stations.
(Ncrif.: .Such monitoring elation loaatlon*
inny 1)0 omitted If such locations are avall-
tvblo In tho EPA water quality Information
nyalcni).
(b) Water quality assessment and seg-
ment rlassificallons. (1) An assessment
of existing and potential water quality
problems within tho approved planning
area or- designated area wide planning
area, including an Identification of the
types nnd degree of problems and tho
sources of pollutants (both point and
nonpolnt sources> contributing to the
problems. The. results of this assessment
should bo reflected in the State's report
required under Section 305(b) of the
Act.
(li) The classification, of each segment
a;: cither water quality or effluent limita-
tion or. defined in ง 130.2(o) of tills
Chapter.
(i) Segments shall Include the sur-
rounding land areas that contribute or
may contribute to alterations In tho
physical, chemical, or biological charac-
teristics of the surface waters.
(11) Water quality problems generally
shall be described in terms of existing or
APPENDIX B
potential violations of water quality
standards.
(ill) Each water quality segment
classification shall include the specific
water quality parameters requiring con-
sideration in the total maximum dally
load allocation process.
(ivi In the segment classification
process, upstream sources that con-
tribute or may contribute to such alter-
ations should be considered when iden-
tifying boundaries of each segment.
(v) The classification -of segments
shall be based on measurements of In-
strenm water quality, where available.
(c) Inventories and projections. (1)
An Inventory of municipal and Industrial
sources of pollutants nnd a ranking ot
municipal sources which shall be .used
by tho State in tho development of the
annual State strategy described in
5 130.20 of this Chapter and the "project
priority list" described in 5 35.915 of
this Chapter. The inventory shall In-
clude a description, by parameter, of the
mn.lor wo:;to di'scharcc characteristics of
each significant discharger of pollutants
based on data from -the National Pol-
ltttflnt Discharge Elimination System and
the associated compliance monitoring
systems, whenever available.
(2) A summary of existing land use
patterns.
(3) Demographic and economic growth
projections for at least a 20-year plnn-
nlnrr. period dlnaRgregatcd to the level
of detail necessary to Identify potential
water quality problems.
(4) Projected municipal and Industrial.
wasteloads based on 8 131.1 He) (1) and
(3). '
(5) Protected land use patterns based
on 5 131.lire) (2) and (3).
(d) Nonpotnt source assessment. An
assessment of water quality problems
caused by nonpolnt sources of pollutant'?.
(1) The assessment shall include a de-
scription of the type of problem, an Iden-
tification of the waters affected (by seg-
ment or other appropriate planning
area). an evaluation of the seriousness of
the effects on those waters, and an iden-
tification of nonnoint sources (by cate-
gory ns defined in 5131.11'])) con-
tributing to the problem.
(2) Any nonnoint sources of pollutants
originating outside a setrment.whlnh ma-
terially affect water quality within the
segment shall be considered.
(3) The results of this assessment
should be reflected In the States' report
required under Section 305(b) of the
Act.
(c) Water quality standards. The ap-
plicable water quality standards. Includ-
ing the Statewide antidcgradatlon policy,
established pursuant to Section 303
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(1) Such total maximum dally loads
sliu.ll be established at levels necessary
to achieve compliance with applicable
water quality standards.
(11) Such loads shall take Into ac-
count:
(A) Provision for seasonal variation:
nnd
(B) Provision of a margin of safety
which takes Into account any lack of
knowledge concerning the relationship
between effluent limitations and water
quality.
(3) For each water quality segment
where thermal water quality criteria are
being violated or expected to be violated.
the total dally thermal load during
critical How conditions allowable in each
segment.
(I) Such loads .shall be established at
n level necessary to assure the protection
and propagation of a balanced, Indige-
nous population of fish, .shellfish, and
wildlife.
(11) Such loans shall take into account:
(A) Normal water temperature;
(111 Flow rules;
(C) Seasonal variations;
(D) Existing sources of heat input;
and
(13) The dlssipntlvc cnpaclty of the
waters within the Identified segment.
(ill) Each estimate shall Include an
estimate of the maximum heat input that
nan bo made into the waters of each
segment where temperature is one of the
criteria being violated or expected to be
violated and shall Include a margin of
safety which takes Into account lack of
knowledge concerning the development
of thermal water quality criteria for pro-
tection and propagation of fish, shclliir.li
and wildlife in the waters of the identi-
fied segments.
(31 For each water quality segment, a
total allocation for point sources of pol-
lutants and a gross allotment for non-
point sources of pollutants.
(1) A specific allowance for growth
shall be included in the allocution for
point sources and the gross allotment for
nonpolnt sources.
pulation equiva-
lents to be served, including forecasted
crow Hi or decline of such population
over at least a 20-year period following
the scheduled date for installation of
the needed facility.
(ill) The results of preliminary and
completed planning conducted untie?
Step I and Step II grants pursuant to
Title II of the Act.
(NOTE: In the absence of the Title II plan-
ning described above, the State La expected
to develop the neccasary estimates end anal-
yses required under 8 131.1 l(h) (1)).
(1) Industrial waste treatment system)
needs. (1) The anticipated
point source wasteloa'd reductions
quired to attain and maintain
water quality standards and effluent
limitations for at least a 20-year plan-
ning period
-------
of llio Act tlmt t.liA State will develop non-
point Bniirre control rcqulrrinoiitu on a
HlntKWlilobivilo.)
An Identification
of tlio necessary controls to be estab-
lished over the disposition of residual
wastes which could ultcct wntcr qunllty
and a description of the proposed actions
necessary to achieve such controls.
(2) An Identification of the necessary
controls to he established over the dis-
posal of pollutants on land or in sub-
surface excavations to protect ground
nnd surface water quality and a descrip-
tion of the proposed actions necessary to
achieve Hiich controls.
(Niirr.: rtcHldunl wusl.c nonlrnl nrrcls nrnl
not bo 0(b) (4) of
the Act tltnt tl
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