United States
Environmental Protection
Agency
vvEPA
Office of Science and Technology June 2000
Standards and Applied Science Division EPA-823-B-00-004
(4305)
WATER QUALITY
STAlsDARDS
ACADEMY
Basic'Course
REFERENCE
MANUAL
2000 Edition
Office of Water .
Office of Science and Technology
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BASIC COURSE REFERENCE MANUAL
CONTENTS
Reference
Number Title
Clean Water Act. Public Law 92-500, as amended. 33 U.S.C. 1251 et seq.
2. Water Quality Standards Regulation and Subsequent Amendments. Part 131.
Extracted from the Code of Federal Regulation through July 1, 1999. U.s.
Government Printing Office. 1999.
3. Introduction to Water Quality Standards. U.S. Environmental Protection
Agency, Office of Water. September 1994. EPA 823-B-95-004.
4. Water Quality Standards Handbook - Second Edition. U.S. Environmental
Protection Agency, Office of Water. August 1994. EPA-823-B-94-005a.
Appendix A: Water Quality Standards Regulation. 40 CFR 131; 48 Federal
Register 51405, November 8, 1983. Revised through July 1,
1991; amended at 56 FR 64893, December 12, 1991. 57 FR
60910, December 22, 1992.
Appendix B: Chronological Summary of Federal Water Quality Standards
Promulgation Actions. U.S. Environmental Protection Agency,
Office of Science and Technology. January 1993.
Appendix C: Biological Criteria: National Program Guidance for Surface
Waters. U.S. Environmental Protection Agency, Office of
Water. April 1990. EPA 440/5-90-004.
Appendix D: Water Quality Standards for Wetlands: National Guidance.
July 1990. EPA 440/S-90-011.
Appendix E: An Approach for Evaluating Numeric Water Quality for
Wetlands Protection. July 1991.
Appendix F: Coordination between the Environmental Protection Agency,
Fish and Wildlife Service and National Marine Fisheries Service
Regarding Development of Water Quality Criteria and Water
Quality Standards Under the Clean Water Act. July 1992.
111
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Appendix G: Questions and Answers on: Antidegradation. U.S.
Environmental Protection Agency, Office of Water. August
1985.
Appendix H: Derivation of the 1985 Aquatic Life Criteria.
Appendix I: List of EPA Water Quality Criteria Documents.
Appendix J: Attachments to Office of Water Policy and Technical Guidance
on Interpretation and Implementation of Aquatic Life Metals
Criteria. October 1993.
Appendix K: Procedures for the Initiation of Narrative Biological Criteria.
U.S. Environmental Protection Agency. Office of Water.
October 1992. EPA-822-B-92-002.
Appendix L: Interim Guidance on Determination and Use of Water Effect
Ratios for Metals. Office of Science and Technology. February
1994. EPA-823-B-94-0O1.
Appendix M: Interim Economic Guidance for Water Quality Standards—
Workbook. Office of Water. March 1995. EPA-823-B-95-002.
Appendix N: IRIS (Integrated Risk Information System) Background Paper.
U.S. Environmental Protection Agency, Office of Research and
Development. February 1993.
Appendix P: List of 126 Section 307(a) Priority Toxic Pollutants.
Appendix Q: Wetlands and 401 Certification: Opportunities and Guidelines
for States and Eligible Indian Tribes. U.S. Environmental
Protection Agency, Office of Water. April 1989.
Appendix R: Policy on the Use of Biological Assessments and Criteria in the
Water Quality Program. U.S. Environmental Protection
Agency, Office of Water. May 1991.
Appendix T: Use Attainability Analysis Case Studies.
Appendix U: List of EPA Regional Water Quality Standards of Coordinators.
Appendix V: Water Quality Standards Program Document Request Forms.
iv
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Appendix W: Update Request for Water Quality Standards Handbook
- Second Edition.
5. U.S. EPA, Environmental Appeals Board. NPDES Appeal 88-5. In the Matter
of Star-Kist Caribe, Inc. Decided May 26, 1992.
6. Combined Sewer Overflow (CSO) Control Policy; Notice. Federal Register vol.
59, No. 75. April 19, 1994
7. October 1993 Memo from Martha Prothro, Acting Assistant Administrator for
Water, to Regional Water Management Division Directors, re: Office of Water
Policy and Technical Guidance on Interpretation and Implementation of
Aquatic Life Metals Criteria.
8. Reference Guide to Water Quality Standards for Indian Tribes.
U.S. Environmental Protection Agency, Office of Water. January 1990. EPA
440/5-90-002.
9. Terms of Environment: Glossary, Abbreviations, and Acronyms. U.S.
Environmental Protection Agency, Office of Communications, Education, and
Public Affairs. December 1997.
10. Document Ordering Information.
11. Directory of State and Tribal Agencies Responsible for Water Quality, April
2000. This directory is updated annually.
12. Guidelines for Deriving Numerical Aquatic Site-specific Water Quality Criteria
by Modi Vying National Criteria. EPA Environmental Research Laboratory,
Duluth, Minnesota. October 1984. EPA-600/3-84-099.
13. Derivation of Site-specific Water Quality Criteria for Cadmium and the St,
Louis River Basin, Duluth, Minnesota. R.S. Spehar and A.R. Carlson. in:
Environmental Toxicology and Chemistry. vol. 3. pp. 651-665. 1984.
14. U.S. Fish and Wildlife Service Report to Congress. Recovery Program:
Endangered and Threatened Species. 1994.
15. Briefing Report to the EPA Science Advisory Board on the Equilibrium
Partitioning Approach to Predicting Metal Bioavailability in Sediment and the
Derivation of Sediment Quality Criteria for Metals. EPA Office of Water and
Office of Research and Development. December 1994. EPA-822-D-94-002.
V
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16. Memo to Carol Browner from the Science Advisory Board: In regard to SAB
Review of Agency’s Approach for Development of Sediment Criteria for 5
Metals (cadmium, copper, lead, nickel, and zinc). September 29, 1995.
EPA/SABIEPEC-95-002.
17. Memo from Carol Browner to the Science Advisory Board: In regard to SAB
Review of Agency’s Approach for Development of Sediment Criteria for 5
Metals (cadmium, copper, lead, nickel, and zinc). February 2, 1996.
EPA/SABIEPEC-95-002.
vi
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Reference 1
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Sec. 102
FEDERAL WATER POLLUTION CONTROL ACT 4
FEDERAL WATER POLLUTION CONTROL ACr
(33 U.S.C. 1251 et seq.)
AN ACR To p v fde for water pollution control activitlee In the Pubilc Health Serv-
ice of the Federal Security Agency and In the Federal Worka Agency, and for
other p.ca .
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assemble4
TiTLE I —RESEARCH AND RELATED PROGRAMS
DECLARATION OP GOALS AND POLICY
SEC. 101. (a) The objective of this Act Is to restore and main-
tain the chemical, physical, and b1olo ica1 Integrity of the Nation’s
waters. In order to achieve this objecüve it is hereby declared that,
consistent with the provisions of this Act—
(1) it Is the national goal that the discharge of pollutants
into the navigable waters be eliminated by 1985;
(2) it is the national goal that wherever attainable, an in-
terim goal of water quality which provides for the protection
and propagation of fish, shellfish, and wildlife and provides for
recreation in and on the water be achieved by July 1, 1983;
(3) it Is the national policy that the discharge of toxic pol-
lutants in toxic amounts be prohibited;
(4) it Is the national policy that Federal financial assist-
ance be provided to construct publicly owned waste treatment
works;
(5) it is the national policy that areawide treatment man-
agement planning processes be developed and implemented to
assure adequate control of sources of pollutants in each State;
(6) it is the national policy that a major research and dem-
onstration effort be made to develop technology necessary to
eliminate the discharge of pollutants Into the navigable waters,
waters of the contiguous zone and the oceans; and
(7) it Is the national policy that programs for the control
of nonpoint sources of pollution be developed and Implemented
In an expeditious manner so as to enable the goals of this Act
to be met through the control of both point and nonpoint
sources of pollution.
(b) It is the policy of the Congress to recognize, preserve, and
protect the primary responsibilities and rights of States to prevent,
reduce, and eliminate pollution, to plan the development end use
(Including restoration, preservation, and enhancement) of land and
water resources, and to consult with the Administrator In the exer-
cise of his authority under this Act. It is the policy of Congress that
the States manage the construction grant program under this Act
and Implement the permit programs under eections 402 and 404 of
I
this Act. It i further the policy of the Congress to support and aid
research relating to the prevention, reduction, and elimination of
pollution, and to provide Federal technical services and financial
aid to State and interstate agencies and municipalities in connec-
tion with the prevention, reduction, and elimination of pollution.
(c) It is further the policy of Congress that the President, act-
ing through the Secretary ot State and such national and inter-
national organizations as he determines appropriate, shall take
such action as may be necessary to insure that to the fullest extent
possible all foreign countries shall take meaningful action for the
prevention, reduction, and elimination of pollution in their waters
and in international waters and for the achievement of goals re-
garding the elimination of discharge of pollutants and the improve-
ment of water quality to at least the same extent as the United
States does under its laws.
(d) Except as otherwise expressly provided in this Act, the Ad-
ministrator of the Environmental Protection Agency (hereinafter in
this Act called “Administrator”) shall administer this Act.
(e) Public participation In the development, revision, and en-
forcement of any regulation, standard, effluent limitation, plan, or
program established by the Administrator or any State under this
Act shall be provided for, encouraged, and assisted by the Adminis-
trator and the States. The Administrator, in cooperation with the
States, shall develop and publish regulations specifying minimum
guidelines for public participation in such processes.
(0 It is the national policy that to the maximum extent pos-
sible the procedures utilized for implementing this Act shall en-
courage the drastic minimization of paperwork and interagency de-
cision procedures, and the beet use of available manpower and
funds, so as to prevent needless duplication and unnecessary
delays at all levels of government.
(g) It is the policy of Congress that the authority of each State
to allocate quantities of water within its jurisdiction shall not be
superseded, abrogated or otherwise impaired by this Act. It is the
further policy of Congress that nothing in this Act shall be con-
strued to supersede or abrogate rights to quantities of water which
have been established by any State. Federal agencies shall co-oper-
ate with State and local agencies to develop comprehensive solu-
tions to prevent, reduce and eliminate pollution in concert with
programs for managing water resources.
(33 USC. 1251)
COMPREHENSIVE PROGRAMS FOR WATER POLLUTION CONTROL
SEC. 102. (a) The Administrator shall, after careful investiga-
tion, and in cooperation with other Federal agencies, State water
pollution control agencies, interstate agencies, and the municipali-
ties and industries involved, prepare or develop comprehensive pro-
grams for preventing, reducing, or eliminating the pollution of the
navipble waters and ground waters and improving the sanitary
- condition of surface-and underground waters. In the development
of such comprehensive programs due regard shall be given to the
improvements which are necessary to conserve such waters for the
protection and propagation of fish and aquatic life and wildlife, rec-
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FEDERAL WATER POLLUTION CONTROL ACT
Sec. 102 Sec. 103
FEDERAL WATER POWITION CONTROL ACT 6
5
reational purposes, and the withdrawal of such waters for public
water supply, agricultural, industrial, and other purposes. For the
purpose of this section, the Administrator is authorized to make
joint investigations with any such agencies of the condition of any
waters in any State or States, and of the discharges of any sewage,
industrial wastes, or substance which may adversely affect such
waters.
(b)( 1) In the survey or planning of any reservoir by the Corps
of Engineers, Bureau of Reclamation, or other Federal agency, con-
sideration shall be given to inclusion of storage for regulation of
streamflow, except that any such storage and water releases shall
not be provided as a substitute for adequate treatment or other
methods of controlling waste at the source.
(2) The need for and the value of storage for regulation of
streamfiow (other than for water quality) including but not limited
to navigation, salt water intrusion, recreation, esthetics, and fish
and wildlife, shall be determined by the Corps of Engineers, Bu-
reau of Reclamation, or other Federal agencies.
(3) The need for, the value of, and the impact of, storage for
water quality control shall be detennined by the Administrator,
and his views on these matters shall be set forth in any report or
presentation to Congress proposing authorization or construction of
any reservoir including such storage.
(4) The value of such storage shall be taken into account in de.
termining the economic value of the entire project of which it is a
part, and costs shall be allocated to the purpose of regulation of
streamfiow in a manner which Will insure that all project purposes,
share equitable in the benefits of multiple-purpose construction.
(5) Costa of regulation of streamfioW features incorporated in
any Federal reservoir or other impoundment under the provisions
of this Act shall be determined and the beneficiaries identified and
if the benefits are widespread or national in scope, the coats of such
features shall be nonreimbursable.
(6) No license granted by the Federal Power Commission for a
hydroelectric power project shall include storage for regulation of
streamfiow for the purpose of water quality control unless the Ad-
ministrator shall recommend its inclusion and such reservoir stor-
age capacity shall not exceed such proportion of the total storage
required for the water quality control plan as the drainage area of
such reservoir bears to the drainage area of the river basin or ba-
sins involved in such water quality control plan.
(cXl) The Administrator shall, at the request of the Governor
of a State, or a majority of the Governors when more than one
State is involved make a grant to pay not to exceed 50 per centuin
of the administrative expenses of a planning agency for a period
not to exceed three years. which period shall begin alter the date
of enactment of the Federal Water Pollution Control Act Amend-
ments of 1972, if such agency provides for adequate representation
of appropriate State, interstate, local, or (when appropriate) inter-
national interests in the basin or portion thereof involved and is ca-
pable of developing an effective, comprehensive water quality con-
trol r’en for a baa ” or portion thereof.
(2) Each planning agency receiving a grant under this sub-
section shall develop a comprehensive pollution control plan for the
basin or portion thereof winch—
(A) is consistent with any applicable water quality stand-
ards, effluent and other limitations, and thermal discharge reg-
ulations established pursuant to current law within the basin;
(B) recommends such treatment works as will provide the
moat effective and economical means of collection, storage,
treatment, and elimination of pollutants and recommends
means to encourage both municipal and industrial use of such
works;
(C) recommends maintenance and improvement of water
quality within the basin or portion thereof and recommends
methods of adequately financing those facilities as may be nec-
essary to implement the plan; and
(D) as appropriate, is developed in cooperation with, and
is consistent with any comprehensive plan prepared by the
Water Resources Council, any areawide waste management
plans developed pursuant to section 208 of this Act, and any
State plan developed pursuant to section 303(e) of this Act.
(3) For the purposes of this subsection the term “basin” in-
cludes, but is not limited to, rivers and their tributaries, streams,
coastal waters, sounds, estuaries, bays, lakes, -and portions thereof,
as well as the lands drained thereby.
(d) tRepealed by section 202 1(a) of Public Law 104—66 (109
Stat. 726).)
(33 U.S.C. 1252)
INTERSTATE COOPERATION AND UNIFORM LAWS
SEC. 103. (a) The Administrator shall encourage cooperative
activities by the States for the prevention, reduction, and eliini-
nation of pollution, encourage the enactment of improved and, so
far as practicable, uniform State laws relating to the prevention,
reduction, and elimination of pollution; and encourage compacts be-
tween States for the prevention and control of pollution.
(b) The consent orthe Congress ia hereby given to two or more
States to negotiate and enter into agreements or compacts, not in
conflict with any law or treaty of the United States, for (1) coopera-
tive effort and mutuaFassistance for the prevention and control of
pollution and the enforcement of their respective laws relating
thereto, and (2) the establishment of such agencies, joint or other-
wise, as they may deem desirable for making effective such agree-
ments and compacts. No such agreement or compact shall be bind-
ing or obligatory upon any State a party thereto unless and until
it has been approved by the Congress.
(33 U.S.C. 1253)
RESEARCH, INVESTIGATIONS, TRAINING, AND INFORMATION
SEc. 104. (a) The Administrator shall establish national pro-
grams for the prevention, reduction, and elimination of pollution
and as part of such programs shall—
(1) in cooperation with other Federal, State, and local
agencies, conduct and promote the coordination and accelera-
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FEDERAL WATER POUUTION CONTROL ACT
Sec. 104
Sec. 104
FEDERAL WATER POLLUTION CONTROL ACT I
7
tion of, research, investigations, experiments, training, dem-
onstratiOns, surveys, and studies relating to the causes, effects,
extent, prevention 1 reduction, and elimination of pollution;
(2) encourage, cooperate with, and render technical serv-
ices to pollution control agencies and other appropriate public
or private agencies, institutions, and organizations, and indi-
viduals, including the general public, in the conduct of activi-
ties referred to in paragraph (1) of this subsection;
(3) conduct, in cooperation with State water pollution con-
trol agencies and other interested agencies organizations and
persons, public investigations concerning the pollution of any
navigable waters, and report on the results of such investiga-
tions;
(4) establish advisory committees composed of recognized
experts in various aspects of pollution and representatives of
the public to assist in the examination and evaluation of re-
search progress and proposals and to avoid duplication of re-
search;
(5) in cooperation with the States, and their political sub-
divisions, and other Federal agencies establish, equip, and
maintain a water quality surveillance system for the purpose
of monitoring the quality of the navigable waters and ground
waters and the contiguous zone and the oceans and the Admin-
istrator shall, to the extent practicable, conduct such surveil-
lance by utilizing the resources of the National Aeronautics
and Space Administration, the National Oceanic and Atmos-
pheric Administration, the Geological Survey, and the Coast
Guard, and shall report on such quality in the report required
under subsection (a) of section 516; and
(6) initiate and promote the coordination and acceleration
of research degi ned to develop the most effective practicable
tools and techmques for measuring the social and economic
costs and benefits of activities which are subject to regulations
under this Act; and shall transmit a report on the results of
such research to the Congress not later than January 1, 1974.
(b) In carrying out the provisions of subsection (a) of this sec-
tion the Administrator Is authorized to—
(1) collect and make available, through publications and
other appropriate means, the results of and other information,
Including appropriate recommendations by him In connection
therewith, pertaining to such research and other activities re-
ferred to in paragraph (1) of subsection (a);
(2) cooperate with other Federal departments and agen-
cies, State water pollution control agencies, interstate agencies,
other public and private agencies, institutions, organizations
industries involved, and individuals, in the preparation aml
conduct of such research and other activities referred to in
paragraph (1) of subsection (a);
(3) make grants to State water pollution control agencies,
interstate agencies, other public or nonprofit private agencies,
institutions, organizations, and individuals, for purposes stated
in paragraph (1) of subsection (a) of this section;
(4) contract with public or private agencies, Inatitution8.
organizations, and Individuals, without regard to sections 3648
and 3709 of the Revised Statutes (31 U.S.C. 529; 41 U.S.C. 5),
referred to in paragraph (1) of subsection (a);
(5) establish and maintain research fellowships at public
or nonprofit private educational institutions or reBearch organi-
zations;
(6) collect and disseminate, in cooperation with other Fed-
eral departments and agencies, and with other public or pri-
vate agencies, institutions, and organizations having related
responsibilities, basic data on chemical 1 physical, and biological
effects of varying water quality and other information pertain-
ing to pollution and the prevention, reduction, and elimination
thereof; and
(7) develop effective and practical processes, methods, and
prototype devices for the prevention, reduction, and elimi-
nation of’ pollution.
(c) In carrying out the provisions of subsection (a) of this sec-
tion the Administrator shall conduct research on, and survey the
results of other scientific studies on, the harmful effects on the
health or welfare of persons caused by pollutants. In order to avoid
duplication of’ effort, the Administrator shall, to the extent prac-
ticable, conduct such research in cooperation with and through the
facilities of the Secretary of Health, Education, and Welfare.
(d) In carrying out the provisions of this section the Adminis-
trator shall develop and demonstrate under varied conditions (in-
cluding conducting such basic and applied research, studies, and
experiments as may be necessary):
(1) Practicable means of’ treating municipal sewage, and
other waterborne wastes to implement the requirements of sec-
tion 201 of this Act;
(2) Improved methods and procedures to identify and
measure the effects of pollutants, including those pollutants
created by new technological developments; and
(3) Methods and procedures for evaluating the effects on
water quality of augmented streamfiowa to control pollution
not susceptible to other means of prevention, reduction, or
elimination.
(e) The Administrator shall establish, equip, and maintain field
laboratory and research facilities, including, but not limited to, one
to be located in the northeastern area of the United States, one in
the Middle Atlantic area, one in the southeastern area, one in the
midwestern area, one In the southwestern area, one in the Pacific
Northwest, and one in the State of Alaska, for the conduct of’ re-
search, investigations, experiments, field demonstrations and stud-
ies, and training relating to the prevention, reduction and elimi-
nation of pollution. Insofar as practicable, each such facility shall
be located near institutions of higher learning in which graduate
training in such research might be carried out. In conjunction with
the development of’ criteria under section 403 of this Act, the Ad-
ministrator shall construct the facilities authorized for the National
Marine Water Quality Laboratory established under this sub-
section.
(I) The Administrator shall conduct research and technical de-
velopment work, and make studies, with respect to the quality of
the waters of the Great Lakes, including an analysis of the present
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B FEOERAL WATER POLWTION CONTROL ACT
Sac. 104 Sec. 104
FEIIERAL WATER POWIIION CONTROL ACT 10
and projected future water quality of the Great L ikis under vaiy-
lug conditions of waste treatment and disposal, an evaluation of
the water quality needs of those to be served by such waters, an
evaluation of mumci a1, industrial, and vessel waste treatment and
disposal practices with respect to such waters, and a study of alter-
nate means of solving pollution problems (including additional
waste treatment measures) with respect to such waters.
(gXl) For the purpose of providing an adequate supply of
trained personnel to operate and maintain existing and future
treatment works and related activities, and for the puipose of en-
hancing substantially the proficiency of those engaged in such ac-
tivities, the Administrator shall finnnce pilot programs, in coopera-
tion with State and interstate agencies, municip litiee, educational
institutions, and other organizations and individuals, of manpower
development and trainin ? and retraining of persons in, on entering
into, the field of operation and maintenance of treatment works
and related activities. Such program and any funds expended for
such a program shall supplement, not supplant, other manpower
and training programs and funds available for the purposes of this
paraçraph. ‘l’Iie A’lmrnictrator is authorized, under such terms and
conditions as he deems appropriate, to enter into agreements with
one or more States, acting 1 jointly or severally, or with other public
or private agencies or institutions for the development and Imple-
mentation of such a program.
(2) The Administrator is authorized to enter into agreements
with public and private agencies and institutions, and individuals
to develop and maintain an effective system for forecasting the sup-
ply of, and demand for, various professional and other occupational
categories needed for the prevention, reduction, and elimination of
pollution in each region, State, or area of the United States and,
from time to time, to publish the result. of such forecast..
(3) In furtherance of the purposes of this Act, the Adminis-
trator is authorized to—
(A) m re grant. to public or private agencies and institu-
tions and to individuals for training project., and provide for
the conduct of training by contract with public or private agen-
cies and institutions and with individuals without regard to
sections 3648 and 3709 of the Revised Statutes;
(B) establish and maintain research fellowship. in the En-
vironmental Protection Agency with such stipends and allow-
ances, including traveling and subsistence expenses, as he may
deem necessaxy to procure the assistance of the most promis-
ing research fellows; and
(C) provide, in addition to the program established under
paraçraph (1) of this subsection, training in technical matters
relating to the causes, prevention, reduction, and elimination
of pollution for personnel of public agencies and other persons
with suitable qnklifications.
(4) The Mministrator shall submit, through the President, a
report to the Congress not later than December 31 1973, summa-
rizing the actions taken under this subsection and the effectiveness
of such actions, and setting fbrth the number of persons trained,
the occupational categories r which imiing was provided, the of-
fectivenas. of 9 her Federal. State, and local triih 1 ng programs In
this field, together with estimates of future needs, recommenda-
tions on unprovin trJ ininf programs, and such other information
and recommendations, Including legislative .recomuwndations, as
he deems appropriate.
(h) The Mminiitrator is authorized to enter iuto contracts,
with, or make Fanta to, public or private agencies and organiza-
tions and individuals for (A) the purpose of developing and dem-
onstrating new or improved methods for the prevention, removal,
reduction, and elimination of pollution in lakes, including the unde-
sirable effects of nutrients and vegetation, and (B) the construction
of publicly owned research facilities for such purpose.
(i) The Administrator in cooperation with the Secretary of the
department in which the óoast Guard is operating, shall—
(1) engage in such research, studies, experiments, and
demonstrations as he deems appropriate, relative to the re-
moval of oil from any waters and to the prevention, control,
and elimination of oil and hazardous substances pollution;
(2) publish from time to time the results of such activities;
and
(3) from time to time, develop and publish in the Federal
Register specifications and other technical information on the
various chemical compounds used in the control of oil and haz-
ardous substance. spills.
In carrying out this subsection, the Administrator may enter into
contracts with, or make grants to, public or private agencies and
organizations and individuals.
(j) The Secretary of the department in which the Coast Guard
is operating shall engage in such research, studies, experiment.,
and demonstrations as he deems appropriate relative to equipment
which is to be installed on board a vessel and is designed to re-
ceive, retain, treat, or discharge human body wastes and the
wastes from toilets and other receptacles intended to receive or re-
tain body wastes with particular emphasis on equipment to be in-
stalled on small recreational vessels. The Secretary of the depart-
ment in which the Coast Guard is operating shall report to Con-
gress the results of such research, studies, experiments, and dem-
onstratiozw prior to the effective date of any regulations established
under section 312 of this Act. In carrying out this subsection the
Secretary of the department in which the Coast Guard is operating
may enter into contract. with, or make grant. to, public or private
organizations and individuals.
(k) In carrying out the provisions of this section relating to the
conduct by the Administrator of’ demonstration projects and the de-
velopment of field laboratories and reaeach facilities, the Adininis-
trator may acquire land and interests therein by purchase, with ap-
propriated or donated funds, by donation, or by exchange for ac-
quired or public lands under his jurisdiction which he classifies as
suitable for disposition. The values of the properties so ip h nged
either shall be approximately equal, or if they are not approxi-
mately equal, the values shall be equalized by the payment of cash
to the grantor or to the Mmini trator as the circumstances re-
quire.
(1X1) The A lmini trator phs .11 after consultation with appro-
priate local, Stat., and Federal agencies, public and private orgazil-
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11 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 104 Sec. 104
FEDERAL WATER POLLUTION CONTROL ACT 12
zations, and interested individuals, as soon as practicable but not
later than January 1, 1973 develop and issue to the States for the
purpose of carryinç out thuis Act the latest scientific knowledge
available in indicating the kind and extent of effects on health and
welfare which may be expected from the presence of pesticides in
the water in varying quantities. He shall revise and add to such
Information whenever necessary to reflect developing scientific
knowledge.
(2) The President shall, in consultation with appropriate local
State, and Federal agencies, public and private organizations, and
interested individuals, conduct studies and investigations of meth-
ods to control the release of pesticides into the environment which
study shall include evAmination of the persistency of pesticides in
the water environment and alternative thereto. The President shall
submit reports, from time to time on such investigations to Con-
gress together with his recommendations for any necessary legisla-
tion.
(niX 1) The Administrator shall, in an effort to prevent degrada-
tion of the environment from the disposal of waste oil, conduct a
study of (A) the generation of used engine, machine, cooling, and
similar waste oil, including quantities generated, the nature and
quality of such oil, present collecting methods and disposal prac-
tices, and alternate uses of such oil; (B) the long-term chronic bio-
logical effects of the disposal of such waste oil; and ( ( 5)the poten-
tial market for such oils, Including the economic and legal factors
relating to the sale of products made from such oils, the level of
subsidy, if any needed to encourage the purchase by public and
private noz pro t agencies of products from such oil, and the prac-
ticability of Federal procurement, on a priority basis, of products
made from such oil. In conducting such study, the Administrator
shall consult with affected Industries and other persons.
(2) The Pihninistrator shall report the preliminary results of
such study to Congress within six months after the date of enact-
ment of the Federal Water Pollution Control Act Amendments of
1972, and shall submit a final report to Congress within 18 months
after such date of enactment.
(nXl) The Administrator shall, in cooperation with the Sec-
retary of the Army, the Secretary of Açriculture, the Water Re-
sources Council, and with other a propnate Federal, State, inter-
state, or local public bodies and pnvate organizations, institutions,
and individuals, conduct and promote, encourage contributions to,
continuing comprehensive studies of the effects of pollution, includ-
ing sedimentation, in the estuaries and estuarine zones of the Unit-
ed States on fish and wildlife, on sport and commercial fishing, on
recreation, on water supply and water power, and on other bene-
ficial purposes. Such studies shall also consider the effect of demo-
graphic trends, the exploitation of mineral resources and fossil
fuels, land and industrial development, navigation, flood and ero-
sion control, and other uses of estuaries and estuanne zones upon
the pollution of the waters therein.
(2) In conducting such studies, the Administrator shall assem-
ble, coordinate, and organize all existing pertinent information on
the Nation’s estuaries and estuarine zones; carry out a program of
investigations and surveys to supplement existing information in
representative estuaries and estuarine zones; and identify the prob-
- lems and areas where further research and study are required.
(3) The Administrator shall submit to Congress, from time to
time, reports of the studies authorized by this subsection but at
- least one such report during any aix-year period. Copies of each
such report shall be made available to all interested parties, public
and private.
(4) For the purpose of this subsection, the term “eatuarine
zones” means an environmental system consisting of an estuary
and those transitional areas which are consistently influenced or
affected by water from an estuary such as, but not limited to, salt
marshes, coastal and intertidal areas, bays, harbors, lagoons,
inshore waters, and channels, and the term uestuar1 means all or
part of the mouth of a river or stream or other body of water hay-
mg unimpaired natural connection with open sea and within which
the sea water is measurably diluted with fresh water derived from
land drainage.
(oX 1) The Administrator shall conduct research and investiga-
tions on devices, systems, incentives, pricing policy, and other
methods of reducing the total flow of sewage, including, but not
limited to, unnecessary water consumption in order to reduce the
requirements for, and the costs of, sewage and waste treatment
services. Such research and investigations shall be directed to de-
velop devices, systems, policies, and methods capable of achieving
the maximum reduction of unnecessary water consumption.
(2) The Administrator shall report the preliminary results of
such studies and investigations to the Congress within one year
after the date of enactment of the Federal Water Pollution Control
Act Amendments of 1972, and annually thereafter in the report re-
quired under subsection (a) of section 516. Such report shall in-
clude recommendations for any legislation that may be required to
provide for the adoption and use of devices, systems, policies, or
other methods of reducing water consumption and reducing the
total flow of sewage. Such report shall include an estimate of the
benefits to be derived from adoption and use of such devices, sys-
tems, policies, or other methods and also shall reflect estimates of
any increase in private, ablic, or other cost that would be occa-
sioned thereby.
(p) In carrying out the provisions of subsection (a) of this sec-
tion the Administrator shall, in cooperation with the Secretary of
Agriculture, other Federal agencies, and the States, carry out a
comprehensive study and research program to determine new and
improved methods and the better application of existing methods
of preventing, reducing, and eliminating pollution from agriculture,
including the legal, economic, and other implications of the use of
such methods.
(qXl) The Administrator shall conduct a comprehensive pro-
gram of research and investigation and pilot project implementa-
tion into new and improved methods of preventing, reducing, stor-
— tag, collecting, treating, or otherwise eliminating pollution from
sewage in rural and other areas where collection of sewage in con-
ventional, community-wide sewage collection systems is imprac-
tical, unecon,n ical , or otherwise infeasible, or where soil conditions
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FEDERAL WATER POUIJHON CONTROL ACT
Sec. 104 Sec. 105
FEDERAL WATER POLLUTION CONTROL *tT
13
or other factors preclude the use of septic tank and drith ge field
systems.
(2) The Administrator shall conduct a comprehensive program
of research and investigation and pilot project implementation into
new and improved methods for the collection and treatment of sew-
age and other liquid wastes combined with the treatment and dis-
posal of solid wastes.
(3) The Administrator shall establish, either within the Envi-
ronmental Protection Agency, or throuçh contract with an appro-
priate public or private non-profit organi ntion, a national clearing-
house which shall (A) receive reports and information resulting
from research, demonstrations, and other projects funded under
this Act related to paragraph (1) of this subsection and to sub-
section (eX2) of section 105; (B) coordinate and disseminate such
reports and information for use by Federal and State agenciea mu-
nicipalities. institutions, and persons in developing new and im-
proved methods pursuant to this subsection; and (C) provide for the
collection and dissemination of reports and information relevant to
this subsection from other Federal and State agencies, institutions,
universities, and persons.
(4) SMALL FLOWS section
205(d) of this Act, from amounts that are set aside for a fiscal
year under section 205(i) of this Act and are not obligated by
the end of the 24-month period of availability for such amounts
under section 205(d), the Administrator shall make available
$1,000,000 or such unobligated amount, whichever Is less, to
support a national clearinghouse within the Environmental
Protection Agency to collect and disseminate information on
small flows of sewage and Innovative or alternative wastewater
treatment processes and techi iquea, consistent with paragraph
(3). This paragraph shall apply with respect to amounts set
aside under section 205(1) for which the 24-month period of
availability referred to in the preceding sentence ends on or
after September 80, 1986.
(r) The Administrator is authorized to make grants to colleges
and universities to conduct basic research into the structure and
function of fresh water aquatic ecosystems . and to improve under-
standing of the ecological charactenstics necessaly to the mainte-
nance of the chemical, physical, and biological integrity of fresh-
water aquatic ecosystems.
(a) The Administrator is authorized to make grants to one or
more institutions of higher education (regionally located and to be
designated as TM River Study Centers) for the purpose of conducting
and reporting on interdisciplinary studies on the nature of river
systems, including hydrology, biology, ecology, economics, the rela-
tionship between river uses and land uses, and the effects of devel-
opment within river basins on river systems and on the value of
water resources and water related activities. No such grant in any
fiscal year shall exceed $1,000 000.
(t) The Administrator shall, in cooperation with State and Fed-
eral agencies and public and private organi’ tion5 conduct con-
tinuing comprehensive studies of the effects and methods of control
of thermal discharges. In evaluating alternative methods of control
the studI e shall consl’ 1 ’ (1) such data as are available on the lat-
eat available technology, economic feasibility including cost-effec-
tiveness analysis, and (2) the total impact on the environment, con-
sidering not only water quality but also air quality, land use, and
effective utilization and conservation of fresh water and other natu-
ral resources. Such studies shall consider methods of minimizing
adverse effects and maximizing beneficial effects of thermal dis-
charges. The results of these studies shall be reported by the Ad-
ministrator as soon as practicable, but not later than 270 days
after enactment of this subsection, and shall be made available to
the public and the States, and considered as they become available
by the Administrator in carrying out section 316 of this Act and by
the State in proposing thermal water quality standards.
(u) There is authorized to be appropriated (1) not to exceed
$100,000,000 per fiscal year for the fiscal year ending June 30,
1973, the fiscal year ending June 30, 1974, and the fiscal year end-
ing June 30, 1975, not to exceed $14,039,000 for the fiscal year
ending September 30, 1980, not to exceed $20,697,000 for the fiscal
year ending September 30, 1981, not to exceed $22,770,000 for the
fiscal year ending September 30, 1982, such sums as may be nec-
essary for fiscal years 1983 through 1985, and not to exceed
$22,770,000 per fiscal year for each of the fiscal years 1986 through
1990, for carrying out the provisions of this section, other than sub-
sections (gXl) and (2), (p), (r), and (t), except that such authoriza-
tions are not for any research, development, or demonstration ac-
tivity pursuant to such provisions; (2) not to exceed $7,500,000 for
fiscal years 1973, 1974, and 1975. $2,000,000 for fiscal year 1977.
$3,000,000 for fiscal year 1978, $3,000,000 for fiscal year 1979,
$3,000,000 for fiscal year 1980, $3,000,000 for fiscal year 1981,
$3,000,000 for fiscal year 1982, such sums as may be necessary for
fiscal years 1983 through 1985, and $3,000,000 per fiscal year for
each of the fiscal years 1986 through 1990, for carrying out the pro-
visions of subsection (gXl); (3) not to exceed $2,500,000 for fiscal
years 1973, 1974. and 1975, $1,000,000 for fiscal year 1977,
$1,500,000 for fiscal year 1978, $1,500,000 for fiscal year 1979,
$1,500,000 for fiscal year 1980. $1,500,000 for fiscal year 1981,
$1,500,000 for fiscal year 1982, such sums as may be necessary for
fiscal years 1983 through 1985, and $1500000 per fiscal year for
each of the fiscal years 1986 through 1990, for carrying out the pro-
visions of subsection (?X2); (4) not to exceed $10,000,000 for each
of the fiscal years ending June 30, 1973, June 30, 1974, and June
30, 1975, for carrying out the provisions of subsection (p); (5) not
to exceed $15,000,000 per fiscal year for the fiscal years ending
June 30, 1973, June 30, 1974, and June 30, 1975, for carrying out
the provisions of subsection (r); and (6) not to exceed $10,000,000
per fiscal year for the fiscal years ending June 30, 1973, June 30,
1974, and June 30, 1975, for carrying out the provisions of sub-
section (t).
(33 U.S.C. 1254)
GRANTS FOR RESEARCH AND DEVELOPMENT
SEC. 106. (a) The Mvnirnntrator is authorized to conduct in the
Environmental Protection Agency. and to iranta to any
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Sec. 105 Sec. 105
FEDERAL WATER POLLUTION CONTROL ACT 1$
- 15
FEDERAL WATER POLLUTION CONTROL ACT
State, municipality, or mtermunicipal or interstate agency for the
purpose of assisting in the development of—
(1) any project which will demonstrate a new or improved
method of preventing, reducing, and eliminating the discharge
into any waters of pollutants from sewers which carry storm
water or both storm water and pollutants; or
(2) any project which will demonstrate advanced waste
treatment and water purification methods (including the tern-
porary use of new or improved chemical additives which pro.
yule substantial Immediate Improvement to existing treatment
processes), or new or Improved methods of joiut treatment sys-
tems for municipal and industrial wastes;
and to include in such grants such amounts as are necessary for
the purpose of reports, plans, and specifications in connection
therewith.
(b) The Administrator is authorized to make Fants to any
State or States or interstate agency to demonstrate, in river basins
or portions thereof, advanced treatment and environmental en-
hancement techniques to control pollution from all sources, within
such basins or portions thereof 1 including nonpoint sources, to-
gether with in stream water quality Improvement techniques.
(c) In order to carry out the purposes of section 301 of this Act,
the Administrator Is authorized to (1) conduct in the Environ-
mental Protection Agency, (2) make grants to persona, and (3)
enter into contracts with persons, for research and demonstration
projects for prevention of pollution of any waters by industry in-
cluding, but not limited to, the prevention, reduction and elimi-
nation of the discharge of pollutants. No grant shall f e made for
any project under this subsection unless the Administrator deter-
mines that such project will develop or demonstrate a new or im-
proved method of treating industrial wastes or otherwise prevent
pollution by Industry, which method shall have lnduBtrywide appli-
cation.
(d) In carrying out the provisions of this section, the Adminis-
trator shall conduct, on a priority basis, an accelerated effort to de-
velop, refine, and achieve practical application of
(1) waste management methods applicable to point and
nonpoint sources of pollutants to eliminate the discharge of
pollutants, Including, but not limited to, elimination of runoff
of pollutants and the effects of pollutants from inpiace or accu-
mulated sources
(2) advanceã waste treatment methods applicable to point
and nonpoint sources, including luplace or accumulated sources
of pollutants, and methods for reclaiming and recycling water
and co v’ ”g pollutants so they will not migrate to cause
water or other environmental pollution; and
(3) Improved methods and procedures to identify and
measure the effects of pollutants on the chemical, physical, and
biological lntegri( ’ of water, Including those pollutants created
by new technological developments.
(eXi) The Administrator is authorized to (A) make, in consulta-
tion with the Secretary of Agriculture, grants to persona for re-
search arid demonstration projects with respect to new and Im-
proved methods of preventing, reducing. and elb ”ln4 i ng pollution
from agriculture, and (B) disseminate, in cooperation with the Sec-
retary of Agriculture, such information obtained under this sub-
section, section 10 4 (p), and section 304 as will encourage and en-
able the adoption of such methods in the agricultural industry.
(2) The Administrator is authorized, (A) in consultation with
other interested Federal agencies, to make grants for demonstra-
tion projects with respect to new and improved methods of prevent-
ing, reducing, storing, collecting, treating, or otherwise eliminating
pollution from sewage in rural and other areas where collection of
sewage in conventional, community-wide sewage collection systems
is impractical, uneconomical, or otherwise infeasible, or where soil
conditions or other factors preclude the use of septic tank and
drainage field systems, and (B) in cooperation with other interested
Federal and State agencies, to disseminate such information ob-
tained under this subsection as will encourage and enable the
adoption of new and improved methods developed pursuant to this
subsection.
(I) Federal grants under subsection (a) of this section shall be
subject to the following limitations:
(1) No grant shall be made for any project unless such
project shall have been approved by the appropriate State
water pollution control agency or agencies and by the Adminis-
trator,
(2) No grant shall be made for any project in an amount
exceeding 75 per centum of cost thereof as determined by the
Administrator; and
(3) No grant shall be made for any project unless the Ad-
ministrator determines that such project will serve as a useful
demonstration for the purpose set forth in clause (1) or (2) of
subsection (a).
(g) Federal grants under subsections (c) and (d) of this section
shall not exceed 75 per centum of the cost of the project.
