UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

                           WASHINGTON. D.C.  20460
                       DEC U 18S2
Dear Colleague:

     Enclosed is a-Draft Combined Sewer Overflow. Control  Policy.
A Notice of Availability, providing for a 60-day public comment
period, will  be  published in the Federal  Register in the  near
future.

     The main purposes of the. Policy are  to elaborate on  the?
Environmental Protection Agency/s  (EPA's) National Combined Sever
Overflow Control Strategy published on September 8, 1989, at
54  FR  37370,  and to expedite compliance with the requirements of
the Clean Water  Act (CWA).   While implementation of the 1989
Strategy has  resulted in progress toward  controlling combined
sever  overflows  (CSOs), significant public health and water
quality risks remain.

     The Policy  is being developed  to provide guidance to
permittees with  CSOs,  National Pollutant  Discharge Elimination
iSystem (NPDES) authorities  and State water quality standards
authorities,  on  coordinating the planning, selection/sizing and
construction  of  CSO controls that meet the requirements of the
CWA and allow for public involvement during the decision-making
process.             •

     Contained in the Policy are provisions for developing
appropriate,  site-specific  NPDES permit requirements for  all
combined sewer systems that overflow as a result of wet weather
events and enforcement initiatives  to require the immediate
elimination of overflows that  occur during dry weather, and to
ensure that the  remaining CWA  requirements are complied with as
soon as practicable.

     The permitting provisions of the Policy were developed as a
result of. extensive input received  during a negotiated policy
dialogue.  The negotiated dialogue  was conducted by the Office of
Water  and the Office of Water's Management Advisory Group.
Representatives  from State, environmental and municipal
organizations participated  in  the negotiated dialogue.

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                               - 2 -
      The enforcement initiatives,  including one to be initiated
 in 1993  on CSOs during dry weather,  were developed by EPA's
 Office of Water and Office of Enforcement.

      The major provisions of the Policy are:

      C80 permittees should immediately  undertake a process to
      accurately characterize their combined sewer system,
      demonstrate implementation of nine minimum? controls,  and
      develop a long-term CSp control plan.   Once the long-term
      CSO control plants cbttpleted;  the permittee will be
      responsible to implement the  plan's recommendations as soon
      as  practicable;

      State water quality standard  (WQ8)  authorities should be
      involved in the  long-term CSO control  planning effort to
      coordinate the review and possible revision of WQS and
      implementation procedures on  CSO-impacted  waters with the
      development of the long-term  CSO control plan; .
                   "  * '           '                .'-";•-
      NPDES authorities  should issue/reissue permits to require
      immediate compliance with the technology-based and water
      quality-based  requirements of the  CWA, and after completion
      °LS? long-term CSO control  plan,  incorporate the following
      additional permit  requirements  ~  performance standards  for
      the selected controls based on  average design conditions, a
      post construction  water quality assessment program,
      monitoring for compliance with  WQS,  and a  reopener clause
      authorizing the  NPDES authority to reopen  and modify  the
      permit if it is  determined that the CSO controls fail to
      meet WQS  or protect designated  uses; and

      NPDES authorities  should also,  as  noted above,  commence
      enforcement actions in 1993,  against all CSO  permittees-
      which have CWA violations  due to CSO discharges  during dry
      weather.   In addition,  NPDES  authorities should  ensure the
      implementation of  the nine minimum  controls,  noted above,
      and  incorporate  a  schedule, with appropriate  milestone
      dates, to  implement the required long-term CSO control plan
      into  a civil judicial  action  or administrative order.
      Schedules  for  implementation  of the  long-term CSO  control
      plan may be phased  based on the relative importance of
      adverse impacts upon WQS and  designated uses,  and  on  a
      permittee's  financial  capability.
4-K   Notwithstanding the permitting and enforcement provisions of
the Policy, permittees are expected to comply with any CSO-
related requirements in NPDES permits, consent decrees or court
orders which predate the Policy.                          ww«*w

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                              - 3 -

     Comments on the draft Policy should be submitted to:

          Richard Kuhlman (WH-546)
          Office of Hastevater Enforcement and Compliance
          US EPA
          401 N Street, S.W.
          Washington, D.C. 20460

     If additional information is necessary, please contact
Richard Kuhlman at (202) 260-5828.
     LaJuana S. Wilcher
     Assistant Administrator
       for Water
                                        Sincerely yours
Herbert H. Tate, Jr.
Assistant Administrator-
  for Enforcement
Enclosure

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                  DRAFT COMBINED SEWER OVERFLOW CONTROL POLICY
                                    12/18/92
  3    I.   INTRODUCTION

  *         A.   Purpose

  *         The main purposes of this Policy are to elaborate on EPA's
  6    National Combined Sewer Overflow Contrpl "strategy published on
  7    September 8, 1989 at 54 PR 37370 (1989 Strategy) and to expedite
  8    compliance with the requirements of the Clean Water Act (CWA).
  9    While implementation of the 1989 Strategy has resulted in
 10    progress toward controlling combined sewer overflows (CSOs),
 11    significant water quality risks remain.   CSOs consist of mixtures
 12     of sanitary sewage,  industrial wastewater,  and storm water
 13     runoff.   CSO discharges often contain high levels of suspended
 14     solids,  bacteria,  heavy metals,  floatables,  nutrients,  oxygen-
 15     demanding organic  compounds,  oil and grease,  and other
 16     pollutants.   CSO discharges can  cause exceedances of water
 17     quality  standards  (WQS).   Such exceedances may  pose  risks to
 18     human health, threaten  aquatic life  and its habitat,  and impair
 19     the use  and  enjoyment of the Nation's waterways.

 20         This Policy is intended to provide guidance to permittees
 21    with CSOs, National Pollutant  Discharge Elimination System
 22     (NPDES)  permitting authorities, state water quality standards
 23    authorities and enforcement authorities,  in order to coordinate
24    the planning, selection, sizing and construction of CSO controls
                                      1

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  1    to meet the requirements of the CWA and to involve the public
  2    fully during the decision making process.

  3         This Policy reiterates the objectives of the 1989 Strategy:

  4         1.  To ensure that if CSO discharges occur, they are only as
  5       .a result of vet weather;
                                   f

  «         2;  To bring all vet weather CSO discharge points into
  7         compliance vith the requirements of the CWA; and

  8         3.  To minimize water quality, aquatic biota,  and human
  9         health impacts from vet weather  overflows.
 10         This Policy  is being  issued  in support of EPA's regulations
 ll    and policy initiatives.  This document is Agency guidance only.
 12    it does not establish or affect legal rights or obligations.  It
 13    does not establish a binding norm and is not finally
 14    determinative of the issues addressed.  Agency decisions in any
 15    particular case vill be made by applying the lav and regulations
 16    on the basis of specific facts vhen permits are issued.

 17         B.   Application of Policy

1«         The permitting provisions of this Policy apply to all
1*    combined sever systems that overflov as a result of storm vater

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  1     flow,  including, snow melt runoff (40 CFR Section 122.26(b) (13)).
  2     CSO discharges during dry weather are prohibited by the CWA.
  3     Accordingly,  the permitting provisions of this Policy do not
  4   *  apply  to discharges  during dry weather from combined sewer
  5     systems.   Dry weather flow is  the flow in a combined sewer that
  6     results  solely from  domestic sewage,  groundwater infiltration and
  7     industrial wastes.   In addition  to the permitting provisions, the
  8     Enforcement and Compliance section of this Policy describes an
  9     enforcement initiative being developed for overflows that occur
10     during dry weather.

