continuing
planning
process
water
quality
management
basin
plan
U.S.
ENVIRONMENTAL
PROTECTION AGENCY
WASHINGTON. O.C. 20460
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What is the State continuing planning process?
The stated objective of Congress in enacting the
Federal Water Pollution Control Act Amendments
of 1972 is to restore and maintain the chemical,
physical, and biological integrity of the Nation's
waters—in other words, to clean up our rivers,
lakes and streams.
In developing the Act, it was a Congressional
policy to recognize, preserve and protect the
primary responsibilities and rights of States to
abate and control pollution and to plan the de-
velopment and use of land and water resources.
The Congress also recognized the necessity of
public involvement in the abatement and control
activities.
The complexity of the water quality control
problems in the United States required that each
State have an effective water quality management
program which could make centralized, coordi-
nated water quality management decisions for the
State, consistent witn the national strategy of the
L.S. Environmental Protection Agency (EPA).
For this reason, the State continuing planning
process was incorporated under Section 303(e) of
the Act. The planning process is directed toward
the establishment and attainment of water quality
standards designed to achieve the goals set forth
in the Act, and is intended to be an effective and
dynamic management tool at the State level to
assist in implementing Federal and State programs
designed to achieve clean water.
What are the goals and purposes of the State
continuing planning process?
The broad goals of the continuing planning
process are threefold:
• To provide the States with the water quality
assessment and program management informa-
tion necessary to make centralized, coordinated
management decisions.
• To encourage water quality objectives which
take into account overall State policies and pro-
grams, including those for land use and other
related natural resources.
• To furnish the strategic guidance for developing
the annual State piogram submittal under Sec-
tion 106 of the Act.
The planning process serves as a mechanism
for the development of the annual State program
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submittal. Tn addition, the States develop their
annual State strategy and individual basin plans
through the process. The elements of the State
strategy and basin planning are described later on.
The process begins with a monitoring and sur-
veillance program of the State's waters. From the
best available data obtained from this program
individual basin plans are developed. From these
basin plans, combined with other available in-
formation, States develop their annual State
strategy. The annual State strategy assists the
State:
• Tn providing the required analysis for estab-
lishing and revising water quality standards
and insuring the attainment of applicable
standards.
• In directing resources—planning, monitor-
ing, permitting and financial assistance against
water quality problems on a priority basis.
• Tn establishing a coordinated schedule of
action.
• Tn reporting on progress in achieving pro-
gram targets and scheduled milestones.
• Tn specifying the requirements for, and
scheduling the completion of, basin plans
for all State waters.
• Tn insuring public participation in the de-
velopment of the planning process and of
basin plans.
• Tn determining the impact of nonpoint
(special) sources of pollution on State water
quality and, where feasible, developing
methods and procedures to control such
sources on a Statewide basis. (Point sources
are discrete conveyances (i.e., pipe or chan-
nel) which discharge polluted effluent from
sources such as wastewater treatment plants
or industries. Nonpoint sources are other
sources of pollution, including stormwater
runoff, construction, agriculture, or other
activities.)
State water quality management is created
through the annual State program submittal. This
program submittal consists of the annual State
strategy, plus resource output commitments and
a State evaluation and report. The State reports
are coordinated at the Federal level with the
annual EPA strategy.
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EPA reviews the State programs to insure that
progress toward national objectives and priorities
is attained. From this evaluation, program and
resource guidance and assistance is provided-to
the States. Thus, the annual State program sub-
mittal is an integral part of the EPA's Federal
water quality management program, directed to-
ward the attainment of State water quality
standards.
What specifically does the planning process in-
clude?
EPA recently published regulations specifying
procedural and other requirements for the sub-
mission and approval of State continuing planning
processes, describing:
General requirements. The preparation and
phasing of basin plans is provided for. An im-
portant consideration is the classification of
segments within a basin. Segments are portions
of a basin whose surface waters have common
hydrological characteristics, common natural
physical, chemical, and biological processes,
and common reactions to pollutant discharges.