(h) For the purpose of this section there is authorized to be ap-
propriated $75,000,000 per fiscal year for the fiscal year ending
June 30, 1973, the fiscal year ending June 30, 1974, and the fiscal
year ending June 30, 1975, and from such appropriations at least
10 per centum of the funds actually appropriated in each fiscal
year shall be available only for the purposes of subsection (e).
(1) The Administrator is authorized to make grants to a mu-
nicipality to assist in the costs of operating and mainthinilig a
project which received a grant under this section, section 104, or
section 113 of this Act prior to the date of enactment of this sub-
section so as to reduce the operation and maintenance costs borne
by the recipients of services from such project to costs comparable
to those for projects assisted under title II of this Act.
(j) The Administrator Is authorized to make a grant to any
grantee who received an increased grant pursuant to section
202(aX2) of this Act. Such grant may pay up to 100 per centum of
the costs of technical evaluation of the operation of the treatment
works, costs of trab ing of persons (other than employees of the
grantee), and costa of dissemi ting technical information on the
operation of the treatment works.
(U U.S.C. 1261)
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11 FEDERAL WATER POU.UTION CONTROL ACT
Sec. 106 Sac. 101
FEDERAL WATER POWITION CONTROL ACT 18
GRANTE FOR POLLUTION CONTROL PROGRAMS
SEc. 106. (a) There are hereby authorized to be appropriated
the following sums, to remain available until expended, to carry
out the purposes of this section—
(1) $60,000,000 for the fiscal year ending June 30, 1973;
and
(2) $76,000,000 for the fiscal year ending June 30, 1974,
and the fiscal year ending June 30, 1975, $100,000,000 per fla.
cal year for the fiscal years 1977, 1978, 1979, and 1980,
$75,000,000 per fiscal year for the fiscal years 1981 and 1982,
such sums as may be necessary for fiscal years 1983 through
1985, and $75,000,000 per fiscal year for each of the fiscal
years 1986 through 1990;
for grants to States and to interstate agencies to assist them in ad.
ministering programs for the prevention, reduction, and elimi-
nation of pollution, including enforcement directly or through ap-
propriate State law enforcement officers or agencies.
(b) From the sumá appropriated in any fiscal year, the Admin-
istrator shall make allotments to the several States and interstate
agencies in accordance with regulations promulgated by him on the
basis of the extent of the pollution problem in the respective States.
(c) The Administrator is authorized to pay to each State and
interstate agency each fiscal year either—
(1) the allotment of such State or agency for such fiscal
- year under subsection (b), or
(2) the reasonable costs as determined by the Adminis-
trator of developing and carrying out a pollution program by
such State or agency during such fiscal year,
whichever amount is the lesser.
(d) No grant shall be made under this section to any State or
interstate agency for any fiscal year when the expenditure of non-
Federal funds by such State or interstate agency during such fiscal
year for the recurrent expenses of carrying out its pollution control
program are less than the expenditure by such State or interstate
agency of non-Federal funds for such recurrent program expenses
during the fiscal year ending June 30, 1971.
(e) Beginning in fiscal year 1974 the Administrator shall not
make any grant under this section to any State which has not pro-
vided or is not carrying out as a part of its program—
(1) the establishment and operation of appropriate devices,
methods, systems, and procedures necessary to monitor, and to
compile and analyze data on (including classification according
to eutrophic condition), the quality of navigable waters and to
the extent practicable, ground waters including biological mon-
itoring; and provision for annually updating such data and in-
cluding it in the report required under section 305 of this Act;
(2) authority comparable to that in section 504 of this Act
and adequate contingency plans to implement such authority.
(f) Grants shall be made under this section on condition that,—
(1) Such State (or interstate agency) filed with the Admin-
istrator within one hundred and twenty days after the date of
‘actment of this section:
(A) a summary report of the current status of the
State-pollution control program, including the criteria used
by the State in determining priority of treatment works;
and
(B) such additional information, data, and reports as
the Administrator may require..
(2) No federally assumed enforcement as defined in section
309(aX2) is in effect with respect to such State or interstate
agency.
(3) Such State (or interstate agency) submits within one
hundred and twenty days after the date of enactment of this
section and before July 1 of each year thereafter for the Ad-
ministrator’s approval of its program for the prevention, reduc-
tion, and elimination of pollution in accordance with purposes
and provisions of this Act in such form and content as the Ad-
ministrator may prescribe.
(g) Any sums allotted under subsection (b) in any fiscal year
which are not paid shall be reallotted by the Administrator in ac-
cordance with regulations promulgated by him.
(33 U.S.C. 1256)
MINE WATER POLLUTION CONTROL DEMONSTRATIONS
SEC. 107. (a) The Administrator in cooperation with the Appa-
lachian Regional Commission and other Federal agencies is author-
ized to conduct, to make grants for, or to contract for, projects to
demonstrate comprehensive approaches to the elimination or con-
trol of acid or other mine water pollution resulting from active or
abandoned mining operations and other environmental pollution af-
fecting water quality within all or part of a watershed or river
basin, including siltation from surface mining. Such projects shall
demonstrate the engineering and economic feasibility and practical-
ity of various abatement techniques which will contribute substan-
tially to effective and practical methods of acid or other mine water
pollution elimination or control, and other pollution affecting water
quality, including techniques that demonstrate the engineering and
economic feasibility and practicality of using sewage sludge mate-
rials and other municipal wastes to diminish or prevent pollution
affecting water quality from acid, sedimentation, or other pollut-
ants and in such projects to restore affected lands to usefulness for
forestry, agriculture, recreation, or other beneficial purposes.
(b) Prior to undertaking any demonstration project under this
section in the Appalachian region (as defined in section 403 of the
Appalachian Regional Development Act of 1965, as amended), the
Appalachian Regional Commission Bhall determine that such dem-
onstration project is consistent with the objectives of the Appalach-
ian Regional Development Act of 1965, as amended.
(c) The Administrator, in selecting watersheds for the purposes
of this section, shall be satisfied that the project area will not be
affected adversely by the influx of acid or other mine water pollu-
tion from nearby sources.
(d) Federal participation in such projects shall be subject to the
conditions—
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19 FEIIERAL WAlER POUUIION CONTROL ACT
Sec. 108 Sec. 109
FEDERAL WATER POLLUTION CONTROL ACT 20
(1) that the State shall acquire any land or interests there-
in necessary for sUch project; and
(2) that the State shall provide legal and practical protec-
tion to the project area to insure against any activities which
will cause future acid or other mine water pollution.
(e) There Is authorized to be appropriated $30,000,000 to carry
out the provisions of this section, which sum shall be available
until expended.
(33 U.S.C. 1251)
POLLUTION CONTROL IN GREAT LA1 S
SEc. 108. (a) The Administrator, in cooperation with other Fed-
eral departments, agencies, and Instrumentalities is authorized to
enter into agreements with any State, political subdivision, inter-
state agency, or other public agency, or combination thereof, to
carly out one or more projects to demonstrate new methods and
techniques and to develop preliminary plans for the elimination or
control of pollution, within all or any part of the watersheds of the
Great Lakes. Such projects shall demonstrate the engineering and
economic feasibility and practicality of removal of pollutants and
prevention of any polluting matter from entering into the Great
Lakes in the future and other reduction and remedial techniques
which will contribute substantially to effective and practical meth-
ods of pollution prevention, reduction, or elimination.
(b) Federal participation in such projects shall be subject to the
condition that the State, political subdivision, interstate agency, or
other public agency or combination thereof, shall pay not less than
25 per centum of the actual pro ect costs, which payment may be
in any form, including, but not limited to, land or interests therein
that is needed for the project, and personal property or services the
value of which shall be determined by the Administrator.
(c) There is authorized to be appropriated $20,000,000 to carry
out the provisions of subsections (a) and (b) of this section, which
sum shall be available until expended.
(dXl) In recognition of the serious conditions which exist in
Lake Erie, the Secretary of the Army, acting through the Chief of
Engineers, Is directed to design and develop a demonstration waste
water management program for the rehabilitation and environ-
mental repair of Lake Erie. Prior to the initiation of detailed engi-
neering and design, the program, along with the specific rec-
ommendations of the Chief of Engineers and recommendations for
its financing, shall be submitted to the Congress for statutory ap-
proval. This authority is in addition to, and not in lieu of, other
waste water studies aimed at eliminating pollution emanating from
select sources around Lake Erie.
(2) This program is to be developed in cooperation with the En-
vironmental Protection Agency, other Interested departments,
agencies, and instrumentalities of the Federal Government, and
the States and their political subdivisions. This program shall set
forth alternative systems for managing waste water on a regional
basis and shall provide local and State governments with a range
of choice as to the type of system to be used for the treatment of
waste water. These alternative systems shall include both ad-
vanced waste treatment technology and land disposal systems in-
cluding aerated treatment-spray irrigation technology and will also
include provisions for the disposal of solid wastes, including sludge.
Such program should include measures to control point sources of
pollution, area sources of pollution, including acid-mine draina e,
urban runoff and rural runoff, and in place sources of pollution, in-
cluding bottom loads, sludge banks, and polluted harbor dredgings.
(e) There is authorized to be appropriated $5,000,000 to carry
out the provisions of subsection Cd) of this section, which sum shall
be available until expended.
(33 U.S.C. 1258)
TRAINING GRANTS AND CONTRACTS
SEC. 109. (a) The Administrator is authorized to make grants
to or contracts with institutions of higher education, or combina-
tions of such institutions, to assist them in planning, developing,
strengthening, improving, or carrying out programs or projects for
the preparation of undergraduate students to enter an occupation
which involves the design, operation, and maintenance of treat-
ment works, and other facilities whose purpose is water quality
control. Such grants or contracts may include payment of all or
part of the cost of programs or projects such as—
(A) planning for the development or expansion of programs
or projects for training persons in the operation and mainte-
nance of treatment works;
(B) training and retraining of faculty members;
(C) conduct of short-term or regular session institutes for
study by persons engaged in, or preparing to engage in, the
preparation of students preparing to enter an occupation in-
volving the operation and maintenance of treatment works;
CD) carrying out innovative and experimental programs of
cooperative education involving alternate periods of full-time or
part-time academic study at the institution and periods of full-
time or part-time employment involving the operation and
maintenance of treatment works; and
(E) research into, and development of, methods of training
students or faculty, including the preparation of teaching mate-
rials and the planning of curriculum.
(bXl) The Administrator may pay 100 per centuxn of any addi-
tional cost of construction of treatment works required for a facility
to train and upgrade waste treatment works operation and mainte-
nance personnel and for the costs of other State treatment works
operator training programs, including mobile training units, class-
room rental, specialized instructors, and instructional material.
(2) The Administrator shall make no more than one grant for
such additional construction in any State (to serve a group of
States, where, in his judgment, efficient training programs require
multi-State programs), and shall make such grant after consulta-
tion with and approval by the State or State8 on the basis of (A)
the suitability of such facility for training operation and mainte-
nance personnel for treatment works throughout such State or
States; and (B) a commitment by the State agency or agencies to
carry out at such facility a program of tr ning approved by the Ad-
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21 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 110 Sec. 111
FEDERAL WATER POLLUTION CONTROL ACT 22
ministrator. In any case where a grant is made to serve two or
more States, the Administrator 1. authorized to make an additional
grant for a supplemental facility in each such State.
(3) The Administrator may make such grant out of the sums
allocated to a State under section 205 of this Act, except that in
no event shall the Federal coat of any such training facilities ex-
ceed $500,000.
(4) The Administrator may exempt a grant under this section
from any requirement under section 204(aX3) of this Act. Any
grantee who received a grant under this section prior to enactment
of the Clean Water Act of 1977 shall be eligible to have its grant
increased by funds made available under such Act.
(33 U.S.C. 1259)
APPLICATION FOR TRAINING GRANT OR CONTRACT; ALLOCATION OF
GRANTS OR CONTRACTS
SEC. 110. (1) A grant or contract authorized by section 109 may
be made only upon application to the Administrator at such time
or times and containing such information as he may prescribe, ex-
cept that no such application shall be approved unless it—
(A) sets forth programs, activities, research, or develop-
ment for which a grant is authorized under section 109 and de-
scribes the relation to any program set forth by the applicant
in an application, if any, submitted pursuant to section 111;
(B) provides such fiscal control and fund accounting proce-
dures as may be necessary to assure proper disbursement of
and accounting for Federal funds paid to the applicant under
this section; and
(C) provides for making such reports, in such form and
containing such information, as the Administrator may require
to carry out his functions under this section, and for keeping
such records and for affording such access thereto as the Ad-
ministrator may find necessary to assure the correctness and
verification of such reports.
(2) The Administrator shall allocate grants or contracts under
section 109 in such manner as will most nearly provide an equi-
table distribution of the grants or contracts throughout the United
States among institutions of higher education which show promise
of being able to use funds effectively for the purpose of this section.
(3XA) Payments under this section may be used in accordance
with regulations of the Administrator, and subject to the terms and
conditions set forth in an application approved under paragraph
(1), to pay part of the compensation of students employed in con-
nection with the operation and maintenance of treatment works,
other than as an employee in connection with the operation and
maintenance of treatment works or as an employee in any branch
of the Government of the United States, as part of a program for
which a grant has been approved pursuant to this section.
(B) Departments and agencies of the United States are encour-
aged, to the extent consistent with efficient Atlminiiitration, to
enter into arrangements with institutions of higher education for
the full-time, part-time, or temporary employment, whether in the
competitive or excepted service, of students enrolled in programs
set forth in applications approved under paragraph (1).
(33 U.S.C. 1260) -
AWARD OF SCHOLARSHIPS
SEC. 111. (1) The Administrator is authorized to award schol-
arships in accordance with the provisions of this section for under-
graduate study by persons who plan to enter an occupation involv-
ing the operation and maintenance of treatment works. Such schol-
arships shall be awarded for such periods as the Administrator
may determine but not to exceed four academic years.
(2) The Administrator shall allocate scholarships under this
section among institutions of higher education with programs ap-
proved under the provisions of this section for the use of individ-
uals accepted into such programs, in such manner and accordance
to such plan as will insofar as practicable—
(A) provide an equitable distribution of such scholarships
throughout the United States; and
(B) attract recent graduates of secondary schools to enter
an occupation involving the operation and maintenance of
treatment works.
(3) The Administrator shall approve a proçram of any institu-
tion of higher education for the purposes of this section only upon
application by the institution and only upon his finding—
(A) that such program has as a principal objective the edu-
cation and training of persona in the operation and mainte-
nance of treatment works;
(B) that such program is in effect and of high quality, or
can be readily put into effect and may reasonably be expected
to be of high quality;
(C) that the application describes the relation of such pro-
gram to any program, activity, research, or development set
forth by the applicant in an application, if any, submitted pur-
suant to section 110 of this Act; and
(D) that the application contains satisfactory assurances
that (i) the institution will recommend to the Administrator for
the award of scholarships under this section, for study in such
program, only persons who have demonstrated to the satisfac-
tion of the institution a serious intent, upon completing the
program, to enter an occupation involving the operation and
maintenance of treatment works, and (ii) the institution will
make reasonable continuing efforts to encourage recipients of
scholarships under this section, enrolled in such program, to
enter occupations involving the operation and maintenance of
treatment works upon completing the program.
(4XA) The Administrator shall pay to persons awarded scholar-
ships under this section such stipends (including such allowances
for subsistence and other expenses for such persona and their de-
pendents) as he may determine to be consistent with prevailing
practices under comparable federally Bupported programs.
(B) The Administrator shall (in addition to the stipends paid
to persons under paragraph (1)) pay to the institution of higher
education at which such person is pursuing his course of study
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23 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 113 Sec. 113
FEDERAL WATER POLLUTION CONTROL ACT 24
such amount as be may determine to be consistent with prevailing
practices under comparable federally supported programs.
(5) A person awarded a scholarship under the provisions of this
section shall continue to receive the payments provided in this sec-
tion only during such periods as the Administrator finds that he is
maintaining satisfactory proficiency and devoting full time to study
or research in the field in which such scholarship was awarded in
an institution of higher education, and is not engaging in gainful
employment other than employment approved by the Administrator
by or pursuant to regulation.
(6) The Administrator shall by regulation provide that any per-
son awarded a scholarship under this section shall agree in writing
to enter and remain in an occupation involving the desi n, oper-
ation or maintenance of treatment works for such period after
comp’etion of his course of studies as the Administrator determine8
appropriate.
(33 U.S.C. 1261)
DEFINmoNs AND AUTHORIZATION8
SEc. 112. (a) As used in sections 109 through 112 of this Act—
(1) The term “institution of higher education” means an
educational institution described in the first sentence of section
1201 of the Higher Education Act of 1965 (other than an insti-
tution of any agency of the United States) which is accredited
by a nationally recopuzed accrediting agency or association ap-
proved by the Administrator for this purpose. For purposes of
this subsection, the Administrator shall publish a list of na-
tionally recognized accrediting agencies or associations which
he determines to be reliable authority as to the quality of
training offered.
(2) The term “academic yeaf means an academic year or
its eq ilvalent, as determined by the Administrator.
(b) The Administrator shall annually report his activities
under sections 109 through 112 of this Act, including recommenda-
tions for needed revisions in the provisions thereof.
(c) There are authorized to be appropriated $25,000,000 per fis-
cal year fbr fiscal years ending June 30, 1973, June 30, 1974, and
June 30, 1975, $6,000,000 for the fiscal year ending September 30.
1977, $7,000 000 for the fiscal year ending September 30, 1978,
$7,000,000 I or the fiscal year ending September 30, 1979,
*7,000,000 for the fiscal year ending September 30, 1980,
7,000,000 for the fiscal year ending September 30, 1981,
$7,000,000 for the fiscal year ending September 30, 1982, such
sums as may be necessary for fiscal years 1983 through 1985, and
$7,000,000 per fiscal year for each of the fiscal years 1986 through
1990, to carry out sections 109 through 112 of this Act.
(33 U.S.C. 1262)
ALASKA VILLAGE DEMONSTRATION PROJECTS
SEc. 113. (a) The Administrator is authorized to enter into
agreements with the State of Alaska to carry out one or more
projects to demonstrate methods to provide for central community
facilities for safe water and .limi1 nt1On or control of pollution in
those native villages of Alaska without such facilities. Such project
shall include provisions for community safe water supply systems,
toilets, bathing and laundry facilities, sewage disposal facilities,
and other similar facilities,, and educational and informational fa-
cilities and programs relating to health and hygiene. Such dem-
onstration projects shall be for the further purpose of developing
preliminary plans for providing such Bafe water and such elimi-
nation or control of pollution for all native villages in such State.
(b) In carrying out this section the Administrator shall cooper-
ate with the Secretary of Health, Education, and Welfare for the
purpose of utilizing such of the personnel and facilities of that De-
partment as may be appropriate.
(c) The Administrator shall report to Congress not later than
July 1, 1973, the results of the demonstration projects authorized
by this section together with his recommendations, including and
necessary legislation, relating to the establishment of a statewide
program.
(d) There is authorized to be appropriated not to exceed
$2,000,000 to carry out this section. In addition, there is authorized
to be appropriated to carry out this section not to exceed $200,000
for the fiscal year ending September 30, 1978, and $220,000 for the
fiscal year ending September 30, 1979.
(e) The Administrator is authorized to coordinate with the Sec-
retary of the Department of Health, Education, and Welfare, the
Secretary of the Department of Housing and Urban Development,
the Secretary of the Department of the Interior, the Secretary of
the Department of Agriculture, and the heads of any other depart-
ments or agencies he may deem appropriate to conduct a joint
study with representatives of the State of Alaska and the appro-
priate Native organizations (as defined in Public Law 92—203) to
develop a comprehensive program for achieving adequate sanita-
tion services in Alaska villages. This study shall be coordinated
with the programs and projects authorized by sections 104(q) and
105(eX2) of this Act. The Administrator shall submit a report of the
results of the study, together with appropriate supporting data and
such recommendations as he deems desirable, to the Committee on
Environment and Public Works of the Senate and to the Committee
on Public Works and Transportation of the House of Representa-
tives not later than December 31, 1979. The Administrator shall
also submit recommended administrative actions, procedures, and
any proposed legislation necessary to implement the recommenda-
tions of the study no later than June 30, 1980.
(I) The Administrator is authorized to provide technical, finan-
cial and management assistance for operation and maintenance of
the demonstration projects constructed under this section, until
such time as the recommendations of subsection (e) are imple-
mented.
(g) For the purpose of this section, the term uvillagen shall
mean an incorporated or unincorporated community with a popu-
lation of ten to six hundred people living within a two-mile radius.
The term “sanitation services” shall mean water supply, sewage
disposal, solid waste disposal and other services necessary to main-
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25 FEDERAl. WATER.. POLLUTION CONTROL ACT
Sec. 116
tam generally accepted standards of personal hygiene and public
health. . -
(33 U.S.C. 1263)
LAKE TAHOE STUDY
SEc. 114. (a) The Administrator, in consultation with the
Tahoe Regional Planning Agency, the Secretary of Agriculture,
other Federal agencies, representatives of State and local govern-
ments, and members of the public, shall conduct a thorough and
complete atudy on the adequacy of and need for extending Federal
oversight and control in order to preserve the fragile ecology of
Lake Tahoe.
(b) Such study shall include an examination of the inter-
relationships and responsibilities of the various agencies of the
Federal Government and State and local governments with a view
to establishing the necessity for redefinition of legal and other ar-
rangements between these various governments, and making spe-
cific legislative recommendations to Congress. Such study shall
consider the effect of various actions in terms of their environ-
mental impact on the Tahoe Basin, treated as an ecosystem.
(c) The Administrator shall report on such study to Congress
not later than one year after the date of enactment of this sub-
section.
(d) There is authorized to be appropriated to carry out this sec-
tion not to exceed $500,000.
(33 U.S.C. 1254)
IN-PLACE TOXIC POLLutANTS
SEC. 115. The Administrator is directed to identify the location
of in-place pollutants with emphasis on tosic pollutants in harbors
and navigable waterways and Is authorized, acting through the
Secretary of the Army, to make contracts for the removal and ap-
propriate disposal of such materials from critical port and harbor
areas. There is authorized to be appropriated $15,000,000 to carry
out the provisions of this section, which sum shall be available
until expended.
(33 U.S.C. 1265)
HUDSON RIVER PCH RECLAMATION DEMONSTRATION PROJECt
SEC. 116. (a) The Administrator is authorized to enter into con-
tracts and other agreements with the State of New York to carry
out a project to demonstrate methods for the selective removal of
polychiorinated biphenyls contaminating bottom sediments of the
Hudson River, treating such sediments as required, burying such
sediments in secure landfills, and Installing monitoring systems for
such landfills. Such demonstration project shall be for the purpose
of determining the feasibility of indefinite storage in secure land-
fills of toxic subatances and of ascertaining the improvement of the
rate of recovery of a toxic contaminated national waterway. No pol-
lutants removed pursuant to this paragraph shall be placed in any
landfill unless the Mmi ’ii trator first determines that disposal of
the pollutants in such landfill would provide a higher standard of
-‘rotection of the public health, safety, and welfare than disposal -
Sec. 117 FEDERAL WATER ‘OU.UTION CONTROL ACT
such pollutants by any other method including, but not limited to,
incineration or a chemical destruction process.
(b) The Administrator is authorized to make grants to the
State of New York to carry out this section from funds allotted to
such State under section 205(a) of this Act, except that the amount
of any such grant shall be equal to 75 per centum of the cost of
the project and such grant shall be made on condition that non-
Federal sources provide the remainder of the cost of such project.
The authority of this section shall be available until September 30,
1983. Funds allotted to the State of New York under section 205(a)
shall be available under this subsection only to the extent that
funds are not available, as determined by the Administrator, to the
State of New York for the work authorized by this section under
section 115 or 311 of this Act or a comprehensive hazardous sub-
stance response and clean up fund. Any funds used under the au-
thority of this subsection shall be deducted from any estimate of
the needs of the State of New York prepared under section 616(b)
of this Act. The Administrator may not obligate or expend more
than $20,000,000 to carry out this section.
(33 U.S.C. 1266)
SEC. 117. CHESAPEAKE BAY.
(a) OFFICE.—The Administrator shall continue the Chesapeake
Bay Program and shall establish and maintain the Environmental
Protection Agency an office, division, or branch of Chesapeake Bay
Programs to—
(1) collect and make available, through publications and
other appropriate means, information pertaining to the envi-
ronmental quality of the Chesapeake Bay (hereinafter in this
subsection referred to as the “Bay”);
(2) coordinate Federal and State efforts to improve the
water quality of the Bay;
(3) determine the impact of sediment deposition in the Bay
and identify the sources, rates, routes, and distribution pat-
terns of such sediment deposition; and
(4) determine the impact of natural and man-induced envi-
ronmental changes on the living resources of the Bay and the
relationships among such changes with particular emphasis
placed on the Impact of pollutant loadings of nutrients, chlo-
rine, acid precipitation, dissolved oxygen, and toxic pollutants,
including organic chemicals and heavy metals, and with special
attention given to the impact of such changes on striped bass.
(b) INTERSTATE DEVELOPMENT Pi Ga .—
(1) ALrrHoiury.—The Administrator shall, at the request of
the Governor of a State affected by the interstate management
plan developed pursuant to the Chesapeake Bay Program
(hereinafter in this section referred to as the “plan”), make a
grant for the purpose of implementing the management mecha-
nisms contained in the plan if such State has, within 1 year
alter the date of the enactment of this section, approved and
committed to implement all or substantially all aspects of the
plan. Such grants shall be made subject to such terms and con-
ditions as the A.Imini*trator considers appropriate.
26
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27 — -- FEDERAL WAlER POWITION CONTROL ACT
Sec. ITO Sec. 118
FEDERAL WATER POLLUTION CONTROL ACT 28
(2) SuBMISSIoN OF PROPOSAL—A State or combination of
States may elect to avail itself of the benefits of this subsection
by submitting to the Administrator a comprehensive proposal
to implement management mechanisms contained in the plan
which shall include (A) a description of proposed abatement ac-
tions which the State or combination of States commits to take
within a specified time period to reduce pollution in the Bay
and to meet applicable water quality standards, and (B) the es-
timated cost of the abatement actions proposed to be taken
during the next fiscal year. If the Administrator finds that
such proposal is consistent with the national policies set forth
in section 101(a) of this Act and will contribute to the achieve-
ment of the national goals set forth in such section, the Admin-
istrator shall approve such proposal and shall finance the coats
of implementing segments of such proposal.
(3) FEDERAL SHARE—Grants under this subsection shall
not exceed 50 percent of the costs of implementing the manage-
ment mechanisms contained in the plan in any fiscal year and
shall be made on condition that non-Federal sources provide
the remainder of the cost of implementing the management
mechanisms contained In the plan during such fiscal year.
(4) ADMINISTRATIVE COSTS.—Administrative coats in the
form of salaries, overhead, or indirect costs for services pro-
vided and charged against programs or projects supported by
funds made available under this subsection shall not exceed in
any one fiscal year 10 percent of the annual Federal grant
made to a State under this subsection.
(c) RxPowrs.—Any State or combination of States that receives
a grant under subsection (b) shall, within 18 months after the date
of receipt of such grant and biennially thereafter, report to the Ad-
ministrator on the progress made in implementing the interstate
management plan developed pursuant to the Chesapeake Bay Pro-
gram. The Administrator shall transmit each such report along
with the comments of the Administrator on such report to Con-
gress.
(d) AUTHORIZATION OF APPROPRIATIONS.—There are hereby au-
thorized to be appropriated the following sums, to remain available
until expended, to carry out the purposes of this section:
(I) $3,000,000 per fiscal year for each of the fiscal years
1987, 1988, 1989, and 1990, to carry out subsection (a); and
(2) $10,000,000 per fiscal year for each of the fiscal years
1987, 1988, 1989, and 1990, for grants to States under sub-
section (b).
(33 U.S.C. 1267)
SEC. 118. GREAT LA
(a) FINDINGS, PURPOSE, AND DEFINITIONS.—
(1) FINDINCS.—The Congress finds that—
(A) the Great Lakes are a valuable national resource
continuously serving the people of the United States anJ
other nations as an important source of food, fresh water,
recreation, beauty, and enjoyment;
(B) the United States should seek to attain the goals
embodied in the Great Lakes Water Quality Agreement of
1978, as amended by the Water Quality Agreement of
1987 and any other agreements and amendments, with
particular emphasis on goals related to toxic pollutants;
and
(C) the Environmental Protection Agency should take
the lead in the effort to meet those goals, working with
other Federal agencies and State and local authorities.
(2) PURPOSE.—It is the purpose of this section to achieve
the goals embodied in the Great Lakes Water Quality Agree-
ment of 1978, as amended by the Water Quality Agreement of
1987 and any other agreements and amendments, through im-
proved organization and definition of mission on the part of the
Agency, funding of State grants for pollution control in the
Great Lakes area, and improved accountability for implemen-
tation of such agreement.
(3) DEFINITIONS.—Fot- purposes of this section, the trm—
(A) “Agency” means the Environmental Protection
Agency;
(B) “Great Lakes” means Lake Ontario, Lake Erie,
Lake Huron (including Lake St. Clair), Lake Michigan,
and Lake Superior, and the connecting channels (Saint
Mary’s River, Saint Clair River, Detroit River, Niagara
River, and Saint Lawrence River to the Canadian Border);
(C) “Great Lakes System” means all the streams, riv-
ers, lakes, and other bodies of water within the drainage
basin of the Great Lake
(D) “Program Office means the Great Lakes National
Program Office established by this section;
(E) “Research Office” means the Great Lakes Research
Office established by aubsection (d);
(F) “area of concern” means a geographic area located
within the Great Lakes, in which beneficial uses are im-
paired and which has been officially designated as such
under Annex 2 of the Great Lakes Water Quality Agree-
ment;
(G) “Great Lakes States” means the States of Illinois,
Indiana, Michigan, Minnesota, New York, Ohio, Penn-
sylvania, and Wisconsin;
(H) “Great Lakes Water Quality Agreement” means
the bilateral agreement, between the United States and
Canada which was signed in 1978 and amended by the
Protocol of 1987-
(I) “Lakewiie Management Plan” means a written dec.
wnent which embodies a systematic and comprehensive
ecosystem approach to restoring and protecting the bene-
ficial uses of the open waters of each of the Great Lakes,
in accordance with article VI and Annex 2 of the Great
Lakes Water Quality Agreement; and
(J) “Remedial Action Plan” means a written document
which embodies a systematic and comprehensive eco-
system approach to restoring and protecting the beneficial
uses of areas of concern, in accordance with article VI and
Annex 2 of the Great I. fr,s Water Quality Agreement.
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29 FEDERAL WATER POWIIION CONTROL ACT
Sc. 118 Sec. 118
FEDERAL WATER POLLUTION CONTROL ACT 30
(b) GREAT LAKES NATIONAL PROGRAM OFFICE.—The Great
Lakes National Program Office (previously established by the Ad-
ministrator) is hereby established within the Agency. The Program
Office shall be headed by a Director who, by reason of management
experience and technical expertise relating to the Great Lakes, is
highly qualified to direct the devel9pment of programs and plane
on a variety of Great LnIr i 5 issues. The Great Lakes National Pro-
gram Office shall be located in a Great Lakes State.
(c) Ga&ir LAKES MANAGEMENT.—
(1) FUNCTIONS.—The Program Office shall—
(A) in cooperation with appropriate Federal, State,
tribal, and international agencies, and in accordance with
section 10 1(e) of this Act, develop and implement pecific
action plans to cariy out the responsibilities of the United
States under the Great Lakes Water Quality Agreement of
1978, as amended by the Water Quality Agreement of
1987 and any other agreementa and amendments,;’
(B) establish a Great Lakes system-wide surveillance
network to monitor the water quality of the Great Lakes,
with specific emphitme on the monitoring of toxic pollut-
ants;
(C) serve as the liaison with, and provide information
to, the Canadian members of the International Joint Com-
mission and the Canadian counterpart to the Agency;
(D) coordinate actions of the Agency (including actions
by headquarters and regional offices thereof) aimed at im-
proving Great Lakes water quality; and
(E) coordinate actions of the Agency with the actions
of other Federal agencies and State and local authorities,
so as to ensure the input of those ajencies and authorities
in developing water quality strategies and obtain the su
port of those agencies and authorities in achieving the o
pectives of such agreement.
(2) Ga&ir LAKES WATER QUALITY GUIDANCE.—
(A) By June 30, 1991, the Administrator, after con-
sultation with the Program Office, shall publish in the
Federal Register for public notice and comment proposed
water quality guidance for the Great Lakes System. Such
guidance shall conform with the objectives and provisions
of the Great Lakes Water Quality Agreement, shall be no
less restrictive than the provisions of this Act and national
water quality criteria and guidance, shall specify numeri-
cal limits on pollutants in ambient Great Lakes waters to
protect human health, aquatic life, and wildlife, and shall
provide guidance to the Great Lakes States on minimum
water quality standards, antidegradation policies, and im-
plementation procedures for the Great Lakes System.
(B) By June 30, 1992, the Administrator, in consulta-
tion with the Program Office, shall publish in the Federal
Register, pursuant to this section and the Administrator’s
authority under this chapter, final water quality guidance
for the Great LRLes System.
‘8.. P.1. 100483, .tins lOO&
(C) Within twojrears after such Great Lakes guidance
is published the Great Lakes States shall adopt water
quality standards, antidegradation policies, and implemen-
tation procedures for waters within the Great Lakes Sys-
tem which are consistent with such guidance. It a Great
Lakes State fails to adopt such standards, policies, and
procedures, the Administrator shall promulgate them not
later than the end of such two-year period. When review-
ing any Great Lakes State’s water quality plan, the agency
shall consider the extent to which the State has complied
with the Great Lakes guidance issued pursuant to this sec-
tion.
(3) REMEDIAL ACTION PLANS.—
(A) For each area of concern for which the United
States has agreed to draft a Remedial Action Plan, the
Program Office shall ensure that the Great Lakes State in
which such area of concern is located—
(i) submits a Remedial Action Plan to the Program
Office by June 30, 1991;
(ii) submits such Remedial Action Plan to the
International Joint Commission by January 1, 1992;
and
(iii) includes such Remedial Action Plans within
the State’s water quality plan by January 1, 1993.
(B) For each area of concern for which Canada has
agreed to draft a Remedial Action Plan, the Program Of-
fice shall, pursuant to subparagraph (cX IXC) of this sec-
tion, work with Canada to assure the submission of such
Remedial Action Plans to the International Joint Commis-
aion by June 30, 1991, and to finalize such Remedial Ac-
tion Plans by January 1, 1993.
(C) For any area of concern designated as such subse-
quent to the enactment of this Act, the Program Office
shall (i) if the United States baa agreed to draft the Reme-
dial Action Plan, ensure that the Great Lakes State in
which such area of concern is located submits such Plan to
the Program Office within two years of the area’s designa-
tion, submits it to the International Joint Commission no
later than six months after submitting it to the Program
Office, and includes such Plan in the State’s water quality
plan no later than one year after submitting it to the Com-
mission; and (ii) if Canada has agreed to draft the Reme-
dial Action Plan, work with Canada, pursuant to subpara-
graph (cX1XC) of this section, to ensure the submission of
such Plan to the International Joint Commission within
two years of the area’s designation and the finalization of
such Plan no later than eighteen months after submitting
it to such Commission.
CD) The Program Office shall compile formal comments
on individual Remedial Action Plane made by the Inter-
national Joint Commission pursuant to section 4(d) of
Annex 2 of the Great Liikee Water Quality Agreement and,
-upon request by a member of the public, shall make such
comments available for inspection and copying. Thu ‘
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21 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 118 Sec. 118
FEDERAL WATER POLLUTION CONTROL ACT 32
gram Office shall also make available 1 upon request, for-
mal comments made by the Environmental Protection
Agency on individual Remedial Action Plans.
(4) LANEWIDE MANAGEMENT pLANS.—The Administrator, in
consultation with the Program Office shall—
(A) by January 1, 1992, publish in the Federal Reg-
ister a proposed Lakewide Management Plan for Lake
Michigan and solicit public comments;
(B) by January 1, 1993, submit a proposed Lakewide
Mana&ement Plan for Lake Michigan to the International
Joint Commission for review; and
(C) by January 1, 1994, publish in the Federal Reg-
ister a final Lakewide Management Plan for Lake Michi-
and begin implementation.
Nothing in this subparagraph shall preclude the simultaneous de-
velopment of Lakewide Management Plans for the other Great
Lakes.
(5) SPILLS OF OIL AND HAZARDOUS MATERLALS.—The Pro-
gram Office, in consultation with the Coast Guard, shalt iden-
tify areas within the Great Lakes which are likely to experi-
ence numerous or voluminous spills of oil or other hazardous
materials from land based facilities, vessels, or other sources
and, in consultation with the Great Lakes States, shall identify
weaknesses in Federal and State programs and systems to pre-
vent and respond to such spills. This information shall be in-
cluded on at least a biennial basis in the report required by
this section.
(6) 5-YEAR PLAN AND P. ROGRAM.—The Program Office shall
develop, in consultation with the States, a five-year plan and
program for reducing the amount of nutrients introduced into
the Great Lakes. Such program shall incorporate any manage-
ment program for reducing nutrient runoff from nonpoint
sources established under section 319 of this Act and shall in-
chide a program for monitoring nutrient runoff into, and ambi-
ent levels in, the Great Lakes.
(7) 5-YEAR STUDY AND DEMONSTRATION PROJECTS.—(A) The
Program Office shall carry out a five-year study and dem-
onstration projects relating to the control and removal of toxic
pollutants in the Great Lakes, with emphasis on the removal
of toxic pollutants from bottom sediments. In selecting loca-
tions for conducting demonstration projects under this para-
graph, priority consideration shall be given to projects at the
following locations: Saginaw Bay, Michigan; Sheboygan Har-
bor, Wisconsin Grand Calumet River, Indiana; Aahtabula
River, Ohio; anâ Buffalo River, New York.
(B) The Program Office shall—
(i) by December 31, 1990, complete chemical,
physical, and biological assessments of the contami-
nated sediments at the locations selected for the study
and demonstration projects;
(ii) by December 31, 1990, announce the tech-
nologies that will be demonstrated at each location
and the numerical standard of protection intended to
be achieved at each location;
(iii) by December 31, 1992, complete full or pilot
scale demonstration projects on site at each location of
promising technologies to remedy contaminated sedi-
ments; and
(iv) by December 31, 1993, issue a final report to
Congress on its findings.
(C) The Administrator, after providing for public re-
view and comment, shall publish information concerning
the public health and environmental consequences of con-
taminants in Great Lakes sediment. Information published
pursuant to this subparagraph shall include specific nu-
merical limits to protect health, aquatic life, and wildlife
from the bioaccumulation of toxins. The Administrator
shall, at a minimum, publish information pursuant to this
subparagraph within 2 years of the date of the enactment
of this title.
(8) ADMINISTRATOR’S RESPONSIBILITY.—The Administrator
shall ensure that the Program Office enters into agreements
with the various organizational elements of the Agency in-
volved In Great Lakes activities and the appropriate State
agencies specifically delineating—
(A) the duties and responsibilities of each such ele-
ment in the Agency with respect to the Great Lakes;
(B) the time periods for carrying out such duties and
responsibilities; and
(C) the resources to be committed to such duties and
responsibilities.
(9) BuDGEr ITRM.—The Administrator shall, in the Agen-
cy’s annual budget submission to Congress, include a funding
request for the Program Office as a separate budget line item.
(10) COMPREHENSIVE REPORT.—Within 90 days after the
end of each fiscal year, the Administrator shall submit to Con-
gress a comprehensive report which—
(A) describes the achievements in the preceding fiscal
year in implementing the Great Lakes Water Quality
Agreement of 1978 and shows by categories (including ju-
dicial enforcement, research, State cooperative efforts, and
general administration) the amounts expended on Great
Lakes water quality initiatives in such preceding fiscal
year;
(B) describes the progress made in such preceding fis-
cal year In Implementing the system of surveillance of the
water quality in the Great Lakes System, including the
monitoring of groundwater and sediment, with particular
reference to toxic pollutants;
(C) describes the long-term prospects for improving
the condition of the Great Lakes; and
(D) provides a comprehensive assessment of the
planned efforts to be pursued in the succeeding fiscal year
for implementing the Great Lakes Water Quality Agree-
ment of 1978, which assessment shall—
(i) show by categories (including judicial enforce-
ment, research, State cooperative efforts, and general
administration) the amount anticipated to be ex-
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33 FEDERAL WATER POLLUTION CONTROL ACT
Ssc. 118 Sec. 118
FEDERAL WATER POLLUTION CONTROL ACT 34
pended on Great Lakes water quality initiatives in the
fiscal 7 ear to which the assessment relates; and
(ii) Include a report of current programs adminis-
tered by other Federal agencies which make available
resources to the Great Lakes water quality manage-
ment efforts.
(11) C0NPINED DISPOSAL FAcILITIE8.—(A) The Adminis-
trator, in consultation with the Assistant Secretar , of the
Army for Civil Works, shall develop and implement, within one
year of the date of enactment of this paragraph, management
plans for every Great Lakes confined disposal facility.
(B)-The plan shall provide for monitoring of such facilities,
including—
(i) water quality at the site and in the area of the site;
(ii) sediment quality at the site and in the area of the
site;
(iii) the diversity, productivity, and stability of aquatic
organisms at the site and in the area of the site; and
(iv) such other conditions as the Administrator deems
appropriate.