11         Consistent with the  1989  Strategy, all 30  States  that need
12     CSO permitting strategies have received EPA approval or,  in the
13     case of two states,  conditional  approval of their strategies.
14     States and EPA Regional Offices  should review the State
15     strategies and negotiate  appropriate revisions to them to
16     implement  this  Policy.

17         c.    Effect on  current cso control Efforts

18         Portions of this Policy may already have been addressed by
19    permittees' previous efforts to control CSOs.  Therefore,
20    portions of this Policy may not apply, as determined on a case by
21    case basis, under the following circumstances:

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  1         1.   When this Policy is issued, any permittee which has
  2         completed or substantially completed construction of CSO
  3         control facilities that are -designed to meet HQS and protect
  4         designated uses,  and where it has been determined that water
  5         quality standards are being or will be attained, is not
  6         covered by the initial planning and construction provisions
  7         in  this Policy; however,  the operation and maintenance and
                                 '•£»''—.'•      "~
  8         monitoring provisions -continue to apply,   if,' after
  •         monitoring,  it is determined that WQS are not being
 10         attained,  the permittee should be required to submit a
 11         revised CSO control plan  that once implemented,  will attain
 12         WQS.

 13         2... When this Policy is issued,  any permittee which has
 14         substantially developed or  is implementing a  CSO control
 15         program pursuant  to an  existing permit  or enforcement order,
 1C         and such program  is considered by the NPDES permitting
 17          authority  to be adequate  to meet WQS and  protect designated
 18          uses and is  reasonably  equivalent to the  treatment
 19          objectives of this  Policy,  should complete  those facilities
 20         without  further planning  activities  otherwise expected by
 21         this Policy.  Such  programs, however, should be  reviewed and
 22         modified to be  consistent with the sensitive area and
 23         financial capability provisions of this Policy;  the
24         permittee should be subject to an enforceable, fixed-date
25         compliance schedule and should be required to develop and

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  1          implement a post construction water quality monitoring
  2          program;  and its permit should contain reopener provisions
  3          as discussed in this  Policy.'

  4          3.  When  this Policy  is issued, any permittee which has
  5          previously constructed  CSO  facilities  in an effort  to comply
  6          with WQS  but has failed to  meet such applicable'standards  or
                                 " « C"  "  ' —•    »        "~
  7          to protect designated uses  due to remaining CSO discharges
  8          may receive consideration for  such  efforts  in future
  9          enforceable orders -for  long-term  CSO control planning,
10          design and implementation.

11          D.   small 8yst«m Considerations

12          The scope  of the long-term  CSO control plan, including  the
13    characterization,-monitoring and modeling, and evaluation of
14    alternatives portions of this Policy may  be difficult for small
15    combined sewer  systems.  Jurisdictions responsible for combined
16    sewer systems serving populations under 75,000 may not need  to
17    complete each of  the  formal steps outlined in this Policy, but
18    should be required through their permits to comply with the  nine
19    minimum controls, sensitive areas and public participation
20    portions of this  Policy.  In addition,  they may propose to
21    implement any of  the  criteria contained in this Policy for
22    evaluation of alternative controls.  Following approval of the
23    proposed project, such jurisdictions should construct the control

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  1    projects and -propose a cost-effective monitoring program
  2    sufficient to determine whether WQS are attained and designated
  3    uses are protected.   States should consider providing assistance
  4  '  with monitoring in communities where the average per capita
  5    income is 90 percent or less of the per capita income in the
  6    State.

  7         In developing long-term CSO control plans based on the above
  8    small system considerations discussed in the preceding paragraph,
  9    permittees are encouraged to discuss the scope of their long-term
 10    CSO  control plan with the WQS authority and the NPDES authority
 11    to ensure that the plan includes sufficient information to  enable
 12    the  permitting authority to identify the appropriate CSO
 13    controls.

 l*         B.    Implementation Responsibilities

 15         NPDES authorities  (authorized States or EPA Regional
 l«   Offices, as appropriate)  are  responsible  for implementing this
 17    Policy.  It is .their responsibility to assure that CSO permittees
 18    develop long-term CSO control plans and that NPDES permits meet
 19    the requirements of the CWA.  Further, they are responsible for
 20    coordinating the review of the long-term CSO control plan and the
21    development of the permit with the WQS authority to determine if
22    revisions to the WQS are appropriate,  In addition, they should
23    determine the appropriate vehicle (i.e., permit reissuance,

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  1    information request under CWA section 308 or enforcement action)
  2    to ensure that compliance with the CWA is achieved as soon as
  3    practicable.

  4        Permittees are responsible for documenting the
  5   . implementation of the nine minimum controls  and developing and
  6    implementing a long-term  CSp  control  plan, as described  in this
  7   "policy.    EPA  recognizes  that financial considerations are a
  8    major factor affecting the implementation of CSO controls.  For
  9    that reason, this Policy  allows consideration of a  permittee's
10    financial  capability in connection with the  long-term CSO  control
11    planning effort, WQS review,  and negotiation of  enforceable
12    orders.  However, each permittee is ultimately responsible  for
13    aggressively pursuing financial arrangements for the
14    implementation of its long-term CSO control  plan.  As part  of
15    this effort, communities  should apply to their State Revolving
16    Fund program,  as appropriate, for  financial  assistance.

17         EPA and the States will undertake to assure that all
18    permittees with combined sewer systems are subject to a
19    consistent review in the permit development process, have permit
20    requirements that will achieve compliance with the CWA, and have
21    compliance schedules that require the earliest practicable
22    compliance date considering physical and financial feasibility.

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  1         F.    Policy Development

  2         This Policy devotes a separate section to each aspect
  3    involved  in developing or implementing CSO controls.   This is not
  4    to  imply  that  each function occurs  separately.   Rather,  the
  5    entire process surrounding CSO controls, community planning,  WQS
  6    and permit development/revision, enforcement/compliance  actions
  7    and public, participation-must be coordinated to control  csos
  8    effectively.

  9         m developing this Policy, EPA has included information  on
10    what  responsible parties  are expected to accomplish.   Subsequent
11    documents  are under development that will provide additional
12     guidance on how the objectives of this Policy should be met.
13     These documents will provide guidance on:  CSO permit writing;
14     definitions of the nine minimum controls; long-term CSO control
15    plans; financial capability; combined sewer system and receiving
                                                                 r
16    water monitoring and modeling; and application of WQS to CSO
17     impacted waters.  For most CSO control efforts however,
18    sufficient detail has been included in this Policy to begin
19    immediate implementation of its provisions.

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   1    II-  **» OBJICTlVn KB NMimns

   2         A.  Ovarvlmr

   3         PMBltte.. with oort.inrt ..war ,y.t«, that have cso. rtould
   «    1-wdi.t.ly 
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  1         5.  prohibition of CSO discharges during dry weather;

  2         6.  control of solid and floatable materials in CSO
  3         discharges;

  4         7.  pollution prevention programs that focus on contaminant
  5         reduction activities;

  6         8.  public notification to ensure that the public receives
  7         adequate notification of. CSO occurrences and CSO impacts;
  8         and

  *         9.  monitoring to effectively characterize CSO impacts and
 10         the efficacy of .CSO controls.