Based upon the instream water quality, a
segment is classified either as an effluent limita-
tions segment or a water quality segment. An
effluent limitations segment is one in which
water quality will meet, and continue to meet,
all applicable water quality standards after the
application of minimum national effluent limita-
tions established by the EPA for point-source
discharges and municipal treatment works. A
water quality segment is one in which water
quality will meet applicable water standards
only after application of more stringent efflu-
ent limitations.
Requirements for basin plans. The planning
process must provide for the development of
individual basin plans for all State waters.
Requirements for the annual State strategy. The
State strategy contains a Statewide assessment
of water quality problems and their causes (in-
cluding nonpoint pollution sources), a listing
of the geographical priorities of these prob-
lems, and a description of the State's approach
to solving the problems identified. Priorities and
scheduling of permits, construction grants,
basin and area wide plans, and other program
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actions needed to solve water quality problems
are also included.
Based on the assessment of problems and
causes, each segment is then ranked in a
priority order. The ranking criteria account for
the severity of pollution, population affected,
the preservation of high quality waters, and
national EPA priorities. Each State is further
required to establish a State municipal dis-
charge inventory and a State industrial dis-
charge inventory, ranking significant dischargers
consistent with the segment priority rankings.
Submission and approval of the planning
process. The Governor of each State must sub-
mit the process to the EPA Regional Ad-
ministrator for approval. Within 30 days, the
Administrator notifies the Governor of approval
or disapproval with any necessary revisions
and time period of rcsubmission attached. At
this time, essentially all State processes arc
completed and approved.
The development of an effective planning
process is crucial to effective water Quality man-
agement. The annual State strategy, State program
plan and individual basin plans all depend on,
and are developed through, the State continuing
planning process. Approval of the planning proc-
ess may be withdrawn based on gross failure to
comply with the schedule for basin plan prepara-
tion, or failure of basin plans to conform with
process requirements. Tn addition, State participa-
tion in the National Pollutant Discharge Elimina-
tion System permit program may also be with-
drawn. This underscores the importance of an
effective State planning process for the manage-
ment of the Nation's water quality.
What is a water quality management basin plan?
A water quality management basin plan is a
management document identifying the water
quality problems of a particular basin and setting
forth an effective remedial program to alleviate
those problems. The value of a basin plan lies in
its utility in making water quality management
decisions on a basinwide scale. Basinwide plan-
ning decisions take advantage of the economics of
large scale planning, coordinating pollution con-
trol efforts on all waters of the common drainage
basin. Tt is an essential element of the State water
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quality management program, and is prepared
under the State continuing planning process.
A basin plan provides for orderly water quality
management by:
Identifying problems. Water quality is assessed
in terms of applicable standards, considering
both point and nonpoint sources of pollution.
Assessing needs and priorities. Water quality
and abatement needs are assessed in order to
identify deficiencies in the Statewide segment
priority rankings and discharge inventories.
Scheduling actions. Where permits have been
issued, compliance schedules are set forth.
Target abatement dates are established where
permits have not been issued.
Coordinating planning. Needs and priorities
are identified for Section 201 facilities plans
and Section 208 arcawidc plans within the
planning basin. (Numbers refer to Sections of
the Act, the authority for the two types of
plans.)
How does a basin plan relate to other planning
programs?
Planning and management programs are
stressed by the Water Pollution Control Act in
the achievement and maintenance of clean water.
The Act has established several distinct, inter-
related levels of planning. Each has its own scope
and purposes, and depends on one another for
their ultimate effectiveness.
The basin plan deals with a river basin, the area
drained by a river and its tributaries, which is
typically a large geographical area. It assesses for
the entire basin, I he nature and extent of the pollu-
tion of its waters, in order to plan a strategy for
bringing substandard waters up to water quality
standards and to prevent the degradation of high
quality waters From this assessment, the allow-
able volume of pollutants which can be discharged
into each segment is determined, allocating loads
to each point source as a basis for permits. It is
also concerned with the establishment of priorities
for the construction and modification of treatment
plants needed throughout the basin. Since 208
areawide planning and 201 facilities planning arc
both carried out within the boundaries of the river
basin, both planning processes must conform to
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the management strategy and constraints of the
basin plan.