(CiThe plan shall identify the anticipated use and man-
agement of the site over the following twenty-year period in-
cluding the expected termination of dumping at the site, the
anticipated need for site management, including pollution con-
trol, following the termination of the use of the site.
(D) The plan shall identify a schedule for review and revi-
sion of the plan which shall not be less frequent than five
years after adoption of the plan and every five years there-
after.
(d) Gs T LAKES RESEARCH.—
(1) ESTABLISHMENT OF RESEARCH OFFICE.—There is estab-
lished within the National Oceanic and Atmospheric Adminis-
tration the Great Lakes Research Office.
(2) IDENTWIcATI0N OF ISSUES—The Research Office shall
identif r issues relating to the Great Lakes resources on which
research is needed. The Research Office shall submit a report
to Congress on such issues before the end of each fiscal year
which shall identify any changes in the Great Lakes system
with respect to such issues.
(3) INvENTORY—The Research Office shall identify and in-
ventory, Federal, State, university, and tribal environmental
research programs (and, to the extent feasible, those of private
organizations and other nations) relating to the Great Lakes
system, and shall update that inventory every four years.
(4) RESEARCH EXCHANGE.—The Research Office shall es-
tablish a Great Lakes research exchange for the purpose of fa-
cilitatin? the rapid identification, acquisition, retrieval, dis-
semination, and use of information concerning research
projects which are ongoing or completed and which affect the
Great T .fres system.
(5) RESEARCH PROGRAM—The Research Office shall de-
velop, in cooperation with the Coordination Office, a com-
prehensive environmental research program and data base for
the Great L k 5 system. The data base shall include, but not
be limited to, data relating to water quality, fisheries, and
biota.
(6) M0NIT0mNG.—The Research Office shall conduct,
through the Great Lakes Environmental Research Laboratory,
the National Sea Grant College program, other Federal labora-
tories, and the private sector, appropriate research and mon-
itoring activities which address priority issues and current
needs relating to the Great Lakes.
(7) LOCATION—The Research Office shall be located in a
Great Lakes State.
(e) RESEARCH AND MANAGEMENT COORDINATION.—
(1) JOINT PI.AN.—Before October 1 of each year, the Pro-
gram Office and the Research Office shall prepare a joint re-
search plan for the fiscal year which begins in the following
calendar year.
(2) CONTENTS OF PLAN.—Each plan prepared under para-
graph (I) shall—
(A) identify all proposed research dedicated to activi-
ties conducted under the Great Lakes Water Quality
Agreement of 1978;
(B) include the Agency’s assessment of priorities for
research needed to fulfill the terms of such Agreement,
and
(C) identify all proposed research that may be used to
develop a comprehensive environmental data base for the
Great Lakes system and establish priorities for develop-
ment of such data base.
(3) HEALTH RESEARCH REP0RT.—(A) Not later than Sep-
tember 30, 1994, the Program Office, in consultation with the
Research Office, the Agency for Toxic Substances and Disease
Registry, and Great Lakes States shall submit to the Congress
a report assessing the adverse effects of water pollutants in the
Great Lakes System on the health of persons in Great Lakes
States and the health of fish, shellfish, and wildlife in the
Great Lakes System. In conducting research in support of this
report, the Administrator may, where appropriate, provide for
research to be conducted under cooperative agreements with
Great Lakes States.
(B) There is authorized to be appropriated to the Admims-
trator to carry out this section not to exceed $3,000,000 for
each of fiscal years 1992, 1993, and 1994.
(I) INTERAGENCY COOPERATION.—The head of each department,
agency, or other instrumentality of the Federal Government which
is engaged in, is concerned with, or has authority over programs
relating to research, monitoring, and planning to maintain, en-
hance, preserve, or rehabilitate the environmental quality and nat-
ural resources of the Great Lakes, including the Chief of Engineers
— of the Army, the Chief of the Soil Conservation Service, the Com-
mandant of the Coast Guard, the Director of the Fish and Wildlife
Service, and the Administrator of the National Oceanic and Atmos-
pheric Administration, shall submit an annual report to the Ad-
ministrator with respect to the activities of that agency or office of-
fecting compliance with the Great Lakes Water Quality Agreement
of 1978.
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35 FEDERAl. WATER POWITION CONTROL ACT
Sec. 119 Sec. 119
FEDERAL WATER POLLUTION CONTROL ACT 3$
(g) RELATIONSHIP TO ExIsTING FEDERAL AND STATE LAWS AND
INTERNATIONAL TREATIFS.—Nothing in this section shall be con-
strued to affect the jurisdiction 1 powers, or prerogatives of any de-
partment, agency, or officer of the Federal Government or of any
State government, or of any tribe, nor any powers, jurisdiction, or
prerogatives of any international body created by treaty with au-
thority relating to the Great Lakes.
(h) AImI0RIzATI0NS OF GREAT LAKES APPROPRIATIONS.—There
are authorized to be appropriated to the Administrator to carry out
this section not to exceed $11,000,000 per fiscal year for the fiscal
years 1987, 1988, 1989. and 1990 and $25,000,000 for fiscal year
1991. Of the amounts appropnatecf each fiscalyear—
(1) 40 percent shall be used by the Great Lakes National
Program Office on demonstration projects on the feasibility of
controlling and removing toxic pollutants;
(2) 7 percent shall be used by the Great Lakes National
Program Office for the program of nutrient monitoring; and
(3) 30 percent or $3,300,000, whichever is the lesser, shall
be transferred to the National Oceanic and Atmospheric Ad-
ministration for use by the Great Lakes Research Office.
(33 U.S.C. 1268) -
SEc. 119. LONG ISLAND SOUND.—(a) The Administrator shall
continue the Management Conference of the Long Island Sound
Study (hereinafter referred to as the “Conference”) as established
pursuant to section 320 of this Act, and shall establish an office
(hereinafter referred to as the “Office”) to be located on or near
Long Island Sound.
(b) ADMINISTRATION AND SlAPPING OF OrncE.—The Office
shall be headed by a Director, who shall be detailed by the Admin-
istrator, following consultation with the Administrators of EPA re-
Øons I and II, from among the employees of the Agency who are
in civil service. The Administrator shall delegate to the Director
such authority and detail such additional staff as may be necessary
to carry out the duties of the Director under this section.
(c) DuTIES O m OFrIcE.—The Office shall assist the Man-
agement Conference of the Long Island Sound Study in carrying
out Its goals. Specifically, the Office shall—
(1) assist and support the Implementation of the Com-
prehensive Conservation and Management Plan for Long Is-
land Sound developed pursuant to section 320 of this Act;
(2) conduct or commission studies deemed necessary for
strengthened implementation of the Comprehensive Conserva-
tion and Management Plan Including, but not limited to—
(A) population growth and the adequacy of wastewater
treatment facilities
(B) the use of Lioiogicai methods for nutrient removal
in sewage treatment plants,
(C) contaminated sediments, and dredging activities,
• (D) nonpoint source pollution abatement and land use
activities in the Long Island Sound watershed,
(E) wetland protection and restoration,
(F) atmospheric deposition of acidic and other pollut-
ants into Long Island Sound,
(G) water quality requirements to sustain fish, shell-
fish, and wildlife populations, and the use of indicator spe-
cies to assess environmental quality.
(H) State water quality programs, for their adequacy
pursuant to implementation of the Comprehensive Con-
servation and Management Plan, and
(I) options for long-term financing of wastewater treat-
- mont projects and water pollution control programs.
(3) coordinate the grant, research and planning programs
authorized under this section;
(4) coordinate activities and implementation responsibil-
ities with other Federal agencies which have jurisdiction over
Long Island Sound and with national and regional marine
monitoring and research programs established pursuant to the
Marine Protection, Research, and Sanctuaries Act;
(5) provide administrative and technical support to the
conference;
(6) collect and make available to the public publications,
and other forms of information the conference determines to be
appropriate, relating to the environmental quality of Long Is-
land Sound;
(7) not more than two years after the date of the issuance
of the final Comprehensive Conservation and Management
Plan for Long Island Sound under section 320 of this Act, and
biennially thereafter, issue a report to the Congress which—
(A) summarizes the progress made by the States in
implementing the Comprehensive Conservation and Man-
agement Plan;
(B) summarizes any modifications to the Comprehen-
sive Conservation and Management Plan in the twelve-
month period immediately preceding ouch report; and
(C) incorporates specific recommendations concerning
the implementation of the Comprehensive Conservation
and Management Plan; and
(8) convene conferences and meetings for legislators from
State governments and political subdivisions thereof for the
purpose of making recommendations for coordinating legisla-
tive efforts to facilitate the environmental restoration of Long
Island Sound and the implementation of the Comprehensive
Conservation and Management Plan.
(d) GRANrS.—(1) The Administrator is authorized to make
grants for projects and studies which will help implement the Long
Island Sound Comprehensive Conservation and Management Plan.
Special emphasis shall be given to implementation, research and
planning, enforcement, and citizen involvement and education.
(2) State, interstate, and regional water pollution control agen-
cies, and other public or nonprofit private agencies, inBtitutions,
and orpnizations held to be eligible for grants pursuant to this
subsection.
(3) Citizen involvement and citizen education grants under this
subsection shall not exceed 95 per centuin of the costs of such
work. All other grants under this subsection shall not exceed 50
per centum of the research, studies, or work. All grants shall be
-------
FEDERAL WATER POLlUTION CONTROL ACT
Sec. 120 Sec. 120
FEDERAL WATER POLLUTION CONTROL ACT 38
31
made on the condition that the non-Federal share of such costa are
provided from non-Federal sourcea.
(e) AUmORIZATIONS.—(1) There is authorized to be appro-
priated to the Administrator for the implementation of this section,
other than subsection (d), such sums as may be necessary for each
of the fiscal years 1991 through 2001.
(2) There is authorized to be appropriated to the Administrator
for the implementation of subsection (d) not to exceed $3,000,000
for each of the fiscal years 1991 through 2001.
(33 U S.C. 1269)
LAKE CHAMPLAIN MANAGEMENT CONFERENCE
SEC. 120. (a) ESTABLISHMENT.—There is established a Lake
Champlain Management Conference to develop a comprehensive
pollution prevention, control, and restoration plan for Lake Cham-
plain. The Administrator shall convene the management conference
within ninety days of the date of enactment of this section.
(b) MEMBERSHIP.—The Members of the Management Con-
• fereuce shall be comprised of—
(1) the Governors of the States of Vermont and New York;
(2) each interested Federal agency, not to exceed a total of
five members;
(3) the Vermont and New York Chairpersons of the Ver-
mont, New York, Quebec Citizens Advisory Committee for the
Environmental Management of Lake Champlain;
(4) four representatives of the State legislature of Ver-
mont;
(5) four representatives of the State legiBlature of New
York;
(6) six persons representing local ?overnmenta having ju-
risdiction over any land or water within the Lake Champlain
basin, as determined appropriate by the Governors; and
(7) eight persons representing affected industries, non-
governmental organizations, public and private educational in-
stitutions, and the general public, as determined appropriate
by the trigovernmental Citizens Advisory Committee for the
Environmental Management of Lake Champlain, but not to be
current members of the Citizens Advisory Committee.
(c) TECHNICAl.. ADvISORY C0MMrrrEE.—(1) The Management
Conference shall, not later than one hundred and twenty days aller
the date of enactment of this section, appoint a Technical Advisory
Committee.
(2) Such Technical Advisory Committee shall consist of officials
of: appropriate departments and agencies of the Federal Govern-
ment; the State governments of New York and Vermont; and gov-
ernments of political subdivisions of such States; and public and
private research institutions.
(d) RESEARCH PROGRAM.—(1)’ The Management Conference
shall establish a multi-disciplinary environmental research pro-
gram for Lake Champlain. Such research program shall be planned
‘sw. 14, psrlgr.3b (2). 8.. P.1.. 101-696, 303, 104 Stat. 3008.
and conducted jointly with the Lake Champlain Research Consor-
Lium.
(e) POlLUTION PREVENTION, CONTROL, AND RESTORATION
PLaN.—(1) Not later than three years after the date of the enact-
ment of this section, the Management Conference shall publish a
pollution prevention, control, and restoration plan (hereafter in this
section referred to as the “Plan) for Lake Champlain.
(2) The Plan developed pursuant to this section shall—
(A) identify corrective actions and compliance schedules
addressing point and nonpoint sources of pollution necessary to
restore and maintain the chemical, physical, and biological in-
tegrity of water quality, a balanced, indigenous population of
shellfish, fish and wildlife, recreational, and economic activities
in and on the lake;
(B) incorporate environmental management concepts and
programs established in State and Federal plans and programs
in effect at the time of the development of such plan;
(C) clarify the duties of Federal and State agencies in pol-
lution prevention and control activities, and to the extent al-
lowable by law, suggest a timetable for adoption by the appro-
priate Federal and State agencies to accomplish such duties
within a reasonable period of time;
(D) describe the methods and schedules for funding of pro-
grams, activities, and projects identified in the Plan, including
the use of Federal funds and other sources of funds; and
(E) include a strategy for pollution prevention and control
that includes the promotion of pollution prevention and man-
agement practices to reduce the amount of pollution generated
in the Lake Champlain basin.
(3) The Administrator, in cooperation with the Management
Conference, shall provide for public review and comment on the
draft Plan. At a minimum, the Management Conference shall con-
duct one public meeting to hear comments on the draft plan in the
State of New York and one such meeting in the State of Vermont.
(4) Not less than one hundred and twenty days after the publi-
cation of the Plan required pursuant to this section, the Adminis-
trator shall approve such plan if the plan meets the requirements
of this section and the Governors of the States of New York and
Vermont concur.
(5) Upon approval of the plan, such plan shall be deemed to
be an approved management program for the purposes of section
319(h) of this Act and such plan shall be deemed to be an approved
comprehensive conservation and management plan pursuant to sec-
tion 320 of this Act.
(f) GRANT ASSISTANCE.—(1) The Administrator may, in con-
sultation with the Management Conference, make grants to State,
interstate, and regional water pollution control agencies, and public
or nonprofit agencies, institutions, and organizations.
(2) Grants under this subsection shall be made for assisting re-
search, surveys, studies, and modeling and technical and support-
ing work necessary for the development of the Plan and for retain-
ing expert consultants in support of litigation undertaken by the
State of New York and the State of Vermont to compel cleanup or
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FEDERAL WATER POLLUTION CONTROL ACT
Sec _2 01 Sec. 201
FEDERAL WATER POLLUTION CONTROL ACT 40
39
obtain cleanup damage costs from persofla responsible for pollution
of Lake Champlain.
(3) The amount of grants to any person under this subsection
for a fiscal year shall not exceed 75 per centum of the costs of such
research, survey, study and work and shall be made available on
the condition that non-Federal share of such costs are provided
from non-Federal sources.
(4) The Administrator may establish such requirements for the
administration of grants as he determines to be appropriate.
(g) DEFINITION.—FOr the pur,poses of this section, the term
“Lake Champlain drainage basin means all or part of Clinton.
Franklin. Warren, Essex, and Wa8hington counties in the State of
New York and all or part of Franklin, Grand Isle, Chittenden,
Addison, Rutland, Lamoille. Orange, Washington, Orleans. and
Caledonia counties in Vermont, that contain all of the streams, nv-
ers, lakes, and other bodies of water, including wetlands, that drain
into Lake Champlain.
(h) STATUTORY INIERpRETATION._NOthing in this section shall
be construed so as to affect the jurisdiction or powers of—
(1) any department or agency of the Federal Government
or any State government; or
(2) any international organization or entity related to Lake
Champlain created by treaty or memorandum to which the
United States is a signatory.
(i) AUTHOR IZATION. —There are authorized to be appropriated
to the Environmental Protection Agency to carry out this section
$2,000,000 for each of fiscal years 1991, 1992. 1993, 1994, and
1995.
(33 U.S.C. 1270)
TITLE Il—GRANTS FOR CONSTRUCTION OF TREATMENT
WORKS
PURPOSE
SEc. 201. (a) It is the purpose of this title to require and to as.
sist the development and Implementation of waste treatment man-
agement plans and practices which will achieve the goals of this
Act.
(b) Waste treatment management plans and practices shall
provide for the application of the best practicable waste treatment
technology before any discharge into receiving waters, including re-
claiming and recycling of water, and confined disposal of pollutants
so they will not migrate to cause water or other environmental pol-
lution and shall provide for consideration of advanced waste treat-
ment tei 4 niquea.
(c) To the extent practicable, waste treatment management
shall be on an areawide basis and provide control or treatment of
all point and nonpoint sources of pollution, Including in place or ac-
cumulated pollution sources..
(4) The Administrator shall encourage wiate treatment man-
agement which results in the construction of revenue producing fa-
cilitlea providing for—
(1) the recycling of potential sewage pollutants through the
production of agriculture, silviculture, or aquaculture products,
or any combination thereof;
(2) the confined and contained disposal of pollutants not
recycled;
(3) the reclamation of wastewater; and
(4) the ultimate disposal of sludge in a manner that will
not result in environmental hazards.
(e) The Administrator shall encourage waste treatment man-
agement which results in integrating facilities for sewage treat-
ment and recycling with facilities to treat, dispose of, or utilize
other industrial and municipal wastes, including but not limited to
solid waste and waste heat and thermal discharges. Such inte-
grated facilities shall be designed and operated to produce revenues
in excess of capital and operation and maintenance costs and such
revenues shall be used by the desiçnated regional management
agency to aid in financing other environmental improvement pro-
grams.
(f) The Administrator shall encourage waste treatment man-
agement which combines “open space” and recreational consider-
ations with such management.
(gXl) The Administrator is authorized to make grants to any
State, municipality, or intermunicipal or interstate agency for the
construction of publicly owned treatment works. On and after Octo-
ber 1, 1984, grants under this title shall be made only for projects
for secondary treatment or more stringent treatment, or any cost
effective alternative thereto, new interceptors and appurtenances,
and infiltration-inflow correction. Notwithstanding the preceding
sentences, the Administrator may make grants on and after Octo-
ber 1, 1984, for (A) any project within the definition set forth in
section 212(2) of this Act, other than for a project referred to in the
preceding sentence, and (B) any purpose for which a grant may be
made under sections’ 319 (h) and (i) of this Act (including any in-
novative and alternative approaches for the control of nonpoint
sources of pollution), except that not more than 20 per centum (as
determined by the Governor of the State) of the amount allotted to
a State under section 205 of this Act for any fiscal year shall be
obligated in such State under authority of this sentence.
(2) The Administrator shall not make grants from funds au-
thorized for any fiscal year beginning after June 30, 1974, to any
State, municipality, or intermunicipal or interstate agency for the
erection, building, acquisition. alteration, remodeling, improve-
ment, or extension of treatment works unless the grant applicant
has satisfactorily demonstrated to the Administrator that—
(A) alternative waste management techniques have been
studiedand evaluated and the works proposed for grant assist-
ance will provide for the application of the best practicable
waste treatment technology over the life of the works consist-
ent with the purposes of this title; and
(B) as appropriate, the works proposed for grant assistance
will take into account and allow to the extent practicable the
application of technology at a later date which will provide for
‘So In oi4g*nal Probably .kould b. ..ction
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41 FEDERAL WATER POUUIION CONTROL ACT
Sec. zoi Sec. 201
FEDERAL WATER POLLUTION CONTROL ACT 42
the reclaiming or recycling of water or otherwise eliminate the
discharge of pollutants.
(3) The Administrator shall not approve any grant after July
1, 1973, for treatment works under this section unless the appli-
cant shows to the satisfaction of the Administrator that each sewer
collection system discharging into such treatment works is not sub-
ject to excessive infiltration.
(4) The Administrator is authorized to make grants to appli-
cants for treatment works grants under this section for such sewer
8ystem evaluation studies as may be necessary to carry out the re-
quirements of paragraph (3) of this subsection. Such grants shall
be made in accordance with rules and regulations promulgated by
the Administrator. Initial rules and regulations shall be promul-
gated under this paragraph not later than 120 days after the date
of enactment of the Federal Water Pollution Control Act Amend-
ments of 1972.
(5) The Administrator shall not make grants from funds au-
thorized for any fiscal year beginning after September 30, 1978, to
any State, municipality, or intermunicipal or interstate agency for
the erection, building acquisition, alteration, remodeling, Improve-
ment, or extension oi treatment works unless the grant applicant
has satisfactorily demonstrated to the Administrator that innova-
tive and alternative wastewater treatment processes and tech-
niques which provide for the reclaiming and reuse of water, other-
wise eliminate the discharge of pollutants, and utilize recycling
techniques, land treatment, new or improved methods of waste
treatment management for municipal and industrial waste (dis-
charged into municipal systems) and the confined disposal of p cI-
lutants, so that pollutants will not migrate to cause water or other
environmental pollution, have been fully studied and evaluated by
the applicant taking into account section 201(d) of this Act and tak-
in into account and allowing to the extent practicable the more ef-
ficient use of energy and resources.
(6) The Administrator shall not make grants from funds au-
thorized for any fiscal year beginning after September 30, 1978, to
any State, municipality, or intermunicipal or interstate agency for
the erection, building, acquisition, alteration, remodeling, improve-
ment, or extension of treatment works unless the grant applicant
has satisfactorily demonstrated to the Administrator that the appli-
cant has analyzed the potential recreation and open space opportu-
nities in the planning of the proposed treatment works.
(h) A grant may be made under this section to construct a pri-
vately owned treatment works serving one or more principal resi-
dences or small commercial establishments constructed prior to,
and inhabited on the date of enactment of this subsection where
the Administrator finds that—
(1) a public body otherwise eligible for a grant under sub-
section (g) of this section has applied on behalf of a number of
such units and certified that public ownership of such works
is not feasible;
(2) such public body has entered into an agreement with
the Mminietrator which guarantees that such treatment
works will be properly operated and maintained and will com-
ply with all other requirements of section 204 of this Act anc
includes a system of charges to assure that each recipient of
waste treatment services under such a grant will pay its pro-
portionate share of the cost of operation and maintenance (in-
cluding replacement); and
(3) the total cost and environmental impact of providing
waste treatment services to such residences or commercial es-
tablishments will be less than the cost of providing a system
of collection and central treatment of such wastes.
(I) The Administrator shall encourage waste treatment man-
agement methods, processes, and techniques which will reduce
total energy requirements.
(j) The Administrator is authorized to make a grant for any
treatment works utilizing processes and techniques meeting the
guidelines promulgated under section 304(d)(3) of this Act, if the
Administrator determines it is in the public interest and if in the
cost effectiveness study made of the construction grant application
for the purpose of evaluating alternative treatment works, the life
cycle cost of the treatment works for which the grant is to be made
does not exceed the life cycle cost of the most effective alternative
by more than 16 per centum.
(k) No grant made after November 15, 1981, for a publicly
owned treatment works, other than for facility planning and the
preparation of construction plans and specifications, shall be used
to treat, store, or convey the flow of any industrial user into such
treatment works in excess of a flow per day equivalent to llfty
thousand gallons per day of sanitary waste. This subsection shall
not apply to any project proposed by a grantee which is carrying
out an approved project to prepare construction plans and specifica-
tions for a facility to treat wastewater, which received its grant ap-
proval before May 15, 1980. This subsection shall not be in effect
after November 15, 1981.
(l)(1) After the date of enactment of this subsection, Federal
grants shall not be made for the purpose of providing assistance
solely for facility plans, or plans, specifications, and estimates for
any proposed project for the construction of treatment works. In
the event that the proposed project receives a grant under this sec-
tion for construction, the Administrator shall make an allowance in
such grant for non-Federal funds expended during the facility plan-
ning and advanced engineering and design phase at the prevailing
Federal share under section 202(a) of this Act, based on the per-
centage of total project costs which the Administrator determines
is the general experience for such projects.
(2XA) Each State shall use a portion of the funds allotted to
such State each fiscal year, but not to exceed 10 per centum of such
funds, to advance to potential grant applicants under this title the
costs of facility planning or the preparation of plans, specifications,
and estimates.
(B) Such an advance shall be limited to the allowance for such
costs which the Administrator establishes under paragraph (1) of
this subsection, and shall be provided only to a potential grant ap-
plicant which is a small community and which in the judgment of
the State would otherwise be unable to prepare a request for a
grant for construction costs under this section.
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FEDERAl. WATER POLLUTION CONTROL ACT
Sec. 202 Sec. 202
FEDERAL WATER POWJTION CONTROL ACT 44
43
(C) In the event a grant for construction costa is made under
this section for a project for which an advance has been made
under this paragraph, the Administrator shall reduce the amount
of such grant by the allowance established under paragraph (1) of
this subsection. In the event no such grant is made, the State is
authorized to seek repayment of such advance on such terms and
conditions as it may determine.
(mXl) Notwithstanding any other provisions of this title, the
Administrator is authorized to make a grant from any funds other-
wise allotted to the State of California under section 205 of this Act
to the project (and in the amount) specified in Order WQG 81—1
of the California State Water Resources Control Board.
(2) Notwithstanding any other provision of this Act, the Ad-
ministrator shall make a grant from any funds otherwise allotted
to the State of California to the city of Eureka, California. in con-
nection with project numbered C-06—2772, for the purchase of one
hundred and thirty-nine acres of property as environmental mitiga-
tion for siting of the proposed treatment plant.
(3) Notwithstanding any other provision of this Act, the Ad-
ministrator shall make a grant from any funds otherwise allotted
to the State of California to the city of San Diego, California, in
connection with that city’s aquaculture sewage process (total re-
sources recovery system) as an innovative and alternative waste
treatment process.
(nXl) On and after October 1, 1984, upon the request of the
Governor of an affected State, the Administrator is authorized to
use funds available to such State under section 205 to address
water quality problems due to the impacts of discharges from coin-
bined storm water and sanitary sewer overflows, which are not oth-
erwise eligible under this subsection, where correction of such dis-
charges is a major priority for such State.
(2) Beginning fiscal year 1983, the Administrator shall have
available $200,000,000 per fiscal year in addition to those funds
authorized in section 207 of this Act to be utilized to address water
quality problems of marine bays and estuaries subject to lower lev-
els of water quality due to the impacts of discharges from combined
storm water and sanitary sewer overflows from adjacent urban
complexes, not otherwise eligible under this subsection. Such sums
may be used as deemed appropriate by the Administrator as pro-
vided In paragraphs (1) and (2) of this subsection, upon the request
of and demonstration of water quality benefits by the Governor of
an affected State.
(o) The Administrator 8 hail encourage and assist applicants for
grant assistance under this title to develop and file with the Ad-
ministrator a capital financing plan which, at a minimum—
(1) projects the future requirements for waste treatment
services within the applicant’s jurisdiction for a period of no
less than ten years;
(2) projects the nature, extent, timing, and coats of future
expansion and reconstruction of treatment works which will be
necessary to satisfy the applicant’s projected future require-
ments for waste treatment services; and
(3) sets forth with specificity the manner in which the ap-
plicant intends to finance such future expansion and recon-
struction.
(p) TIME LIMIT ON RESOLVING CERTAIN DISPUTES—In any case
in which a dispute arises with respect to the awarding of a contract
for construction of treatment works by a grantee of funds under
this title and a party to such dispute files an appeal with the Ad-
ministrator under this title for resolution of such dispute, the Ad-
ministrator shall make a final decision on such appeal within 90
days of the filing of such appeal.
(33 U.S.C. 1281)
FEDERAL SHARE
Sac. 202. (a)( 1) The amount of any grant for treatment works
made under this Act from funds authorized for any fiscal year be-
ginning after June 30, 1971, and ending before October 1, 1984,
shall be 75 per centum of the cost of construction thereof (as ap-
proved by the Administrator), and for any fiscal year beginning on
or after October 1, 1984, shall be 55 per centum of the cost of con-
struction thereof (as approved by the Administrator), unless modi-
fied to a lower percentage rate uniform throughout a State by the
Governor of that State with the concurrence of the Administrator.
Within ninety days alter the enactment of this sentence the Admin-
istrator, shall issue guidelines for concurrence in any such modi-
fication, which shall provide for the consideration of the unobli-
gated balance of sums allocated to the State under section 205 of
this Act, the need for assistance under this title in such State, and
the availability of State grant assistance to replace the Federal
share reduced by Bush modification. The payment of any such re-
duced Federal share shall not constitute an obligation on the part
of the United States or a claim on the part of any State or grantee
to reimbursement for the portion of the Federal share reduced in
any such State. Any grant (other than for reimbursement) made
prior to the date of enactment of the Federal Water Pollution Con-
trol Act Amendments of 1972 from any funds authorized for any
fiscal year beginning after June 30, 1971. shall, upon the request
of the applicant, be increased to the applicable percentage under
this section. Notwithstanding the first sentence of this paragraph,
in any case where a primary, secondary, or advanced waste treat-
ment facility or its related interceptors or a project for infiltration-
in-flow correction has received a grant for erection, building, acqui-
sition, alteration, remodeling, improvement, extension, or correc-
tion before October 1, 1984, all segments and phases of such facil-
ity, Interceptors, and project for infiltration-in-flow correction shall
be eligible for grants at 75 per centuin of the cost of construction
thereof for any grant made pursuant to a State obligation which
obligation occurred before October 1, 1990. Notwithstanding the
first sentence of this paragraph, in the case of a project for which
an application for a grant under this title has been made to the Ad-
ministrator before October 1, 1984, and which project is under judi-
cial injunction on such date prohibiting its construction, such
project shall be eligible for grants at 75 percent of the coat of con-
struction thereof. Notwithstanding the first sentence of this para-
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15 FEDERAL WATER POLIVUON CONTROL ACT
Sec. 202 Sec. 203
FEDERAL WATER POll 01 1CR CONTROL ACT 45
graph, in the case of the Wyoming Valley Sanitary Authority
project mandated by judicial order under a proceeding begun prior
to October 1, 1984, and a project for wastewater treatment for Al.
toona, PennsylvanIa such projects shall be eligible for grants at 75
percent of the cost of construction thereof.
(2) The amount of any grant made after September 30, 1978,
and before October 1, 1981, for any eligible treatment works or sig-
nificant portion thereof utilizing innovative or alternative
wastewater treatment proceIses and techniquea referred to in sec-
tion 201(gX5) shall be 85 per centum of the cost of construction
thereof, unless modified by the Governor of the State with the con-
currence of the Mminuafrator to a percentage rate no less than 15
per centum greater than the modified uniform percentage rate in
which the Administrator has concurred pursuant to paragraph (1)
of this subsection. The amount of any grant made after September
30, 1981, for any eligible treatment works or unit processes and
teehinques thereof utilizing innovative or alternative wastewater
treatment processes and techniques referred to in section 201(gX5)
shall be a percentage of the cost of construction thereof equal to 20
per centum greater than the percentage in effect under paragraph
(1) of this subsection for such works or unit processes and tech-
niques, but in no event greater than 85 per centum of the coat of
construction thereof. No grant shall be made under this paragraph
for construction of a treatment works in any State unless the pro-
portion of the State contribution to the non-Federal share of con-
struction costs for all treatment works in such State receiving a
grant under this paragraph is the same as or greater than the pro-
portion of the State contribution (if any) to the non-Federal share
of construction costs for all treatment works receiving grants in
such State under paragraph (1) of this subsection.
(3) In addition to any grant made pursuant to paragraph (2)
of this subsection, the Administrator Is authorized to make a grant
to fund all of the coats of the modification or replacement of any
facilities constructed with a grant made pursuant to paragraph (2)
if the Administrator finds that such facilities have not met design
performance specifications unless such failure is attributable to
negligence on the part of any person and if such failure has signifi-
cantly increased capital or operatin and maintenance expendi-
tures. In addition, the Administrator is authorized to make a Fant
to fund all of the costs of the modification or replacement of biodisc
equipment (rotating biological contractors) in any publicly owned
treatment works if the Administrator finds that such equipment
has failed to meet design performance specifications, unless such
failure is attributable to negligence on the part of any person, and
if such failure has significantly increased capital or operating and
maintenance expenditures.
(4) For the purposes of this section, the term “el gible treat-
ment works” means those treatment works in each State which
meet the reQuirements of section 201(gX5) of this Act and which
can be fully funded from funds available for such purpose in such
State.
(b) The amount of the grant for any project approved by the
Administrator after January 1, 1971, and before July 1, 1971, for -
th- istructlon of treatment works, the actual erection, building
or acquisition of which waa not commenced prior to July 1, 1971,
shall, upon the request of the applicant, be increased to the appli-
cable percentage under subsection (a) of this section for grants for
treatment works from funds for fiscal years beginning after June
30, 1971, with respect to the coat of such actual erection, building,
or acquisition. Such increased amount shall be paid from any funds
allocated to the State in which the treatment works is located with-
out regard to the fiscal year for which such funds were authorized.
Such increased amount shall be paid for such project only if—
(1) a sewage collection system that is a part of the same
total waste treatment system as the treatment works for which
such grant was approved is under construction or is to be con-
structed for use in conjunction with such treatment works, and
if the cost of such sewage collection system exceeds the cost of
such treatment works, and
(2) the State water pollution control agency or other appro-
priate State authority certifies that the quantity of available
ground water will be insufficient, inadequate, or unsuitable for
public use, including the ecological preservation and rec-
reational use of surface water bodies, unless effluents from
publicly-owned treatment works after adequate treatment are
returned to the ground water consistent with acceptable tech-
nological standards.
(c) Notwithstanding any other provision of law, sums allotted
to the Commonwealth of Puerto Rico under section 205 of this Act
for fiscal year 1981 shall remain available for obligation for the fis-
cal year for which authorized and for the period of the next suc-
ceeding twenty-four months. Such sums and any unobligated funds
available to Puerto Rico from allotments for fiscal years ending
prior to October 1, 1981, shall be available for obligation by the Ad-
ministrator of the Environmental Protection Agency only to fund
the following systems: Aguadilla, Arecibo, Mayaguez, Carolina, and
Camuy Hatillo. These funds may be used by the Commonwealth of
Puerto Rico to fund the non-Federal share of the costs of such
projects. To the extent that these funds are used to pay the non-
Federal share, the Commonwealth of Puerto Rico shall repay to the
Environmental Protection Agency such amounts on terms and con-
ditions developed and approved by the Administrator in consulta-
tion with the Governor of the Commonwealth of Puerto Rico.
Agreement on such terms and conditions including the payment of
interest to be determined by the Secretary of the Treasury, shall
be reached prior to the use of these funds for the Commonwealth’s
non-Federal share. No Federal funds awarded under this provision
shall be used to replace local governments funds previously ex-
pended on these projects.
(33 U.S.C. 1282) -
PLANS, SPECIFICATIONS, 5 TIMATES, AND PAYMENTS
SEC. 203. (aX 1) Each applicant for a grant shall submit to the
Administrator for his approval, plans, specifications, and estimates
for each proposed project for the construction of treatment works
for which a grant is applied for under section 201(gXl) from funds
allotted to the State under section 205 and which otherwise
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47 FEDERAL WATER POWITION CONTROL ACT
Sec. 203 Sec. 203
FEDERAL WATER POLLUTION CONTROL ACT 48
the requirements of this Act. The Administrator shall act upon
such plans, specifications, and estimates as soon as practicable
after the same have been submitted, and his approval of any such
plane, specifications, and estimates shall be deemed a contractual
obligation of the United States for the payment of its proportional
contribution to such project.
(2) AGREEMENT ON ELIGIBLE COSTS.—
(A) LIMITATION ON MODIFICATIONS.—Before taking
final action on any plans, specifications, and estimates
submitted under this subsection after the 60th day follow-
ing the date of the enactment of the Water Quality Act of
1987, the Administrator shall enter into a written agree-
ment with the applicant which establishes and specifies
which items of the proposed project are eligible for Federal
payments under this section. The Administrator may not
later modify such eligibility determinations unless they are
found to have been made in violation of applicable Federal
statutes and regulations.
(B) LIMITATION ON EFFECT —Eligibility determinations
under this paragraph shall not preclude the Administrator
from auditing a project pursuant to section 501 of this Act.
or other authority, or from withholding or recovering Fed-
eral funds for coats which are found to be unreasonable,
unsupported by adequate documentation, or otherwise un-
allowable under applicable Federal coats principles, or
which are incurred on a project which fails to meet the de-
sign specifications or effluent limitations contained in the
grant agreement and permit pursuant to section 402 of
this Act for such project.
(3) In the case of a treatment works that has an estimated
total coat of $8,000,000 of less (as determined by the Adminis-
trator), and the population of the applicant municipality is twenty-
five thousand or less (according to the most recent United States
census), upon completion of an approved facility plan, a single
grant may be awarded for the combined Federal share of the cost
of preparing construction plans and specifications, and the building
and erection of the treatment works.
(b) The Administrator shall, from time to time as the work pro-
gresses, make payments to the recipient of a grant for coats of con-
struction incurred on a project. These payments shall at no time
exceed the Federal share of the cost of construction incurred to the
date of the voucher covering such payment plus the Federal share
of the value of the materials which have been stockpiled in the vi-
cinity of such construction in conformity to plans and specifications
for the project.
(c) After completion of a project and approval of the final
voucher by the Administrator he shall pay out of the appropriate
sums the unpaid balance of the Federal share payable on account
of such project.
(d) Nothing in this Act shall be construed to require, or to au-
thorize the Administrator to require, that grants under this Act for
construction of treatment works be made only for projects which
are operable units usable for sewage collection, transportation,
storage, waste treatment, or for similar purposes without addi-
tional construction.
(e) At the request of a grantee under this title, the Admiziis-
trator is authorized to provide technical and legal assistance in the
administration and enforcement of any contract in connection with
treatment works assisted under this title, and to intervene any
civil action involving the enforcement of such a contract.
(1) DESIGN/BUILD PROJECTS.—
(1) AGREEMEr rr.—Conajstent with State law, an applicant
who proposes to construct waste water treatment works may
enter into an agreement with the Administrator under this
subsection providing for the preparation of construction plans
and specifications and the erection of such treatment works, in
lieu of proceeding under the other provisions of this section.
(2) LIMITATION ON PRWECTS.—Agreementh under this sub-
section shall be limited to projects under an approved facility
plan which projects are—
(A) treatment works that have an estimated total cost
of $8,000,000 or less; and
(B) any of the following types of waste water treat-
ment systems: aerated lagoons, trickling filters, stabiliza-
tion ponds, land application systems, sand filters, and sub-
surface disposal systems.
(3) REQUIRED TERMS—An agreement entered into under
this subsection shall—
(A) set forth an amount agreed to as the maximum
Federal contribution to the project, based upon a competi-
tively bid document of basic design data and applicable
standard construction specifications and a determination
of the federally eligible coats of the project at the applica-
ble Federal share under section 202 of this Act;
(B) set forth dates for the start and completion of con-
struction of the treatment works by the applicant and a
schedule of payments of the Federal contribution to the
project;
(C) contain assurances by the applicant that (i) engi-
neering and management assistance will be provided to
manage the project; (ii) the proposed treatment works will
be an operable unit and will meet all the requirements of
this title; and (iii) not later than 1 year after the date spec-
ified as the date of completion of construction of the treat-
ment works, the treatment works will be operating so as
to meet the requirements of any applicable permit for such
treatment works under section 402 of this Act;
(D) require the applicant to obtain a bond from the
contractor in an amount determined necessary by the Ad-
ministrator to protect the Federal interest in the project;
and
(B) contain such other terms and conditions as are
necessary to assure compliance with this title (except as
provided in paragraph (4) of this subsection).
(4) LIMITATION ON APPLICATION_Subsections (a), (b), and
(c) of this section shall not apply to grants made pursuant to
this subsection.
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49 FEDERAL WATER POWJTION CONTROL ACT
Sec. 204 Sec. 204
FEDERAL WATER POLLUTION CONTROL ACT 50
(6) RESERVATION TO ASSURE COMPLIANCE—The Adminia- -
trator shall reserve a portion of the grant to assure contract
compliance until final project approval as defined by the Ad.
mimatrator. If the amount agreed to under paragraph (3XA)
exceeds the cost of designing and constructing the treatment
works, the Administrator shall reallot the amount of the excess
to the State in which such treatment works are located for the
fiscal year in which such audit is completed.
(6) LIMITATION ON OBLIGATIONS—The Administrator shall
not obligate more than 20 percent of the amount allotted to a
State for a fiscal year under section 205 of this Act for grants
pursuant to this subsection.
(7) ALLOWANCE—The Administrator shall determine an al-
lowance for facilities planning for projects constructed under
this subsection in accordance with section 20 1(1).
(8) LIMITATION ON FEDERAL c ONTRIBLJTiONs.—In no event
shall the Federal contribution for the cost of preparing con-
struction plans and specifications and the building and erec-
tion of treatment works pursuant to this subsection exceed the
amount agreed upon under paragraph (3).
(9) RECOVERY ACTION.—In any case in which the recipient
of a grant made pursuant to this subsection does not comply
with the terms of the agreement entered into under paragraph
(3), the Administrator is authorized to take such action as may
be necessary to recover the amount of the Federal contribution
to the project.
(10) PREVENTION OF DOUBLE BENEF ITS.—A recipient of a
grant made pursuant to this subsection shall not be eligible for
any other grants under this title for the same project.