 11         Attachment 1 provides examples of specific measures that may
 12    be implemented by permittees to achieve each of the nine minimum
 13    controls.   Selection and implementation of actual control
 14    measures should be based,  however, on consideration of  the
 3.5    specific combined sewer system's characteristics discussed under
 16    the sewer system characterization and monitoring portions of this
 -17    Policy.   Documentation  of  the nine minimum controls  may include
 18    operation and maintenance  plans,  revised sewer use ordinances for
 1»     industrial users,  sewer system  inspection  reports,
 20     infiltration/inflow studies,  pollution prevention programs,
*l     public  notification plans, and  facility plans for maximizing the
                                      10

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  1    capacities  of  the  existing collection and treatment systems,  as
  2    well as  contracts  and schedules  for minor construction programs
  3    for improving  the  existing system's operation.  The permittee
  4   • should also submit any information  or data on the degree to which
  5    the nine minimum controls  achieve compliance with water .quality
  6    standards.  These  data and information should include  results
  7    made available through monitoring and modeling activities done  in
  a    conjunction with the  long-term CSO  control plan described in  this
  9    Policy.

.10         This documentation should be submitted as soon as
11    practicable, but no later  than two  years after the  requirement  to
12    submit such documentation  in an NPDES  permit or enforceable
13    mechanism.  Implementation of the .nine minimum controls  should  be
14    completed as soon  as practicable but no later than  the dates
15    established in the Enforcement and  Compliance section  of this
16    Policy.  These dates should be included in an appropriate
17    enforceable mechanism.

18         Because the CWA requires immediate compliance with
19    technology-based controls  (Section 301 (b)),  which on a Best
20    Professional Judgement basis should include the nine minimum
21    controls, a compliance schedule for implementing the nine minimum
22    controls, if necessary, should be included in an enforceable
23    mechanism.
                                     11

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  1         C. . Long-Term cso control Plan

  2         Permittees with CSOs are responsible for developing a long-
  3    term CSO control plan that will ultimately result in compliance
  4    with the requirements of the Clean Water Act.  Permittees will be
  5    expected to evaluate a range of control options/strategies and to
  «    coordinate the development of the long-term CSQ. control pl*n and
  7    its subsequent implementation with the NPDES authority and the
  8    state authority responsible for reviewing and revising the
  9    State's WQS.   The selected controls should be designed to allow
 10    cost effective expansion or cost effective retrofitting if
 11    additional controls  are determined to be necessary to meet WQS or
 12     to protect designated uses.

 13          This  policy identifies  EPA's major objectives for the  long-
 14     term CSO control plan.  Permittees should develop  this long-term
 15     CSO control plan as soon  as  practicable,  but generally within  two
 16     years after the  effective date of the permit provision, Section
 17     308  information  request,  or  enforcement action requiring the
 18     permittee to develop the  plan.  NPDES authorities may establish a
 19     longer timetable  for completion of the long-term CSO control plan
 20     on a. case-by-case basis to account for site specific factors
 21    which may influence the complexity of the planning process.  Once
22    agreed upon, these dates should be included in the community's
23    NPDES permit or in an appropriate enforcement mechanism.
                                     12

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   1         EPA expects each long-term CSO control plan to utilize
   2    appropriate information to address the following minimum
   3    elements.   It should also include both fixed-date project
   4    implementation schedules (which may be phased) and a finance plan
   5    to design and construct the project as soon as practicable.  The
        minimum  elements  of  the long-term CSO  control plan are described
6
7    below.
  •         1.  Characterization, Monitoring, and Modeling of the
  9         Combined Sewer System
 10
 11
 12
 13
 14
 15
 16
 17
 18
 19
 20
22
23
          In order to design a CSO control plan adequate to meet the
          requirements of  the CWA,  a permittee  should have  a thorough
          understanding of its combined sewer system, the response of
          the system  to various rain events, the characteristics of
          the overflows, and the water quality  impacts that  result
          from the CSO discharges.   The permittee should adequately
          characterize through monitoring, modeling, and other means
          as appropriate, for a range of storm events,  the response of
          its combined  sewer system to wet weather events including
         the number,  location and frequency of CSOs, and the impacts
         of the CSOs and other pollution sources on the receiving
21         waters and their designated uses.
         The purpose of the system characterization,  monitoring and
         modeling program initially is to assist the  permittee  in
                                     13

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  1         developing appropriate measures to implement the nine
  2         minimum controls and, if necessary, to support development
  3         of the long-term CSO control plan.  The monitoring and
  4         modeling data also will be used to evaluate the expected
  5         effectiveness of both the nine minimum controls and, if
  «         necessary, the long-term CSO controls, to meet WQS.

  7         The major elements of a sever system characterization are
  •         described below.

  »              a.    Rainfall Records -  The permittee should examine
 10              **• complete rainfall record for the geographic area of
 11              its existing combined «ewer  system using sound
 12               statistical  procedures and best  available data.  The
 13               permittee  should evaluate flow variations in the
 14               receiving  water  body  to^correlate between CSOs  and
 15               receiving  water  conditions.
16              b-   Combined Sewer System Characterization -  The
17              permittee should evaluate the nature and extent of its
18              combined sewer system through evaluation of available
19              8ewer system records, field inspections and other
20              activities necessary to understand the number, location
21              and frequency of overflows and their location relative
22              to sensitive areas and up-stream pollution sources.
                                     14

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  1              c.    CSO Monitoring -  The permittee should develop a
  2              comprehensive,  representative monitoring program that
  3              measures the frequency; duration,  volume and pollutant
  4              concentration of CSO discharges and assesses the impact
  5              of  the  csos  on  the receiving waters.   The monitoring
  6              program should  include  necessary CSO effluent and
  7              ambient in-stream monitoring and,  where'appropriate,
                                " • £••  "   •—•   •        ~~
  8              other monitoring protocols such as biological
  9              assessment,  toxicity testing and sediment sampling.
10              Monitoring parameters should include,  for example,
"              oxygen  demanding pollutants,  nutrients,  toxic
12               pollutants,  sediment contaminants,  bacteriological
13               indicators,  and toxicity.   A representative  sample of
14               overflow points can be  selected that  is  sufficient to
15               allow characterization  of  CSO discharges and  their
16               water quality impacts and  to  facilitate  evaluation of
17               control  plan alternatives.  Permittees should take
18               appropriate  precautions to ensure the safety  of staff
19              when  monitoring CSOs during storm events  including the
20              use of mechanized monitoring equipment.