Arcawidc planning is generally confined to
those areas of the basin where there arc complex
urban/industrial or nonpoint source water quality
problems that cannot be solved by base level
technology alone (e.g. secondary treatment). The
Governor of each State designates areas for the
areawide planning program. The program, how-
ever, stresses planning and management by local
governments (with State guidance and assistance)
in finding and implementing solutions to common
water quality management problems. It calls for
a special management structure to carry out the
planning, and provides grants to help local govern-
ments cover their planning costs. Areawide plan-
ning incorporates a permit system for municipal
and industrial discharges, deals with urban non-
point pollution sources, and integrates the water
quality management program with other environ-
mental and developmental activities.
Narrowing the scope still further, the 201 fa-
cilities plan deals with the actual facilities needed
to achieve water quality improvement and mainte-
nance. A 201 plan is formulated incident to con-
structing or modifying a sewage treatment plant
and its related facilities. The resulting highly de-
tailed plan reflects the problems experienced by
the individual community and is used to evaluate
a number of alternative methods or techniques of
wastcwater treatment and disposal. The alternative
plan chosen considers economic, social, and en-
vironmental factors, so as to achieve the most
benefit for the least cost.
On the same basinwidc scale, the scope of a
water quality management basin plan is broadened
by a water resources basin plan (level B plan)
prepared under Section 209 of the Act. This plan
is intended to set forth a broad strategy for long-
term river basin management. Besides water
quality, it includes considerations of water supply,
transportation, recreation, and others. The 209
plan needs, therefore, to build upon the 303(c)
water quality basin plan, as well as all 208 areas
and specific facilities within the basin.
What's contained in a water qualify management
basin plan?
The elements of a basin plan vary with the
water quality problems and decisions to be made
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in a particular basin. The level of detail and
schedule of basin plan preparation is also depend-
ent upon the characteristic problems of the basin.
As stated earlier, all waters within the planning
basin must be classified as cither a water quality
or effluent limitations segment, the specific con-
tents of the plan being dependent upon this desig-
nation.
Basin plans have six major areas of concen-
tration:
1) Setting and recommending revisions of water
quality standards, including the antidegra-
dation statement, applicable to each segment
or body of water in the basin.
2) Point source management provisions, in-
BASIN PLANNING ELEMENTS
Wafer Effluent
Quality Limitation
Element Segments Segments
1) Inventory and ranking of
significant dischargers
2) Schedules of compliance or
target dates of abatement
3) Assessment of municipal
needs
4) Determination of total
maximum daily loads
5) Individual point source
load allocations
6) Individual nonpoint
source assessment
7) Establishment of residual
waste control process
8) Revisions to water quality
standards
9) Identification of relation-
ship to other plans
10) Appropriate monitoring
and surveillance program
1 1) Interstate and Intergovern-
mental cooperation
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eluding significant discharge inventories and
data assembly.
3) Schedules of compliance or target abatement
dates.
4) Waste load analysis in water quality seg-
ments. For each parameter in violation of
standards, point source load allocations arc
established to assure attainment of applic-
able mstream water quality standards.
5) A recognition of nonpoint sources in water
quality segments.
6) The assessment of needs for municipal
wastewatcr treatment facilities. This assess-
ment is used to develop a detailed cost
estimate of future needs submitted bien-
nially to Congress through the EPA. The
biennial report forms the basis for alloca-
tions to the various States of Federal con-
struction grant assistance.
The regulations for developing basin plans out-
line 11 elements to be included in all plans. These
elements correspond to the segment classifications
as indicated in the table.
Who does what in developing the continuing
planning process and basin plans?
It has been shown that the State continuing
planning process has been designed to give the
States the primary responsibility to establish and
implement water quality management programs
within the States. Direct Federal involvement will
be held to a minimum, and local and citizen in-
volvement is required, since water quality prob-
lems are a matter of public concern. With this
in mind, we can summarize the way that local,
State, and Federal officials participate in develop-
ing the State continuing planning process.