(33 U.S.C 1283)
LIMITATIONS AND CONDITIONS
SEC. 204. (a) Before approving grants for any project for any
treatment works under section 201(gXl) the Administrator shall
determine—
(1) that any required areawide waste treatment manage-
ment plan under section 208 of this Act (A) is being imple-
mented for such area and the proposed treatment works are in-
cluded in such plan, or (B) is being developed for such area and
reasonable progress is being made toward its implementation
and the proposed treatment works will be included in such
plan;
(2) that (A) the State in which the project is to be located
(I) is implementing any required plan under section 303(e) of
this Act and the proposed treatment works are in conformity
with such plan, or (ii) is developing such a plan and the pro-
posed treatment works will be in conformity with such plan,
and (B) such State is in compliance with section 305(b) of this
Act;
(3) that such works have been certified by the appropriate
State water pollution control agency as entitled-to priority over
iw}i other works-in the State in accordance with any applica-
state plan under section 303(e) of this Act, except that any
priority list develojied pulsuant to section 303(e)(3XH) may be
modified by such State in accordance with regulations promul-
gated by the Administrator to give higher priority for grants
for the Federal share of the cost of preparing construction
drawings and specifications for any treatment works utilizin
processes and techniques meeting the guidelines promulgate
under section 304(dX3) of this Act for grants for the combined
Federal share of the coat of preparing construction drawings
and specifications and the building and erection of any treat-
ment works meeting the requirements of the next to the last
sentence of section 203(a) of this Act which utilizes processes
and techniques meeting the guidelines promulgated under sec-
tion 304(dX3) of this Act. 1
(4) that the applicant proposing to construct such works
agrees to pay the non-Federal costs of such works and has
made adequate provisions satisfactory to the Administrator for
assuring proper and efficient operation, including the employ-
ment of trained management and operations personnel, and
the maintenance of such works in accordance with a plan of op-
eration approved by the state water pollution control agency
or, as appropriate, the interstate agency, after construction
thereof;
(5) that the size and capacity of such works relate directly
to the needs to be served by such works, including sufficient
reserve capacity. The amount of reserve capacity provided shall
be approved by the Administrator on the basis of a comparison
of the cost of constructjn Buch reserves as a part of the works
to be funded and the anticipated cost of providin? expanded ca-
pacity at a date when such capacity will be required, after tak-
ing into account, in accordance with regulations promulgated
by the Administrator, efforts to reduce total flow of sewage and
unnecessary water consumption. The amount of reserve capac-
ity eligible for a grant under this title shall be determined by
the Administrator takin? into account the projected population
and associated commercial and industrial establishments with-
in the jurisdiction of the applicant to be served by such treat-
ment works as identified in an approved facilities plan, an
areawide plan under section 208, or an applicable municipal
master plan of development. For the purpose of this paragraph,
section 208, and any such plan, projected population shall be
determined on the basis of the latest information available
from the United States Department of Commerce or from the
States as the Administrator, by regulation, determines appro-
priate. Beginning October 1, 1984, no Fants shall be made
under this title to construct that portion of any treatment
works providing reserve capacity in excess of existing needs
(including existing needs of residential, commercial, industrial,
and other users) on the date of approval of a grant for the erec-
tion, building, acquisition, alteration, remodeling, improve-
ment, or extension of a project for secondary treatment or more
- stringent treatment - or new interceptors and appurtenances,
except that in no event shall reserve capacity 61 a faäility “d
‘So In law. lb. psi4od th.uld b..
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51 FEDERAL WATER POUJJTION CONTROL ACT
Sec. 204 Sec. 204
FEDERAL WATER POLLUTION CONTROL ACT 52
its related interceptors to which this subsection applies be in
excess of existing needs on October 1, 1990. In any case in
which an applicant proposes to provide reserve capacity great-
er than that eligible for Federal financial assistance under this
title the incremental costs of the additional reserve capacity
ehal be paid by the applicant;
(6) that no specification for bids in connection with such
works shall be written in such a manner as to contain propri-
etary, exclusionary, or discriminatory requirements other than
those based upon performance, unless such requirements are
necessary to test or demonstrate a specific thing or to provide
for necessary interchangeability of parts and equipment. When
in the judgment of the grantee, it is impractical or uneco-
nomical to make a clear and accurate description of the tech-
nical requirements, a “brand name or equal’ description may
be used as a means to define the performance or other salient
requirements of a procurement, and in doing so the grantee
need not, establish the existence of any source other than the
brand or source so named.
(bX 1) Notwithstanding any other provision of this title, the Ad-
ministrator shall not approve any grant for any treatment works
under section 201(gXl) after March 1, 1973, unless he shall first
have determined that the applicant (A) has adopted or will adopt
a system of charges to assure that each recipient of waste treat-
ment services within the applicant’s jurisdiction, as determined by
the Administrator, will pay its proportionate share (except as oth-
erwise provided in this paragraph) of the costs of operation and
maintenance (including replacement) of any waste treatment serv-
ices provided by the applicant; and (B) has legal, institutional,
managerial, and financial capability to insure adequate construc-
tion, operation, and maintenance of treatment works throughout
the applicant’s jurisdiction, as determined by the Administrator. In
any case where an applicant which, as of the date of enactment of
this sentence, uses a system of dedication ad valorem taxes and the
Administrator determines that the applicant has a system of
charges which results in the distribution of operation and mainte-
nance coats for treatment works within the applicant’s jurisdiction,
to each user class, in proportion to the contribution to the total cost
of operation and maintenance of such works by each user class
(taking into account total waste water loading of such works, the
constituent elements of the waste, and other appropriate factors),
and such applicant is otherwise in compliance with clause (A) of
this paragraph with respect to each industrial user, then such dedi-
cation ad valorern tax system shall be deemed to be the user charge
system meeting the requirements of clause (A) of this paragraph
for the residential user class and such small non-residential user
classes as defined by the Administrator. In defining small non-resi-
dential users, the Administrator shall consider the volume of
wastes discharged into the treatment works by such users and the
constituent elements of such wastes as well as such other factors
as he deems appropriate. A system of user charges which imposes
a lower charge for low-income residential users (as defined by the
Administrator) shall be deemed to be a user charge system meeting
the requirements of clause (A) of this paragraph if the Adminis-
trator determines that such system was adopted after public notice
and hearing.
(2) The Administrator shall, within one hundred and eighty
days after the date of enactment of the Federal Water Pollution
Control Act Amendments of 1972, and after constijtation with ap-
propriate State, interstate, municipal and intermumcipa] agencies,
issue guidelines applicable to payment of waste treatment costs by
industrial and nonindustrial receipts of waste treatment services
which shall eatablish (A) classes of users of such services, including
categories of industrial users; (B) criteria against which to deter.
mine the adequacy of charges imposed on classes and categories of
users reflecting all factors that influence the cost of waste treat-
ment, including strength, volume, and delivery flow rate character-
istics of waste; and (C) model systems and rates of user charges
typical of various treatment works serving municipal-industrial
communities. - -
(3) Approval by the Administrator of a grant to an interstate
agency established by interstate compact for any treatment works
shall satisfy any other requirement that such works be authorized
by Act of Congress.
(4) A system of charges which meets the requirement of clause
(A) of paragraph (1) of this subsection may be based on something
other than metering the sewage or water supply flow of residential
recipients of waste treatment services, including ad valorem taxes.
If the system of charges is based on something other than metering
the Administrator shall require (A) the applicant to establish a sys-
tern by which the necessary funds will be available for the proper
operation and maintenance of the treatment works; and (B) the ap-
plicant to establish a procedure under which the residential user
will be notified as to that portion of his total payment which will
be allocated to the costs of the waste treatment services.
(c) The next to the last sentence of paragraph (5) of subsection
(a) of this section shall not apply in any case where a primary, sec-
ondary, or advanced waste treatment facility or its related inter-
ceptors has received a grant for erection, building, acquisition, al-
teration, remodeling, improvement, or extension before October 1,
1984, and all segments and phases of such facility and interceptors
shall be funded based on a 20-year reserve capacity in the case of
such facility and a 20-year reserve capacity in the case of such
interceptors, except that, if a grant for such interceptors has been
approved prior to the date of enactment of the Municipal
Wastewater Treatment Construction Grant Amendments of 1981,
such interceptors shall be funded based on the approved reserve Ca-
pacity not to exceed 40 years.
(dXl) A grant for the construction of treatment works under
this title shall provide that the engineer or engineering firm super-
vising construction or providing architect engineering services dur-
ing construction shall continue its relationship to the grant appli-
cant for a period of one year after the completion of construction
and initial operation of such treatment works. During such period
such engineer or engineering firm shall supervise operation of the
treatment works, train operating personnel, and prepare curricula
and trnln’ng material for operating personnel. Costs associated
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53 FEDERAL WATER POWITION CONTROL ACT
Sec. 205 Sec. 205
FEDERAL WATER POLLUTION CONTROL ACT 54
with the implementation of this parapaph phnII be eligible for Fed-
eral assistance in accordance with this title.
(2) On the date one year after the completion of construction
and initial operation of such treatment works, the owner and oper-
ator of such treatment works shall certify to the Administrator
whether or not such treatment works meet the design specifica-
tions and effluent limitations contained in the grant agreement and
permit pursuant to section 402 of the Act for such works. If the
owner and operator of such treatment works cannot certify that
such treatment works meet such design specifications and effluent
limitations, any failure to meet such design specifications and efflu-
ent limitations shall be corrected in a timely manner, to allow such
affirmative certification, at other than Federal expense.
(3) Nothing in this section shall be construed to prohibit a
grantee under this title from requiring more assurances, guaran-
tees, or indemnity or other contractual requirements from any
party to a contract pertaining to a project assisted under this title,
than those provided under this subsection.
(33 U S.C. 1284)
- ALLOTMENT
SEc. 205. (a) Sums authorized to be appropriated pursuant to
section 207 for each fiscal year beginning after June 30, 1972, be-
fore September 30, 1977, shall be allotted by the Administrator not
later than the January 1st immediately preceding the beginning of
the fiscal year for which authorized, except that the allotment for
fiscal year 1973 shall be made not later than 30 days after the date
of enactment of the Federal Water Pollution Control Act Amend-
ments of 1972. Such sums shall be allotted among the States by
the Administrator in accordance with regulations promulgated by
him, in the ratio that the estimated cost of constructing all needed
publicly owned treatment works in each State bears to the esti-
mated cost of construction of all needed publicly owned treatment
works in all of the States. For the fiscal years ending June 30,
1973, and June 30, 1974, such ratio shall be determined on the
basis of table III of House Public Works Committee Print No. 92—
50. For the fiscal year ending June 30 1976, such ratio shall be
determined one-half on the basis of table I of House Public Works
Committee Print Numbered 93—28 and one-half on the basis of
table II of such print, except that no State shall receive an allot-
ment less than that which it received for the fiscal year ending
June 30, 1972, as set forth in table III of such print. Allotments
for fiscal years which begin after the fiscal year ending June 30,
1975 shall be made only in accordance with a revised cost estimate
made and submitted to Congress in accordance with section 516(b)
of this Act and only after such revised cost estimate shall have
been approved by law specifically enacted hereafter.
(b)(1) Any sums allotted to a State under subsection (a) shall
be available for obligation under section 203 on and alter the date
of such allotment. Such sums shall continue available for obligation
in such State for a period of one year after the close of the fiscal
year for which such sums are authorized. Any amounts so allotted
which. are not obligated by the end of such one-year period shall
be immediately reallotted by the Administrator, in accordance with
regulations promulgated by him, generally on the basis of the ratio
used in making the last allotment of sums under this section. Such
reallotted sums shall be added to the last allotments made to the
States. Any sum made available to a State by reallotment under
this subsection shall be in addition to any funds otherwise allotted
to such State for grants under this title during any fiscal year.
(2) Any sums which have been obligated under section 203 and
which are released by the payment of the final voucher for the
project shall be immediately credited to the State to which such
sums were last allotted. Such released sums shall be added to the
amounts last allotted to such State and shall be immediately avail-
able for obligation in the same manner and to the same extent as
such last allotment.
(cXl) Sums authorized to be appropriated pursuant to section
207 for the fiscal years during the period beginning October 1,
1977, and ending September 30, 1981, shall be allotted for each
such year by the Administrator not later than the tenth day which
begins alter the date of enactment of the Clean Water Act of 1977.
Not-withstanding any other provision of law, sums authorized for
the fiscal years ending September 30, 1978. September 30, 1979,
September 30, 1980, and September 30, 1981. shall be allotted in
accordance with table 3 of Committee Print Numbered 95—30 of the
Committee on Public Works and Transportation of the House of
Representatives.
(2) Sums authorized to be appropriated pursuant to section 207
for the fiscal years 1982, 1983. 1984. and 1985 shall be allotted for
each such year by the Administrator not later than the tenth day
which begins after the date of enactment of the Municipal
Wastewater Treatment Construction Grant Amendments of 1981.
Notwithstanding any other provision of law, sums authorized for
the fiscal year ending September 30, 1982, shall be allotted in ac-
cordance with table 3 of Committee Print Numbered 95—30 of the
Committee on Public Works and Transportation of the House of
Representatives. Sums authorized for the fiscal years ending Sep-
tember 30. 1983, September 30, 1984, September 30, 1985, and
September 30, 1986. shall be allotted in accordance with the
following table:
-------
55
FEDERAL WATER POLLUTION CONTROL ACT
States
Alabama
Alaska.
A r izona
Arkansas
Ca llfbrn Ia
Colorado
Sec. 205
Sec. 205 FEDERAL WATER POUUTION CONTROL ACT 5$
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illino is
Indiana
lows
Kansas
Kentucky
Louisiana
Maine
Maryland
Mauschusetts
Michigan
Minnesota
Missiuippi
Miuoun
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Meamo
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvan ia
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia.,
Wisconsin
: : : ::
Guam
Northern Marts
Puerto Rico
Pacific Trust T
Virgin Islands
st_n I9&3
through 1955’
011398
006101
006885
006688
072901
008154
012487
004965
004965
034407
017234
007895
004965
046101
024566
013796
009201
012973
013205
- .007788
024653
034608
043829
018735
009184
028257
. .004965
005214
004965
010186
041654
004965
113091
018396
004965
057383
008235
011516
040377
006760
010442
004965
014807
038726
006371
004965
017726
015890
027557
004965
000915
000662
000425
013295
001305
000531
.099996
date of the enactment of this paragraph. Sums authorized for
such fiscal years shall be allotted in accordance with the
following table:
States;
Alabama 011309
Alaska 006053
Arizona 006831
Arkansas 006616
California 072333
Colorado 008090
Connecticut 0 12390
Delaware 004965
District of Columbia 004965
Florida 034139
Georgia 017100
Hawaii .. .007833
Idaho 004965
Illinois 045741
Indiana 024374
Iowa 013688
Kansas 009129
Kentucky 012872
Louisiana 011118
Maine 007829
Maryland 024461
Massachusetts 034338
Michigan 043487
Minnesota 018589
Mississippi 009132
Missouri . . .028037
Montana 004965
Nebraska 005173
Nevada 004965
New Hampshire 010107
New Jersey 041329
New Mexico 004965
New York 111632
North C.yolina 018253
North Dakota 004965
Ohio 056936
Oklahoma 008171
Oregon 011426
Pennsylvania 040062
Rhode Island 006791
South Carolina 010361
South Dakota .. . .004965
Tennessee 014692
Texas 048226
Utah 005329
Vermont 004965
Virginia 020698
Washington .._. 017588
West Virginia 015766
Wisconsin 027342
Wyoming .. 004965
American Samoa 000908
Guam 000657
Northern Merlanas 000422
Puerto Rico 013191
Pacific Thist Temtories 001295
Virgin Islands 000527
(d) Sums allotted to the States for a fiscal year ohall remain
.availabl8 for obligation for the fiscal year for which authorized and
for the period of the next succeeding twelve months. The amount
of any allotment not obligated by the end of such twenty-four-
United States totals
‘So in cilginal. Prebably should be 1986.
(3) FISCAL YEARS 1987-1990.-—SU iflS authorized to be appro-
priated pursuant to section 207 for the fiscal years 1987 1988,
1989, and 1990 shall be allotted for each such year by ‘the Ad-
ministrator not later than the 10th day which begins after the
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51 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 205
month period shall be immediately reallotted by the Administrator
on the basis of the ame ratio as applicable to sums allotted for the
then current fiscal year, except that none of the funds reallotted by
the Administrator for fiscal year 1978 and for fiscal years there-
after shall be allotted to any State which failed to obligate any of
the funds being reallotted. Any sum made available to a State by
reallotment under this subsection shall be in addition to any funds
otherwise allotted to such State for grants under this title during
any fiscal year.
(e) For the fiscal years 1978, 1979, 1980, 1981, 1982, 1983,
1984, 1985, 1986, 1987, 1988, 1989, and 1990, no State shall re-
ceive less than one-half of 1 per centum of the total allotment
under subsection (c) of this section, except that in the case of
Guam, Virgin Islands, American Samoa, and the Trust Territories
not more than thirty-three one-hundredths of 1 per centum in the
aggregate shall be allotted to all four for these jurisdictions. For
the purpose of carrying out this subsection there are authorized to
be appropriated, subject to such amounts as are provided in appro-
priation Acts, not to exceed $75,000,000 for each fiscal years 1978,
1979, 1980, 1981, 1982, 1983, 1984, 1985, 1986, 1987, 1988, 1989,
and 1990. If for any fiscal year the amount appropriated under au-
thority of this subsection is less than the amount necessary to
carry out this subsection, the amount each State receives under
this subsection for such year shall be the same ratio for the amount
such State would have received under this subsection in such year
if the amount necessary to carry it out had been appropriated as
the amount appropriated for such year bears to the amount nec-
essary to carry out this subsection for such year.
0) Notwithstanding any other provision of this section, sums
made available between January 1, 1975, and March 1, 1975, by
the Administrator for obligation shall be available for obligation
until September 30, 1978.
(gXl) The Administrator is authorized to reserve each fiscal
year not to exceed 2 per centuni of the amount authorized under
section 207 of this title for purposes of the allotment made to each
State under this section on or after October 1, 1977, except in the
case of any fiscal year beginning on or after October 1, 1981, and
ending before October 1, 1994, in which case the percentage au-
thorized to be reserved shall not exceed 4 per centum. 1 or $400,000
whichever amount is the greater. Sums so reserved shall be avail-
able for making grants to such State under paragraph (2) of this
subsection for the same period as sums are available from such al-
lotment under subsection (d) of this section, and any such grant
shall be available for obligation only during such period. Any grant
made from stuns reserved under this subsection which has not been
obligated by the end of the period for which available shall be
added to the amount last allotted to such State under this section
and shall be immediately available for obligation in the same man-
ner and to the same extent as such last allotment. Sums author-
ized to be reserved by this paragraph shall be in addition to and
‘P L 97- 117 added ih s pbi.s. with a pszwd si lbs .nd pz bshb should b. a co
Sec. 205 FEDERAL WATER POWJTION CONTROL ACT
not in lieu of any other funds which may be authorized to carry out
this subsection.
(2) The Administrator is authorized to grant to any State from
amounts reserved to such State under this subsection, the reason-
able costs of administering any aspects of sections 201, 203, 204,
and 212 of this Act the responsibility for administration of which
the Administrator has delegated to such State. The Administrator
may increase such grant to take into account the reasonable costs
of administering an approved program under section 402 or 404,
administering a statewide waste treatment management planning
program under section 208(bX4), and managing waste treatment
construction grants for small communities.
(h) The Administrator shall set aside from funds authorized for
each fiscal year beginning on or after October 1, 1978, a total (as
determined by the Governor of the State) of not less than 4 percent
nor more than 7V 2 percent of the sums allotted to any State with
a rural population of 25 per centum or more of the total pop ilation
of such State, as determined by the Bureau of the Census. The Ad-
ministrator may Bet aside no more than 7 V2 percent of the sums
allotted to any other State for which the Governor requests such
action. Such sums shall be available only for alternatives to con-
ventional sewage treatment works for municipalities having a pop-
ulation of three thousand five hundred or less, or for the highly dis-
persed sections of larger municipalities, a defined by the Adininia-
trator.
(i) Sgr-AsmE FOR INNOVATIVE AND ALTERNATIVE PROJECTS.—
Not less than Va of 1 percent of funds allotted to a State for each
of the fiscal years ending September 30, 1979, through September
30, 1990, under subsection (c) of this section shall be expended only
for increasing the Federal share of grants for construction of treat-
ment works utilizing innovative processes and techniques pursuant
to section 2 02(aX2) of this Act. Including the expenditures author-
ized by the preceding sentence, a total of 2 percent of the funds al-
lotted to a State for each of the fiscal years ending September 30
1979, and September 30 1980, and 3 percent of the funds allotted
to a State for the fiscaf year ending September 30, 1981, under
subsection Cc) of this section shall be expended only for increasing
grants for construction of treatment works pursuant to section
202(aX2) of this Act. Including the expenditures authorized by the
first sentence of this subsection, a total (as determined by the Gov-
ernor o( the State) of not less than 4 percent nor more than 7V2
percent of the funds allotted to such State under subsection (c) of
this section for each of the fiscal years ending September 30, 1982,
throngh September 30, 1990, shall be expended only for increasing
the Federal share of grants for construction of treatment works
pursuant to section 202(a)(2) of this Act.
(jXl) The Administrator shall reserve each fiscal year not to
exceed 1 per centum of the sums allotted and available for obliga-
tion to each State under this section for each fiscal year beginning
on or after October 1, 1981, or $100,000, whichever amount is the
greater.
(2) Such sums shall be used by the Administrator to make
grants to the States to carry out water quality -management plan-
ning, Including, but not limited to—
58
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59 FEDERAL WATER POWJUON CONTROL ACT
Sec. 205 Sec. 205
FEDERAL WATER POLLUTION CONTROL ACT GO
(A) ldentifyin most cost effective and locally acceptable fa-
cility and non-point measures to meet and maintain water
quality standards;
( ) developing an implementation plan to obtain State and
local financial and regulatory commitments to implement
measures developed under subparagraph (A);
(C) determining the nature, extent, and causes of water
quality problems in various areas of the State and interstate
region, and reporting on these annually; and
(D) determining those publicly owned treatment works
which should be constructed with assistance under this title, in
which areas and in what sequence, taking into account the rel-
ative degree of effluent reduction attained, the relative con-
tributions to water quality of other point or nonpoint sources
and the consideration of alternatives to such construction, and
implementing section 303(e) of this Act.
(3) In carrying out planning with grants made under para-
graph (2) of this subsection, a State shall develop jointly with local,
regional, and interstate entities, a plan for carrying out the pro-
gram and give funding priority to such entities and designated or
undesignated public comprehensive planning organizations to carry
out the purposes of this subsection. In giving such priority, the
State shall allocate at least 40 percent of the amount granted to
such State for a fiscal year under paragraph (2) of this subsection
to regional public comprehensive planning organizations in such
State and appropriate interstate organizations for the development
and implementation of the plan described in this paragraph. In any
fiscal year for which the Governor, in consultation with such orga-
nizations and with the approval of the Administrator, determines
that allocation of at least 40 percent of such amount to such orga-
nizations will not result in significant participation by such organi-
zations in water quality management planning and not signifi-
cantly assist in development and Implementation of the plan de-
scribed in this paragraph and achieving the goals of this Act, the
allocation to such organization may be less than 40 percent of such
amount.
(4) All activities undertaken under this subsection shall be in
coordination with other related provisions of this Act.
(5) N0NP0 IN’r SOURCE RESERVATION—In addition to the
sums reserved under paragraph (1), the Administrator shall re-
serve each fiscal year for each State 1 percent of the sums al
lotted and available for ob4ation to such State under this sec-
tion for each fiscal year beginning on or alter October 1, 1986,
or $100,000, whichever Is greater, for the purpose of carrying
out section 319 of this Act. Sums so reserved in a State in any
fiscal year for which such State does not request the use of
such sums, to the extent such sums exceed $100,000, may be
used by such State for other purposes under this title.
(k) The Administrator shall allot to the State of New York from
sums authorized to be appropriated for the fiscal year ending Sep-
tember 30, 1982, an amount necessary to pay the entire-cost of con-
veying sewage from the Convention Center of the City of New York
to the Newtown sewage treatment plant, Brooklyn-Queens area,
New York. The amount allotted under this subsection shall be in
addition to and not in lieu of any other amounts authorized to be
allotted to such State under this Act.
(I) MARINE ESTUARY RESERVATION.—
(1) RESERVATION OF FUNDS.—
(A) GENERAL RLJLE.—Pz-ior to making allotments
among the States under subsection (C) of this section, the
Administrator shall reserve funds from sums appropriated
pursuant to section 207 for each fiscal year beginning after
September 30, 1986.
(B) FISCAL YEARS 1987 AND 1988.—For each of fiscal
years 1987 and 1988 the reservation shall be 1 percent of
the sums appropriated pursuant to section 207 for such fis-
cal year.
(C) FISCAL YEARS 1989 AND 1990.—For each of fiscal
years 1989 and 1990 the reservation shall be 1 V2 percent
of the funds appropriated pursuant to section 207 for such
fiscal year.
(2) USE OF Fulws.—Of the sums reserved under this sub-
section, two-thirds shall be available to address water quality
problems of marine bays and estuaries subject to lower levels
of water quality due to the impacts of discharges from com-
bined storm water and sanitary sewer overflows from adjacent
urban complexes, and one-third shall be available for the im-
plementation of section 320 of this Act, relating to the national
estuary program.
(3) PERIOD OF AVAILABILFFY.—Sums reserved under this
subsection shall be subject to the period of availability for obli-
gatiori established by subsection (d) of this section.
(4) TREATMENT OF CERTAIN BODY OF WATER.—For purposes
of this section and section 20 1(n), Newark Bay, New Jersey,
and the portion of the Passaic River up to Little Falls, in the
vicinity of Beatties Dam, shall be treated as a marine bay and
estuary.
(m) DISCRETIONARY D€ osrrs IN’ro STATE WATER PoI.u.rr loN
C0IJmOL REvoLvING FUNDS.—
(1) FROM CONSTRUCTION GRANT ALLOTMENTS.—In addition
to any amounts deposited in a water pollution control revolving
fund established by a State under title VI, upon request of the
Governor of such State, the Administrator shall make available
to the State for deposit, as capitalization grants, in such fund
in any fiscal year beginning after September 30, 1986, such
portion of the amounts allotted to such State under this section
for such fiscal year as the Governor considers appropriate; ex-
cept that (A) in fiscal year 1987 such deposit may not exceed
50 percent of the amounts allotted to such State under this
section for such fiscal year, and (B) in fiscal year 1988, such
deposit may not exceed 75 percent of the amounts allotted to
such State under this section for this ‘ fiscal year.
(2) NOTICE REQUIREMENT.—The Governor of a State may
make a request under paragraph (1) for a deposiIlhto the
water pollution control revolving fund of such State—
‘So hi oñgf nil. P ,obably ihoi Id be such.
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61 FEDERAL WATER POLLUTION CONTROL ACT
Sac. 20$ Sec. 206
FEDERAL WATER P3LLUTION CONTROL ACT 62
(A) in fiscal year 1987 only if no later than 90 days
after the date of the enactment of this subseCtion, and
(B) in each flBCal year thereafter only ff90 days before
the first day of such fiscal year,
the State provides notice of its intent to make such deposit.
(3) EXCEPTION—SUms reserved under section 205(j) of this
Act shall not be available for obligation under this subsection.
(33 U.S.C. 1286)
REIMBURSEMENT AND ADVANCED CONSTRUCTION
SEC. 206. (a) Any publicly owned treatment works in a State
on which construction was initiated after June 30, 1966, but before
July 1, 1973, which was approved by the appropriate State water
pollution control agency and which the Administrator finds meets
the requirements of section 8 of this Act in effect at the time of the
initiation of construction shall be reimbursed a total amount equal
to the difference between the amount of Federal financial assist-
ance, if any, received under such section 8 for such project and 50
per centum of the coat of such project, or 65 per centum of the
project cost where the Administrator also determines that such
treatment works was constructed in conformity with a comprehen-
sive metropolitan treatment plan as described in section 8(f) of the
Federal Water Pollution Control Act as in effect immediately prior
to the date of enactment of the Federal Water Pollution Control Act
Amendments of 1972. Nothing in this sub8ection shall result in any
such works receiving Federal grants from all sources in excess of
80 per centum of the cost of such project.
(b) Any publicly owned treatment works constructed with or el-
igible for Federal financial assistance under this Act in a State be-
tween June 30, 1956, and June 30, 1966, which was approved by
the State water pollution control agency and which the Adminis-
trator finds meets the requirements of section 8 of this Act prior
to the date of enactment of the Federal Water Pollution Control Act
Amendments of 1972 but which was constructed without assistance
under such section 8 or which received such assistance in an
amount less than 30 per centum of the cost of such project shall
qualify for payments and reimbursement of State or local funds
used for such project from sums allocated to such State under this
section in an amount which shall not exceed the difference between
the amount of such assistance, if any, received for such project and
30 per centum of the cost of such project.
(c) No publicly owned treatment works shall receive any pay-
ment or reimbursement under subsection (a) or (b) of this section
unless an application for such assistance is filed with the Adminis-
trator within the one year period which begins on the date of enact-
ment of the Federal Water Pollution Control Act Amendments of
1972. Any application filed within such one year period may be re-
vised from time to time, as may be necessary.
(d) The Administrator shall allocate to each qualified project
under subsection (a) of this section each fiscal year for which funds
are appropriated- under subsection (e) of this section an amount
h bears the same ratio to the unpaid balance of the reimburse-
due such project as the total of such funds for such yea’
bears to the total unpaid balance of reimbursement due all such
approved projects on the date of enactment of such appropriation.
The Administrator shall allocate to each qualified project under
subsection (b) of this section each fiscal year for which funds are
appropriated under subsection (e) of this section an amount which
bears the same ratio to the unpaid balance of the reimbursement
due such project as the tOtal of such funds for such year bears to
the total unpaid balance of reimbursement due all such approved
projects on the date of enactment of such appropriation.
(e) There is authorized to be appropriated to carry out sub-
section (a) of this section not to exceed $2,600,000,000 and, to carry
out subsection (b) of this section, not to exceed $750,000,000. The
authorizations contained in this subsection shall be the sole source
of funds for reimbursements authorized by this section.
(f)( 1) In any case where a substantial portion of the funds al-
lotted to a State for the current fiscal year under this title have
been obligated under section 201(g), or will be so obligated in a
timely manner (as determined by the Administrator), and there is
construction of any treatment work project without the aid of Fed-
eral funds and in accordance with all procedures and all require-
ments applicable to treatment works projects, except those proce-
dures and requirements which limit construction of projects to
those constructed with the aid of previously allotted Federal funds,
the Administrator, upon his approval of an application made under
this subsection therefore, is authorized to pay the Federal share of
the cost of construction of such project when additional funds are
allotted to the State under this title if prior to the construction of
the project the Administrator approves plans, specifications, and
estimates therefor in the same manner as other treatment works
projects. The Administrator may not approve an application under
this subsection unless an authorization is in effect for the first fis-
cal year in the period for which the application requests payment
and such requested payment for that fiscal year does not exceed
the State’s expected allotment from such authorization. The Ad-
ministrator shall not be required to make such requested payment
for any fiscal year—
(A) to the extent that such payment would exceed such
State’s allotment of the amount appropriated for such fiscal
year; and
(B) unless such payment is for a project which, on the
basis of an approved funding priority list of such State, is eligi-
ble to receive such payment based on the allotment and appro-
priation for such fiscal year.
To the extent that Iuflicient funds are not appropriated to pay the
full Federal share with respect to a project for which obligations
under the provisions of this subsection have been made, the Ad-
ministrator shall reduce the Federal share to such amount less
than 75 per centum as such appropriations do provide.
(2) In determining the allotment for any fiscal year under this
title, any treatment works project constructed in accordance with
this section and without the aid of Federal funds shall not be con-
sidered completed until an application under the provisioDR of this
subsection with respect to such project has been appro the
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63 FEDERAl WAlER POLluTION CONTROL ACT
Sec. 206 Sec. 208
FEDERAL WATER POLLUTION CONTROL ACT 64
Administrator, or the availability of funds from which this project
is eligible for reimbursement has expired, whichever first occurs.
(33 U.S.C. 1286)
AUThORIZATION
SEc. 207. There is authonzed to be appropriated to carry out
this title, other than aectiOflS 206(e), 208 and 209, for the fiscal
year ending June 30, 1973, not to exceed $5,000,000,000, for the
fiscal year ending June 30, 1974, not to exceed $6,000,000,000, and
for the fiscal year ending June 30, 1975, not to exceed
$7,000,000,000. and, subject to such amounts as are provided in ap-
propriation Acts for the fiscal year ending September 30, 1977,
$1,000,000,000 for the fiscal year ending September 30, 1978,
$4,500,000,000 and for the fiscal years ending September 30, 1979,
September 30, 1980, not to exceed $5,000,000 000; for the fiscal
year ending September 30, 1981, not to exceed 42,548,837,000; and
for the fiscal years ending September 30, 1982, September 30,
1983, September 30, 1984, and September 30, 1985, not to exceed
$2,400,000,000 per fiscal year; and for each of the fiscal years end-
ing September 30, 1986. September 30. 1987, and September 30,
1988, not to exceed $2,400,000,000; and for each of the fiscal years
ending September 30, 1989, and September 30, 1990, not to exceed
$1,200,000,000.
(33 USC 1287)
AI1EAWIDE WASTE TREAThENT MANAGEMENT
SEC. 208. (a) For the purpose of encouraging and facilitating
the development and implementation of areawide waste treatment
management plans—
(1) The Administrator, within ninety days after the date of
enactment of this Act and after consultation with appropriate
Federal, State, and local authorities, shall by regulation pub-
lish guidelines for the identification of those areas which, as a
result of urban-industrial concentrations or other factors, have
substantial water quality control problems.
(2) The Governor of each State, within sixty days after
publication of the guidelines issued pursuant to paragraph (1)
of this subsection, shall identify each area within the State
which, as a result of urban-industrial concentrations or other
factors, has substantial water quality control problems. Not
later than one hundred and twenty days following such identi-
fication and after consultation with appropriate elected and
other officials of local governments having jurisdiction in such
areas, the Governor shall designate (A) the boundaries of each
such area, and (B) a single representative organization, includ-
ing elected officials from local governments or their designees,
capable of developing effective areawide waste treatment man-
-- agement plans for such an area. The Governor may in the
same manner at any later time identify any additional area (or
modify an existing area) for which he determines areawide
waste treatment management to be appropriate, designate the
boundaries of such area, and designate an organization capable
of developing effective areawide waste treatment management
plans for such area.
(3) With respect to any area which, pursuant to the guide-
lines published under paragraph (1) of this subsection, is lo-
cated in two or more States, the Governors of the respective
States shall consult and cooperate in carrying out the provi-
sions of paragraph (2), with a view toward designating the
boundaries of the interstate area having common water quality
control problems and for which areawide waste treatment
management plans would be most effective, and toward des-
ignating, within one hundred and eighty days after publication
of guidelines issued pursuant to paragraph (1) of this sub-
section, of a single representative organization capable of de-
veloping effective areawide waste treatment management
plans for such area.
(4) If a Governor does not act, either by designating or de-
termining not to make a designation under paragraph (2) of
this subsection, within the time required by such paragraph, or
if, in the case of an interstate area, the Governors of the States
involved do not designate a planning organization within the
time required by paragraph (3) of this subsection, the chief
elected -officials of local governments within an area may by
agreement designate (A) the boundaries for such an area, and
(B) a single representative organization including elected ofli.
dale from such local governments, or their designees, capable
of developing an areawide waste treatment management plan
for such area.
(5) Existing regional agencies may be designated under
paragraphs (2). (3), and (4) of this subsection.
(6) The State shall act as a planning agency for all por-
tions of such State which are not designated under paragraphs
(2), (3), or (4) of this subsection.
(7) Designations under this subsection shall be subject to
the approval of the Administrator.
(bXIXA) Not later than one year after the date of designation
of any organization under subsection (a) of this 8ection such organi-
zation shall have in operation a continuing areawide waste treat-
ment management planning process consistent with section 201 of
this Act. Plans prepared in accordance with this process shall con-
tain alternatives for waste treatment management, and be applica-
ble to all wastes generated within the area involved. The initial
plan j,repared in accordance with such process shall be certified by
the Governor and submitted to the Administrator not later than
two years after the planning process is in operation.
(B) For any agency designated after 1975 under subsection (a)
of this section and for all portions of a State for which the State
is required to act as the planning agency in accordance with sub-
section (a)(6), the initial plan prepared in accordance with such
process shall be certified by the Governor and submitted to the Ad-
ministrator not later than three years after the receipt-of the initial
grant award authorized under subsection (f) of this section.
(2) Any plan prepared under such process shall include, but
not be limited to—
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65 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 208 Sec. 208
FEDERAL WATER POUIITION CONTROL ACT 66
(A) the identification of treatment works necessary to meet
the anticipated municipal and industrial waste treatment
needs of the area over a twenty-year period, annually updated
(including an analysis of alternative waste treatment systems),
including any requirements for the acquisition of land for
treatment pwposes; the necessary waste water collection and
urban storm water runoff systems; and a program to provide
the necessary financial arrangements for the development of
such treatment works, and an identification of open space and
recreation opportunities that can be expected to result from im-
proved water quality, including consideration of potential use
of lands associated with treatment works and increased access
to water-based recreation;
(B) the establishment of construction priorities for such
treatment works and time schedules for the initiation and com-
pletion of all treatment works;
(C) the establishment of a regulatory program to—
(i) implement the waste treatment management re-
quirements of section 20 1(c),
(ii) regulate the location, modification and construc-
tion of any facilities within such area which may result in
any discharge in such area, and
(iii) assure that any industrial or commercial waste
discharged into any treatment works in such area meet ap-
plicable pretreatment requirements;
(D) the identification of those a encies necessary to con-
struct, operate, and maintain all facilities required by the plan
and otherwise to carry out the plan;
(E) the identification of the measures necessary to carry
out the plan (including financing), the period of time necessary
to carry out the plan, the costs of carrying out the plan within
such time, and the economic, social, and environmental impact
of carrying out the plan within such time;
(F) a process to (i) identify, if appropriate, agriculturally
and silviculturally related nonpoint sources of pollution, includ-
ing return flows from irrigated agriculture and their cumu-
lative effects, runoff from manure disposal areas, and from
land used for livestock and crop production, and (ii) set forth
procedures and methods (including land use requirements) to
control to the extent feasible such sources;
(0) a process of (1) identify, if appropriate, mine-related
sources of pollution including new, current, and abandoned
surface and underground mine runoff, and (ii) set forth proce-
dures and methods (including land use requirements) to con-
trol to the extent feasible such sources;
(H) a process to (i) identify construction activity related
sources of pollution, and (ii) set forth procedures and methods
(including land use requirements) to control to the extent fea-
sible such sources;
(I) a process to (i) identify, if appropriate, salt water intru-
sion into rivera, lakes, and estuaries resulting from reduction
of fresh water flow from any cause, including irrigation, ob-
struction. ground water extraction, and diversion, and (ii) set -
forth procedures and methods to control such intrusion to th
extent feasible where such procedures and methods are other-
wise part of the waste treatment management plair
(J) a process to control the disposition of all residual waste -
generated in such area which could affect water quality; and
(K) a process to control the disposal of pollutants on land
or in subsurface excavations within such area to protect
ground and surface water quality.
(3) Areawide waste treatment management plans shall be cer-
tified annually by the Governor or his designee (or Governors or
their designees, where more than one State is involved) as being
consistent with applicable basin plans and such areawide waste
treatment management plans shall be submitted to the Adminis-
trator for his approval.
(4XA) Whenever the Governor of any State determines (and no-
tifies the Administrator) that consistency with a statewide regu-
latory program under section 303 so requires, the requirements of
clauses (F) through (K) of paragraph (2) of this subsection shall be
developed and submitted by the Governor to the Administrator for
approval for application to a class or category of activity through-
out such State.
(B) Any program submitted under subparagraph -(A) of this
paragraph which, in whole or in part, is to control the discharge
or other placement of dredged or fill material into the navigable
waters shall include the following:
(1) A consultation process which includes the State agency
with primary jurisdiction over fish and wildlife resources.
(ii) A process to identify and manage the discharge or
other placement of dredged or fill material which adversely af-
fects navigable waters, which shall complement and be coordi-
nated with a State program under section 404 conducted pur-
suant to this Act.
(iii) A process to assure that any activity conducted pursu-
ant to a best management practice will comply with the guide-
lines established under section 404(bXl), and sections 307 and
403 of this Act.
(iv) A process to assure that any activity conducted pursu-
ant to a best management practice can be terminated or modi-
fied for cause including, but not limited to, the following:
(I) violation of any condition of the best management
practice;
(II) change in any activity that requires either a tem-
porary or permanent reduction or elimination of the dis-
charge pursuant to the best management practice.
(v) A process to assure continued coordination with Fed-
eral and Federal-State water-related planning and reviewing
processes. including the National Wetlands Inventory.
(C) If the Governor of a State obtains approval from the Ad-
ministrator of a statewide regulatory program which meets the re-
quirements of subparagraph (B) of this paragraph and if such State
is administering a permit program under section 404 of this Act,
no person shall be required to obtain an individual permit pursu-
ant to such section, or to comply with a general permit issued pur-
suant to such section, with respect to any appropriate activity with-
in such State for which a best management practice has been ap-
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FEDERAL WATER POLUJTION CONTROL ACT
Sec. 208 Sec. 208
FEDERAL WATER POLLUTION CONTROL ACT 58
87
proved by the Administrator wider the program approved by the
Administrator pursuant to this paragraph.
