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.
                           20

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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

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         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

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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.

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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

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        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  .

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 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-

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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

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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

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intentionally left blank
                 39

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         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

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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
• ••••



<•ซ•ซ••!






               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

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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

-------
intentionally left blank
             49

-------
        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

-------
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

-------
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 1-31.11—I'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 
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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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