THE LOCAL ROLE:
Local officials advise the Governor about water
quality problems within their area. They can
participate in a 208 arcawide planning agency, or
in the formulation of 201 facilities plans. Their
involvement can extend to the reviewing of basin
plans and the State planning process, to determine
whether or not they meet the water quality man-
agement needs of the local area.
THE STATE ROLE:
• The State Governor appoints the agency
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responsible for developing the State con-
tinuing planning process, from which the
State develops both its 303 (e) basin plans
and the annual Section 106 State program
submittal.
• The Governor submits the planning process
and basin plans to the Regional Administra-
tor for approval. All basin plans arc certified
by the Governor to be the official water
quality management program for the hydro-
logical unit covered, that they meet all rules
and regulations, and that they will be used
for establishing all permit conditions, target
abatement dates, and assessing of priorities
for awarding construction grants.
• The State reviews the continuing planning
process annually, makes all necessary revi-
sions, and submits these revisions along with
the annual 106 State program plan. All
basin plans must be revised at least every five
years, so that they will remain meaningful
water quality management documents for
the five-year-period following revision.
THE FEDERAL ROLE:
• Through its regional offices, EPA coordi-
nates the 106 State programs with its na-
tional objectives and strategy.
• The regional office reviews all State con-
tinuing planning process and basin plan
submittals within 30 days of their reception,
and indicates cither approval or disapproval
with necessary revisions attached.
• The regional office also reviews all inter-
state basin plans to assure compatibility,
and investigates coordination of basin plans
with 208 arcawide plans, 201 facilities
plans, the planning process, and the National
Pollutant Discharge Elimination System of
permitting.
What is the role of the public in water quality
management planning?
To solve the water quality problems of an
area, decisions must be made on a number of
issues that are inescapably of concern to the
public. The decisions can have a significant effect
on the community. Among the issues are land
use; development, siting, construction, and even
the priority of treatment facilities; solid waste
disposal; and nonpomt source control.
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The public should be informed and brought
into the planning processes early for consultation
and exchange of views between the agency and
interested or affected individuals and organiza-
tions.
Congressional concern for adequate involve-
ment is expressed in Section 101(c) of the
Water Act which requires that public participa-
tion in the development of all plans, programs,
regulations, and standards shall be provided for,
encouraged, and assisted by the EPA Adminis-
trator in cooperation with the States.
Regulations governing public participation
state that each agency shall have a continuing
agency program for public participation in the
development or revision of plans—or other sig-
nificant action prior to dccisionmaking. Advisory
groups, ad hoc committees, or workshop meet-
ings may serve the purpose.
The regulations for water quality management
basin plans provide for public hearings that begin
early in the development of a plan. The hearings
arc characterized as having three necessary ele-
ments: total public disclosure, planning agency
representation at hearings, and sufficient oppor-
tunity for expression and consideration of public
views.
Basin planning establishes the management
strategy for an entire basin, permitting the public
to place all local decisions in perspective with
basmvvidc management objectives.
When public participation is given recognition
and is adequately provided for, the benefits arc
significant. Input by an informed public can give
the States and local planning agencies useful in-
formation that reflects community altitudes to-
wards the issues involved, and helps clarify the
impact of alternatives on the community as a
whole.
Public acceptance and support as well as
legitimacy are achieved only through public in-
volvement. It is therefore important that inform-
ing the public and providing for adequate public
involvement start early in the planning process.
An informed public, familiar with the aspects of
planning, the issues, and the decisions to be
made can contribute in a meaningful way to
intelligent dccisionmaking.
The State continuing planning process and the
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water quality basin plan are vital elements in
attaining and managing the quality of the Nation's
waters. Every citizen, therefore, should take ad-
vantage of the unique opportunity for contributing
to the dccisionmaking process, realizing his full
potential in an agency-community partnership in
the campaign to clean up our rivers, lakes, and
streams. Although every citizen should recognize
and act upon the opportunity, public participa-
tion does not happen spontaneously. It is thus
the responsibility of the planning agency to seek
out those who can contribute intelligently as well
as those who will be affected by the plan and
persuade them to become involved.
JANUARY 1975
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