(DXi) Whenever the Administrator determines after public
hearing that a State is not administering a program approved
under this section in accordance with the requirements of this sec-
tion, the Administrator shall so notify the State and if appropriate
corrective action is not taken within a reaaona le time, not to ex-
ceed ninety day , the Administrator shall withdraw approval of
such program. The Administrator shall not withdraw approval of
any such program unless he shall first have notified the State, and
made public in writing, the reasons for such withdrawal.
(ii) In die case of a State with a program submitted and ap-
proved under this paragraph, the Administrator shall withdraw a -
proval of such program under this subparagraph only for a su
stantial failure of the State to administer ito program in accord-
ance with the requirements of this paragraph.
(cXl) The Governor of each State, in consultation with the
planning agency designated under subsection (a) of this section, at
the time a plan Is submitted to the Administrator, shall designate
one or more waste treatment management agencies (which may be
an existing or newly created local, regional or State agency or po-
tential subdivision) for each area designated under subsection (a)
of this section and submit such designations to the Administrator.
(2) The Administrator shall accept any such designation, un-
less, within 120 days of such designation, he finds that the des-
ignated management agency (or agencies) does not have adequate
authority—
(A) to carry out appropriate portions of an areawide waste
treatment management plan developed under subsection (b) of
this section;
(B) to manage effectively waste treatment works and relat-
ed facilities serving such area in conformance with any plan re-
quired by subsection (b) of this section;
(C) directly or by contract, to design and construct new
works, and to operate and maintain new and existing works as
required by any plan developed pursuant to subsection (b) of
this section;
(D) to accept and utilize grants, or other funds from any
source, for waste treatment management purposes;
(B) to raise revenues, including the assessment of waste
treatment charges;
(F) to incur short- and long-term indebtedness;
(0) to assure in implementation of an areawide waste
treatment management plan that each participating commu-
nity pays its proportionate share of treatment costs;
(H) to reibse to receive any wastes from any municipality
or subdivision thereof, which does not comply with any provi-
sions of an approved plan under this section applicable to such
area; and
(I) to accept for treatment industrial wastes.
(d) After a waste treatment management agency having the
authority required by subsection (c) has been designated under
such subsection for an area and a plan for such area has been ap-
proved under subsection (b) of this section, the Administrator shall
not make any grant for construction of a publicy owned treatment
works under section 201(gXl) within such area except to such des-
ignated agency and for works in conformity with such plan.
(e) No permit under section 402 of this Act shall be issued for
any point source which is in conflict with a plan approved pursuant
to subsection (b) of this section.
(I X 1) The Administrator shall make grants to any agency des-
ignated under subsection (a) of this section for payment of the rea-
sonable costs of developing and operating a continuing areawide
waste treatment management planning process under subsection
(b) of this section.
(2) For the two-year period beginning on the date of the first
Fant is made under paragraph (1) of this subsection to an agency,
if such first grant is made before October 1, 1977, the amount of
each such grant to such agency shall be 100 per centum of the costs
of developing and operating a continuing areawide waste treatment
management planning process under subsection (b) of this section,
and thereafter the amount granted to such agency shall not exceed
75 per centum of such costs in each succeeding one-year period. In
the case of any other grant made to an agency under such para-
graph (1) of this subsection, the amount of such grant shall not ex-
ceed 75 per centwn of the coats of developing and operating a con-
tinuing areawide waste treatment management planning process in
any year.
(3) Each applicant for a grant under this subsection shall sub-
mit to the Administrator for his approval each proposal for which
a grant is applied for under this subsection. The Administrator
shall act upon such proposal as soon as practicable after it has
been submitted, and his approval of that proposal shall be deemed
a contractual obligation of the United States for the payment of its
contribution to such proposal, subject to such amounts as are pro-
vided in appropriation Acts. There is authorized to be appropriated
to carry out this subsection not to exceed $50,000,000 for the fiscal
year ending June 30, 1973, not to exceed $100,000,000 for the fiscal
year ending June 30, 1974, not to exceed $150,000,000 per fiscal
year for the fiscal years ending June 30, 1975, September 30, 1977,
September 30, 1978, September 30, 1979, and September 30, 1980,
not to exceed $100,000,000 per fiscal year for the fiscal years end-
ing September 30, 1981, and September 30, 1982, and such sums
as may be necessary for fiscal years 1983 through 1990.
(g) The Administrator is authorized, upon request of the Gov-
ernor or the designated planning agency, and without reimburse-
ment, to consult with, and provide technical assistance to, any
agency designated under subsection (a) of this section in the devel-
opment of areawide waste treatment management plans wider sub-
section (b) of this section.
(hXl) The Secretary of the Army, acting through the Chief of
Engineers, in cooperation with the Administrator is authorized and
directed, upon request of the Governor or the designated planning
orgsinwntion, to consult with, and provide technical assistance to,
any agency designed 1 under subsection (a) of this section in devel-
‘8 . In o ,4gtnaL PrcInbly .1 ,ouId In d .sIgnstad.
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69 FEDERAL WATER POWITION CONTROL ACT
Sec 208 Sec. 203
FEDERAL WATER POLLUTION CONTROL ACT JO
oping and operating a continuing areawide waste treatment man-
agement plRnning process under subsection (b) of this section.
(2) There is authorized to be appropriated to the Secretary of
the Army, to carry out this subsection, not to exceed $50,000,000
per fiscal year for the fiscal years ending June 30, 1973, and June
30, 1974.
(iX 1) The Secretary of the Interior, acting through the Director
of the United States Fish and Wildlife Service, shall, upon request
of the Governor of a State, and without reimbursement, provide
technical assistance to such State in developing a statewide pro-
gram for submission to the Administrator under subsection
(b)(4XB) of this section and in implementing such program after its
approval.
(2) There is authorized to be appropriated to the Secretary of
the Interior $6,000,000 to complete the National Wetlands Inven-
tory of the United States, by December 31, 1981, and to provide in-
formation from such Inventory to States as it becomes available to
assist such States in the development and operation of programs
under this Act.
(jXl) The Secretary of Agriculture, with the concurrence of the
Administrator, and acting through the Soil Conservation Service
and such other agencies of the Department of Agriculture as the
Secretary may designate, is authorized and directed to establish
and administer a program to enter into contracts, subject to such
amounts as are provided in advance by appropriation acts, of not
less than five years nor more than ten years with owners and oper-
ators having control of rural land for the purpose of installing and
maintaining measures incorporating best management practices to
control nonpoint source pollution for improved water quality in
those States or areas for which the Administrator has approved a
plan under subsection (b) of thia section where the practices to
which the contracts apply are certified by the management agency
designated under subsection (eXi) of this section to be consistent
with such plans and will result in improved water quality. Such
contracts may be entered into during the period ending not later
than September 31, 1988. Under such contracts the land owners or
operator shall agree—
(i) to effectuate a plan approved by a soil conservation dis-
trict, where one exists, under this section for his farm, ranch,
or other land substantially in accordance with the schedule
outlined therein unless any requirement thereof is waived or
modified by the Secretary;
(ii) to forfeit all rights to further peyments or grants under
the contract and refund to the United States all payments and
grants received thereunder, with interest, upon his violation of
the contract at any stage durinç the time he has control of the
land if the Secretary, after considering the recommendations of
the soil conservation district, where one exists, and the Admin-
istrator, determines that such violation is of such a nature as
to warrant termination of the contract, or to make refunds or
accept such payment adjustments as the Secretary may deem
appropriate if he determines that the violation by the owner or
operator does not warrant terminAtion of the contract;
(iii) upon transfer of his right and interest in the farm,
ranch, or other land during the contract period to forfeit all
rights to further-payments or grants under the contract and re-
fund to the United States all payments or grants received
thereunder, with interest, unless the transferee of any such
land agrees with the Secretary to assume all obligations of the
contract;
(iv) not to adopt any practice specified by the Secretary on
the advice of the Administrator in the contract as a practice
which would tend to defeat the purposes of the contract;
(v) to such additional provisions as the Secretary deter-
mines are desirable and includes in the contract to effectuate
the purposes of the program or to facilitate the practical ad-
ministration of the program.
(2) In return for such agreement by the landowner or operator
the Secretary shall agree to provide technical assistance and share
the cost of carrying out those conservation practices and measures
set forth in the contract for which he determines that cost sharing
is appropriate and in the public interest and which are approved
for cost sharing by the agency designated to implement the plan
developed under subsection (b) of this section. The portion of such
cost (including labor) to be shared shall be that part which the Sec-
retary determines is necessary and appropriate to effectuate the in-
atallation of the water quality management practices and measures
under the contract, but not to exceed 50 per centum of the total
cost of the measures set forth in the contract; except the Secretary
may increase the matching coat share where he determines that (1)
the main benefits to be derived from the measures are related to
improving offeite water quality, and (2) the matching share re-
quirement would place a burden on the landowner which would
probably prevent him from participating in the program.
(3) The Secretary may terminate any contract with a land-
owner or operator by mutual agreement with the owner or operator
if the Secretary determines that such termination would be in the
- public interest, and may agree to such modification of contracts
previously entered into as he may determine to be desirable to
carry out the purposes of the program or facilitate the practical ad-
ministration thereof or to accomplish equitable treatment with re-
spect to other conservation, land use, or water quality programs.
(4) In providing assistance under this subsection the Secretary
will give priority to those areas and sources that have the most sig-
nificant effect upon water quality. Additional Investigations or
plans may be made, where necessary, to supplement approved
water quality management plans, in order to determine priorities.
(5) The Secretary shall, where practicable, enter into agree-
ments with soil conservation districts, State soil and water con-
servation agencies, or State water quality agencies to administer
all or part of the program established in this subsection under reg-
ulations developed by the Secretary. Such agreements ahall provide
for the submission of such reports as the Secretary deems nec-
essary, and for payment by the United States of such portion of the
costs incurred in -the administration of the program as the Sec-
retary may deem appropriate.
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it FEDERAL WATER POLLUTION CONTROL ACT
Sec. 210 Sec. 211
FEOERAI. WATER POLLUTION CONTROL ACT 72
(6) The contracts under this subsection shall be entered into
only in areas where the management agency designated under sub-
section (cXl) of this section assures an adequate level of participa-
tion by owners and operators having control of rural land in such
areas. Within such areas the local soil conservation district, where
one exists, together with the Secretary of Agriculture, will deter-
mine the priority of assistance among individual land owners and
operators to assure that the most critical water quality problems
are addressed.
(7) The Secretary, in consultation with the Administrator and
subject to section 304(k) of this Act, shall, not later than September
30, 1978, promulgate regulations for carrying out this subsection
and for support and cooperation with other Federal and non-Fed-
eral agencies for implementation of this subsection.
(8) This program shall not be used to authorize or finance
projects that would otherwise be eligible for assistance under the
terms of Public Law 83—566.
(9) There are hereby authorized to be appropriated to the Sec-
retary of Agriculture $200,000,000 for fiscal year 1979,
$400,000,000 for fiscal year 1980, $100,000,000 for fiscal year 1981,
$100,000,000 for fiscal year 1982, and such sums as may be nec-
essary for fiscal years 1983 through 1990, to carry out this sub-
section. The program authorized under this subsection shall be in
addition to, and not in substitution of, other programs in such area
authorized by this or any other public law.
(33 U.S.C. 1288)
BASIN PLANNING
SEc. 209. (a) The President, acting through the Water Re-
sources Council, shall, as soon as practicable, prepare a Lavel B
plan under the Water Resource Planning Act for all basins in the
United States. All such plans shall be completed not later than
January 1, 1980, except that priority in the preparation of such
plans shall be given to those basins and portions thereof which are
within those areas designated under paragraphs (2), (3), and (4) of
subsection (a) of section 208 of this Act.
(b) The President, acting through the Water Resources Council,
shall report annually to Congress on progress being made in carry-
ing out this section. The first such report shall be submitted not
Later than January 31, 1973.
(c) There Is authorized to be appropriated to carry out this sec-
tion not to exceed $200,000,000.
(33 U.S.C. 1289)
ANNUAL SURVEY
SEc. 210. The Administrator shall annually make a survey to
determine the efficiency of the operation and maintenance of treat-
meat works constructed with grants made under this Act, as com-
pared to the efficiency planned at the time the grant was made.
The result. of such annual survey shall be included in the report
required under section 516(a) of this Act.
(33 U.S.C. 1290)
SEWAGE COLLECTION SYSTEMS
SEc. 211. (a) No grant shall be made for a sewage collection
system under this title unless such grant (1) is for replacement or
major rehabilitation of an existing collection system and is nec-
essary to the total integrity and performance of the waste treat-
ment works serving such community, or (2) is for a new collection
system in an existing community with sufficient existing or
planned capacity adequately to treat such collected sewage and is
consistent with section 201 of this Act.
(b) If the Administrator uses population density as a test for
determining the eligibility of a collector sewer for assistance it
shall be only for the purpose of evaluating alternatives and deter-
mining the needs for such system in relation to ground or surface
water quality impact.
(c) No grant shall be made under this title from funds author-
ized for any fiscal year during the period beginning October 1,
1977, and ending September 30, 1990, for treatment works for con-
trol of pollutant discharges from separate storm sewer systems.
(33 U.S.C. 1291)
DEFINITIONS
SEC. 212. As used in this title—
(1) The term “construction” means any one or more of the fol-
lowing preliminary planning to determine the feasibility of treat-
ment works, engineering, architectural, legal, fiscal, or economic in-
vestigations or studies, surveys, designs, plans, working drawings,
specifications, procedures, field testing of innovative or alternative
waste water treatment processes and techniques meeting guide-
lines promulgated under section 304(dX3) of this Act, or other nec-
essary actions, erection, building, acquisition, alteration, remodel-
ing, improvement, or extension of treatment works, or the inspec-
tion or supervision of any of the foregoing items.
(2XA) The term “treatment works” means any devices and sys-
tems used in the storage, treatment, recycling, and reclamation of
municipal sewage or industrial wastes of a liquid nature to imple-
ment section 201 of this act, or necessary to recycle or reuse water
at the most economical cost over the estimated life of the works,
including intercepting sewers, outfall sewers, sewage collection sys-
tems, pumping, power, and other equipment, and their appur-
tenances; extensions, improvements, remodeling, additions, and al-
terations thereof elements essential to provide a reliable recycled
supply such as standby treatment units and clear well facilities;
and any works, including site acquisition of the land that will be
an integral part of the treatment process (including land use for
the storage of treated wastewater in land treatment systems prior
to land application) or is used for ultimate disposal of residues re-
sulting from such treatment.
(B) In addition to the definition contained in 8ubparagraph (A)
- of this paragraph, “treatment works” means any other method or
system for preventing, abating, reducing, storing, treating, separat-
ing, or disposing of municipal waste, including storm water nmofl,
or industrial waste, including waste in combined storm water and
sanitary sewer systems. Any application for construction grant.
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13 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 214 Sec. 214
FEDERAL WATER POLLUTION CONTROL ACT 74
which includes wholly or in part such methods or systems shall, in
accordance with guidelines published by the Administrator pursu-
ant to subparagraph (C) of this paragraph, contain adequate data
and analysis demonstrating such proposal to be, over the life of
such works, the most cost efficient alternative to comply with sec-
tions 301 or 302 of this Act, or the requirements of section 201 of
this Act.
(C) For the purposes of subparagraph (B) of this paragraph,
the Arhninifitrator shall, within one hundred and eighty days after
the date of enactment of this title, publish and thereafter revise no
less often than annually, guidelines for the evaluation of methods,
including cost-effective analysis, described in subparagraph (B) of
this paragraph.
(3) The term “replacement” as used in this title means those
expenditures for obtaining and installing equipment, accessories, or
appurtenances during the useful life of the treatment works nec-
essary to maintain the capacity and performance for which such
works are designed and constructed.
(33 U S.C. 1292)
LOAN GUARANTEES FOR CONSTRUCTION OF TREATMENT WORKS
SEc. 213. (a) Subject to the conditions of’ this section and to
such terms and conditions as the Administrator determines to be
necessary to carry out the purposes of this title, the Administrator
is authorized to guarantee, and to make commitments to guaran-
tee, the principal and interest (including interest accruing between
the date of default and the date of the payment in full of the guar-
antee) of any loan, obligation, or participation therein of any State,
municipality, or intermunicipal or interstate agency issued directly
and exclusively to the Federal Financing Bank to finance that part
of the cost of any grant-eligible project for the construction of pub-
licly owned treatment works not paid for with Federal financial as-
sistance under this title (other than this section), which project the
Administrator has determined to be eligible for such financial as-
sistance under this title, includin , but not limited to, projects eligi-
ble for reimbursement under section 206 of this title.
(b) No guarantee, or commitment to make a guarantee, may be
made pursuant to this section—
(1) unless the Administrator certifies that the issuing body
is unable to obtain on reasonable terms sufficient credit to fi-
nance its actual needs without such guarantee; and
(2) unless the Administrator determines that there is a
reasonable assurance or repayment of the loan, obligation, or
participation therein.
A determination of whether financing is available at reasonable
rates shall be made by the Secretary of the Treasury with relation-
ship to the current average yield on outstanding marketable obliga-
tions of municipalities of comparable maturity.
(C) The Administrator is authorized to charge reasonable fees
for the investigation of an application for a guarantee and for the
issuance of a commitment to make a guarantee.
(d) The Administrator, in determining whether there is a rea-
sonable assurance of-repayment, may require a commitment which
would apply to such repayment. Such commitment may include,
but not be limited to, any funds received by such grantee from the
amounts appropriated under section 206 of this Act.
(33 U.S.C. 1293)
PUBUC INFORMATION
SEC. 214. The Administrator shall develop and operate within
one year of the date of enactment of this section, a continuing pro-
gram of public information and education on recycling and reuse of
wastewater (including sludge), the use of land treatment, and
methods for the reduction of wastewater volume.
(33 U_S.c. 1294)
REQUIREMENTS FOR AMERICAN MATERIA1 S
SEc. 215. Notwithstanding any other provision of law, no grant
for which application is made after February 1, 1978, shall be
made under this title for any treatment works unless only such un-
manufactured articles, materials, and supplies as have been mined
or produced in the United States, and only such manufactured arti-
cles, materials, and supplies as have been manufactured in the
United States, substantial!y all from articles, materials, or supplies
mined, produced, or manufactured, as the case may be, in the Unit-
ed States will be used in such treatment works. This section shall
not apply in any case where the Administrator determines, based
upon those factors the Administrator deems relevant, including the
available resources of the agency, it to be inconsistent with the
public interest (including multilateral government procurement
agreements) or the cost to be unreasonable, or if articles, materials,
or supplies of the class or kind to be used or the articles, materials,
or supplies from which they are manufactured are not mined, pro-
duced, or manufactured, as the case may be, in the United States
in sufficient and reasonably available commercial quantifies and of
a satisfactory quality.
(33 U.S.C. 1295)
DETERMINATION OF PRIORITY
SEC. 216. Notwithstanding any other provision of this Act, the
determination of the priority to be given each category of projects
for construction of publicly owned treatment works within each
State shall be made solely by that State, except that if the Admin-
istrator, after a public hearing, determines that a specific project
will not result in compliance with the enforceable re,uirements of
this Act, such project shall be removed from the State a priority list
and such State shall submit a revised priority list. These categories
shall include, but not be limited to (A) secondary treatment, (B)
more stringent treatment, (C) infiltration-in-flow correction, (D)
major sewer system rehabilitation, (E) new collector sewers and ap-
purtenances, (F) new interceptors and appurtenances, and (G) cor-
rection of combined sewer overflows. Not less than 25 per centum
of funds allocated to a State in any fiscal year under this title for
construction of publicly owned treatment works in such State shall
be obligated for those types of projects referred to in clauses (D),
(E), (F), and (G) of this section, if such projects are on such State’s
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15 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 718 Sec. 219
FEDERAL WATER POLLUTION CONTROL ACT 76
priority list for that year and are otherwise eligible for funding in
that fiscal year. It is the policy of Coflgress that projects for
waatewater treatment and management undertaken with Federal
financial assistance under this Act by any State, municipality 1 or
intermurncipal or interstate agency shall be projects which, in the
estimation of the State, are designed to achieve optimum water
quality management, consistent with the public health and water
quality goals and requirements of the Act.
(33 U SC. 1296)
COST-EFFECTIVENESS GUIDELINES
SEC. 217. Any guidelines for cost-effectiveness analysis pub-
lished by the Administrator under this title shall provide for the
identification and selection of coat effective alternatives to comply
with the objective and goals of this Act and sections 20 1(b), 201(d),
201(gX2XA), and 301(bX2XB) of this Act.
(33 U.S.C. 1297)
COST EFFECTWENESS
Sac. 218. (a) It is the policy of Congress that a project for
waste treatment and management undertaken with Federal finan-
cial assistance under this Act by any State, municipality, or inter-
municipal or interstate agency shall be considered as an overall
waste treatment system for waste treatment and management, and
shall be that system which constitutes the most economical and
cost-effective combination of devices and systems used in the stor-
age, treatment, recycling, and reclamation of municipal sewage or
industrial wastes of a liquid nature to implement section 201 of
this Act, or necessary to recycle or reuse water at the most eco-
nomical cost over the estimated life of the works, including inter-
cepting sewers, outfall sewers, sewage collection systems, pumping
power, and other equipment, and their appurtenances; extension,
improvements, remodeling, additions, and alterations thereof; ele-
ments essential to provide a reliable recycled supply such as stand-
by treatment units and clear well facilities; and any works, includ-
ing site acquisition of the land that will be an integral part of the
treatment process (including land use for the storage of treated
wastewater in Land treatment systems pnor to land application) or
which is used for ultimate disposal of residues resulting from such
treatment; water efficiency measures and devices; and any other
method or a ,stem for preventing, abating, reducing, storing, treat-
ing, separating, or disposing of municipal waste, including storm
water runoff, or industrial waste, including waste in combined
storm water and sanitary sewer systems; to meet the requirements
of this Act.
(b) In accordance with the policy set forth in subsection (a) of
this section, before the Administrator approves any grant to any
State, municipality, or intermunicipal or interstate agency for the
erection, building, acquisition, alteration, remodeling, improve-
ment, or extension of any treatment works the Administrator shall
determine that the facilities plan of which such treatment works
are a part constitutes the most economical and coat-effective com-
bination of treatment works over the life of the project to meet the
requirements of this Act, including, but not limited to, consider-
ation of construction costs, operation, maintenance, and replace-
ment costs.
(C) In furtherance of the policy set forth in subsection (a) of this
section, the Administrator shall require value engineering review
in connection with any treatment works, prior to approval of any
Fant for the erection, building, acquisition, alteration, remodeling.
improvement, or extension of such treatment works, in any case in
which the cost of such erection, building, acquisition, alteration, re-
modeling, improvement, or extension is projected to be in excess of
$10,000,000. For purposes of this subsection, the term “value engi-
neering review” means a specialized cost control technique which
uses a systematic and creative approach to identify and to focus on
unnecessarily high cost in a project in order to arrive at a cost sav-
ing without sacrificing the reliability or efficiency of the project.
(d) This section applies to projects for waste treatment and
management for which no treatment works including a facilities
plan for such project have received Federal financial assistance for
the preparation of construction plans and specification8 under this
Act before the date of enactment of this section.
(33 U.S.C. 1298)
STATE CERTIFICATION OF PROJECTS
Sac. 219. Whenever the Governor of a State which has been
delegated sufficient authority to administer the construction grant
program under this title in that State certifies to the Administrator
that a grant application meets applicable requirements of Federal
and State law for assistance under this title, the Administrator
shall approve or disapprove such application within 45 days of the
date of receipt of such application. If the Administrator does not
approve or disapprove such application within 45 days of receipt,
the application shall be deemed approved. If the Administrator dis-
approves such application the Administrator shall state in writin
the reasons for such disapproval. Any grant approved or deeme
approved under this section shall be subject to amounts provided
in appropriation Acts.
(33 U.S.C. 1299)
TITLE Ill—STANDARDS AND ENFORCEMENT
EFFLUENT LIMITATIONS
Sac. 301. (a) Except as in compliance with this section and sec-
tions 302, 306, 307, 318, 402, and 404 of this Act, the discharge of
any pollutant by any person shall be unlawful.
(b) In order to carry out the objective of this Act there shall
be achieved—
(1XA) not later than July 1, 1977, emuent limitations for
point sources, other than publicly owned treatment works, (i)
which shall require the application of the best practicable con-
trol technology currently available, as defined by the Adminis-
trator pursuant to section 304(b) of this Act, or (ii) in the case
of a discharge into a publicly owned treatment works which
meets the requirements of subparagraph (B) of this paragraph,
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FEDERAL WATER POLLUTION CONTROL ACT
Sec. 301 Sec. 301
FEDERAL WATER POLLUTION CONTROL ACT 78
77
which shall require compliance with any applicable
pretreatment requirements and any requirements under sec-
tion 307 of this Act; and
(B) for publicly owned treatment works in existence on
July 1, 1977, or approved pursuant to section 203 of this Act
prior to June 30, 1974 (for which construction must be com-
pleted within four years of approval), effluent limitations based
upon secondary treatment as defined by the Administrator
pursuant to section 304(d)( 1) of this Act; or,
(C) not later than July 1, 1977, any more stringent limita-
tion, including those necessary to meet water quality stand-
ards, treatment standards, or schedule of compliance, estab-
lished pursuant to any State law or regulations, (under author-
ity preserved by section 510) or any other Federal law or regu-
lation, or required to implement any applicable water quality
standard established pursuant to this Act.
(2XA) for pollutants identified in subparagraphs (C), (D),
and (F) of this paragraph, effluent limitations for categories
and classes of point sources, other than publicly owned treat-
ment works, which (i) shall require application of the best
available technology economically achievable for such category
or class, which will result in reasonable further progress to-
ward the national goal of eliminating the discharge of all pol-
lutants, as determined in accordance with regulations issued
by the Administrator pursuant to section 304(bX2) of this Act,
which such effluent limitations shall require the elimination of
discharges of all pollutants if the Administrator finds, on the
basis of information available to him (including information de-
veloped pursuant to section 315), that such elimination is tech-
nologically and economically achievable for category or class of
point sources as determined in accordance with regulations is-
sued by the Administrator pursuant to section 304(bX2) of this
Act, or (ii) in the case of the introduction of a pollutant into
a publicly owned treatment works which meets the require-
ments of subparagraph (B) of this paragraph, shall require
compliance with any applicable pretreatment requirements and
any other requirement under section 307 of this Act;
117 ((B) subparagraph (B) repealed by section 21(b) of P.L. 97—
(C) with respect to all toxic pollutants referred to in table
1 of Committee Print Numbered 95—30 of the Committee on
Public Works and Transportation of the House of Representa-
tives compliance with effluent limitations in accordance with
subparagraph (A) of this paragraph as expeditiously as prac.
ticable but in no case Later than three years after the date such
limitations are promulgated under section 304(b), and in no
case later than March 31, 1989;
(D) for all toxic pollutants listed under paragraph (1) of
subsection (a) of section 307 of this Act which are not referred
to in subparagraph (C) of this paragraph compliance with efflu-
ent limitation in accordance with subparagraph (A) of this
paragraph as expeditiously as practicable, but in no case later
than three years after the date such limitations are promul-
gated under section 304(b), and in no case later than March
31, 1989;
(E) as expeditiously as practicable but in no case later
than three years after the date such limitations are promul-
gated under section 304(b), and in no case later than March
31, 1989, compliance with effluent limitations for categories
and classes of point sources, other than publicly owned treat-
ment works, which in the case of pollutants identified pursuant
to section 304(a)(4) of this Act shall require applicauon of the
best conventional pollutant control technology as determined in
accordance with regulations issued by the Administrator pur-
suant to section 304(bX4) of this Act; and
(F) for all pollutants (other than those subject to subpara-
graphs (C), (D), or (E) of this paragraph) compliance with efflu-
ent limitations in accordance with subparagraph (A) of this
paragraph as expeditiously as practicable but in no case later
than 3 years after the date such limitations are established,
and in no case later than March 31, 1989.
(3)(A) for effluent limitations under paragraph (IXAXi) of
this subsection promulgated after January 1, 1982. and requir-
ing a level of control substantially greater or based on fun-
damentally different control technology than under permits for
an industrial category issued before such date, compliance as
expeditiously as practicable but in no case later than three
years after the date such limitations are promulgated under
section 304(b), and in no case later than March 31, 1989; and
(B) for any emuent limitation in accordance with para-
graph (1)(A)(i), (2XAXi), or (2)(E) of this subsection estabhshed
only on the basis of section 402(aX I) in a permit issued after
enactment of the Water Quality Act of 1987, compliance as ex-
peditiously as practicable but in no case later than three years
after the date such limitations are established, and in no case
later than March 31, 1989.
(c) The Administrator may modify the requirements of sub-
section (bX2XA) of this section with respect to any point source for
which a permit application is filed after July 1, 1977, upon a show-
ing by the owner or operator of such point source satisfactory to the
Administrator that such modified requirements (1) will represent
the maximum use of technology within the economic capability of
the owner or operator; and (2) will result in reasonable further
progress toward the elimination of the discharge of pollutants.
(d) Any effluent limitation required by paragraph (2) of sub-
section (b) of this section shall be reviewed at least every five years
and, if appropriate, revised pursuant to the procedure established
under such paragraph.
(e) Effluent limitations established pursuant to this section or
section 302 of this Act shall be applied to all point sources of dis-
charge of pollutants in accordance with the provisions of this Act.
(0 Notwithstanding any other provisions of this Act it shall be
unlawful to discharge any radiological, chemical, or biological war-
fare agent, any high-level radioactive waste, or any medical waste,
into the navigable waters.
(g) MODIFICATIONS FOR CurrAuN NoNco?1vEwrIoN POLLUT-
ANTS.-
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Sec. 301 Sec. 301
FEDERAL WATER POLLUTION CONTROL ACT 80
19
FEDERAL WATER POLLUTION CONTROL ACT
(1) GENERAL A1.rnloRrry.—The Administrator, with the
concurrence of the State, may modify the requirements of sub-
section (bX2XA) of this sectIofl with respect to the discharge
from any point source of ammonia, chlorine, color, iron, and
total phenols (4AAP) (when determined by the Administrator
to be a pollutant covered by subsection (b)(2XF)) and any other
pollutant which the Administrator lists under paragraph (4) of
this subsection.
(2) REQUIREMENTS FOR GRANTING MODIFICATIONS—A
modification under this subsection shall be granted only upon
a showing by the owner or operator of a point source satisfac-
tory to the Administrator that—
(A) such modified requirements will result at a mini-
mum in compliance with the requirements of subsection
(bX1XA) or (C) of this section, whichever is applicable;
(B) such modified requirements will not result in any
additional requirements on any other point or nonpoint
source; and
(C) such modification will not interfere with the at-
tainment or maintenance of that water quality which shall
assure protection of public water supplies, and the protec-
tion and propagation of a balanced population of shellfish,
fish, and wildlife, and allow recreational activities, in and
on the water and such modification will not result in the
discharge of pollutants in quantities which may reasonably
be anticipated to pose an unacceptable risk to human
health or the environment because of bioaccumulatiOn,
persistency in the environment, acute toxicity, chronic tox-
icity (including carcinogenicity, mutagelucity or
teratogenicity), or synergistic propensities.
(3) LIMITATION ON AUTHORiTY TO APPLY FOR SUBSECTION Cc)
MODIFICATION—If an owner or operator of a point source ap-
plies for a modification under this subsection with respect to
the discharge of any pollutant, such owner or operator shall be
eligible to apply for modification under subsection (c) of this
section with respect to such pollutant only during the same
time-period as he is eligible to apply for a modification under
this subsection.
(4) PitOCEDURES FOR LISTING ADDITIONAL ANN.—
(A) GENERAL A rn4omTY.—Upon petition of any per-
son, the Administrator may add any pollutant to the list
of pollutants for which modification under this section is
authorized (except for pollutants identified pursuant to
section 304(aX4) of this Act, toxic pollutants subject to sec-
tion 307(a) of this Act, and the thermal component of dis-
charges) in accordance with the provisions of this para-
graph.
(B) REQUIREMEN ’ro FOR LISTING.—
(i) SUFFICIENT INFORMATION—The person peti-
tioning for listing of an additional pollutant under this
subsection shall submit to the Administrator sufficient
information to make the determinations required by
this subparagraph.
(ii) Toxic CRITERIA DETERMINATION—The Admin-
istrator shall determine whether or not the pollutant
meets the criteria for listing as a toxic pollutant under
section 307(a) of this Act.
(iii) LISTING AS TOXIC POLLUTANT.— ’ 1 the Admin-
istrator determines that the pollutant meets the cri-
teria for listing as a toxic pollutant under section
307(a), the Administrator shall list the pollutant as a
toxic pollutant under section 307(a).
(iv) NONCONVENTI0N CRITERIA DEIERMINA-
TION.—lf the Administrator determines that the pol-
lutant does not meet the criteria for using as a toxic
pollutant under such section and determines that ade-
quate test methods and sufficient data are available to
make the determinations required by paragraph (2) of
this subsection with respect to the pollutant, the Ad-
ministrator shall add the pollutant to the list of pollut-
ants specified in paragraph (1) of this subsection for
which modifications are authorized under this sub-
section.
(C) REQUIREMENTS FOR FILING OF PETITIONS—A peti-
tion for lising of a pollutant under this paragraph—
(i) must be filed not later than 270 days after the
date of promulgation of an applicable effluent guide-
line under section 304;
(ii) may be filed before promulgation of such
guideline; and
(iii) may be filed with an application for a modi-
fication under paragraph (1) with respect to the dis-
charge of such pollutant.
(D) DEADLINE FOR APPROVAL OF PETITION—A decision
to add a pollutant to the list of pollutants for which modi-
fications under this subsection are authorized must be
made within 270 days after the date of promulgation of an
applicable effluent guideline under section 304.
CE) BURDEN OF PROOF—The burden of proof for mak-
ing the determinations under subparagraph (B) shall be on
the petitioner.
(5) REMOVAL OF POLLUTANTS —The Administrator may re-
move any pollutant from the list of pollutants for which modi-
fications are authorized under this subsection if the Adminis-
trator determines that adequate test methods and sufficient
data are no longer available for determining whether or not
modifications may be granted with respect to such pollutant
under paragraph (2) of this subsection.
(h) The Administrator, with the concurrence of the State, may
issue a permit under section 402 which modifies the requirements
of subsection (bXl)(B) of this section with respect to the discharge
of any pollutant from a publicly owned treatment works into ma-
rine waters, if the applicant demonstrates to the satisfaction of the
Administrator that—
(1) there is an applicable water quality standard specific to
the pollutant for which the modification is requested, which
has been identified under section 304(a)(6) of this Act;
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83 FEDERAL WATER POWITION CONTROL ACT
S!C301 Sec. 301
FEDERAL WATER POWITION CONTROL ACT 84
(2XA) Where a point source (other than a publicly owned treat-
ment works) will not achieve the requirements of subsections
(b)( 1XA) and (b)( 1XC) of this section and—
(i) if a permit issued prior to July 1, 1977. to such point
source is based upon a discharge into a publicly owned treat-
ment works; or
(ii) if such point source (other than a publicly owned treat-
ment works) had before July 1, 1977, a contract (enforceable
against such point source) to discharge into a publicly owned
treatment works; or
(iii) if either an application made before July 1, 1977, for
a construction grant under this Act for a publicly owned treat-
ment works, or engineering or architectural plans or working
drawings made before July 1, 1977, for a publicly owned treat-
ment works, show that such point source was to discharge into
such publicly owned treatment works,
and such publicly owned treatment works is presently unable to ac-
cept such discharge without construction, and in the case of a dis-
charge to an existing publicly owned treatment works, such treat-
ment works has an extension pursuant to paragraph (1) of this
subsection, the owner or operator of such point source may request
the Administrator (or if appropriate the State) to issue or modify
such a permit pursuant to such section 402 to extend such time for
compliance. Any such request shall be filed with the Administrator
(or if appropriate the State) within 180 days after the date of en-
actment of this subsection or the filing of a request by the appro-
priate publicly owned treatment works under paragraph (1) of this
subsection, whichever is later. If the Administrator (or if appro-
priate the State) finds that the owner or operator of such point
source has acted in good faith, he may grant such request and
issue or modify such a permit, which shall contain a schedule of
compliance for the point source to achieve the requirements of sub-
sections (bX1XA) and (C) of this section and shall contain such
other terms and conditions, including pretreatment and interim ef-
fluent limitations and water conservation requirements applicable
to that point source, as the Administrator determines are necessary
to carry out the provisions of this Act.
(B) No time modification granted by the Administrator (or if
appropriate the State) pursuant to paragraph (2XA) of this sub-
section shall extend beyond the earliest date practicable for compli-
ance or beyond the date of any extension granted to the appro-
priate publicly owned treatment works pursuant to paragraph (1)
of this subsection, but in no event shall it extend beyond July 1,
1988, and no such time modification shall be granted unless (i) the
publicly owned treatment works will be in operation and available
to the point source before July 1, 1988. and will meet the require-
ments to subsections (b)(1) (B) and (C) of this section after receiv-
ing the discharge from that point source; and (ii) the point source
and the publicly owned treatment works have entered into an en-
forceable contract requiring the point source to discharge into the
publicly owned treatment works, the owner or operator of such
point source to pay the costs required under section 204 of this Act,
and the publicly owned treatment works to accept the discharge
from the point source; and (iii) the permit for such point source re-
quires point source to meet all reçuirements under section 307 (a)
and (b) during the period of such time modification.
(j)( 1) Any application filed under this section for a modification
of the provisions of—
(A) subsection (b)( 1 )(B) under subsection (h) of this section
shall be filed not later that’ the 365th day which begins after
the date of enactment of the Municipal Wastewater Treatment
Construction Grant Amendments of 1981, except that a pub-
licly owned treatment works which prior to December 31, 1982,
had a contractual arrangement to use a portion of the capacity
of an ocean outfall operated by another publicly owned treat-
ment works which has applied for or received modification
under subsection (h), may apply for a modification of sub.
section (h) in its own right not later than 30 days after the
date of the enactment of the Water Quality Act of 1987, and
except as provided in paragraph (5);
(B) subsection (b)(2XA) as it applies to pollutants identified
in subsection (bX2XF) shall be filed not later than 270 days
after the date of promulgation of an applicable effluent guide-
line under section 304 or not later than 270 days after the date
of enactment of the Clean Water Act of 1977, whichever is
later.
(2) Subject to paragraph (3) of this section, any application for
a modification filed under subsection (g) of this section shall not op-
erate to stay any requirement under this Act, unless in the judg-
ment of the Administrator such a stay or the modification sought
will not result in the discharge of pollutants in quantities which
may reasonably be anticipated to pose an unacceptable risk to
human health or the environment because of bioaccumulation, per-
sistency in the environment, acute toxicity, chronic toxicity (includ-
ing carcinogenicity, mutagenicity or teratogenicity), or synergistic
propensities, and that there is a substantial likelihood that the ap-
plicant will succeed on the merits of such application. In the case
of an application filed under subsection (g) of this section, the Ad-
ministrator may ondition any stay granted under this paragraph
on requiring the filing of a bond or other appropriate security to
assure timely compliance with the requirements from which a
modification is sought.
(3) COMPUANCE REQUIREMENTS UNDER SUBSECTION (g).—
(A) EFFECT OF FILING—An application for a modifica-
tion under subsection (g) and a petition for listing of a poi-
lutant as a pollutant for which modifications are author-
ized under such subsection shall not stay the requirement
that the person seeking such modification or listing comply
with effluent limitations under this Act for all pollutants
not the subject of such application or petition.
(B) EFFECT OF DISAPPROVAL—Disapproval of an appli-
cation for a modification under subsection (g) shall not
stay the requirement that the person seeking such modi-
fication comply with all applicable emuent limitations
under this Act.
‘So iii law PrcbabI uhould be tha&
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FEDERAL WAlER POLLUTION CONTROL ACT
Sec. 301 Sec. 301
FEDERAL WATER POLLUTION CONTROL ACT 86
85
(4) DEADLINE FOR SUBSECTION ( ) DECISION. A1 applies-
Uon for a modification with respect to a pollutant filed under
subsection (g) must be approved or disapproved not later than
365 days after the date of such filinr except that in any case
in which a petition for listing such pollutant as a pollutant for
which modifications are authorized under such subsection is
approved, such application must be approved or disapproved
not later than 365 days after the date of approval of such peti-
tion.
(5) ExTENSION OF APPUCATION DEADLINE.—
(A) IN GENERAL—In the 180-day period beginning on
the date of the enactment of this paragraph, the city of
San Diego, California, may apply for a modification pursu-
ant to subsectiofl (h) of the requirements of subsection
(bX1XB) with respect to biological oxygen demand and
total suspended solids In the effluent discharged into ma-
rine waters.
(B) APPLICATION—An application under this para-
graph shall Include a commitment by the applicant to im-
plement a waste water reclamation program that, at a
minimum, will—
(i) achieve a system capacity of 45,000,000 gallons
of reclaimed waste water per day by January 1, 2010;
and
(ii) result in a reduction in the quantity of sus-
pended solids discharged by the applicant into the ma-
rine environment during the period of the modifica-
tion.
(C) ADDITIONAL CONDITIONS.—ThO Administrator may
not grant a modification pursuant to an application sub-
mitted under this paragraph unless the Administrator de-
termines that such modification will result in removal of
not less than 58 percent of the biological oxygen demand
(on an annual average) and not less than 80 percent of
total suspended solids (on a monthly average) in the die-
charge to which the application applies.