21              d-   Modeling -  Modeling of a combined sewer system is
22              recognized as a valuable tool for predicting sewer
23              system response to various storm events and assessing
24              water quality impacts when evaluating different control
25              strategies and alternatives.  EPA supports the proper
                                      15

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   l              and effective use of models,  where appropriate, in the
   2              evaluation of the nine minimum controls and the
   3              development of the long-term  CSO control plan,   it is
   «              also recognized that there are many models which may be
   5              used to da this.   These models range  from the simple to
   <              the complex.   Having decided  to use a model, the
   *              permittee  should base its  choice of a, model on  the
   8              characteristics of its  combined sewer system, the
   9               number and  location  of  overflow points, and the
 10               sensitivity of the receiving water body to  the  CSO
 11              discharges.  The sophistication of the model should
 12              relate to the complexity of the system to be modeled.
 13              EPA c*P«cts that continuous simulation models,  using
 14              historical rainfall data,, may be the best way to model
 15              cs? systems and their impacts.  Because of the
 16              iterative  nature of modeling CSO systems and their
 17              impacts, monitoring and modeling efforts are
 18              complementary and should be coordinated.

 19        2-  Consideration of Sensitive Areas

 «        EPA expects a permittee's  long-term CSO control plan  to give
 21        the highest priority to controlling overflows to  sensitive
 22         areas, including  designated Outstanding National  Resource
23         Haters, National Marine Sanctuaries, waters with threatened
24         and endangered species and their habitat, waters with

                                      16

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 1         contact recreation, public drinking water intakes or their
 2         designated protection areas, and shellfish beds.  For such
 3         areas, the long-term CSO control plan should:

 4              a.  prohibit new or significantly increased overflows;

 5              b.   i.  eliminate or relocate overflows that discharge
 '€                   to sensitive areas wherever physically and
 7                   economically achievable, except where elimination
 8                   or relocation would provide less environmental
 9                   protection than additional treatment; or

10                   ii.  where elimination or relocation is not
11                   physically and economically achievable, or would
12                   provide less environmental protection than
13                   additional treatment, provide the level of
14                   treatment for remaining overflows deemed necessary
IS                   to meet WQS for full protection of existing and
l<                   designated uses.  In any event the control shall
17                   not be less than those described in Evaluation of
18                   Alternatives below; and

19              c.   Where elimination or relocation has been proven
20              not to be physically possible or economically
21              achievable, permitting authorities should require,  for
22              each subsequent permit term, a reassessment based on
                                     17

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  1              new or improved technologies to eliminate or relocate,
  2              or on changed circumstances that influence economic
  3              achievability.

  4         3.  Evaluation of Alternatives

  5         EPA expects the long-term CSO control plan to consider a
  6         reasonable range of alternatives.   The plan should,  for
  7         example,  evaluate controls that would be necessary to
  8         achieve an average of zero overflows per year,  one to three,
  9         four to seven,  and eight to twelve overflows per year.
 10         Because the final long-term CSO control plan will become the
 11         basis for NPDES permit limits and  requirements,  the  selected
 12         controls  should be sufficient to meet CWA requirements.

 13         In addition to  considering sensitive areas,  the  long-term
 **         cso  control plan should adopt one  of the following
 15         approaches:

 1C          a. "Presumption" Approach

 17              A program that meets any of the criteria listed below
 18         would be presumed to provide an adequate level of control to
 l»         meet CWA requirements, provided the permitting authority
20         determines that such presumption is reasonable in light of
21         the data and analysis conducted in the characterization,

                                      18

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  1          monitoring,  and modeling of the system and the consideration
  2          of  sensitive areas described above.   However,  this
  3          presumption  will not apply if the permitting authority
  4          determines that the long-term CSO control  plan will not
  5          result  in attainment of  CWA. requirements.

  '.              i.  no  more than an average of four overflow  events per
  7              year for urban areas,  provided that the permitting
  8              authority  may allow up to two additional  overflow
  9              events  per year; and no more than an  average  of five
10              overflow events per year  for rural areas,  provided that
11              the permitting authority  may allow up to  two  additional
12              overflow events per year.   For the purpose of this
13              criterion,  an overflow is the discharge of combined
14              sewage  that does not receive the minimum  treatment
15              specified  below and an overflow event is  one  or more
16              overflows  from a combined sewer system  as  the result of
17              a single rain event; or
18              ii-  the elimination or the capture for treatment of no
19              less than 85% by volume of the combined sewage
20              collected in the combined sewer system during rainfall
21              events on a system-wide annual average basis; or
22              iii*  the elimination or reduction of no less than the
23              mass of the pollutants identified as causing water
                                     19

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                  quality impairment through the sever system
                  characterization,  monitoring,  and modeling effort for
                  the volumes which  would be eliminated or  captured for
                  treatment under paragraph  ii. above.
                 These criteria are provided because data and modeling
            of wet weather events often do not give a clear picture of
            the level, of cs* controls,necessary to protect WQS.   m the
            absence of such certainty,  that permittees should develop
            programs to meet at  least one  of these criteria because
            aggregate national data suggest that the  incremental
           pollution control benefits at this level  of control are
           substantial compared to incremental costs for most cso
13         systems.
                                    flows resulting from
 15         events, except those in excess of the
 16         ahrt_  8hould receivc a nininuiB of.
                    rr-atMnt for r««,v.l o, tto.tM.1..
                    •olid. ^uiv.l«,t to that aohi.v^ by prila(lry
                    claritioation a. d-crib* !„ «,. .^^ ot
                    Municipal w..t.w.t.r Tr.ata.nt Plant., pr.^^,
                    — publi*«, ^ «,. w.t«: Environs Fed«r.tion,
22
                      ^^^* •^••S' -^mmm^* ^ ^&^^K L_«V n • ^M^f fm V tfMO^^at^ ^ ^ —   ^»
                                                   > i ana

                                     20

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    1
    2
    3
    4
   6
   7
   8
   9
  10
 11
 12
 13
 14
 16
 17
 18
 19
 20
 21
22
                       disinfection of effluent, if necessary to meet
                       WQS, protect designated uses and protect human
                       health,  including removal of harmful disinfection
                       chemical residuals where necessary.
             b.    "Demonstration** Approach
                 A permittee may demonstrate that a selected control
                 program, though not meeting the criteria specified in
                 H.C.a.a. above is adequate to meet CWA requirements.
                 To be a successful demonstration,  the permittee should
                 demonstrate each of the following:
                      i.  the controls are clearly adequate to meet  WQS
                      and protect designated uses, unless WQS or uses
                      cannot be met as a result of natural background
                      conditions or pollution sources other than cso
15                   discharges;
                     ii.   the cso discharges remaining after
                     implementation of the proposed control program
                     will  not cause or contribute to the contravention
                     of WQS or the  receiving waters' designated uses,
                     where WQS or designated uses are not met in part
                     because of natural background conditions or
                    pollution sources other than CSO discharges,  using
                                     21

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  l                   a wasteload allocation or other means of
  2                   apportioning pollutant loads; and

  3                   iii.  the selected controls will provide the
  4                   maximum pollution reduction benefits reasonably
  5                   attainable; and

  *                   iv.    the selected control program is designed to
  7                   allow cost effective expansion or cost effective
  •                   retrofitting if additional controls are determined
  9                   to be necessary to meet WQS or designated uses.