(D) PRELIMINARY DECISION .DEADUNE.—The Adminis-
trator shall announce a preliminary decision on an applica-
tion submitted under this paragraph not later than 1 year
after the date the application is submitted.
(k) In the case of any facility subject to a permit under section
402 which proposes to comply with the requirements of subsection
(bX2XA) or (bX2XE) of this section by replacing existing production
capacity with an Innovative production process which will result In
an effluent reduction significantly greater than that required by
the limitation otherwise applicable to such facility and moves to-
ward the national pal of eliminating the discharge of all pollut-
ants, or with the installation of an innovative control technique
that has a substantial likelihood for enabling the facility to comply
with the applicablo effluent limitation by achieving a significantl
greater effluent reduction than that required by the applicable e -
fluent limitation and moves toward the national goal of eliminating
the discharge of all pollutants, or by achieving the required reduc-
tion with an innovative system that has the potential for signifi-
cantly lower costs than the systems which have been determined
by the Administrator to be economically achievable, the Adminis-
trator (or the State with an approved program under section 402,
in consultation with the Administrator) may establish a date for
compliance inder subsection (bX2XA) or (bX2)(E) of this section no
later than two years after the date for compliance with such efflu-
ent limitation which would otherwise be applicable under such sub-
section, if it is also determined that such innovative system has the
potential for industrywide application.
(I) Other than as provided in subsection (n) of this section, the
Administrator may not modify any requirement of this section as
it applies to any specific pollutant which is on the toxic pollutant
list under section 307(aX 1) of this Act.
(mXl) The Administrator, with the concurrence of the State,
may issue a permit under section 402 which modifies the require-
ments of subsections (b)(1XA) and (bX2XE) of this section, and of
section 403, with respect to effluent limitations to the extent such
limitations relate to biochemical oxygen demand and p1-I from dis-
charges by an industrial discharger in such State into deep waters
of the territorial seas, if the applicant demonstrates and the Ad-
ministrator finds that—
(A) the facility for which modification is sought is covered
at the time of the enactment of this subsection by National
Pollutant Discharge Elimination System permit number
CA0005894 or CA0005282;
(B) the energy and environmental costs of meeting such re-
quirements of subsections (bX1XA) and (bX2XE) and section
403 exceed by an unreasonable amount the benefits to be ob-
tained, including the objectives of this Act;
(C) the applicant has established a system for monitoring
the impact of such discharges on a representative sample of
aquatic biota;
(D) such modified requirements will not result in any addi-
tional requirements on any other point or nonpoint source;
(E) there Will be no new or substantially increased dis-
charges from the point source of the pollutant to which the
modification applies above that volume of discharge specified
in the permit;
(F) the discharge is into waters where there is strong tidal
movement and other hydrological and geological characteristics
which are necessary to allow compliance with this subsection
and section 101(aX2) of this Act;
(G) the applicant accepts as a condition to the permit a
contractural obligation to use funds in the amount required
(but not less than $250,000 per year for ten years) for research
and development of water pollution control technology, includ-
ing but not limited to closed cycle technology;
(H) the facts and circumstances present a unique situation
which, if relief is granted, will not establish a precedent or the
relaxation of the requirements of this Act applicable to simi-
larly situated discharges; and
(I) no owner or operator of a facility comparable to that of
the applicant situated in the United States has demonstrated
that it would be put at a competitive disadvantage to the appli-
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87 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 301 Sec. 301
FEDERAL WATER POLLUTION CONTROL ACT 80
cant (or the parent company or any subsidiary thereofl as a re-
sult of the issuance of a permit under this subsection.
(2) The effluent limitations established under a permit issued
under paragraph (1) shall be sufficient to implement the applicable
State water quality standards, to assure the protection of public
water supplies and protection and propagation of a balanced, indig-
enous population of shellfish, fish, fauna, wildlife, and other aquat-
Ic organisms, and to allow recreational activities in and on the
water. In setting such limitations, the Administrator shall take
into account any seasonal variations and the need for an adequate
margin of safety, considering the lack of essential knowledge con-
cerning the relationship between effluent limitations and water
quality and the lack of essential knowledge of the effects of dis-
charges on beneficial uses of the receiving waters.
(3) A permit under this subsection may be issued for a period
not to exceed five years, and such a permit may be renewed for one
additional period not to exceed five years upon a demonstration by
the applicant and a finding by the Administrator at the time of ap-
plication for any such renewal that the provisions of this subsection
are met.
(4) The Administrator may terminate a permit issued under
this subsection if the Administrator determines that there has been
a decline in ambient water quality of the receiving waters during
the period of the permit even if a direct cause and effect relation-
ship cannot be shown: Provided, That if the effluent from a source
with a permit issued under this subsection is contributing to a de-
cline in ambient water quality of the receiving waters, the Admin-
istrator shall terminate such permit.
(n) FUNDAMENTALLY DIFFERENT FACTORS.—
(1) GENERAL RULE.—The Administrator, with the
concurrance of the State, may establish an alternative require-
ment under subsection (bX2) or section 307(b) for a facility that
modifies the requirements of national effluent limitation guide-
lines or cate?orical pretreatment standards that would other-
wise be applicable to such facility, if the owner or operator of
such facility demonstrates to the satisfaction of the Adminis-
trator that—
(A) the facility is fundamentally different with respect
to the factors (other than coat) specified in section 304(b)
or 304(g) and considered by the Administrator in establish-
ing such national effluent limitation guidelines or categor-
ical pretreatment standards;
(B) the application—
(i) is based solely on information and supporting
data submitted to the Administrator during the rule
making for establishment of the applicable national ef-
fluent limitation guidelines or categorical
pretreatment standard specifically raising the factors
that are fundamentally different for such facility; or
(ii) is based on information and supporting data
referred to in clause (i) and information and support-
ing data the applicant did not have a reasonable op-
portuility to submit during such rulemaking;
(C) the alternative requirement is no less stringent
than justified by the fundamental difference; and
(D) the alternative requirement will not result in a
non-water quality environmental impact which is mark-
edly more adverse than the impact considered by the Ad-
ministrator in establishing such national affluent limita-
tionguideline or categorical pretreatment standard.
(2) TIME LIMIT FOR APPIJCATIONS.—An application for an
alternative requirement which modifies the requirements of an
effluent limitation or pretreatment standard under this sub-
section must be submitted to the Administrator within 180
days after the date on which such limitation or standard is es-
tablished or revised, as the case may be.
(3) TIME LIMIT FOR DECISION.—The Administrator shall ap-
prove or deny by final agency action an application submitted
under this subsection within 180 days after the date such ap-
plication is filed with the Administrator:
(4) SUBMISSION OF INFORMATION.—The Administrator may
allow an applicant under this subsection to submit information
and supporting data until the earlier of the date the applica-
tion is approved or denied or the last day that the Adminis-
trator has to approve or deny such application.
(5) TREATMENT OF PENDING APPLICATIONS—For the pur-
poses of this subsection, an application for an alternative re-
quirement based on fundamentally different factors which is
pending on the date of the enactment of this subsection shall
be treated as having been submitted to the Administrator on
the 180th day following such date of enactment The applicant
may amend the application to take into account the provisions
of this subsection.
(6) EFFECT OF SUBMISSION OF APPLICATION—An applica-
tion for an alternative requirement under this subsection shall
not stay the applicant’s obligation to comply with the emuent
limitation guideline or categorical pretreatment standard
which is the subject of the application.
(7) EFFECT OF DENIAL.—lf an application for an alternative
requirement which modifies the requirements of an effluent
limitation or pretreatment standard under this subsection is
denied by the Administrator, the applicant must comply with
such limitation or standard as established or revised, as the
case may be.
(8) REPORTS.—By January 1, 1997, and January 1 of every
odd-numbered year thereafter, the Administrator shall submit
to the Committee on Environment and Public Works of the
Senate and the Committee on Transportation and Infrastruc-
ture of Representatives a report on the status of applications
for alternative requirements which modify the requirements of
emuent limitations under section 301 or 304 of this Act or any
national categorical pretreatment standard under section
307(b) of this Act filed before, on, or after such date of enact-
ment.
(o) APPLICATION FEES.—The Administrator shall prescribe and
collect from each applicant fees reflecting the reasonable adminis-
trative coats incurred in reviewing and processing applications for
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Sec. 302
FEDERAL WATER POLLUTiON CONTROL ACT 90
88
FEDERAL WATER pOW ON CONTROL ACT
Sec. 301
modifications submitted to the Administrator pursuant to 8Ub-
sections (c), (g), (1), (k), (m), and (n) of section 301, section 304(dX4),
and section 316(a) of this Act. All amounts collected by the Admin-
istrator under this subsection shall be deposited into a special fund
of the Treasury entitled “Water Permits and Related Sernces”
which shall thereafter be available for appropriation to carry out
activities of the Environmental Protection Agency for which such
fees were collected.
(p) MODIFIED PERMIT FOR COAL REMININO OPERATIONS.—
(1) IN to paragraphS (2) through (4) of
this subsection, the Administrator, or the State in any case
which the State has an approved permit program under section
402(b), may issue a permit under section 402 which modifies
the requirements of subsection (bX2XA) of this section with re-
spect to the pH level of any pre-exiating discharge, and with
respect to preexisting discharges of iron and manganese from
the remined area of any coal remining operation or with re
sped to the pH level or level of iron or manganese in any pre
existing discharge affected by the remining operation. Such
modified requirements shall apply the best available tech-
nology economically achievable on a case-by-case basis, using
beat professional judgment, to set specific numerical effluent
limitations in each permit.
(2) UMITATIONS.The Administrator or the State may
only issue a permit pursuant to paragraph (1) if the applicant
demonstrates to the satisfaction of the Administrator or the
State, as the case may be, that the coal remining operation will
result in the potential for improved water quality from the re-
mining operation but in no event shall such a permit allow the
pH level of any discharge, and in no event shall such a permit
allow the discharges of iron and manganese, to exceed the lev-
els being discharged from the remined area before the coal re-
mining operation begins. No discharge from, or affected by, the
ramming operation shall exceed State water quality standards
established under section 303 of this Act.
(3) DEPINTrIONS.—For purposes of this subsection—
(A) COAL REMINING OpERATI0N.—The term “coal re-
mIn ”g operation” means a coal mining operation which
begins after the date of the enactment of this subsection
at a site on which coal mining was conducted before the
effective date of the Surface Mining Control and Reclamna-
tion Act of 1977.
(B) REMINED AREA.—The term “rammed area” means
only that area of any coal ramming operation on which
coal mining was conducted before the effective date of the
Surface Mining Control and Reclamation Act of 1977.
(C) PRE-EXISTINO DISCHARGE—The term “pre exist1ng
discharge” means any discharge at the time of permit ap-
plication under this subsection.
(4) APPLICABIUTY OF STRIP MINING w5. —Nothing in this
subsection shall affect the application of the Surface Mining
Control and Reclamation Act of 1977 to any coal remiiflg op-
eration, including the application of such Act to suspended sol-
ids.
(33US.C 1311)
WATER QUALITY RELATED EFFLUENT LIMITATIONS
SEC. 302. (a) Whenever, in the judgment of the Administrator
or as identified under section 304(1), discharges of pollutants from
a point source or group of point sources, with the application of el-
fluent limitations required under section 301(bX2) of this Act,
would interfere with the attainment or maintenance of that water
quality in a specific portion of the navigable waters which shall as-
sure protection of public health, public water supplies, agricultural
and industrial uses, and the protection and propagation of a bal-
anced population of shellfish, fish and wildlife, and allow rec-
reational activities in and on the water, effluent limitations (includ-
ing alternative effluent control strategies) for such point source or
sources shall be established which can reasonably be expected to
contribute to the attainment or maintenance of such water quality.
(b) MoDiFIcATIONS OF EFFLUENT LIMITATIONS.—
(1) NoTICE AND HEARING.—PrlOr to establishment of any
effluent limitation pursuant to subsection (a) of this section,
the Administrator shall publish such proposed limitation and
within 90 days of such publication hold a public hearing.
(2) PERMITS.—
(A) No REASONABLE R ELATIONsmp.—The Adminis-
trator, with the concurrence of the State. may issue a per-
mit which modifies the effluent limitations required by
subsection (a) of this section for pollutants other than toxic
pollutants if the applicant demonstrates at such hearing
that (whether or not technology or other alternative con-
trol strategies are available) there is no reasonable rela-
tionship between the economic and social costs and the
benefits to be obtained (including attainment of the objec-
tive of this Act) from achieving such limitation.
(B) REASONABLE pR0CRESS.—The Administrator, with
the concurrence of the State, may issue a permit which
modifies the effluent limitations required by subsection (a)
of this section for toxic pollutants for a single period not
to exceed 5 years if the applicant demonstrates to the sat-
isfaction of the Administrator that such modified require-
ments (i) will represent the maximum degree of control
within the economic capability of the owner and operator
of the source, and (ii) will result in reasonable further
progre8s beyond the requirements of section 301(b)(2) to-
ward the requirements of subsection (a) of this section.
(c) The establishment of effluent limitations under this section
shall not operate to delay the application of any effluent limitation
established under section 301 of this Act.
(33 U.S.C. 1312)
WATER QUALITY STANDARDS AND IMPLEMENTATION PLANS
SEC. 303. (aX 1) In order to carry out the purpose of this Act,
any water quality standard applicable to interstate waters which
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FEDERAL WATER POLLUTION CONTROL ACT
Sec. 303
Sec. 303
FEDERAL WATER POLLUTION CONTROL ACT 92
91 ___________________
was adopted by any State and submitted to, and approved by, or
is awaiting approval by, the Administrator pursuant to this Act as
in effect immediately prior to the date of enactment of the Federal
Water Pollution Control Act Amendments of 1972, shall remain in
effect unless the Mmuiii4rator determined that such standard is
not consistent with the applicable requirements of this Act as in ef-
fect immediately prior to the date of enactment of the Federal
Water Pollution Control Act Amendments of 1972. If the Adminis-
trator makes such a determination he shall, within three months
after the date of enactment of the Federal Water Pollution Control
Act Amendments of 1972, notify the State and specify the changes
needed to meet such requirements. If such changes are not adopted
by the State within ninety days alter the date of such notification,
the Administrator shall promulgate such changes in accordance
with subsection (b) of this section.
(2) Any State which, before the date of enactment of the Fed-
eral Water Pollution Control Act Amendments of 1972, has adopt-
ed, pursuant to its own law, water quality standards applicable to
intrastate waters shall submit such standards to the Administrator
within thirty days after the date of enactment of the Federal Water
Pollution Control Act Amendments of 1972. Each such standard
shall remain in effect, in the same manner and to the same extent
as any other water quality standard established under this Act un-
less the Administrator determines that such standard is inconsist-
ent with the applicable requirements of this Act as in effect imme-
diately pnor to the date of enactment of the Federal Water Pollu-
tion Control Act Amendments of 1972. If the Administrator makes
such a determination he shall not later than the one hundred and
twentieth day after the date of submission of such standards, notify
the State and specify the changes needed to meet such require-
ments. If such changes are not adopted by the State within mnety
days after such notification, the Administrator shall promulgate
such changes in accordance with subsection (b) of this section.
(3XA) Any State which prior to the date of enactment of the
Federal Water Pollution Control Act Amendments of 1972 has not
adopted pursuant to its own laws water quality standards applica-
ble to intrastate waters shall, not later than one hundred and
eighty days after the date of enactment of the Federal Water Pollu-
tion Control Act Amendments of 1972, adopt and submit auch
standards to the Arlmin iRtrator.
(B) If the Administrator determines that any such standards
are consistent with the applicable requirements of this Act as in ef-
fect immediately prior to the date of enactment of the Federal
Water Pollution Control Act Amendments of 1972, he shall approve
such standards.
(C) If the Administrator determines that any such standards
are not consistent with the applicable requirements of this Act as
in effect immediately prior to the date of enactment of the Federal
Water Pollution Control Act Amendments of 1972, he shall, not
later than the ninetieth day after the date of submission of such
standards, notify the State and specify the changes to meet such
re a frements. If such changes .are not adopted by the State within
days after the date of notification, the Mminiatrator shall
promulgate such standards pursuant to subsection (b) of this sec-
tion.
(bXl) The Administrator shall promptly prepare and publish
proposed regulations setting forth water quality standards for a
State in accordance with the applicable requirements of this Act as
in effect immediately prior to the date of enactment of the Federal
Water Pollution Control Act Amendments of 1972, if—
(A) the State fails to submit water quality standards with-
in the times prescribed in subsection (a) of this section,
(B) a water quality standard submitted by such State
under subsection (a) of this section is determined by the Ad-
ministrator not to be consistent with the applicable require-
ments of subsection (a) of this section.
(2) The Administrator shall promulgate any water quality
standard published in a proposed regulation not later than one
hundred and ninety days after the date he publishes any such pro-
posed standard, unless prior to such promulgation, such State has
adopted a water quality standard which the Administrator deter-
mines to be in accordance with subsection (a) of this section.
(cXl) The Governor of a State or the State water pollution con
trol agency of such State shall from time to time (but at least once
each three year period beginning with the date of enactment of the
Federal Water Pollution Control Act Amendments of 1972) hold
public hearings for the purpose of reviewing applicable water qual.
ity standards and, as appropriate, modifying and adopting stand-
ards. Results of such review shall be made available to the Admin-
istrator.
(2XA) Whenever the State revises or adopts a new standard,
such revised or new standard shall be submitted to the Adminis-
trator. Such revised or new water quality standard shall consist of
the designated uses of the navigable waters involved and the water
quality criteria for such waters based upon such uses. Such stand-
ards shall be such as to protect the public health or welfare, en-
hance the quality of water and serve the purposes of this Act. Such
standards shall be established taking into consideration their use
and value for public water supplies, propagation of fish and wild-
life, recreational purposes, and agricultural, industrial, and other
purposes, and also taking into consideration their use and value for
navigation.
(B) Whenever a State reviews water quality standards pursu-
ant to paragraph (1) of this subsection, or revises or adopts new
standards pursuant to this paragraph, such State shall adopt cri-
teria for all toxic pollutants listed pursuant to section 307(a)(1) of
this Act for which criteria have been published under section
304(a), the discharge or presence of which in the affected waters
could reasonably be expected to interfere with those designated
uses adopted by the State, as necessary to support such designated
uses. Such criteria shall be specific numerical criteria for such toxic
pollutants. Where such numerical criteria are not available, when-
ever a State reviews water quality standards pursuant to para-
graph (1), or revises or adopts new standards pursuant to this
paragraph, such State shall adopt criteria based on biological mon-
itoring or assessment methods consistent with information pub-
lished pursuant to section 304(aX8). Nothing in this section shall
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FEDERAL WAlER POLLUTION CONTROL ACT
Sec. 303 Sec. 303
FEDERAL. WATER POLLUTION CONTROL ACT 94
93
be construed to limit or delay the use of effluent limitations or
other permit conditions based on or involving biological monitoring
or assessment methods or previously adopted numerical criteria.
(3) If the Administrator, within sixty days after the date of
submission of the revised or new standard, determines that such
standard meets the requirements of this Act, such standard shall
thereafter be the water quality standard for the applicable waters
of that State. If the Administrator determines that any such re-
vised or new standard is not consistent with the applicable require-
ments of this Act, he shall not later than the ninetieth day after
the date of submission of such standard notify the State and speci-
fy the changes to meet such requirements. If such changes are not
adopted by the State within ninety days after the date of notifica-
tion, the AdministratOr shall promulgate such standard pursuant
to paragraph (4) of this subsection.
(4) The Administrator shall promptly prepare and publish pro-
posed regulations setting forth a revised or new water quality
standard for the navigable waters involved—
(A) if a revised or new water quality standard submitted
by such State under paragraph (3) of tins subsection for such
waters is determined by the Administrator not to be consistent
with the applicable requirements of this Act, or
(B) in any case where the Administrator determines that
a revised or new standard is necessary to meet the require-
ments of this Act.
The Administrator shall promulgate any revised or new standard
under this paragraph not later than ninety days after he publishes
such proposed standards, unless prior to such promulgation. such
State has adopted a revised or new water quality standard which
the Administrator determines to be in accordance with this Act.
(dX1XA) Each State shall Identify those waters within its
boundaries for which the effluent limitations required by section
301(bX1XA) and section 301(bX1XB) are not stringent enough to
implement any water quality standard applicable to such waters.
The State shall establish a priority ranking for such waters, taking
into account the severity of the pollution and the uses to be made
of such waters.
(B) Each State shall identify those waters or parts thereof
within Its boundaries for which cont uls on thermal discharges
under section 301 aie not stringent enough to assure protection
and propagation of a balanced indigenous population of shellfish,
fish, and wildlife.
(C) Each State shall establish for the waters Identified in para-
graph (IXA) of this subsection, and in accordance with the priority
ranking, the total maximum daily load, for those pollutants which
the Administrator identifies under section 304(aX2) as suitable for
such calculation. Such load shall be established at a level necessary
to implement the applicable water quality standards wIth seasonal
variations and a margin of safety which takes Into account any
lack of knowledge concerning the relationship between effluent lim-
itations and water quality.
(D) Each State shall estimate for the waters identified in para-
graph (1XD) of this subsection the total maximum daily thermal
lOad required to assure protection and propagation of a balanced,
indigenous population of shellfish, fish and wildlife. Such estimates
shall take into account the normal water temperatures, flow rates,
seasonal variations, existing sources of heat input, and the dissipa-
tive capacity of the identified waters or parts thereof. Such esti-
mates shall include a calculation or the maximum heat input that
can be made into each such part and shall include a margin of safe-
ty which takes into account any lack of knowledge concerning the
development of thermal water quality criteria for such protection
and propagation in the identified waters or parts thereof.
(2) Each State shall submit to the Administrator from time to
time, with the first such submission not later than one hundred
and eighty days after the date of publication of the first identifica-
tion of pollutants under section 304(a)(2)(D), for his approval the
waters identified and the loads established under paragraphs
(1)(A), (l)(B), (1)(C), and (1XD) of this subsection. The Adminis-
trator shall either approve or disapprove such identification and
load not later than thirty days after the date of submission. If the
Administrator approves such identification and load, such State
shall incorporate them into its current plan under subsection (e) of
this section. If the Administrator disapproves such identification
and load, he shall not later than thirty days after the date of such
disapproval identify such waters in such State and establish such
loads for such waters as he determines necessary to implement the
water quality standards applicable to such waters and upon such
identification and establishment the State shall incorporate them
into its current plan under subsection (e) of this section
(3) For the specific purpose of developing information, each
State shall identify all waters within its boundaries which it has
not identified under paragraph (1XA) and (1XB) of this subsection
and estimate for such waters the total maximum daily load with
seasonal variations and margins of safety, for those pollutants
which the Administrator identifies under section 304(aX2) as suit-
able for such calculation and for thermal discharges, at a level that
would assure protection and propagation of a balanced indigenous
population of fish, shellfish and wildlife.
(4) LiMITATIONS ON REVISION OF CERTAIN EFFLUENT LIMITA-
TIONS.—
(A) STANDARD NOT ATTAINED.—FOT waters identified
under paragraph (1XA) where the applicable water quality
standard has not yet been attained, any effluent limitation
based on a total maximum daily load or other waste load
allocation established under this section may be revised
only if (i) the cumulative effect of all such revised effluent
limitations based on such total maximum daily load or
waste load allocation will assure the attainment of such
water quality standard, or (ii) the designated use which is
not being attained is removed in accordance with regula-
tions established under this section.
(B) STANDARD ATTAINED—For waters identified under
paragraph (1XA) where the quality of such waters equals
or exceeds levels necessary to protect the designated use
for such waters or otherwise required by applicable water
quality standard, any effluent limitation based on a total
maximum daily load or other waste load allocation estab-
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95 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 303 Sec. 304
FEDERAL WATER POLLUTION CONTROL ACT 96
lished under this section, or any water quality standard
established under this section, or any other permitting
standard may be revised only if such revision is subject to
and consistent with the antidegradation policy established
under this section.
(eXi) Each State shall have a continuing planning process ap-
proved under paragraph (2) of this subsection which is consistent
with this Act.
(2) Each State shall submit not later than 120 days after the
date of the enactment of the Water Pollution Control Amendments
of 1972 to the Administrator for his approval a proposed continuing
planning process which is consistent with this Act. Not later than
thirty days after the date of submission of such a process the Ad-
ministrator shall either approve or disapprove such process. The
Administrator shall from time to time review each State’s approved
planning process for the purpose of insuring that such planning
process is at all times consistent with this Act. The Administrator
shall not approve any State permit program under title IV of this
Act for any State which does not have an approved continuing
planning process under this section.
(3) The Administrator shall approve any continuing planning
process submitted to him under this section which will result in
plans for all navigable waters within such State, which include, but
are not limited to, the following:
(A) effluent limitations and schedules of compliance at
least as stringent as those required by section 30 1(bX 1), sec-
tion 301(bX2), section 306, and section 307, and at least as
stringent as any requirements contained in any applicable
water quality standard in effect under authority of this section;
(B) the incorporation of all elements of any applicable
areawide waste management plans under section 208, and ap.
plicable basin plans under section 209 of this Act;
(C) total maximum daily load for pollutants in accordance
with subsection Cd) of this section;
(D) procedures for revision;
(E) adequate authority for intergovernmental cooperation;
(F) adequate implementation, including schedules of com-
pliance, for revised or new water quality standards, under sub-
section (c) of this section;
(G) controls over the disposition of all residual waste from
any water treatment processing;
(H) an inventory and ranking, in order of priority, of needs
for construction of waste treatment works required to meet the
applicable requirements of sections 301 and 302.
(I) Nothing in this section shall be construed to affect any efflu-
ent limitation, or schedule of compliance required by any State to
be implemented prior to the dates set forth in sections 301(bXl)
and 301(bX2) nor to preclude any State from requiring compliance
with any effluent limitation or schedule of compliance at dates ear-
lier than such dates.
(g) Water quality standards relating to heat shall be consistent
- ‘ii. requirements of section 816 of this Act.
(h) For the purposes of this Act the term awater quality stand-
ards” includes thermal water quality standards.
(33 U.s.c. 1313)
iNFORMATION AND GUIDELINES
SEc. 304. (aX 1) The Administrator, after consultation with ap-
propriate Federal and State agencies and other interested persons,
shall develop and publish, within one year after the date of enact-
ment of this title (and from time to time thereafter revise) criteria
for water quality accurately reflecting the latest scientific knowl-
edge (A) on the kind and extent of all identifiable effects on health
and welfare including, but not limited to, plankton, fish, shellfish,
wildlife, plant life, shorelines, beaches, esthetics, and recreation
which may be expected from the presence of pollutants in any body
of water, including ground water; (B) on the concentration and dis-
persal of pollutants, or their byproducts, through biological, phys-
ical, and chemical processes; and (C) on the effects of pollutants on
biological community diversity, productivity, and stability, includ-
ing information on the factors affecting rates of eutrophication and
rates of organic and inorganic sedimentation for varying types of
receiving waters.
(2) The Administrator, after consultation with appropriate Fed-
eral and State agencies and other interested persona, shall develop
and publish, within one year after the date of enactment of this
title (and from time to time thereafter revise) information (A) on
the factors necessary to restore and maintain the chemical, phys-
ical, and biological integrity of all navigable waters, ground waters,
waters of the contiguous zone, and the oceans; (B) on the factors
necessary for the protection and propagation of shellfish, fish, and
wildlife for classes and categories of receiving waters and to allow
recreational activities in and on the water; and (C) on the measure-
ment and classification of water quality; and (D) for the purpose of
section 303, on and the identification of pollutants suitable for
maximum daily load measurement correlated with the achievement
of water quality objectives.
(3) Such criteria and information and revisions thereof shall be
issued to the States and shall be published in the Federal Register
and otherwise made available to the public.
(4) The Administrator shall, within 90 days after the date of
enactment of the Clean Water Act of 1977 and from time to time
thereafter, publish and revise as appropriate information identify-
ing conventional pollutants, including but not limited to, pollutants
classified as biological oxygen demanding, suspended solids, fecal
coliform, and pH. The thermal component of any discharge shall
not be identified as a conventional pollutant under this paragraph.
(5XA) The Administrator, to the extent practicable before con-
sideration of any request under section 301(g) of this Act and with-
in six months after the date of enactment of the Clean Water Act
of 1977, shall develop and publish information on the factors nec-
essary for the protection of public water supplies, and the protec-
tion and propagation of a balanced population of shellfish, fish and
wildlife, and toallow recreational activities, in and on the water.
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Sec. 304
FEDERAL WATER POLLUTION CONTROL ACT 98
___- FEDERAL WATER POWITION CONTROL ACT Sec. 304
(B) The Administrator, to the extent practicable before consid-
eration of any application under section 30 1(h) of this Act and
within six months after the date of enactment of Clean Water Act
of 1977 shall develop and publish information on the factors nec-
essary i or the protection of public water supplies, and the protec-
tion and propagation of a balanced indigenous population of shell-
fish, fish and wildlife, and to allow recreational activities, in and
on the water.
(6) The Administrator shall within three months after enact-
ment of the Clean Water Act of’ 1977 and annually thereafter, for
purposes of section 30 1(h) of this Act publish and revise as appro-
pilate information identifying each water quality standard in effect
under this Act of State law, the specific pollutants associated with
such water quality standard, and the particular waters to which
such water quality standard applies.
(7) GUIDANCE TO STATES—The Administrator, after con-
sultation with appropriate State agencies and on the basis of
criteria and information published under paragraphs (1) and
(2) of this subsection, shall develop and publish, within 9
months after the date of the enactment of the Water quality
Act of 1987, guidance to the States on performing the identi-
fication required by section 304(IX1) of this Act.
(8) hIF0RMATION ON WATER QUALITY CRITEIUA.—The Ad-
ministrator, after consultation with appropriate State agencies
and within 2 years after the date of the enactment of the
Water Quality Act of 1987, shall develop and publish informa-
tion on methods for establishing and measuring water quality
criteria for toxic pollutants on other bases than pollutant-by-
pollutant criteria, including biological monitoring and assess-
ment methods.
(b) For the purposes of adopting or revising effluent limitations
under this Act the Administrator shall, after consultation with ap-
propriate Federal and State agencies and other interested persons.
publish within one year of enactment of this title, regulations, pro-
viding guidelines for effluent limitations, and, at least annually
thereafter, revise, if ’ appropriate, such regulations. Such regula-
tions shall—
(1XA) Identify, In terms of amounts of constituents and
chemical, physical, and biological characteristics of’ pullutants.
the degree of effluent reduction attainable through the applica-
tion of the beet practicable control technology currently avail-
able for classes and categories to point sources (other than
publicly owned treatment works); and
(B) specify factors to be taken into account In determining
the control measures and practices to be applicable to ioint
sources (other than publicl y owned treatment works) within
such categories of classes. Factors relating to the assessment
of best practical control technology currently available to com-
ply with subsection (bXl) of section 301 of this Act shall in-
clude consideration of the total cost of application of technology
in relation to the effluent reduction benefits to be achieved
from such application, and shall also take into account the age
of equipment and facilities involved, the procesa employed, the
engineering aspects of the application of various types of con-
trol techniques, process changes, non-water quality environ-
mental impact (including energy requirements). and such other
factors as the Administrator deems appropriate;
(2)(A) identify, in terms of amounts of constituents and
chemical, physical, and biological characteristics of pollutants,
the degree of effluent reduction attainable through the applica-
tion of the best control measures and practices achievable in-
cluding treatment techniques, process and procedure innova-
tions, operating methods, and other alternatives for classes
and categories of point sources (other than publicly owned
treatment works); and
(B) specify factors to be taken into account in determining
the best measures and practices available to comply with sub-
section (bX2) of section 301 of this Act to be applicable to any
point source (other than publicly owned treatment works) with-
in such categories of classes. Factors relating to the assessment
of best available technology shall take into account the age of
equipment and facilities involved, the process employed, the
engineering aspects of the application of various types of con-
trol techniques, process changes, the cost of achieving such ef-
fluent reduction, non-water quality environmental impact (in-
cluding energy requirements), and such other factors as the
Administrator deems appropriate;
(3) identify control measures and practices available to
eliminate the discharge of pollutants from categories and class-
es of point sources, taldng into account the cost of achieving
such elimination of the discharge of pollutants; and
(4)(A) identify, in terms of amounts of constituents and
chemical, physical, and biological characteristics of pollutants,
the degree of effluent reduction attainable through the applica-
tion of the best conventional pollutant control technology (in-
cluding measures and practices) for classes and categories of
point sources (other than publicly owned treatment works);
and
(B) specify factors to be taken into account in determining
the best conventional pollutant control technology measures
and practices to comply with section 301(b)(2XE) of this Act to
be applicable to any point source (other than publicly owned
treatment works) within such categories or classes. Factors re-
lating to the assessment of best conventional pollutant control
technology (including measures and practices) shall include
consideration of the reasonableness of the relationship between
the costs of attaining a reduction in effluents and the effluent
reduction benefits derived, and the comparison of the cost and
level of reduction of such pollutants from the discharge from
publicly owned treatment works to the cost and level of reduc-
tion of such pollutants from a class or category of industrial
sources, and shall take into account the age of equipment and
facilities involved, the process employed, the engineering as-
pects of the application of various types of control techniques.
process changes, non-water quality environmental impact (in-
cluding energy requirements). and such other factors as the
Administrator deems appropriate.
97
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99 FEDERAL WATER POU.UTION CONTROL ACT
Sec. !04 Sec. 304
FEDERAL WATER POLLUTION CONTROL ACT 100
(c) The Administrator, after consultation, with appropriate
Federal and State agóncies and other Interested persons, shall
issue to the States and appropriate water pollution control agencies
within 270 days alter enactment of this title (and from time to time
thereafter) information on the processes, procedures, or operating
methods which result in the elimln4ion or reduction of the dis-
charge of pollutants to implement standards of performance under
section 306 of this Act. Such information shall include technical
and other data, including costs, as are available on alternative
methods of elimination or reduction of the discharge of pollutants.
Such information, and revisions thereof, shall be published in the
Federal Register and otherwise shall be made available to the pub-
lic.
(dXl) The Administrator, after consultation with appropriate
Federal and State agencies and other interested persons, shall pub-
lish within sixty days after enactment of this title (and from time
to time thereafter) information, in terms of amounts of constituents
and chemical, physical, and biological characteristics of pollutants,
on the degree of effluent reduction attainable through the applica-
tion of secondary treatment.
(2) The Administrator, after consultation with appropriate Fed-
eral and State agencies and other interested persons, shall publish
within nine months after the date of enactment of this title (and
from time to time thereafter) information on alternative waste
treatment management techniques and systems available to imple-
ment section 201 of this Act.
(3) The Administrator, after consultation with appropriate Fed-
eral and State agencies and other interested persons, shall promul-
gate witin one hundred and eighty days after the date of enactment
of this subsection guidelines for identifying and evaluating innova-
tive and alternative wastewater treatment process and techniques
referred to in section 201(gX5) of this Act.
(4) For the purposes of this subsection, such biological treat-
ment facilities as oxidation ponds, lagoons, and ditches and trick-
ling filters shall be deemed the equivalent of secondary treatment.
The Administrator shall provide guidance under paragraph (1) of
this subsection on design criteria for such facilities, taking into ac-
count pollutant removal efficiencies and, consistent with the objec-
tive of the Act, assuring that water quality will not be adversely
affected by deeming such facilities as the equivalent of secondary
treatment.
(e) The Administrator, after consultation with appropriate Fed-
eral and State agencies and other interested persons, may publish
regulations, supplemental to any effluent limitations specified
under subsections (b) and (c) of this section for a class or category
of point sources, for any specific pollutant which the Administrator
is charged with a duty to regulate as a toxic or hazardous pollutant
under section 307(aXl) or 311 of this Act, to control plant site run-
off, spillage or leaks, sludge or waste disposal, and drainage from
raw material etora e which the Administrator determines are asso-
ciated with or ancillary to the industrial manufacturing or treat-
ment process within such class or category of point sources and
may contribute siçnificant amounts of such pollutants, to navigable
e. Any apphcable controls established under this subsection
shall be included as a requirement for the purposes of section 301,
302, 307, or 403, as the case may be, in any permit issued to a
point source pursuant to section 402 of this Act.
(I) The Administrator, after consultation with appropriate Fed-
eral and State agencies and other interested persona shall issue to
appropriate Federal agencies, the States, water pollution control
agencies, and agencies designated under section 208 of this Act,
within one year after the effective date of this subsection (and from
time to time thereafter) information including (1) guidelines for
identifying and evaluating the nature and extent of nonpoint
sources of pollutants, and (2) processes, procedures, and methods to
control pollution resulting from—
(A) agricultural and ailvicultural activities, including run-
off from fields and crop and forest lands;
(B) mining activities, including runoff and siltation from
new, currently operating, and abandoned surface and under-
ground mines;
(C) all construction activity, including runoff from the fa-
cilities resulting from such construction;
(D) the disposal of pollutants in wells or in subsurface ex-
cavations;
(B) salt water intrusion resulting from reductions of fresh
water flow from any cause, including extraction of ground
water, irrigation, obstruction, and diversion; and
(F) changes in the movement, flow, or circulation of any
navigable waters or ground waters, including changes caused
by the construction of dams, levees, channels, causeways, or
flow diversion facilities.
Such information and revisions thereof shall be published in the
Federal Register and otherwise made available to the public.
(gX 1) For the purpose of assisting States in carrying out pro-
grams under section 402 of this Act, the Administrator shall pub-
lish, within one hundred and twenty days after the date of enact-
ment of this title, and review at least annually thereafter and, if
appropriate, revise guidelines for pretreatment of pollutants which
he determines are not susceptible to treatment by publicly owned
treatment works. Guidelines under this subsection shall be estab-
lished to control and prevent the discharge into the navigable wa-
ters, the contiguous zone, or the ocean (either directly or through
publicly owned treatment works) of any pollutant which interferes
with, passes through, or otherwise is incompatible with such works.
(2) When publishing guidelines under this subsection, the Ad-
ministrator shall designate the category or categories of treatment
works to which the guidelines shall apply.
(h) The Administrator shall, within one hundred and eighty
days from the date of enactment of this title, promulgate guidelines
establishing test procedures for the analysis of pollutants that shall
include the factors which must be provided in any certification pur-
suant to section 401 of this Act or permit application pursuant to
section 402 of this Act.
(i) The Administrator shall (1) within sixty days after the en-
actment of this title promulgate guidelines for the purpose of estab-
lishing uniform application forms and other minimum require-
ments for the acquisition of information from owners and operators
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101 FEOERAL WATER POWJIION CONTROL ACT
Sac. 304 Sac. 304
FEDERAL WATER POLLUTION CONTROL ACT 102
of point-sources of discharge subject to any State program under
section 402 of this Act, and (2) within sixty days from the date of
enactment of this title promulgate guidelines establishing the mini-
mum procedural and other elements of any State program under
section 402 of this Act which shall include:
(A) monitoring requirementa
(B) reporting requirements (including procedures to make
information available to the public)
(C) enforcement provisions; and
(D) funding personnel qualifications, and manpower re-
quirements (including a requirement that no board or body
which approves permit applications or portions thereof shall
include, as a member, any person who receives, or has during
the previous two years received, a significant portion of his in-
come directly or indirectly from permit holders or applicants
for a permit).
(j) LAKE RESIORATION GUIDANCE MANUAL—The Administrator
shall, within 1 year after the date of the enactment of the Water
Quality Act of 1987 and biennially thereafter, publish and dissemi-
nate a lake restoration guidance manual describing methods, proce-
dures, and processes to guide State and local efforts to improve, re-
store, and enhance water quality in the Nation’s publicly owned
lakes.
(kXl) The Administrator shall enter into agreements with the
Secretary of Agriculture, the Secretary of the Army, and the Sec-
retary of the Interior, and the heads of such other departments,
agencies, and instrumentalities of the United States as the Admin-
istrator determines, to provide for the maximum utilization of other
Federal laws and programs for the purpose of achieving and main-
taining water quality through appropriate implementation of plans
approved under section 208 of this Act and nonpoint source pollu-
tion management programs approved under section 319 of this Act.
(2) The Administrator is authorized to transfer to the Secretary
of Agriculture the Secretary of the Army, and the Secretary of the
Interior and tue heads of such other departments, agencies, and in-
strumentalities of the United States as the Administrator deter-
mines, any funds appropriated under paragraph (3) of this sub-
section to supplement funds otherwise appropriated to programs
authorized pursuant to any agreement under paragraph (1).
(3) There Is authorized to be appropriated to carry out the pro-
visions of this subsection, $100,000,000 per fiscal year for the fiscal
years 1979 through 1983 and such sums as may be necess*ry for
fiscal years 1984 Ibrough 1990.