 10        4.  Cost/Performance Considerations
11         T*1® permittee should develop appropriate cost/performance
12         curves to demonstrate the relationships among a
13         comprehensive set of reasonable control alternatives that
14         correspond to the different overflow ranges specified in
15         Section II. C. 3.  This should include an analysis to
16         determine where the increment of pollution reduction
17         achieved in the receiving water diminishes compared to the
18         increased costs.   These analyses, often known as knee of
1»         the curve, should be used to help guide selection of
20         controls.
                                     22

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  1         5. .  Operational Plan

  2         After agreement between the-permittee and NPDES authority on
  3         the necessary CSO controls to be implemented under the long-
  4         term cso control plan, the permittee should revise the
  5         operation and maintenance program developed as part of the
  6         nine minimum controls to include the agreed upon long-term
  7         CSO controls.  The revised operation and maintenance program
  8         should maximize the removal of pollutants during and after
  »         each rain event using aU available facilities within the
 10         collection and treatment system.

 11         6.   Maximizing Treatment at the POTW Treatment Plant

 12          In  some communities,  POTW treatment plants may have  primary
 13          treatment capacity  in excess of its secondary  treatment
 14          capacity.   One effective strategy to abate pollution
 15          resulting from CSOs  is to maximize  the delivery of flows to
 16          the  POTW treatment plant for treatment.  Delivering  these
 17          flows can have two significant water quality benefits:
 18          first,  increased flows to  the POTW treatment plant may
 19          enable the permittee to  eliminate or minimize overflows to
20          sensitive areas; second, by reaching the POTW treatment
21         plant, combined sewer flows will receive at least primary
22         treatment prior to discharge.
                                     23

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    1          If there is support in «« permit record

    2          Fecnil vaniAM^a j— •«<%
    3         below,  the permitting authority may grant the


    *         generic bypass
                        « ^» ^»^»^»
    (

              would define in the permit the

    6



    7         granted, the
                           «-	~" -«*w»»x« axso provide that it
    A                                                  '    ^* ^^
   A


              character of pollutants being introduced to the POTW.  The

  10          «o	4- bypass
  ,,                                       — •—-.-M.I. snouxa also make it

             clear that all wet weather flows passina
                                           *«WB passing
  *•         frliA Tl/vnu A.	^	
                                 plant
  __                                                  -- ———- primary

  «         cl^ifioatio,,,  solid. ^ 0..^,^

  « ^



  • •

             Section Il.c.a.a.  and any other


  16          ^,	.,_ ^ provlded<
 • O         fir fAAIH^  -f-mm •
             «*wOCUiiB  trOni AltV w^v^^ 4 «%«& ' ^


 i*                                   °  * treatnent facility, includino
 • V         fi A/.;
                          *Aow8 or portions


"          from portions of the treatment system

22



23         with non-divey*A4 fiowf. _„.    .   ^,
                              riows prior to discharge,
                                       24

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  1         EPA interprets its bypass regulation,  at 40 CFR Section
  2         122.41(m)(4),  to allow a permit to authorize a generic
  3         bypass of  the  secondary treatment portion of the POTW
  4         treatment  plant for combined sever flows in certain limited
  5         circumstances.  .This provision would apply only to those
  6         situations where the POTW would ordinarily qualify for
  7         bypass approval on a case-by-case basis.   Therefore,  there
  8         must  be sufficient data in the administrative- record   -
  *         (reflected in the permit fact sheet or statement of basis)
 10         supporting all  the requirements in Section 122.41 (m) (4)  for
                                                         \   • ,\. -
 11         approval of an  anticipated bypass.   Under the regulation,
 12         data  must  show  that the bypass was unavoidable to prevent
 13         loss  o* life, personal  injury or severe property damage;
 14         that  there was  no feasible alternative to the bypass;  and
 IS         that  the permittee submitted  the required notices.  In
 16         addition,  the regulation provides that a  bypass may be
 17         approved only after consideration of adverse  effects.

 18         For the  purposes  of applying  this regulation  to CSO
 l»         permittees,  "severe property  damage" could include
 20          situations where  flows above  a certain  level wash out the
21         POTW's secondary treatment system.  EPA further believes
22         that the feasible alternatives requirement of the regulation
23         can be met if the record shows that the secondary treatment
24         system is properly operated and maintained, that the system
25         has been designed to meet secondary limits for flows greater
                                     25

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  1         than the average dry weather flow, and that it would not be
  2         feasible to operate the secondary treatment system to
  3         accommodate the higher wet weather flows.  The feasible
  4         alternative analysis should include,  for example,
  5         consideration of advanced chemical primary treatment and
  6         non-biological secondary treatment.  Other bases supporting
  7         a finding of no feasible alternative  may also be available
  8         on a )case-by-case basis.   As part of  its consideration of
  »         possible adverse* effects resulting from the bypass,  the
 10         permitting authority should also'ensure that the bypass will
 11         not cause exceedances of WQS.

 12         7.   Implementation Schedule

 13         The permittee should include all  pertinent information
 14         necessary to develop the  construction and finance schedule
 15         for implementation of CSO controls.   Schedules for
 16         implementation of  the CSO controls may be  phased based on
 17          the relative importance of adverse  impacts upon WQS and
 18          designated uses and on a  permittee's  financial capability.

 19          Construction phasing should consider:

20              *•  Eliminating overflows that discharge to sensitive
21              areas as the highest priority;
                                     26

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  1               b.   Use impairment;

  2               c.   Permittees financial capability including
  3               consideration of such factors as:

  4                    i.  .Median household income/total project cost per
  5                    household;

  «                    ii.  Per capita  debt as  a percent of  full market
  7                    property value;

  •                    iii.  Property tax  revenues as  a  percent of  full
  •                    market property  value;

10                    iv.  Property tax collection rate;

11                    v.   Unemployment;

12                    vi.  Bond  rating;

13                   vii.  Grant and  loan availability;

14                   viii.  Residential, commercial and industrial user
15                   fees; and
                                     27

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  1                    ix.  Other viable  funding mechanisms  and sources
  2                    of financing.

  3         8.  Post-Construction Compliance Monitoring Program

  4         The selected CSO controls should include a post-
  5         construction water quality monitoring program adequate to
  6         verify compliance with water quality standards  and
                                        •                i
  7         protection of designated uses.  This water quality
  8         compliance monitoring program should include a  plan to be
  »         approved by the NPDES authority that details the monitoring
 •
10         protocols  to be followed/ including the necessary  effluent
11         and ambient monitoring and, where appropriate,  other
12         monitoring protocols such as biological assessments, whole
13         effluent toxicity testing, and sediment sampling.

14         9.  Public Participation

15         EPA expects that the permittee, in developing its  long-term
16         CSO control plan, will employ a public participation process
17         that actively involves the affected public in the decision-
18         making to  select the long-term CSO controls.   The affected
l*         public, includes rate payers, industrial users of the sewer
20         system, persons down-stream from the CSO discharges, and any
21         other interested persons.
                                     28

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  1    ZZZ. COORDINATION WITH STATE WATER QUALITY STANDARDS

  2         A.   Overview

  3         Water quality standards are State adopted,  or Federally
  4    promulgated rules which serve as the goals for the water body and
  5    the legal basis for the water quality-based NPDES permit
  «    requirements under the CWA.j^ Long-tern CSO control plans «ire
         "                        "                       i
  7    developed to reduce risk to  human health and the environment by
  8    restoring and protecting the designated uses and quality of the
  •    affected waters.

 10         State WQS authorities,  NPDES authorities, EPA regional
 11    offices and permittees should meet early and frequently
 12    throughout the long-term CSO control planning process to
 13    coordinate the development of the long-term plan with the review
 14    and possible revision  of WQS and  implementation  procedures  on
 15    CSO-impacted waters.   As part of  these meetings, participants
 16    should  agree on the data, information and analyses needed to
 17     support the  development  of the long-term CSO control plan and the
 18     review  of  applicable WQS, if  appropriate.  Agreements should be
 19     reached on the monitoring protocols and models that will be used
 20     to evaluate  the water  quality impacts of the overflows,  to
 21     analyze the  attainability of the WQS and to determine the water
 22    quality-based requirements for the permit.  Many opportunities
23    exist for permittees and  States to share information as control
24    programs are developed and as WQS are reviewed.  Such information

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  1    should assist States in determining the need for revisions to WQS
  2    and implementation procedures to better reflect wet weather
  3    events.  Coordinating the development of the long-term CSO
  4    control plan and the review of the WQS enables the NPDES
  5    authority to develop a permit that complies with WQS consistent
  «    with Sections 301(b)(l)(C) and 402(a)(2)  of the CWA.

  7         EPA encourages States and permittees to sponsor workshops to
                                  *                       i
  8    involve the affected public in the development of the long-term
  »    CSO control plan and in the review and potential revision of the
 10    WQS on CSO-impacted waters.  Workshops provide a forum for
 11    including the public in discussions of tihe implications of the
 12    proposed long-term CSO  control plan on the water quality and uses
 13    for the receiving water.

 1*        B.    WQS Reviews

 15        Agency regulations and guidance provide States with  the
 1«    flexibility to adapt their WQS and  implementation procedures to
 17     reflect wet weather  events.   For example, a State may adopt site-
 18     specific criteria  for a particular pollutant if the State
 19     determines  that the  site-specific criteria still protects the
 20     designated  use (40 CPR  Section  131.11).  in addition, the
 21    regulations at 40 CFR Section 131.lO(g), (h), and (j) specify
 22    when and how a designated use may be modified.  For example; a
 23    State may remove a designated use from their water quality
24    standards if the designated use is not an existing use.  An
                                     30

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 1    existing use  is  a  use  actually attained  in  the water body on or
 2    after November 28,  1975.  A State also nay  not remove a
 3    designated use that will be attained by  implementing the
1 4    technology-based effluent limits required under Sections 301(b)
 5    and 306 of the CWA and by implementing cost-effective and
 €    reasonable best  management  practices for nonpoint source
 7    controls.  Thus, if a  State had reason to believe that the
 a    current designated use could be protected after implementation of
 9    the technology-based controls of the CWA, then the use could not
10    be removed.

11         In reviewing the  applicability of their WQS and
12    implementation procedures to CSO-impacted waters, States could
13    define more explicitly their recreational and aquatic  life uses
14    and then revise the criteria accordingly to protect the revised
15    uses.  For example, a  State  may be able to designate boating
16    rather than swimming as a use, if swimming is not an existing
17    use; thereby justifying a less stringent bacteriological
18    criterion.  Another option is for States to adopt partial uses by
19    defining when swimming does  not exist,  such as during certain
20    seasons of the year or during a particular type of storm event.
21    In making such adjustments to their uses, States must ensure that
22    downstream uses are protected, and that during other seasons or
23    after the storm event has passed the use is fully protected.

24         In addition to defining recreational uses with greater
25    specificity,  States can also define more precisely the aquatic
                                     31

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    1    uses to be
    2    be protected nay assist

    3    ". citiz«» for . ^^ plan.  Por .xa^.1., „«« than^
    *    defining the use as aouatie
                ^         ^«* «**£«MB W A W
    S -   input from the permittee and
    €    as »
21
22
23
                                                     *  *»Aue gill, crappy
         and large mouth bass or a limited warm water
        carp.  «„ st.t.-»y
   8.
 10    levels to reflect the
 11
 12
 13   wra ™	^   por ^p^ states
 14
                                  .„                       ^
  15     h^..  — ^ ^, -  .  • .                         	* spawning
                    CSOs
            or if
1«    or the toxicity of the
 »    the acute or chronic physiological stress on orMoaM^tl
 18    potential of aquatic organisms.
 »    XV.  EXPECTATIONS FOR PBRIHTTIHO AUTHORITIES

 20         A.   overview
          CSO. ar. point .ourc.. subj^t to
               both fchnolooy-b.^ and v.t«
                   of the CWA.  CSOs are not subject to secondary
24    treats* regulations
                                     32

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  1    works (Montgomery Environmental Coalition vs. goati«>. 646 F.2d
  2    568 (D.C.  Cir. 1980)).

  3         All permits for CSO discharges should require the nine
     •
  4    minimum controls as a minimum best available technology
  5    economically achievable and best conventional technology
  6    (BAT/BCT)  established on a best professional judgment (BPJ)  basis
  7    .(40 CFR Section 125.3).   Water quality-based requirements are to
  8    be  established based on applicable water quality standards.

  •         This  policy establishes a uniform,  nationally consistent
10    approach to  developing and issuing NPDES permits .to permittees
11    with CSOs.   Permits for CSOs should be developed expeditiously to
12    minimize,  if not eliminate water quality impacts.   A  single,
13    system-wide  permit  generally should be issued for all discharges,
14    including  CSOs,  from a combined sewer system operated by  a single
15    authority.   When different parts of a single combined sewer
16    system are operated by more than one authority, permits issued to
17     each authority should generally require  joint preparation and
18     implementation of the elements  of this Policy and  should
19     specifically define the responsibilities and duties of each
20     authority.    Permittees should be required to coordinate system-
21    wide implementation of the nine minimum controls and the
22    development  and  implementation of the long-term CSO control plan.
23    The individual authorities are responsible for their own
24    discharges and should cooperate with the permittee for the POTW
25    receiving the flows  from the combined sewer system.  When a CSO

                                      33

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   1     is permitted  separately  from the POTW,  both permits  should be
   2     cross-referenced for  informational purposes.

   3         Regions  and States  should review the CSO permitting
   4    priorities established in the State CSO Permitting.strategies
   5    developed in  response to the 1989 Strategy.  Regions and States
   6    may elect to  revise these previous priorities,  in setting
   7.    permitting priorities, Regions and^States should not just focus
  8    on those permittees that have initiated monitoring'programs.
  9    When setting priorities,  Regions and States should consider, for
 10    example, the known or potential impact of CSO discharges on
 11    sensitive areas,  and the  extent of  upstream industrial user
 12    dischargers to the combined sewer system.

 13         During the permittee's development  of  the  long-term CSO
 14    control  plan,  the permit  writer  should promote  coordination
 15    between  the permittee  and state HQS authority in connection with
 16    possible WQS revisions.   Once the permittee  has completed
 17    development  of the  long-term CSO control plan and has coordinated
 18    with the permitting authority the selection  of the controls
 19    necessary to meet the requirements of the CWA, the permit writer
 20     should reissue/modify the permit to include enforceable
 21    requirements for implementation of the long-term CSO control
22    plan, including conditions for water quality monitoring and
23    operation and maintenance.
                                     34

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  1         B.   NFDBfl Permit Requirements

  2         Following are the major elements of NPDES permits to
  .3    implement this Policy and ensure protection of water quality.