(l INDIVIDUAL CONTROL STRATEGIES FOR TOXIC POLLUTANTS.—
(1) STATE LI F OF NAVIGABLE WATERS AND DEVELOPMENT
or STRATEGIES.—Not later than 2 years after the date of the
enactment of this subsection, each State shall submit to the
Administrator for review, approval, and implementation under
this subsection—
(A) a list of those waters within the State which after
the application of effluent limitations required under sec-
tion 301(bX2) of this Act cannot reasonably be anticipated
to attain or maintain (I) water quality standards for such
waters reviewed, revised, or adopted in accordance with
section 303(cX2)(B) of this Act, due to toxic pollutants, or
(ii) that water quality which shall assure protection of pub-
lic health, public water supplies, agricultural and indus-
trial uses, and the protection and propagation of a bal-
anced population of shellfish, fish and wildlife, and allow
recreational activities in and on the water;
(B) a list of all navigable waters in such State for
which the State does not expect the applicable standard
under section 303 of this Act will be achieved after the re-
quirements of sections 301(b), 306, and 307(b) are met, due
entirely or substantially to discharges from point sources
of any toxic pollutants listed pursuant to section 307(a);
(C) for each segment of the navigable waters included
on such lists, a determination of the specific point sources
discharging any such toxic pollutant which is believed to
be preventing or impairing such water quality and the
amount of each toxic pollutant discharged by each such
source; and
(D) for each such segment, an individual control strat-
egy which the State determines will produce a reduction in
the discharge of toxic pollutants from point sources identi-
fied by the State under this paragraph through the estab-
lishment of effluent limitations under section 402 of this
Act and water quality standards under section 303(cX2X B)
of this Act, which reduction is sufficient, in combination
with existing controls on point and nonpoint. sources of pol-
lution, to achieve the applicable water quality standard as
soon as possible, but not later than 3 years after the date
of the establishment of such strategy.
(2) APPROVAL OK DISAPPROVAL.—NOt later than 120 days
after the last day of the 2-year period referred to in paragraph
(1), the Administrator shall approve or disapprove the control
strategies submitted under paragraph (1) by any State.
(3) ADMINISTRATOR’S ACTION.—If a State fails to submit
control strategies in accordance with paragraph (1) or the Ad-
ministrator does not approve the control strategies submitted
by such State in accordance with paragraph (1), then, not later
than 1 year after the last day of the period referred to in para-
graph (2), the Administrator, in cooperation with such State
and after notice and opportunity for public comment, shall im-
plement the requirements of paragraph (1) in such State. In
the implementation of such requirements, the Administrator
shall, at a minimum, consider for listing under this subsection
any navigable waters for which any person submits a petition
to the Administrator for listing not later than 120 days after
such last day.
(m) SCHEDULE FOR REVIEW oF GUIDELINES.—
(1) PUBLICATION—Within 12 months after the date of the
enactment of the Water Quality Act of 1987, and biennially
thereafter, the Administrator shall publish in the Federal Reg-
ister a plan which shall—
(A) establish a schedule for the annual review and ic-
vision of promulgated emuent guidelines, in accordance
with subsection (b) of this section;
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103 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 305
Sec. 308
FEDERAL WATER POLLUTION CONTROL ACT 104
(B) identi1 r categories of sources discharging toxic or
nonconventional pollutanth for which guidelines under sub-
section (bX2) of this section and section 306 have not pre-
viously been published; and
(C) establish a schedule for promulgation of effluent
guidelines for categories identified in subparagraph (B),
under which promulgation of such guidelines shall be no
later than 4 years after such date of enactment for cat-
egories identified in the first published plan or 3 years
after the publication of the plan for categories identified in
later published plans.
(2) PuBLIC REVIEw.—The Administrator shall provide for
public review and comment on the plan prior to final publica-
tion.
(33 U.S.C 1314)
WATER QUALITY INVENTORY
SEc. 305. (a) The Administrator, in cooperation with the States
and with the assistance of appropriate Federal agencies, shall pre-
pare a report to be submitted to the Congress on or before
January 1, 1974, which shall—
(1) describe the specific quality, during 1973, with
appropriate supplemental descriptions as shall be required to
take into account seasonal, tidal, and other variations, of all
navigable waters and the waters of the contiguous zone;
(2) include an inventory of all point sources of discharge
(based on a qualitative and quantitative analysis of discharges)
of pollutants, into all navigable waters and the waters of the
contiguous zone; and
(3) identify specifically those navigable waters, the quality
of which—
(A) is adequate to provide for the protection and prop.
agation of a balanced population of shellfish, fish, and
wildlife and allow recreational activities in and on the
water;
(B) can reasonably be expected to attain such level by
1977 or 1983; and
(C) can reasonably be expected to attain such level by
any later date.
(bXl) Each State shall prepare and submit to the Adminis-
trator by April 1, 1975, and shall bring up to date by April 1, 1976,
and biennially thereafter, a report which shall include—
(A) a description of the water quality of all navigable wa-
ters in such State during the preceding year, with appropriate
supplemental descriptions as shall be required to take into ac-
count seasonal, tidal, and other variations, correlated with the
quality of water required by the objective of this Act (as identi-
fied by the Administrator pursuant to criteria published under
section 304(a) of this Act) and the water quality described in
subparagraph (B) of this paragraph;
(B) an analysis of the extent to which all navigable waters
of such State provide for the protection and propagation of a
balanced population of shellfish, fish, and wildlife, and allow
recreational activities in and on the water;
(C) an analysis of the extent to which the elimination of
the discharge of pollutants and a level of water quality which
provides for the protection and propagation of a balanced popu-
lation of shellfish, fish, and wildlife and allows recreational ac-
tivities in and on the water, have been or will be achieved by
the requirements of this Act, together with recommendations
as to additional action necessary to achieve such objectives and
for what waters such additional action is necessary;
(D) an estimate of (i) the environmental impact, (ii) the
economic and social costs necessary to achieve the objective of
this Act in such State, (iii) the economic and social benefits of
such achievement, and (iv) an estimate of the date of such
achievement; and
(E) a description of the nature and extent of nonpoint
sources of pollutants, and recommendations as to the programs
which must be undertaken to control each category of such
sources, including an estimate of the coats of implementing
such_programs.
(2) The Administrator shall transmit such State reports, to-
gether with an analysis thereof, to Congress on or before October
1, 1975, and October 1, 1976. and biennially thereafter.
(33U.SC 1315) -
NATIONAL STANDARDS OF PERFORMANCE
SEC. 306. (a) For purposes of this section:
(1) The term “standard of performance” means a standard for
the control of the discharge of pollutants which reflects the greatest
degree of emuent reduction which the Administrator determines to
be achievable through application of the best available dem-
onstrated control technology, processes, operating methods, or
other alternatives, including, where practicable, a standard permit-
ting no discharge of pollutants.
(2) The term “new source” means any source, the construction
of which is commenced after the publication of proposed regulations
prescribing a standard of performance under this section which will
be applicable to such sources, if such standard is thereafter pro-
mulgated in accordance with this section.
(3) The term “source” means any building, structure, facility,
or installation from which there is or may be the discharge of pol-
lutants.
(4) The term “owner or operator means any person who owns,
leases, operates, controls, or su,pervises a source.
(5) The term “construction means any placement, assembly, or
installation of facilities or equipment (including contractual obliga-
tions to purchase such facilities or equipment) at the premises
where such equipment will be used, including preparation work at
ouch premises.
(bX1XA) The Administrator shall, within ninety days after the
date of enactment of this title publish (and from time to time there-
after shall revise) a list of categories of sources, which shall, at the
minimum, include: -.
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105 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 306 Sec. 307
FEDERAL WATER POLLUTION CONTROL ACT 106
pulp and paper mills;
paperboard, builders paper and board mills;
meat product and rendering processing;
day product processing;
grain mills
canned and preserved fruits and vegetables processing;
canned and preserved seafood processing;
sugar processing;
textile mills;
cement manufacturing;
feedlota;
electroplating;
organic chemicals manufacturin
inorganic chemicals manufacturing;
plastic and synthetic materials manufacturing;
soap and detergent manufacturing
fertilizer manufacturing;
petroleum refining;
iron and steel manufacturing;
nonferrous metals manufacturing;
phosphate manufacturing;
steam electric powerplants;
ferrualloy manufacturing
leather tanning and finialiing
glass and asbestos manufacturing;
rubber processing; and
timber producta processing.
(B) As soon as practicable, but in no case more than one year,
after a category of sources is included in a list under subparagraph
(A) of this paragraph, the Administrator shall propose and publish
regulations establishing Federal standards of performance for new
sources within such category. The Administrator shall afford inter-
ested persons an opportunity for written comment on such pro-
posed regulations. Alter considering such comments, he shall pro-
mulgate, within one hundred and twenty days after publication of
such proposed regulations, such standards with such adjustments
as he deems appropriate. The Administrator shall, from time to
time, as technlogy and alternatives change, revise such standards
following the procedure required by this subsection for promulga-
tion of such standard& Standards of performance, or revisions
thereof, shall become effective upon promulgation. In establishing
or revising Federal standards of performance for new sources under
this section, the Administrator shall take into consideration the
coat of achieving such effluent reduction, and any non-water qual-
ity environmental impact and enerp requirements.
(2) The Administrator may distinguish among classes, types,
and sizes within categories of new sources for the purpose of estab-
lishing such standards and shall consider the type of process em-
ployed (Including whether batch or continuous).
(3) The provisions of this section shall apply to any new source
owned or operated by the United States.
(c) Each State may develop and submit to the Administrator a
procedure under State law for applying and enforcing standards of
performance for new sources located in such State. If the Adininis-
trator finds that the procedure and the law of any State require the
application and enforcement of standards of performance to at least
the same extent as required by this section, such State is author-
ized to apply and enforce such standards of performance (except
with respect to new sources owned or operated by the United
States).
(d) Notwithstanding any other provision of this Act, any point
source the construction of which is commenced after the date of en-
actment of the Federal Water Pollution Control Act Amendments
of 1972 and which is so constructed as to meet all applicable stand-
ards of performance shall not be subject to any more stringent
standard of performance during a ten-year period beginning on the
date of completion of such construction or during the period of de-
preciation or amortization of such facility for the purposes of sec-
tion 167 or 169 (or both) of the Internal Revenue Code of 1954,
whichever period ends first.
(e) After the effective date of standards of performance prom9l-
gated under this section, it shall be unlawful for any owner or oper-
ator of any new source to operate such source in violation of any
standard of performance applicable to such source.
(33 Usc. 1316)
TOXIC AND PRETREATMENT EFFLUENT STANDARDS
Snc. 307. (a)(1) On and after the date of enactment of the
Clean Water Act of 1977, the list of toxic pollutants or combination
of pollutants sub ject to this Act shall consist of those toxic
polliutants listed in table I of Committee Print Numbered 95—30
of the Committee on Public Works and Transportation of the House
of Representatives, and the Administrator shall publish, not later
than the thirtieth day after the date of enactment of the Clean
Water Act of 1977, that list. From time to time thereafter, the Ad-
ministrator may revise such list and the Admimatrator is author-
ized to add to or remove from such list any pollutant. The Adminis-
trator in publishing any revised list, including the addition or re-
moval of any pollutant from such list, shall take into account the
toxicity of the pollutant, its persistence. degradability, the usual or
potential presence of the affected organisms in any waters, the im-
portance of the affected organisms, and the nature and extent of
the effect of the toxic pollutant on such organisms. A determination
of the Administrator under this paragraph shall be final except
that if, on judicial review, such determination was based on arbi-
trary and capricious action of the Administrator, the Administrator
shall make a redetermination.
(2) Each toxic pollutant listed in accordance with paragraph (1)
of this subsection shall be subject to emuent limitations resulting
from the application of the best available technology economically
achieveable for the applicable category or class of point sources es-
tablished in accordance with section 301(bX2XA) and 304(bX2) of
this Act. The Administrator, in his discretion. may publish in the
Federal Register a proposed effluent standard (which may include
a prohibition) establishing requirements for a toxic pollutant
which, if an effluent limitation is applicable to a class or category
of point sources, shall be applicable to such category or class only
-------
HI? FEDERAL WAlER POWJTION CONTROL ACT
Sec. 307 Soc. 307
FEDERAL WATER POLLUTION CONTROL ACT 108
if such standard imposes more stringent requirements. Such pub-
lished effluent standard (or prohibition) shall take into account the
toxicity of the pollutant, its persistence, degradability, the usual or
potential presence of the affected organisms in any waters, the im-
portance of the affected organisms and the nature and extent of the
effect of the toxic pollutant on such organisms, and the extent to
which effective control is being or may be achieved under other reg-
ulatory authority. The Administrator shall allow a period of not
less than sixty days following publication of any such proposed ef-
fluent standard (or prohibition) for written comment by interested
persons on such proposed standard. In addition, if within thirty
days of publication of any such proposed effluent standard (or pro-
hibition) ani interested person so requests, the Administrator shall
hold a public hearing in connection therewith. Such a public hear-
ing shall provide an opportunity for oral and written presentations,
such cross-examination as the Administrator determines is appro-
priate on disputed issues of material fact, and the transcription of
a verbatim record which shall be available to the public. After con-
sideration of such comments and any information and material pre-
sented at any public hearing held on such proposed standard or
prohibition, the Administrator shall promulgate such standards (or
prohibition) with such modifications as the Administrator finds are
justified. Such promulgation by the Administrator shall be made
within two hundred and seventy days after publication of proposed
standard (or prohibition). Such standard (or prohibition) shall be
final except that if, on judicial review, such standard was not based
on substantial evidence, the Administrator shall promul ate a re-
vised standard. Effluent limitations shall be established in accord-
ance with sections 301(bX2XA) and 304(b)(2) for every toxic pollut-
ant referred to in table I of Committee Print Numbered 95—30 of
the Committee on Public Works and Transportation of the House
of Representatives as soon as practicable after the date of enact-
ment of the Clean Water Act of 1977, but no later than July 1.
1980. Such effluent limitations or effluent standards (or prohibi-
tions) shall be established for every other toxic pollutant listed
under paragraph (1) of this subsection as soon as practicable after
it is so listed.
(3) Each such effluent standard (or prohibition) shall be re-
viewed and, if appropriate, revised at least every three years.
(4) Any effluent standard promulgated under this section shall
be at that level which the Administrator determines provides an
ample margin of safety.
(5) When proposing or promulgating any effluent standard (or
prohibition) under this section, the Administrator shall designate
the category or categories of sources to which the effluent standard
(or prohibition) shall apply. Any disposal of dredged material may
be inCluded in such a category of sources after consultation with
the Secretary of the Army.
(6) Any effluent standard (or prohibition) established pursuant
to this section shall take effect on such date or dates as specified
in the order promulgating such standard, but in no case, more than
one year from the date of such promulgation. If the Administrator
determines that compliance within one year from the date of pro-
‘tion is technologically infeasible for a category of sources, the
Administrator may establish the effective date of the effluent
standard (or prohibition) for such category at the earliest date upon
which compliance can be feasibly attained by sources within such
category, but in no event more than three years after the date of
such promulgation.
(7) Prior to publishing any regulations pursuant to this section
the Administrator shall, to the maximum extent practicable within
the time provided, consult with appropriate advisory committees,
States, independent experts, and Federal departments and agen-
des.
(bXl) The Administrator shall, within one hundred and eighty
days after the date of enactment of this title and from time to time
thereafter, publish proposed regulations establishing pretreatment
standards for introduction of pollutants into treatment works (as
defined in section 212 of this Act) which are publicly owned for
those pollutants which are determined not to be susceptible to
treatment by such treatment works or which would interfere with
the operation of such treatment works. Not later than ninety days
after such publication, and after opportunity for public hearing, the
Administrator shall promulgate such pretreatment standards.
Pretreatment standards under this subsection shall specify a time
for compliance not to exceed three years from the date of promulga-
tion and shall be established to prevent the discharge of any pollut-
ant through treatment works (as defined in section 212 of this Act)
which are publicly owned, which pollutant interfere with, passes
through, or otherwise is incompatible with such works. If, in the
case of any toxic pollutant under subsection (a) of this section in-
troduced by a source into a publicly owned treatment works, the
treatment by such works removes all or any part of such toxic pol-
lutant and the discharge from such works does not violate that ef-
fluent limitation or standard which would be applicable to such
toxic pollutant if it were discharged by such source other than
through a publicly owned treatment works, and does not prevent
sludge use or disposal by such works in accordance with section
405 of this Act, then the pretreatment requirements for the sources
actually discharging such toxic pollutant into such publicly owned
treatment works may be revised by the owner or operator of such
works to reflect the removal of such toxic pollutant by such works.
(2) The Administrator shall, from time to time, as control tech-
nology, processes operating methods, or other alternative change,
revise such stanJards following the procedures established by this
subsection for promulgation of such standards.
(3) When proposing or promulgating any pretreatment stand-
ard under this section, the Administrator shall designate the cat-
egory or categories of sources to which such standard shall apply.
(4) Nothing in this subsection shall affect any pretreatment re-
quirement established by any State or local law not in conflict with
any pretreatment standard established under this subsection.
(c) In order to ensure that any source introducing pollutants
into a publicly owned treatment works, which source would be a
new source subject to section 306 if it were to discharge pollutants,
will not cause a violation of the effluent limitations established for
any such treatment works, the Administrator shall promulgate
pretreatment standards for the category of such sources eimulta-
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109 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 308 Sec. 308
FEDERAL WATER POLLUTION CONTROL ACT 110
neously with the promulgation of standards of performance under
section 306 for the equivalent category of new sources. Such
pretreatment standards shall prevent the discharge of any pollut-
ant into such treatment works, which pollutant may interfere with,
pass through, or otherwise be incompatible with such works.
(d) After the effective date of’ any effluent standard or prohibi-
tion or pretreatment standard promulgated under this section, it
shall be unlawful for any owner or operator of any source to oper-
ate any source in violation of any such effluent standard or prohibi-
tion or pretreatment standard.
(e) COMPLIANCE DATE Ex’rENSION FOR INNOVATIVE
PRETREAThIENT SYSTEMS.—In the case of any existing facility that
proposes to comply with the pretreatment standards of subsection
(b) of this section by applying an innovative system that meets the
requirements of section 301(k) of this Act, the owner or operator of
the publicly owned treatment works receiving the treated effluent
from such facility may extend the date for compliance with the ap-
plicable pretreatment standard established under this section for a
period not to exceed 2 years—
(1) if the Administrator determines that the innovative
system has the potential for industrywide application, and
(2) if the Administrator (or the State in consultation with
the Administrator, in any case in which the State has a
pretreatment program approved by the Administrator)—
(A) determines that the proposed extension will not
cause the publicly owned treatment works to be in viola-
tion of its permit under section 402 or of section 405 or to
contribute to such a violation, and
(B) concurs with the proposed extension.
(33 U.S.C 1317)
INSPECTIONS, MON ITORINO, AND ENTRY
SEC. 308. (a) Whenever required to carry out the objective of
this Act, including but not limited to (1). developing or assisting in
the development of any effluent limitation, or other limitation, pro-
hibition, or effluent standard, pretreatment standard, or standard
of performance under this Act; (2) determining whether any person
is in violation of any such effluent limitation, or other limitation,
prohibition or effluent standard, pretreatment standard, or stand-
ard of performance; (3) any requirement established under this sec-
tion; or (4) carrying out sections 305, 311, 402, 404 (relating to
State permit programs), 405, and 504 of this Act—
(A) the Administrator shall require the owner or operator
of any point source to (i) establish and maintain such records,
(ii) make such reports, (iii) install, use, and maintain such
monitoring equipment or methods (including where appro-
priate, biological monitoring methods), (iv) sample such
effluents (in accordance with such methods, at such locations,
at such intervals, and in such- manner as the Administrator
shall prescribe), and (v) provide such other information as he
may reasonably require; and
(B) the Administrator or his authorized representative (in-
cluding an authorized contractor acting as a representative of
the Administrator), upon presentation of his credentials—
(i) shall have a right of entry to. upon, or through an
premises in which an effluent source is located or in whic
any records required to be maintained under clause (A) of
this subsection are located, and
(ii) may at reasonable times have access to and copy
any records, inspect any monitoring equipment or method
required under clause (A), and sample any effluents which
the owner or operator of such source is required to sample
under such clause.
(b) Any records, reports, or information obtained under this
section (1) shall, in the case of effluent data, be related to any ap-
plicable effluent limitations, toxic, pretreatment, or new source per-
formance standards, and (2) shall be available to the public, except
that upon a Bhowing satisfactory to the Administrator by any per-
son that records, reports, or information, or particular part thereof
(other than emuent data), to which the Administrator has access
under this 8ection, if made public would divulge methods or proc-
esses entitled to protection as trade secrets of such person, the Ad-
ministrator shall consider such record, report, or information, or
particular portion thereof confldential in accordance with the pur-
poses of section 1905 of title 18 of the United States Code. Any au-
thorized representative of the Administrator (including an author-
ized contractor acting as a representative of the Administrator)
who knowingly or willfully publishes, divulges, discloses, or makes
known in any manner or to any extent not authorized by law any
information which is reQuired to be considered confidential under
this subsection shall be fined not more than $1,000 or imprisoned
not more than 1 year, or both. Nothing in this subsection shall pro-
hibit the Administrator or an authorized representative of’ the Ad-
ministrator (including any authorized contractor acting as a rep-
resentative of the Administrator) from disclosing records, reports,
or information to other officers, employees, or authorized represent-
atives of the United States concerned with carrying out this Act or
when relevant in any proceeding under this Act.
(c) Each State may develop and submit to the Administrator
procedures under State law for inspection, monitoring, and entry
with respect to point sources located in such State. If the Adminis-
trator finds that the procedures and the law of any State relating
to inspection, monitoring, and entry are applicable to at least the
same extent as those required by this section, such State is author-
ized to apply and enforce its procedures for inspection, monitoring,
and entry with respect to point sources located in such State (ex-
cept with respect to point sources owned or operated by the United
States).
(d) AccEss BY CONORESS.—Notwithstafldiflg any limitation
contained in this section or any other provision of law, all informa-
tion reported to or otherwise obtained by the Administrator (or any
representative of the Administrator) under this Act shall be made
available, upon written request of any duly authorized committee
of Congress, to such committee.
(33 U.S.C. 1318)
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Ill FEDERAL WATER POUIJTION CONTROL ACT
Sec. 309 Sec. 309
FEDERAL WATER POLLUTION CONTROL ACT 112
FEDERAL ENFORCEMEN’
SEc. 309. (aX 1) Whenever, on the basis of any information
available to him; the Administrator finds that any person is in “io-
lation of any condition or limitation which implements section 301,
302, 306, 307, 308, 318, or 405 of this Act in a permit issued by
a State under an approved permit program under section 402 or
404 of this Act, he shall proceed under his authority in paragraph
(3) of this subsection or he shall notify the person in alleged viola.
tion and such State of such finding. If beyond the thirtieth day
after the Administrator ’s notification the State has not commenced
appropriate enforcement action, the Administrator shall issue an
order requiring such person to comply with such condition or limi-
tation or shall bring a civil action in accordance with subsection (b)
of this section.
(2) Whenever, on the basis of information available to him, the
Administrator finds that violations of permit conditions or limita-
tions as set forth in paragraph (1) of this subsection are so wide.
spread that such violations appear to result from a failure of the
State to enforce such permit conditions or limitations effectively, he
shall so notify the State. If the Administrator finds such failure ex-
tends beyond the thirtieth day after such notice, he shall give pub-
lic notice of such finding. During the period beginning with such
public notice and ending when such State satisfies the Adminis-
trator that it will enforce such conditions and limitations (hereafter
referred to in this section as the period of “federally assumed en-
forcement”), except where an extension has been granted under
paragraph (5XB) of this subsection, the Administrator shall enforce
any permit condition or limitation with respect to any person—
(A) by issuing an order to comply with such condition or
limitation, or
(B) by bringing a civil action under subsection (b) of this
section.
(3) Whenever on the basis of any information available to him
the Administrator finds that any person is in violation of section
301, 302, 306, 307, 308, 318, or 405 of this Act, or is in violation
of any permit condition or limitation implementing any of such sec-
tions in a permit issued under section 402 of this Act by him or
by a State or in a permit issued under section 404 of this Act by
a State, he shall issue an order requiring such person to comply
with such section or requirement, or be shall bnng a civil action
in accordance with subsection (b) of this section.
(4) A copy of any order issued under this subsection shall be
sent immediately by the Administrator to the State in which the
violation occurs and other affected States. In any case in which an
order under this subsection (or notice to a violator under paragraph
(1) of this subsection) is issued to a corporation, a copy of such
order (or notice) shall be served on any appropriate corporate offi-
cers. An order issued under this subsection relating to a violation
of section 308 of this Act shall not take effect until the person to
whom it is issued has had an opportunity to confer with the Ad-
ministrator concerninç the alleged violation.
(5XA) Any order issued under this subsection shall be by per-
sonal service, shall state with reasonable specificity the nature of
the violation, and shall specify a time for compliance not to exceed
thirty days In the case of a violation of an interim compliance
schedule or operation and maintenance requirement and not to ex-
ceed a time the Administrator determines to be reasonable in the
case of a violation of a final deadline, taking into account the seri-
ousness of the violation and any good faith efforts to comply with
applicable requirements.
(B) The Administrator may, if he determines (i) that any per-
son who is a violator of, or any person who is otherwise not in com-
pliance with, the time requirements under this Act or in any per-
mit issued under this Act, has acted in good faith, and has made
a commitment (in the form of contracts or other securities) of nec-
essary resources to achieve compliance by the earliest possible date
after July 1, 1977, but not later than April 1, 1979; (ii) that any
extension under this provision will not result in the imposition of
any additional controls on any other point or nonpoint source; (iii)
that an application for a permit under section 402 of this Act was
filed for such person prior to December 31, 1974; and (iv) that the
facilities necessary for compliance with such requirements are
under construction, grant an extension of the date referred to in
section 301(bX1XA) to a date which will achieve compliance at the
earliest time possible but not later than April 1, 1979.
(6) Whenever, on the basis of information available to him, the
Administrator finds (A) that any person is in violation of section
301(b)(1) (A) or (C) of this Act, (B) that such person cannot meet
the requirements for a time extension under section 301(iX2) of
this Act, and (C) that the most expeditious and appropriate means
of compliance with this Act by such person is to discharge into a
publicly owned treatment works, then, upon request of such person,
the Administrator may issue an order requiring such person to
comply with this Act at the earliest date practicable, but not later
than July 1, 1983, by discharging into a publicly owned treatment
works if such works concur with such order. Such order shall in-
clude a schedule of compliance.
(b) The Administrator is authorized to commence a civil action
for appropriate relief, including a permanent or temporary injunc-
tion, for any violation for which he is authorized to issue a compli-
ance order under subsection (a) of this section. Any action under
this subsection may be brought in the district court of the United
States for the district in which the defendant is located or resides
or is doing business, and such court shall have jurisdiction to re-
strain such violation and to require compliance. Notice of the com-
mencement of such action shall be given immediately to the appro-
priate State.
(c) CmMINAL PENALTIES—
(1) NEGLIGENT VIOLATJONS.—Any person who—
(A) negligently violates section 301, 302, 306, 307, 308,
311(bX3), 318, or 405 of this Act, or any permit condition
or limitation implementing any of such sections in a per-
mit issued under section 402 of this Act by the Adminis-
trator or by a State, or any requirement imposed in a
pretreatment program approved under section 402(a)(3) or
402(b)(8) of this -Act or in a permit- issued under section
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113 FEDERAL WATER POWITION CONTROL ACT
Sec. 309 Sec. 309
FEDERAL WATER POLLUTION CONTROL ACT 114
404 of this Act by the Secretary of the Army or by a State;
or
(B) negligently introduces into a sewer system or into
a publicly owned treatment works any pollutant or hazard-
ous substance which such person knew or reasonably
should have known could cause personal injury or property
damage or, other than in compliance with all applicable
Federal, State, or local requirements or permits, which
causes such treatment works to violate any effluent limita-
tion or condition in any permit issued to the treatment
works under section 402 of this Act by the Administrator
or a State;
shall be punished by a fine of not less than $2,500 nor more
than $25,000 per day of violation, or by imprisonment for not
more than 1 year, or by both. If a conviction of a person is for
a violation committed after a first conviction of such person
under this paragraph, punishment shall be by a fine of not
more than $50,000 per day of violation, or by imprisonment of
not more than 2 years, or by both.
(2) KNOWING VIOL&TIONS.-..Any person who—
(A) knowingly violates section 301, 302, 306, 307, 308,
.311(bX3), 318, or 405 of this Act, or any permit condition
or limitation implementing any of such sections in a per-
mit issued under section 402 of this Act by the Adminis-
trator or by a State, or any requirement imposed in a
pretreatment program approved under section 402(aX3) or
402(bX8) of this Act or in a permit issued under section
404 of this Act by the Secretary of the Army or by a State;
or
(B) knowingly Introduces into a sewer system or into
a publicly owned treatment works any pollutant or hazard-
ous substance which such person knew or reasonably
should have known could cause personal injury or property
damage or, other than in compliance with all applicable
Federal, State, or local requirements or permits, which
causes such treatment works to violate any effluent limita-
tion or condition in a permit issued to the treatment works
under section 402 of this Act by the Adminiritrator or a
State;
shall be punished by a fine of not less that $5,000 nor more
than $50,000 per day of violation, or by imprisonment for not
more than 3 years, or by both. If a conviction of a person is
for a violation committed after a first conviction of such person
under this paragraph, punishment shall be by a fine of not
more than $100,000 per day of violation, or imprisonment of
not more than 6 years, or by both.
(3) KNOWING ENDANGERMENT.—
(A) GE?IE 1., RULE—Any person who knowingly vio-
lates section 301, 302, 306, 307, 308, 311(bX3), 318, or 405
of this Act, or any permit condition or limitation imple-
menting any of such sections In a permit issued under sec-
tion 402 of this Act by the Administrator or by a State, or
in a permit Issued under section 404 of this Act by the Sec-
retary of’ the Army or by a State, and who knows at that
time that he thereby places another person in imminent
danger of death or serious bodily injury, shall, upon convic-
tion, be subject to a fine of not more than $250,000 or im-
prisonment of not more than 15 years, or both. A person
which is an organization shall, upon conviction of violating
this subparagraph, be subject to a fine of not more than
$1,000,000. If a conviction of a person is for a violation
committed after a first conviction of such person under
this paragraph, the maximum punishment shall be dou-
bled with respect to both fine and imprisonment.
(B) ADDITIONAL PROVISIONS—For the purpose of sub-
paragraph (A) of this paragraph—
(i) in determining whether a defendant who is an
individual knew that his conduct placed another per-
son in imminent danger of death or serious bodily in-
jury—
(I) the person is responsible only for actual
awareness or actual belief that he possessed; and
(H) knowledge possessed by a person other
than the defendant but not by the defendant him-
self may not be attributed to the defendant;
except that in proving the defendant’s possession of
actual knowledge, circumstantial evidence may be
used, including evidence that the defendant took af-
firmative steps to shield himself from relevant infor-
mation;
(ii) it is an affirmative defense to prosecution that
the conduct charged was consented to by the person
endangered and that the danger and conduct charged
were reasonably foreseeable hazards of’—
(I) an occupation, a business, or a profession;
or
(II) medical treatment or medical or scientific
experimentation conducted by professionally ap-
proved methods and such other person had been
made aware of the risks involved prior to giving
consent;
and such defense may be established under this sub-
paragraph by a preponderance of the evidence;
(iii) the term “organization” means a legal entity,
other than a government, established or organized for
any purpose, and such term includes a corporation,
company, association, firm, partnership, joint stock
company, foundation, institution, trust society, union,
or any other association of persons; anf
(iv) the term “serious bodily injury” means bodily
injury which involves a substantial risk of’ death, un-
consciousness, extreme physical pain, protracted and
obvious disfigurement, or protracted loss or impair-
ment of the function of a bodily member, organ, or
mental faculty.
(4) FALSE STATEMENTS—Any person who knowingly makes
any false material statement, representation, or certification in
any application, record, report, plan, or other document filed or
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115 FEDERAL WATER POWITION CONTROL ACT
Sec. 309 Sec. 309
FEDERAL WATER POLLUTION CONTROL ACT 116
required to be maintained under this Act or who knowingly fal-
sifies, tampers with, or renders inaccurate any monitoring de.
vice or method required to be maintained under this Act, shall
upon conviction, be punished by a fine of not more than
$10,000, or by imprisonment for not more than 2 years, or by
both. If a conviction of a person is for a violation committed
after a first conviction of such person under this paragraph,
punishment shall be by a fine of not more than $20,000 per
day of violation, or by imprisonment of not more than 4 years,
or by both.
(5) TREATMENT OF SINGLE OPERATIONAL UPSET.—For pur-
poses of this subsection, a single operational upset which leads
to simultaneous violations of more than one pollutant param-
eter shall be treated as a single violation.
(6) RESPONSIBLE CORPORATE OFFICER AS “PERSON”.—For
the purpose of this subsection, the term “person” means, in ad-
dition to the definition contained in section 502(6) of this Act,
any responsible corporate officer.
(7) HAZARDOUS SUBSTANCE DEFINED.—For the purpose of
this subsection, the term “hazardous substance” means (A) any
substance designated pursuant to section 311(bX2XA) of this
Act, (B) any element, compound, mixture, solution, or sub-
stance designated pursuant to section 102 of the Comprehen-
sive Environmental Response, Compensation, and Liability Act
of 1980, (C) any hazardous waste having the characteristics
identified under or listed pursuant to section 3001 of the Solid
Waste Disposal Act (but not including any waste the regulation
of which under the Solid Waste Disposal Act has been sus-
pended by Act of Congress), (D) any toxic pollutant listed
under section 307(a) of this Act, and (E) any imminently haz-
ardous chemical substance or mixture with respect to which
the Administrator has taken action pursuant to section 7 of the
Toxic Substances Control Act.
(d) Any person who violates section 301, 302, 306, 307, 308,
311(bX3), 318 or 405 of this Act, or any permit condition or limita-
tion implementing any of such sections in a permit issued under
section 402 of this Act by the Administrator, or by a State, or in
a permit issued under section 404 of this Act by a State,,’ or any
requirement imposed in a pretreatment program approved under
section 402(aX3) or 402(bX8) of this Act, and any person who vio-
lates any order issued by the Administrator under subsection (a) of
this section, shall be subject to a civil penalty not to exceed $25,000
per day for each violation. In determining the amount of a civil
penalty the court shall consider the seriousness of the violation or
violations, the economic benefit (if any) resulting from the viola-
tion, any history of such violations, any good-faith efforts to comply
with the applicable requirements, the economic impact of the pen-
alty on the violator, and such other matters as justice may require.
For purposes of this subsection, a single operational upset which
leads to simultaneous violations of more than one pollutant param-
eter shall be treated as a single violation.
‘Solnlaw.SP.L 100-4..ee.313(aX I), iOlSt.L45.
(e) Whenever a municipality is a party to a civil action brought
by the United States under this section, the State in which such
municipality is located shall be joined as a party. Such State shall
be liable for payment of any judgment, or any expenses incurred
as a result of complying with any judgment entered against the
municipality in such action to the extent that the laws of that
State prevent the municipality from raising revenues needed to
comply with such judgment.
(1) Whenever, on the basis of an information available to him,
the Administrator finds that an owner or operator of an source is
introducing a pollutant into a treatment works in violation of sub-
section (d) of section 307, the Administrator may notify the owner
or operator of such treatment works and the State of such viola-
tion. If the owner or operator of the treatment works does not com-
mence appropriate enforcement action within 30 days of the date
of such notification, the Administrator may commence a civil action
for appropriate relief, including but not limited to, a permanent or
temporary injunction, against the owner or operator of such treat-
ment works. In any such civil action the Administrator shall join
the owner or operator of such source as a party to the action. Such
action shall be brought in the district court of the United States
in the district in which the treatment works is located. Such court
shall have jurisdiction to restrain such violation and to require the
owner or operator of the treatment works and the owner or opera-
tor of the source to take such action as may be necessary to come
into compliance with this Act. Notice of commencement of any such
action shall be given to the State. Nothing in this subsection shall
be construed to limit or prohibit any other authority the Adminis-
trator may have under this Act.
(g) ADMINISTRATIVE PENALTIES.—
(1) VIOLATIONS.—Whenever on the basis of any informa-
tion available—
(A) the Administrator finds that any person has vio-
lated section 301, 302, 306, 307, 308, 318, or 405 of this
Act, or has violated any permit condition or limitation im-
plementing any of such sections in a permit issued under
section 402 of this Act by the Administrator or by a State,
or in a permit issued under section 404 by a State, or
(B) the Secretary of the Army (hereinafter in this sub-
section referred to as the “Secretary”) finds that any per-
son has violated any permit condition or limitation in a
permit issued under section 404 of this Act by the Sec-
retary,
the Administrator or Secretary, as the case may be, may, after
consultation with the State in which the violation occurs, as-
sess a class I civil penalty or a class II civil penalty under this
subsection.
(2) CLASSES OF PENALTIES.—
(A) CLASS i—The amount of a class I civil penalty
under paragraph (1) may not exceed $10,000 per violation,
except that the maximum amount of any class I civil pen-
alty under this subparagraph shall not exceed $25,000. Be-
fore issuing an order assessing a civil penalty under this
- subparagraph, the Administrator or the Secretary, as the
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117 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 309 Sec. 309
FEDERAL WATER POWflION CONTROL ACT 118
case may be, shall give to the person to be assessed such
penalty written notice of the Administrator’s or Secretary’s
proposal to issue such order and the opportunity to re-
quest, within 30 days of the date the notice is received by
such person, a hearing on the proposed order. Such hear-
ing shall not be subject to section 564 or 566 of title 5,
United States Code, but shall provide a reasonable oppor-
tunity to be heard and to represent evidence.
(B) ClASS n—The amount of a class II civil penalty
under paragraph (1) may not exceed $10,000 per day for
each day during which the violation continues; except that
the maximum amount of any class I I civil penalty under
this subparagraph shall not exceed $125,000. Except as
otherwise provided in this subsection, a class II civil pen-
alty shall be assessed and collected in the same manner
and subject to the same provisions, as in the case of civil
penalties assessed and collected alter notice and oppor-
tunity for a hearing on the record in accordance with sec-
tion 554 of title 5, UnIted States Code. The Administrator
and the Secretary may Issue rules for discovery procedures
for hearings under this subparagraph.
(3) DETERMINiNG AMOUNT—In determining the amount of
any penalty assessed under this Bubsection the Administrator
or the Secretary, as the case may be, shall take into account
the nature, circumstances, extent and gravity of the violation,
or violations, and, with respect to the violator, ability to pay,
any prior history of such violations the degree of culpability,
economic benefit or savings (if anyS resulting from the viola-
tion, and such other matters as justice may require. For pur-
poses of this subsection, a single operational upset which leads
to simultaneous violations of more than one pollutant param-
eter shall be treated as a single violation.
(4) Riowrs OF INTERESTED PERSONS.—
(A) Puauc NOTICE—Before issuing an order assessing
a civil penalty under this subsection the Administrator or
Secretary, as the case may be, shall provide public notice
of and reasonable opportunity to comment on the proposed
issuance of such order.
(B) PRESENTATION OF EVIDENCE—Any person who
comments on a proposed assessment of a penalty under
this subsection shall be given notice of any hearing held
under this subsection and of the order assessing such pen.
alty. In any hearing held under this subsection, such per-
son shall have a reasonable opportunity to be heard and
to present evidence.
(C) RIGHTS OF INTERESTED PERSONS TO A HEARING.—
If no hearing is held under paragraph (2) before issuance
of an order assessing a penalty under this subsection, any
person who commented on the proposed assessment may
petition, within 30 days after the issuance of such order,
the Administrator or Secretary, as the case may be, to set
aside such order and to provide a hearing on the penalty.
If the evidence presented by the petitioner In support of
the petition is material and was not considered In the isau-
ance of the order, the Administrator or Secretary shall im-
mediately set aside such order and provide a hearing in ac-
cordance with paragraph (2XA) in the case of a class I civil
penalty and paragraph (2XB) in the case of a class II civil
penalty. If the Administrator or Secretary denies a hearing
under this subparagraph, the Administrator or Secretary
shall provide to the petitioner, and publish in the Federal
Register, notice of and the reasons for such denial.
(5) FiNALITY OF ORDER.—An order issued under this sub-
section shall become final 30 days after its issuance unless a
petition for judicial review is filed under paragraph (8) or a
hearing is requested under paragraph (4)(C). If such a hearing
is denied, such order shall become final 30 days after such de-
nial.
(6) EFFECT OF ORDER.—
(A) LIMITATION ON ACTIONS UNDER OTHER SECTIONS.—
Action taken by the Administrator or the Secretary, as the
case may be, under this subsection shall not affect or limit
the Administrator’s or Secretary’s authority to enforce any
provision of this Act; except that any violation—
(1) with respect to which the Administrator or the
Secretary has commenced and is diligently prosecuting
an action under this subsection,
(ii) with respect to which a State has commenced
and is diligently prosecuting an action under a State
law comparable to this subsection, or
(iii) for which the Administrator, the Secretary, or
the State has issued a final order not subject to fur-
ther judicial review and the violator has paid a pen-
alty assessed under this subsection, or such com-
parable State law, as the case may be,
shall not be the subject of a civil penalty action under sub-
section (d) of this section or section 3 11(b) or section 505
of this Act.
(B) APPLICABILITY OF LIMITATION WITH RESPECT TO
CITIZEN suirs.—The limitations contained in subparagraph
(A) on civil penalty actions under section 505 of this Act
shall not apply with respect to any violation for which—
(i) a civil action under section 505(aX 1) of this Act
has been filed prior to commencement of an action
under this subsection, or
(ii) notice of an alleged violation of section
505(aX 1) of this Act has been given in accordance with
section 505(bX 1XA) prior to commencement of an ac-
tion under this subsection and an action under section
505(aX 1) with respect to such alleged violation is filed
before the 120th day after the date on which such no-
tice is given.