  4         1.   Phase I permits -  Requirements for Demonstration of
  5         Implementation of the Mine Minimum Controls and Development
  «         of  the Long-Term CSO Gontrol^Plan

  7         In  the Phase I permit issued/modified to reflect this
  8         Policy, the NPDES authority should at least require
  -9         permittees to:

10              &•   immediately implement BAT/BCT,  which at a  minimum
11              includes the nine minimum controls  on  a BPJ basis;

12               *>•   develop  and submit a report documenting the
13               implementation  of the  nine minimum  controls within two
14               years  of permit issuance/modification;

15               c-   immediately comply with applicable WQS  expressed  in
16               the  form of  a narrative limitation; and

17              d-  develop  and submit, consistent with this Policy and
18              based on a schedule in the permit, a long-term CSO
19              control plan as  soon as practicable, but generally
20              within two years after the effective date of the permit

                                      35

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  1              issuance/modification.   However, permitting authorities
  2              may establish a longer timetable for completion of the
  3              long-term CSO control plan on a case-by-case basis to
  4              account for site specific factors that may influence
  5              the complexity of the planning process.

  6        The NPDES authority should include separate compliance dates
  7        on.the fastest, practicable.schedule for each  of the nine
  8        minimum  controls in an enforceable order  issued in
  9        conjunction  with the Phase I permit.   The use of enforceable
10        orders is necessary unless Congress amends  the  CWA to  extend
11        the compliance  dates for meeting technology-based and  water
12        quality-based requirements.  All orders should  require
13        compliance with the nine minimum controls no  later than
14        January  1, 1997.

15        2.   Phase  II permit -  Requirements for Implementation  of a
16        Long-Term  CSO Control Plan

17         Once the permittee has completed development of the long-
18         term CSO control plan and the selection of the controls
l»         necessary to meet CWA requirements has been coordinated with
20         the permitting and WQS setting authorities,  the NPDES
21         authority should modify/reissue the Phase II permit to
22         include enforceable requirements for implementation of the
 3         long-term CSO control plan.   Proper implementation of the
           approved long-term CSO control plan will be  deemed to be
                                     36
f:

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  l         compliance with the Phase II permit.   The Phase II permit
  2         should contain:

  3              a.  Requirements to implement the technology-based
  4              controls determined on a BPJ basis (e.g., the nine
  5              minimum controls);

  C              b*  Narrative requirements which insure that the
                       -          ''    \   •  '    •           < '  -  •
  7              selected controls  are implemented,  operated and
  •              maintained as described in the long-term CSO control
  •              plan;

10              c-   Water quality-based effluent limits under 40 CFR
11              Sections 122.44(d)(l)  and 122.44(Jc),  requiring at a
12               minimum  immediate  compliance  with the numeric
13               performance standards  for the selected  controls,  based
14               on average design  conditions  specifying at  least  one of
15               the  following:

16                   i.  A maximum number  of  discharges  per year  for
17                   specified design conditions; or

18                   ii.  A minimum percentage capture of discharges by
19                   volume for specified design conditions; or
                                     37

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  1                   ill.  A minimum percentage reduction of the mass
  2                   of pollutants discharged for specified design
  3                   conditions;

  4              d.  A requirement to implement, with an established
  5              schedule, the approved post construction water quality
  *              assessment program;

  1              e.  A requirement to re-assess overflows to sensitive
  •              areas in those cases where elimination or relocation of
  9              the overflows were proven not to be physically possible
 10              or economically achievable.   The reassessment should be
 11              based on consideration of new or improved technologies
 12              to eliminate  or .relocate  overflows  or changed
 13              circumstances that influence economic achievability.

 14              f•   Provisions establishing  generic bypass
 15              requirements,  as  appropriate,  consistent with Section
 16              II.C.6.  of this Policy;

 17              g-  A requirement to monitor to collect sufficient
 18               information to  evaluate compliance with WQS; and

 19              h.  A reopener  clause authorizing the NPDES authority
20              to "open and modify the permit upon determination that
21              **• cso controls fail to meet WQS or protect designated
22              uses.  Upon such determination, the NPDES authority

                                     38

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19
20
23
24
  1              should promptly notify the permit holder and proceed to
  2              modify or reissue the permit to require the submittal
  3              of a revised CSO control plan as soon as practicable.
  4              If tfce initial CSO control plan was approved under the
  5              demonstration provision of Section II.C.3.b., the
  «              revised plan, at a minimum, should provide for controls
  1              that satisfy one of the criteria in Section II.C.3.a.

  8         Unless the permittee can comply with all of the requirements
  »         of the Phase II permit,  within the term of the Phase II
 10         permit,  the NPDES authority should include in an enforceable
 11         order compliance dates on the fastest practicable schedule
 12          for those activities directly related to meeting the
 13          requirements of the CWA.   For major permittees,  the
 14          compliance schedule should be placed in  a judicial order.
 15          Proper compliance with the schedule for  implementing the
 1«          controls  contained in  the long-term CSO  control  plan
 17          constitutes  compliance with the Phase II  permit.

 18          3.  Phasing Considerations
           Implementation of CSO controls may be phased based on the
           relative importance of and adverse impacts upon WQS and
21         designated uses, as well as the permittee's financial
22         capability and its previous efforts to control CSOs.  The
           NPDES authority should evaluate the proposed implementation
           schedule and construction phasing discussed in Section
                                     39

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  1         II.C.7. of this Policy.  The permit should require immediate
  2         compliance with the controls proposed in the long-term CSO
  3         control plan.   If immediate compliance with the Phase II
  4         permit is not possible, an enforcement order,  consistent
  5         with the Enforcement and Compliance Section of this Policy,
  6         should be issued in conjunction with the Phase II permit
  7         which  specifies the schedule and milestones for
  8         implementation of the long-term CSO control plan.
           ENFORCEMENT AND COMPLIANCE
 10         A.   Overview
11         Jt is important that permittees act immediately to take the
12    necessary steps to comply with the CWA.  The CSO enforcement
13    effort will commence with an initiative to address CSOs that
14    discharge during dry weather, followed by an enforcement effort
15    in conjunction with permitting CSOs discussed earlier in this
16    Policy.

17         Success of the enforcement effort will depend in large part
18    upon expeditious action by MPDES authorities in issuing
19    enforceable permits that include requirements both for the nine
20    minimum controls and compliance with all other requirements of
21    the CWA.
                                     40

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 1         As a further inducement for permittees to cooperate with .
 2    this process, EPA is prepared to exercise its enforcement
 3    discretion in determining whether to seek civil penalties for
 4    past CSO violations if permittees meet the objectives and
 5    schedules of this Policy and do not have any discharges during
 €    dry weather.

 1         B...  Enforcement of CSO Dry Weather Discharge Prohibition

 8         EPA intends to commence (during the second half of 1993) an
 9    enforcement initiative against all CSO permittees which have CWA
10    violations due to CSO discharges during dry weather.  Discharges
11    during dry weather have always been prohibited by the NPDES
12    program.  Such discharges create serious public health and water
13    quality problems.  EPA will use its CWA Section 308 monitoring,
14    reporting, and inspection authorities, together with NPDES State
15    authorities, to locate these violations, and to determine their
16    causes.  Appropriate remedies and penalties will be sought for
17    CSO discharges during dry weather.  EPA will provide NPDES
18    authorities more specific guidance on this enforcement initiative
19    separately.

20         C.   Enforcement of Wet Weather CSO Requirements

21         Under the CWA,  EPA can use several enforcement options to
22    address permittees with wet weather discharges.   Those options
23    directly applicable to this Policy are Section 308 Information
                                     41

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  1    Requests, Section 309  (a) Administrative Orders, Section 309  (g)
  2    Administrative Penalty Orders, Section 309  (b) and  (d) Civil
  3    Judicial Actions/ and Section 504 Emergency Powers.  NPDES states
  4    should use comparable means.

  5         NPDES authorities should set priorities for enforcement
  6    based on environmental impacts or sensitive areas affected by CSO
  7    discharges.   Permittees thatthave voluntarily initiated
  8    monitoring and are progressing expeditiously toward appropriate
  9    CSO controls should be given due consideration for their efforts.
 10
1.   Enforcement for Compliance with Phase I Permits
 11         Enforcement for compliance with Phase I permits will focus
 12         on requirements to implement at least the  nine minimum
 13         controls,  and develop the  long-term CSO control plan leading
 14         to compliance with the requirements of the CWA.  Where
 15         immediate  compliance with  the Phase I  permit is infeasible,
 l«         the NPDES  authority should issue enforceable orders,  in
 17         concert with  the Phase I permit, requiring compliance with
 18         the CWA and imposing compliance  schedules  with dates  for
 19         each of the nine minimum controls as soon  as practicable.
20        All enforcement authorities should require compliance with
21         the nine minimum controls no later than January l, 1997.
22         Where the NPDES authority is issuing an order with a
                                                           ^
23         compliance schedule for the nine minimum controls, this
24         order should also include a schedule for development of the
                                     42

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 1         long-tern CSO  control plan.

 2         If a CSO permittee  fails to meet the  final  compliance date
                                       *
 3         of the enforceable  order, the NPDES authority  should
 4         initiate appropriate judicial action.

 5         2.   Enforcement for Compliance with Phase  XI  Permits

 6         The main focus for  enforcing compliance with Phase II
 7         permits will be to  incorporate the long-term CSO control
 8         plan through a civil judicial action or an  administrative
 •         order requiring compliance with the CWA and imposing  a
10         compliance schedule with appropriate milestone dates
11         necessary to implement the plan.  Priority  for enforcement
12         actions should be set based on environmental impacts  or
13         sensitive areas affected by CSO discharges.
14
15         In general, a  judicial order is the appropriate mechanism
16         for incorporating the above provisions.  Administrative
17         orders, however, may be appropriate for permittees whose
IB         long-term control plans will take less than five years to
19         complete, and  for minors that have complied with the final
20         date of the enforceable order for compliance with their
21         Phase I permit.  If necessary,  any of the nine minimum
22         controls that have not been implemented by this time should
23         be included in the terms of the judicial order.
                                      43

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  1         D. Penalties

  2         EPA is prepared not to seek civil penalties for past CSO
  3    violations, if permittees have no discharges during dry weather
  4    and meet the objectives and schedules of this Policy.
  5    Notwithstanding this, where a permittee has other significant CWA
  6    violations for which EPA or the State is talcing judicial action,
  7    penalties may be considered as part of that action for the
  8    following:

  9         1.   cso discharges during dry weather;

 10         2-   Violations of CSO-related requirements in NPDES permits,
 11         consent decrees or court  orders which predate this policy;
 12          or

 13          3.   Other CWA violations.

 14          EPA will not seek  penalties for past CSO violations from
 15    permittees that fully comply with the enforceable order requiring
 16    compliance with the  Phase I permit.   For permittees that fail to
 17    comply with the above enforceable order, EPA will exercise its
 18    enforcement discretion  in determining whether to seek penalties
 l»    for the time period  for which the compliance schedule was
20    violated.   if the milestone dates of the enforceable schedule
21    are not achieved and penalties are sought,  penalties should be
22    calculated from the last milestone date that was met.
                                     44

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 1         At the tine of the judicial settlement imposing a-compliance
 2    schedule implementing the Phase II permit requirements, EPA will
 3    not seek penalties for past CSO violations from permittees that
 4    fully comply with the enforceable order requiring compliance with
 5    the Phase I permit and if the terms of the judicial order are
 6    expeditiously agreed to on consent.  However,  stipulated
 7    penalties for violation of the judicial order generally should be
 8    included in the order, consistent with existing X^enby policies.
 9   Additional guidance on stipulated penalties concerning long-term
10    CSO controls and attainment of WQS will be issued.
                                     45

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                                 Attachment 1
  2
  3
  4
                     COMBINED SEWER OVERFLOWS
              EXAMPLES  OF ACTIVITIES TO MEET THE NINE
                         MINIMUM CONTROLS
  5
  6.
  7
  8
  9
 10
 11
 12
 i.   Proper O&M
o    Develop procedures to ensure routine
     inspection and maintenance of the
     collection system and CSO structures
o    Allocate earmarked funds for O&M
o    Provide training programs for the
     inspection and maintenance staff
o    Develop a documentation program for O&M
     activities
13
14
15
16
17
18
19
20
2.   Maximize
     Collection
     System
     Storage
                    o
                    o
     Develop a program to limit industrial
     and commercial discharges during vet
     weather periods
     Initiate a program to disconnect roof
     leaders
     Install inflatable dams
     Install a computer controlled flow
     routing system
21
22
23
24
3.   Pretreatment
     Program
     Review
     Identify and evaluate industrial user
     discharges up-stream of all CSOs
     Enact local sewer use ordinances or
     revise individual control mechanisms  to

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1
2
3
4
5
6
7
a
9
10
11
12
13
14
15
1C
17
18
19
20
21
22
23
24


O


4 . Maximize o
Flow to POTW

o

5. Dry Weather o
Overflow
Prohibition
0

6 . Floatables o
Control
o

7 . Pollution o
Prevention o
0


     control industrial discharges during
     vet weather as appropriate
     Review CSO monitoring results to
     identify and eliminate industrial
     pollutants discharged from CSOs

     Evaluate possible modifications to
     existing POTW to increase treatment
     capacity during wet weather
     Evaluate use of abandoned units during
     wet weather periods

     Develop an inspection program to
     identify dry weather overflow locations
     and causes
     Develop and implement a plan to
     immediately eliminate all DWOs

o    Install bar screens and booms at CSO
     outfalls
o    Use skimmer boats to collect floatables
     in the receiving water

     Institute a public education program
     Promote water conservation
     Institute contaminant control programs
     such as regular street cleaning,  anti-
     litter campaign,  recycle program,  and
           47

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                                product bans
  2
  3
  4
  5
  6
  7
  8

  9
10
11
12
13
14
15
16
17
 8.    Public         o
      Notification
9.   Monitoring
 Announce use restrictions on TV and
 radio.
 Initiate a public information system
 where all major CSO issues are
 identified, possible solutions and
 associated costs are explained.
 Post notices at affected areas.

 Maintain records of  overflow
 occurrences and impacts
 Monitor  and report overflow
 characteristics
 Monitor  and report water quality impacts
 from CSOs to the receiving waters
Monitor  and  report beach and shellfish
bed closures and swimming restrictions
due to CSOs
                                     48

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