(7) EFFEcT OF ACTION ON COMPLIANCE—NO action by the
Administrator or the Secretary under this subsection shall af-
fect any person’s obligation to comply with any section of this
Act or with the terms and conditions of any permit issued pur-
suant to section 402 or 404 of this Act.
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119 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 309 Sec. 310
FEDERAL WATER POLLUTION CONTROL ACT 120
(8) JuDIcIAL REVIEW.—Any person against whom a civil
penalty is assessed under this subsection or who commented
on the proposed assessment of such penalty in accordance with
paragraph (4) may obtain review of such assessment—
(A) in the case of assessment of a class I civil penalty,
in the United States District Court for the District of Co.’
lumbia or in the district in which the violation is alleged
to have occurred, or
(B) in the case of assessment of a class II civil penalty,
in United States Court of Appeals for the District of Co-
lumbia Circuit or for any other circuit in which such per-
son resides or transacts business,
by filing a notice of appeal in such court within the 30-day pe-
nod beginning on the date the civil penalty order is issued and
by simultaneously sending a copy of such notice by certified
mail to the Administrator or the Secretary, as the case may be,
and the Attorney General. The Administrator or the Secretary
shall promptly file in such court a certified copy of the record
on which the order was issued. Such court shall not set aside
or remand such order unless there is not substantial evidence
in the record, taken as a whole, to support the finding of a vio-
lation or unless the Administrator s or Secretary’s assessment
of the penalty constitutes an abuse of discretion and shall not
impose additional civil penalties for the same violation unless
the Administrator’s or Secretary’s assessment of the penalty
constitutes an abuse of discretion.
(9) C0LLEcTI0N.—If any person fails to pay an assessment
of a civil penalty—
(A) after the order making the assessment has become
final, or
(B) after a court in an action brought under paragraph
(8) has entered a final judgment in favor of the Adminis-
trator or the Secretary, as the case may be,
the Administrator or the Secretary shall request the Attorney
General to bring a civil action In an appropriate district court
to recover the amount assessed (plus interest at currently pre-
vailing rates from the date of the final order or the date of the
final judgment, as the case may be). In such an action, the va-
lidity, amount, and appropriateness of such penalty shall not
be subject to review. Any person who fails to pay on a timely
basis the amount of an assessment of a civil penalty as de-
scribed in the first sentence of this paraqraph shall be required
to pay, in addition to such amount and interest, attorneys fees
and costs for collection proceedings and a quarterly nonpay-
ment penalty for each quarter during which such failure to pay
persists. Such nonpayment penalty shall be in an amount
equal to 20 percent of the aggre ate amount of such person’s
penalties and nonpayment penalties which are unpaid as of the
beginning of such quarter.
(10) SUBPOENAS—The Administrator or Secretary, as the
case may be, may issue subpoenas for the attendance and testi-
mony of witnesses and the production of relevant papers,
books, or documents in connection with hearings under this
subsection. In case of contumacy or refusal to obey a subpoena
issued pursuant to this paragraph and served upon any person,
the district court of the United States for any district in which
such person is found, resides, or transacts business, upon ap-
plication by the United States and after notice to such person,
shall have jurisdiction to issue an order requiring such person
to appear and give testimony before the administrative law
judge or to appear and produce documents before the adminis-
trative law judge, or both, and any failure to obey such order
of the court may be punished by such court as a contempt
thereof.
(11) PROTECTION OF EXISTING PROCEDURES—Nothing in
this subsection shall change the procedures existing on the day
before the date of the enactment of the Water Quality Act of
1987 under other subsections of this section for issuance and
enforcement of orders by the Administrator.
(33 U.S.C. 1319)
INTERNATIONAL POLLUTION ABATEMENT
SEc. 310. (a) Whenever the Administrator, upon receipts of re-
ports, surveys, or studies from any duly constituted international
agency, has reason to believe that pollution is occurring which en-
dangers the health or welfare of persons in a foreign country, and
the Secretary of State requests him to abate such pollution, he
shall give formal notification thereof to the State water pollution
control agency of the State or States in which such discharge or
discharges originate and to the appropriate interstate agency, if
any. He shall also promptly call such a hearing, if he believes that
such pollution is occurring in sufficient quantity to warrant such
action, and if such foreign country has given the United States es-
sentially the same rights with respect to the prevention and control
of pollution occurring in that country as is given that country by
this subsection. The Administrator, through the Secretary of State,
shall invite the foreign country which may be adversely affected by
the pollution to attend and participate in the hearing, and the rep-
resentative of such country shall, for the purpose of the hearing
and any further proceeding resulting from such hearing, have all
the rights of a State water pollution control agency. Nothing in this
subsection shall be construed to modify, amend, repeal, or other-
wise affect the provisions of the 1909 Boundary Waters Treaty be-
tween Canada and the United States or the WaLer Utilization
Treaty of 1944 between Mexico and the United States (59 Stat.
1219), relative to the control and abatement of pollution in waters
covered by those treaties.
(b) The calling of a hearing under this section shall not be con-
strued by the courts, the Administrator, or any person as limiting,
modifying, or otherwise affecting the functions and responsibilities
of the Administrator under this section to establish and enforce
water quality requirements under this Act.
(c) The Administrator shall publish in the Federal Register a
notice of a public hearing before a hearing board of five or more
persons appointed by the Administrator. A majority of the mem-
bers of the board and the chairman who shall be designated by the
Administrator shall not be officers or employees of Federal. State,
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121 FEDERAL WATER POWJTION CONTROL ACT
Sec. 310 Sec. 311
FEDERAL WATER POLLUTION CONTROL ACT 127
or local governments. On the basis of the evidence presented at
such hearing, the board shall within sixty days after completion of
the hearing make findings of fact as to whether or not such pollu.
tion is occurring and shall thereupon by decision, incorporating its
findings therein, make such recommendations to abate the pollu-
tion as may be appropriate and shall transmit such decision and
the record of the hearings to the Administrator. All such decisions
shall be public. Upon receipt of such decision, the Administrator
shall promptly implement the board’s decision in accordance with
the provisions of this Act.
(d) In connection with any hearing called under this sub.
section, the board Is authorized to reqwre any persona whose al-
leged activities result in discharges causing or contributing to pol-
lution to file with It In such forms as it may prescribe, a report
based on existing data, furnishing such information as may reason-
ably be required as to the character, kind, and quantity of such dis-
charges and the use of facilities or other means to prevent or re-
duce such discharge. by the person filing such a report. Such re-
port shall be made under oath or otherwise, as the board may pro-
scribe, and shall be filed with the board within such reasonable pe-
riod as it may prescribe, unless additional time is granted by it.
Upon a showing satisfactory to the board by the person fihinLsuch
report that such report or portion thereof (other than effluent
data), to which the Adminsitrator has access under this section, if
made public would divulge trade secrets or secret processes of such
person, the board shall consider such report or portion thereof con-
fidential for the purpose. of section 1905 of title 18 of the United
States Code. If any person re 9 ulred to file any report under this
paragraph shall fail to do so within the time fixed by the board for
filing the same and such failure shall continue for thirty days after
notice of such Jefault, such person shall forfeit to the United States
the sum of $1 000 for each and every day of the continuance of
such failure, which forfeiture shall be payable into the Treasury of
the United States, and shall be recoverable in a civil suit in the
name of the United States in the district court of the United States
where such person has his principal office or in any district in
which he does business. The Administrator may upon application
therefor remit or mitigate any forfeiture provided for under this
subsection.
(e) Board members, other than officers or employees of Federal,
State, or local government., shall be for each day (including travel-
time) during which they are performing board business, entitled to
receive compensation at a rate fixed by the Administrator but not
in excess of the maximum rate of pay for grade GS-18, as provided
in the General Schedule under section 5332 of title 5 of the United
States Code, and shall, notwithstanding the limitation. of sections
5703 and 5704 of title 5 of the United States Code, be fully reim-
bursed for travel, subsistence, and related expenses.
(1) When any such recommendation adopted by the Adminis-
trator involves the institution of enforcement proceedings against
any person to obtain the abatement of pollution subject to such rec-
ommendation, the Administrator shall institute such proceedings if
he believes that the evidence warrants such proceedings. The dis-
trict court of the United States shall consider and determine de
novo all relevant issues, but shall receive in evidence the record of
the proceedinçs before the conference or hearing board. The court
shall have jurisdiction to enter such judgment and orders enforcing
such judgment as it deems appropriate or to remand such proceed-
ings to the Administrator for such further action as it may direct.
(33 u.s.c 1320)
OIL AND HAZARDOUS SUBSTANCE LIABILITY
SEc. 311. (a) For the purpose of this section, the term—
(1) “oil” means oil of any kind or in any form, including,
but not limited to, petroleum, fuel oil, sludge, oil refuse, and
oil mixed with wastes other than dredged spoil;
(2) “discharge” includes, but is not limited to, any spilling,
leaking, pumping, pouring, emitting, emptying or dumping, but
excludes (A) discharges in compliance with a permit under sec-
tion 402 of this Act, (B) discharges resulting from cir-
cumstances identified and reviewed and made a part of the
public record with respect to a permit issued or modified under
section 402 of this Act, and subject to a condition in such per-
mit, and (C) continuous or anticipated intermittent discharges
from a point source, identified in a permit or permit applica-
tion under section 402 of this Act, which are caused by events
occurring within the scope of relevant operating or treatment
systems;
(3) “vessel” means every description of watercraft or other
artificial contrivance used, or capable of being used, as a
means of transportation on water other than a public vessel;
(4) “public vessel” means a vessel owned or bareboat-char-
tered and operated by the United States, or by a State or polit-
ical subdivision thereof, or by a foreign nation, except when
such vessel is engaged in commerce;
(5) “United States” means the States, the District of Co.
lumbia, the Commonwealth of Puerto Rico, the Commonwealth
of the Northern Mariana Islands, Guam, American Samoa, the
Virgin Islands, and the Trust Territory of the Pacific Islands;
(6) “owner or operator” means (A) in the case of a vessel,
any person owning, operating, or chartering by demise, such
vessel, and (B) in the case of an onshore facility, and an off
shore facility, any person owning or operating such onshore fa-
cility or offshore facility, and (C) in the case of any abandoned
offshore facility, the person who owned or operated such facil-
ity immediately prior to such abandonment;
(7) “person” includes an individual, firm, corporation, asso-
ciation, and a partnership;
(8) “remove” or “removal” refers to containment and re-
moval of the oil or hazardous substances from the water and
shorelines or the taking of such other actions as may be nec-
essary to minimize or mitigate damage to the public health or
welfare, including, but not limited to, fish, shellfish, wildlife,
and public and private property, shorelines, and beaches;
(9) “contiguous zone” means the entire zone established or
to be established by the United States under article 24 of the
Convention on the Territorial Sea and the Contiguous Zone;
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FEDERAL WATER pot.umea CONTROL ACT
Sec. 311 Sec. 311
FEDERAL WATER POLLUTION CONIROL ACT 124
123
(10) “onshore facility” means any facility (including, but
not limited to, motor vehicles and rolling stock) of any kind lo-
cated in, on, or under, any land within the United States other
than submerged land;
(11) “offshore facility” means any facility of any kind lo-
cated in, on, or under, any of the navigable waters of the Unit-
ed States, and any facility of any kind which is subject to the
jurisdiction of the United States and is located in, on, or under
any other waters, other than a vessel or a public vessel;
(12) “act of God” means an act occasioned by an unantici-
pated grave natural disaster, -
(13) “barrel” means 42 United States gallons at 60 degrees
Fahrenheit;
(14) “hazardous substance” means any substance des-
ignated pursuant to subsection (bX2) of this section;
(15) “inland oil barge” means a non-self-propelled vessel
carrying oil in bulk as cargo and certificated to operate only in
the inland waters of the United States, while operating in such
waters;
(16) “inland waters of the United States” means those wa-
ters of the United States lying inside the baseline from which
the territorial sea is measured and those water outside such
baseline which are a part of the Gulf Intracoastal Waterway
(17) “otherwise” subject to the jurisdiction of the United
States” means subject to the lunediction of the United States
by virtue of United States citizenship, United States vessel
documentation or numbering, or as provided for by inter-
national agreement to which the United States is a party;
(18) “Area Committee” means an Area Committee estab-
lished under 8ubsectlon (j);
(19) “Area Contingency Plan” means an Area Contingency
Plan prepared under subsection Ci);
(20) “Coast Guard District Response Group” means a
Coast Guard District Response Group established under sub-
section (j);
(21) “Federal On-Scene Coordinato? means a Federal On-
Scene Coordinator designated in the National Contingency
Plan
(22) “National Contingency Plan” means the National Con-
tingency Plan prepared and published under subsection (d);
(23) “National Response Unit” means the National Re-
sponse Unit established under subsection U); and
(24) “worst case discharge” means—
(A) in the case of a vessel, a discharge in adverse
weather conditions of its entire cargo; and
(B) in the case of an offshore facility or onshore facil-
ity, the largest foreseeable discharge in adverse weather
conditions.
(bX 1) The Congress hereby declares that it is the policy of the
United States that there should be no discharges of oil or hazard-
ous substances into or upon the navigable waters of the United -
States, adjoining shorelines, or into or upon the waters of the con-
tiguous zone or in connection with activities under the Outer Con-
“ t-”l She’f Lands Act or the Deepwater Port Act of 1974, or
which may affect natural resources belonging to, appertaining to,
or under the exclusive management authority of the United States
(including resources under the Fishery Conservation and Manage-
ment Act of 1976).
(2XA) The Administrator shall develop, promulgate, and revise
as may be appropriate, regulations designating as hazardous sub-
stances, other than oil as defined in this section, such elements and
compounds which, when discharged in any quantity into or upon
the navigable waters of the United States or adjoining shorelines
or the waters of the contiguous zone or in connection with activities
under the Outer Continental Shelf Lands Act or the Deepwater
Port Act of 1974, or which may affect natural resources belonging
to, appertaining to, or under the exclusive management authority
of the United States (including resources under the Fishery Con-
servation and Management Act of 1976), present an imminent and
substantial danger to the public health or welfare, including, but
not limited to, fish, shellfish, wildlife, shorelines, and beaches.
(B) The Administrator shall within 18 months after the date
of enactment of this paragraph, conduct a study and report to the
Congre s on methods, mechanisms, and procedures to create incen-
tives to achieve a higher standard of care in all aspects of the man-
agement and movement of hazardous substances on the part of
owners, operators, or persons in charge of onshore facilities, off-
shore facilities, or vessels. The Administrator shall include in such
study (1) limits of liability, (2) liability for third party damages, (3)
penalties and fees, (4) spill prevention plans. (5) current practices
in the insurance and banking industries, and (6) whether the pen-
alty enacted in subclauae (bb) of clause (iii) of subparagraph (B) of
subsection (bX2) of section 311 of Public Law 92—500 should be en-
acted.
(3) The discharge of oil or hazardous substances (I) into or
upon the navigable waters of the United States, adjoining shore-
lines, or into or upon the waters of the contiguous zone, or (ii) in
connection with activities under the Outer Continental Shelf Lands
Act or the Deepwater Port Act of 1974, or which may affect natural
resources belonging to, appertaining to, or under the exclusive
management authority of the United States (including resources
under the Fishery Conservation and Management Act of 1976). in
such quantities as may be harmful as determined by the President
under paragraph (4) of this subsection, is prohibited, except (A) in
the case of such discharges into the waters of the contiguous zone
or which may affect natural resources belongin to, appertainifl
to, or under the exclusive management authority of the Unite
States (including resources under the Fishery Conservation and
Management Act of 1976), where permitted under the Protocol of
1978 Relating to the International Convention for the Prevention
of Pollution\frOm Ships, 1973, and (B) where permitted in quan-
tities and at, times and locations or under such circumstances or
conditions as\the President may, by regulation, determine not to be
harmful. Any\ egu1aLiOfl5 issued under this subsection shall be con-
sistent with n1 ritime safety and with marine and navigation laws
and regulations and applicable water quality standards.
(4) The President shall by regulation determine for the pur-
poses of this section those quantities of oil and any hazardous sub-
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125 FEDERAL WAlER POLLUTION CONTROL ACT
Sec. 311 Sec. 311
FEDERAL WATER POLLUTION CONTROL ACT 126
stances the discharge of which may be harmful to the public health
or welfare or the environment of the United States, including but
not limited to fish, shellfish, wildlife, and public and private prop-
erty, shorelines, and beaches.
(5) Any person in charge of a vessel or of an onshore facility
or an offshore facility shall, as soon as he has knowledge of an
diachar?e of oil or a hazardous substance from such vessel or fad -
ity in violation of paragraph (3) of this subsection, immediately no-
tify the appropriate agency of the United States Government of
such discharge. The Federal agency shall immediately notify the
appropriate State agency of any State which is or may reasonably
be expected to be, affected by the discharge o oil or a hazardous
substance. Any such person (A) in charge of a vessel from which
oil or a hazardous substance is discharged in violation of pragraph
(3Xi) of this subsection, or (B) in charge of a vessel from which oil
or a hazardous substance is discharged in violation of paragraph
(3Xii) of this subsection and who is otherwise subject to the juris-
diction of the United States at the time of the discharge or (C) in
char e of an onshore facility or an offshore facility, who f ila to no-
tify immediately such agency of such discharge shall, upon convic-
tion, be fined in accordance with title 18, United States Code, or
imprisoned for not more than 5 years, or both. Notification received
pursuant to this paragraph shall not be used against any such nat-
ural person in any criminal case, except a prosecution for perjury
or for giving a false statement.
(6) ADMINIarRATJVE PENALTIES.—
(A) VIOLATIONS.—Any owner operator, or person in
charge of any vessel, onshore facility, or offshore facility—
(i) from which oil or a hazardous substance is dis-
charged in violation of paragraph (3), or
(ii) who fails or refuses to comply with any regula-
tion issued under subsection U) to which that owner,
operator, or person in charge is subject,
may be assessed a class I or class II civil penalty by the
Secretary of the department in which the Coast Guard is
operating or the Administrator.
(B) CLASSES or P NAi..TiEs.—
(i) ClAss i—The amount of a class I civil penalty
under subparagraph (A) may not exceed $10,000 per
violation, except that the maximum amount of any
class I civil penalty under this subparagraph shall not
exceed $25,000. Before assessing a civil penalty under
this clause, the Administrator or Secretary, as the
case may be, shall give to the person to be assessed
such penalty written notice of the Administrator’s or
Secretary’s proposal to assess the penalty and the op-
portunity to request, within 30 days of the date the
notice is received by such person, a hearing on the
proposed penalty. Such hearing shall not be subject to
section 554 or 556 of title 5, United States Code, but
shall provide a reasonable opportunity to be heard and
to present evidence.
(ii) CLASS 11.—The amount of a class II civil pen-
alty under subparagraph (A) may not exceed $10,000
per day for each day during which the violation contin-
ues; except that the maximum amount of any class II
civil penalty under this subparagraph shall not exceed
$125,000. Except as otherwise provided in this sub.
section, a class II -civil penalty 8hall be assessed and
collected in the same manner, and subject to the same
provisions, as in the case of civil penalties assessed
and collected after notice and opportunity for a hear-
ing on the record in accordance with section 554 of
title 5, United States Code. The Administrator and
Secretary may issue rules for discovery procedures for
hearings under this paragraph
(C) Ricwrs OF INTERESTED PERSONS.—
(1) PusuC NOTICE.—Before issuing an order as-
sessing a class II civil penalty under this paragraph
the Administrator or Secretary, as the case may be,
shall provide public notice of and reasonable oppor-
tunity to comment on the proposed issuance of such
order.
(ii) PRESENTATION OF EVIDENCE.—Any person who
comments on a proposed assessment of a class II civil
penalty under this paragraph shall be given notice of
any hearing held under this paragraph and of the
order assessing such penalty. In any hearing held
under this paragraph, such person shall have a rea-
sonable opportunity to be heard and to present evi-
dence.
(iii) Ricirrs OF INTERESTED PERSONS TO A HEAR-
INC.—lf no hearing is held under subparagraph (B) be-
fore issuance of an order assessing a class II civil pen-
alty under this paragraph, any person who commented
on the proposed assessment may petition, within 30
days after the issuance of such order, the Adminis-
trator or Secretary, as the case may be, to set aside
such order and to provide a hearing on the penalty. If
the evidence presented by the petitioner in support of
the petition is material and was not considered in the
issuance of the order, the Administrator or Secretary
shall immediately set aside such order and provide a
hearing in accordance with subparagraph (B)(ii). If the
Administrator or Secretary denies a hearing under
this clause, the Administrator or Secretary shall pro-
vide to the petitioner, and publish in the Federal Reg-
ister, notice of and the reasons for such denial.
(D) FINALITY OF ORDER.—An order assessing a class II
civil penalty under this paragraph shall become final 30
days after its issuance unless a petition for judicial review
is filed under subparagraph (G) or a hearing is requested
under subparagraph (CXiii). If such a hearing is denied,
such order shall become final 30 days after such denial.
(E) EFFECT OF ORDER—Action taken by the- Adminis-
trator or Secretary, as the case may be, under this para-
graph shall not affect or limit the Administrator’s or Sec-
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127 FEDERAL WATER POLLUTION CONTROL ACT
Sec . . Sec. 311
FEDERAL WATER POUUTION CONTROL ACT 128
rotary’s authority to enforce any provision of this Act; ex-
cept that any violation—
(i) with respect to which the Administrator or Sec-
retary has commenced and is diligently prosecuting an
action to assess a class II civil penalty under this
paragraph, or
(ii) for which the Administrator or Secretary has
issued a final order assessing a class II civil penalty
not sub ect to further judicial review and the violator
has paid a penalty assessed under this paragraph.
shall not be the subject of a civil penalty action under sec-
tion 309(d), 309(g), or 505 of this Act or under paragraph
- (F) EFFECT OF ACTiON ON COMPUANCE.—NO action by
the Administrator or Secretary under this paragraph shall
affect any person’s obligation to comply with any section of
this Act.
(G) JUDICIAL REVIEW.—AflY person against whom a
civil penalty is assessed under this paragraph or who com-
mented on the proposed assessment of such penalty in ac-
cordance with subparagraph (C) may obtain review of such
assessment—
(i) in the case of assessment of a class I civil pen-
alty, in the United States District Court for the Dis-
trict of Columbia or in the district in which the viola-
tion is alleged to have occurred, or
(ii) in the case of assessment of a class II civil
penalty, in United States Court of Appeals for the Dis-
trict of Columbia Circuit or for any other circuit in
which such person resides or transacta business,
by filing a notice of appeal in such court within the 30-day
period beginning on the date the civil penalty order is is-
sued and by simultaneously sending a copy of such notice
by certified mail to the Administrator or Secretary, as the
case may be, and the Attorney General. The Administrator
or Secretary shall promptly tUe in such court a certified
copy of the record on which the order was issued. Such
court shall not set aside or remand such order unless there
is not substantial evidence in the record, taken as a whole,
to support the finding of a violation or unless the Adminis-
trator’s or Secretary’s assessment of the penalty con-
stitutes an abuse of discretion and shall not impose addi-
tional civil penalties for the same violation unless the Ad-
ministrator’s or Secretary’s assessment of the penalty con-
stitutes an abuse of discretion.
(1-I) COLLECTION.—lf any person fails to pay an assess-
ment of a civil penalty—
(i) after the assessment has become final, or
(ii) alter a court in an action brought under sub-
paragraph (G) has entered a final judgment in favor of
the Administrator or Secretary, as the case may be,
the Administrator or Secretary shall request the Attorney
General to bring a civil action in an appropriate district
court to recover the amount assessed (plus interest at cur-
rently prevailing rates from the date of the final order or
the date of the final judgment, as the case may be). In
such an action, the validity, amount, and appropriateness
of such penalty shall not be subject to review. Any person
who fails to pay on a timely basis the amount of an assess-
ment of a civil penalty as described in the first sentence
of this subparagraph shall be required to pay, in addition
to such amount and interest, attorneys fees and costs for
collection proceedings and a quarterly nonpayment penalty
for each quarter during which such failure to pay persists.
Such nonpayment penalty shall be in an amount equal to
20 percent of the aggregate amount of such person’s pen-
alties and nonpayment penalties which are unpaid as of
the beginning of such quarter.
(I) SIJBPOENAS.—The Administrator or Secretary, as
the case may be, may issue subpoenas for the attendance
and testimony of witnesses and the production of relevant
papers, books, or documents in connection with hearings
under this paragraph. In case of contumacy or refusal to
obey a subpoena issued pursuant to this subparagraph and
served upon any person, the district court of the United
States for any district in which such person is found, re-
sides, or transects business, upon application by the Unit-
ed States and after notice to such person, shall have juris-
diction to issue an order requiring such person to appear
and give testimony before the administrative law judge or
to appear and produce documents before the administra-
tive law judge, or both, and any failure to obey such order
of the court may be punished by such court as a contempt
thereof.
(7) CIViL PENALTY ACTION.—
(A) DISCHARGE, GENERALLY—AnY person who is the
owner, operator, or person in charge of any vessel, onshore
facility, or offshore facility from which oil or a hazardous
substance is discharged in violation of paragraph (3), shall
be subject to a civil penalty in an amount up to $25,000
per day of violation or an amount up to $1,000 per barrel
of oil or unit of reportable quantity of hazardous sub-
stances discharged.
(B) FAILURE TO REMOVE OR COMPLV.—AflY person de-
scribed in subparagraph (A) who, without aurncient
cause—
(i) fails to properly carry out removal of the dis-
charge under an order of the President pursuant to
subsection (c); or
(ii) fails to comply with an order pursuant to sub-
section (e)( 1)(B);
shall be subject to a civil penalty in an amount up to
$25,000 per day of violation or an amount up to 3 times
the costs incurred by the Oil Spill Liability Trust Fund as
a result of such failure.
(C) FAILURE TO COMPLY WITH REGULATION—Any per-
son who fails or refuses to comply with any regulation is-
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129 FEDERAL WATER PIIWITION CONTROL ACT
Sec. 311
_______ Sec. 311
FEDERAL WATER POLLUTION CONTROL ACT 130
sued under subsection (j) shall be subject to a civil penalty
in an amount up to $25,000 per day of violation.
(D) GROSS NEGLIGENCE—In any case in which a viola-
tion of paragraph (3) was the result of gross negligence or
willful misconduct of a person described in subparagraph
(A), the person shall be subject to a civil penalty of not less
than $100,000, and not more than $3,000 per barrel of oil
or unit of reportable quantity of hazardous substance dis-
charged.
(E) JUIUSDICTION.—An action to impose a civil penalty
under this paragraph may be brought in the district court
of the United States for the district in which the defendant
is located, resides, or is doing business, and such court
shall have jurisdiction to assess such penalty.
(F) LIMTrArIoN.—A person is not liable for a civil pen-
alty under this paragraph for a discharge if the person has
been assessed a civil penalty under paragraph (6) for the
discharge.
(8) DE’TERMINATION OF AMOUNT.—ln determining the
amount of a civil penalty under paragraphs (6) and (7), the Ad-
ministrator, Secretary, or the court, as the case may be, shall
consider the seriousness of the violation or violations, the eco-
nomic benefit to the violator, if any, resulting from the viola-
tion, the degree of culpability involved, any other penalty for
the same incident, any history of prior violations, the nature,
extent, and degree of success of any efforts of the violator to
minimize or mitigate the effects of the discharge, the economic
impact of the penalty on the violator, and any other matters
as justice may require.
(9) MITIGATION OF DAMAGE.—In addition to establishing a
penalty for the discharge of oil or a hazardous substance, the
Administrator or the Secretary of the department in which the
Coast Guard is operating may act to mitigate the damage to
the public health or welfare caused by such discharge. The cost
of such mitigation shall be deemed a cost incurred under sub-
section (c) of this section for the removal of such substance by
the United States Government.
(10) REcovERY OF REMOVAL cos’rs.—Any coats of removal
incurred in connection with a discharge excluded by subsection
(a)(2XC) of this section shall be recoverable from the owner or
operator of the source of the discharge in an action brought
under section 309(b) of this Act.
(11) LIMITATION.—CiviL penalties shall not be assessed
under both this section and section 309 for the same discharge.
(12)1 WITHHOLDING CLEARANCE—If any owner, operator, or
person in char?e of a vessel is liable for a civil penalty under this
subsection, or if reasonable cause exists to believe that the owner.
operator, or person in charge may be subject to a civil penalty
under this subsection, the Secretary of the Treasury, upon the re-
quest of the Secretary of the department in which the Coast Guard
Ind.ni.thn loin law.
is operating or the Administrator, shall with respect to such vessel
refuse or revoke—
(A) the clearance required by section 4197 of the Revised
Statutes of the United States (46 U.S.C. App. 91);
(B) a pennit to proceed under section 4367 of the Revised
Statutes of the United States (46 U.S.C. App. 313); and
(C) a permit to depart required under section 443 of the
Tariff Act of 1930 (19 U.S.C. 1443);
as applicable. Clearance or a permit refused or revoked under this
paragraph may be granted upon the filing of a bond or other surety
satisfactory to the Secretary of the department in which the Coast
Guard is operating or the Administrator.
(c) FEDERAL REMoVAL AUTHORITY.—
(1) GENERAL REMOVAL REQUIREMENT.—(A) The President
shall, in accordance with the National Contingency Plan and
any appropriate Area Contingency Plan, ensure effective and
immediate removal of a discharge, and mitigation or preven-
tion of a substantial threat of a discharge, of oil or a hazardous
substance—
(i) into or on the navigable waters;
(ii) on the adjoining shorelines to the navigable wa-
ters;
(iii) into or on the waters of the exclusive economic
zone; or
(iv) that may affect natural resources belonging to, ap-
pertaining to, or under the exclusive management author-
ity of the United States.
(B) In carrying out this paragraph, the President may—
(i) remove or arrange for the removal of a discharge,
and mitigate or prevent a substantial threat of a dis-
charge, at any time;
(ii) direct or monitor all Federal, State, and private ac-
tions to remove a discharge; and
(iii) remove and, if necessary, destroy a vessel dis-
charging, or threatening to discharge, by whatever means
are available.
(2) DIschARGE POSING SUBSTANTIAL THREAT TO PUBLIC
HEALTH OR WELFARE.—(A) If a discharge, or a substantial
threat of a discharge, of oil or a hazardous substance from a
vessel, offshore facility, or onshore facility is of such a size or
character as to be a substantial threat to the public health or
welfare of the United States (including but not limited to fish,
shellfish, wildlife, other natural resources, and the public and
private beaches and shorelines of the United States), the Presi-
dent shall direct all Federal, State, and private actions to re-
move the discharge or to mitigate or prevent the threat of the
discharge.
(B) In carrying out this paragraph, the President may,
without regard to any other provision of law governing con-
tracting procedures or employment of personnel by the Federal
Government—
(i) remove or arrange for the removal of the discharge,
or mitigate or prevent the substantial threat of the dis-
charge; and
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121 FEDERAL WATER POLLUTION CONIROL ACT
Sec.311 Sec.3 11
FEDERAL WATER POLLUTION CONTROL AC! 132
(ii) remove and, if necessary, destroy a vessel discharg-
ing, or threatening to discharge, by whatever means are
available.
(3) AcrioN8 IN ACCORDANCE WITH NATIONAL CONTINGENCY
pijuj.—(A) Each Federal agency, State owner or operator or
other person participating in efforts uniler this subsection siiall
act in accordance with the National Contingency Plan or as di.
rected by the President.
(B) An owner or operator participating in efforts under this
subsection shall act in accordance with the National Contin-
gency Plan and the applicable response plan required under
subsection Ci), or as directed by the President, except that the
owner or operator may deviate from the applicable response
plan if the President or the Federal On-Scene Coordinator de-
terinines that deviation from the response plan would provide
for a more expeditious or effective response to the api 1 i or miti-
gation of its environmental effects.
(4) EXEMPTION FROM UAB ILITY.—(A) A person is not liable
for removal costs or damages which result from actions taken
or omitted to be taken in the course of rendering care, assist-
ance, or advice consistent with the National Contingency Plan
or as otherwise directed by the President.
(B) Subparagraph (A) does not apply—
(1) to a responsible party;
(ii) to a response under the Comprehensive Environ-
mental Response, Compensation, and Liability Act of 1980
(42 U.S.C. 9601 et seq.);
(iii) with respect to personal injury or wrongful death;
or
(iv) if the person is grossly negligent or engages in
willful misconduct.
(C) A responsible party is liable for any removal costs and
damages that another person is relieved of under subpara-
graph (A).
(5) OBLIGATION AND UABILITY OF OWNER OR OPERATOR NOT
AFFECTED.—NOthifl in this subsection affects—
(A) the obligation of an owner or operator to respond
immediately to a discharge, or the threat of a discharge,
of oil; or
(B) the liability of a responsible party under the Oil
Pollution Act of 1990.
(6) RESPONSIBLE PARTY DEFINED.—FOr purposes of this
subsection, the term “responsible party” has the meaning given
that term under section 1001 of the Oil Pollution Act of 1990.
(d) NATIONAL CONTiNGENCY PlAN.—
(1) PREPARATION BY PRESIDENT—The President shall pre-
pare and publish a National Contingency Plan for removal of
oil and hazardous substances pursuant to this section.
(2) CONTENTS.—The National Contingency Plan shall pro-
vide for efficient, coordinated, and effective action to minimize
damage from oil and hazardous substance discharges, includ-
ing containment, dispersal, and removal of oil and hazardous
substances, and shall include, but not be limited to, the follow-
ng
(A) Assignment of auties and responsibilities among
Federal departments and agencies in coordination with
State and local agencies and port authorities including,
but not limited to, water pollution control and conservation
and trusteeship of natural resources (including conserva-
tion of fish and wildlife).
(B) Identification, procurement, maintenance, and
storage of equipment and supplies.
(C) Establishment or designation of Coast Guard
strike teams, consisting of—
(i) personnel who shall be trained, prepared, and
available to provide necessary services to carry out the
National Contingency Plan;
(ii) adequate oil and hazardous substance pollu-
tion control equipment and material; and
(iii) a detailed oil and hazardous substance pollu-
tion and prevention plan, including measures to pro-
tect fisheries and wildlife.
(D) A system of surveillance and notice designed to
safeguard against as well as ensure earliest possible notice
of discharges of oil and hazardous substances and immi-
nent threats of such discharges to the appropriate State
and Federal agencies.
(E) Establishment of a national center to provide co-
ordination and direction for operations in carrying out the
Plan.
(F) Procedures and techniques to be employed in iden-
tifying, containing, dispersing, and removing oil and haz-
ardous substances.
(G) A schedule, prepared in cooperation with the
States, identifying—
(i) dispersants, other chemicals, and other spill
mitigating devices and substances, if any, that may be
used in carrying out the Plan,
(ii) the waters in which such dispersants, other
chemicals, and other spill mitigating devices and sub-
stances may be used, and
(iii) the quantities of such dispersant, other chemi-
cals, or other spill mitigating device or substance
which can be used safely in such waters,
which schedule shall provide in the case of any dispersant,
chemical, spill mitigating device or substance, or waters
not specifically identified in such schedule that the Presi-
dent. or his delegate, may, on a case-by-case basis, identify
the dispersants, other chemicals, and other spill mitigating
devices and substances which may be used, the waters in
which they may be used, and the quantities which can be
used safely in such waters.
(H) A system whereby the State or States affected by
a discharge of oil or hazardous substance may act where
necessary to remove such discharge and such State or
States may be reimbursed in accordance with the Oil Pol-
lution Act of 1990, in the case of any discharge of oil from
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133 FEDERAL WATER POWJTION CONTROL ACT
Sec. 311 Sec. 311
FEDERAL WATER POLLUTION CONTROL ACT 134
a vessel or facility, for the reasonable COStS incurred for
that removal, from the Oil Spill Liability Trust Fund.
(I) Establishment of criteria and procedures to ensure
immediate and effective Federal identification of, and re-
sponse to, a discharp or the threat of a discharge, that
results in a substantial threat to the public health or wel-
fare of the United States, as required under subsection
(cX2).
(J) Establishment of procedures and standards for re-
moving a worst case discharge of oil, and for mitigating or
preventing a substantial threat of such a discharge.
(K) Designation of the Federal official who shall be the
Federal On-Scene Coordinator for each area for which an
Area Contingency Plan is required to be prepared under
subsection (j).
(L) Establishment of procedures for the coordination of
activities of—
(1) Coast Guard strike teams established under
subparagraph (C);
(ii) Federal On-Scene Coordinators designated
under subparagraph (K);
(iii) Distnct Response Groups established under
subsection U); and
(iv) Area Committees established under subsection
(j).
(M) A fish and wildlife response p!an, developed in
consultation with the United States Fish and Wildlife
Service, the National Oceanic and Atmospheric Adminis-
tration and other interested parties (including State fish
and wildlife conservation officials), for the immediate and
effective protection, rescue, and rehabilitation of, and the
minimization of risk of damage to, fish and wildlife re-
sources and their habitat that are harmed or that may be
jeopardized by a discharge.
(3) REVISIONS AND AMENDMENTS—The President may,
from time to time, as the President deems advisable, revise or
otherwise amend the National Contingency Plan.
(4) ACTIONS IN ACCORDANCE WITH NATIONAL CONTINGENCY
PLAN.—Alter publication of the National Contingency Plan, the
removal of oil and hazardous substances and actions to mini-
mize damage from oil and hazardous substance discharges
shall, to the greatest extent possible, be in accordance with the
National Contingency Plan.
(e) CIVIL ENFORCEMENT.—
(1) ORDERS PROTECTING PUBLIC HEALTH.—lfl addition to
any action taken by a State or local government, when the
President determines that there may be an imminent and sub-
stantial threat to the public health or welfare of the United
States, including fish, shellfish, and wildlife, public and private
property, shorelines, beaches, habitat, and other living and
nonliving natural resources under the jurisdiction or control of
the United States, because of an actual or threatened dis-
charge of oil or a hazardous substance from a vessel or facility
in violation of subsection (b), the President may—
(A) require the Attorney General to secure any relief
from any person, including the owner or operator of the
vessel or facility, as may be necessary to abate such
endangerment; or
(B) after notice to the affected State, take any other
action under this section, including issuing administrative
orders, that may be necessary to protect the public health
and welfare.
(2) JuRISDICTION OF DISTRICT COURTS.—The district courts
of the United States shall have jurisdiction to grant any relief
under this subsection that the public interest and the equities
of the case may require.
(f)(1) Except where an owner or operator canprove that a dis-
charge was caused solely by (A) an act of God, (B) an act of war,
(C) negligence on the part of the United States Government, or (0)
an act or omission of a third party without regard to whether any
such act or omission was or was not negligent, or any combination
of the foregoing clauses, such owner or operator of any vessel from
which oil or a hazardous substance is discharged in violation of
subsection (bX3) of this section shall, notwithstanding any other
provision of law, be liable to the United States Government for the
actual costs incurred under subsection (c) for the removal of such
oil or substance by the United States Government in an amount
Snot to exceed, in the case of an inland oil barge $125 per gross ton
of such barge, or $125,000, whichever is greater, and in the case
of any other vessel, $150 per gross ton of such vessel (or, for a ves-
sel carrying oil or hazardous substances as cargo, $250,000), which-
ever is greater, except that where the United States can show that
such discharge was the result of willful negligence or willful mis-
conduct within the privity and knowledge of the owner, such owner
or operator shall be liable to the United States Government for the
full amount of such costs. Such costs shall constitute a maritime
lien on such vessel which may be recovered in an action in rem in
the district court of the United States for any district within which
any vessel may be found. The United States may also bring an ac
tion against the owner or operator of such vessel in any court of
competent jurisdiction to recover such costs.
(2) Except where an owner or operator of an onshore facility
can prove that a discharge was caused solely by (A) an act of God,
(B) an act of war, (C) negligence on the part of the United States
Government, or (D) an act or omission of a third party without re
gard to whether any such act or omission was or was not negligent,
or any combination of the foregoing clauses, such owner or operator
of any such facility from which oil or a hazardous substance is dis-
charged in violation of subsection (bX3) of this section shall be lia-
ble to the United States Government for the actual costs incurred
under subsection (c) for the removal of such oil or substance by the
United States Government in an amount not to exceed $50,000,000,
except that where the United States can show that such discharge
was the result of willful negligence or willful misconduct within the
privity and knowledge of the owner, such owner or operator shall
be liable to the United States Government for the full amount of
such costs. The United States may bring an action against the
owner or operator of such facility in any court of competent juris-
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135 FEDERAL WATER POWJI1ON CONTROL ACT
SBC. 311 Sec. 311
FEDERAL WATER POLLUTION CONTROL ACT 136
diction to recover such costs. The Administrator is authorized, by
regulation, after consultation with the Secretary of Commerce and
the Small Business Administration, to establish reasonable and eq-
uitable classifications, of those onshore facilities having a total
fixed storage capacity of 1 000 barrels or less which he determines
because of size, type, and location do not present a substantial risk
of the discharge of oil or hazardous substance in violation of sub-
section (bX3) of this section, and apply with respect to such classi-
fications differing limits of liability which may be less than the
amount contained in this paragraph.
(3) Except where an owner or operator of an onshore facility
can prove that a discharge was caused solely by (A) an act of God,
(B) an act of war, (C) negligence on the part of the United States
Government, or (D) an act or omission of a third party without re-
gard to whether any such act or omission was or was not negligent,
or any combination of the foregoing clauses, such owner or operator
of any such facility from which oil or a hazardous substance is dis-
charged in violation of subsection (bX3) of this section shall, not-
withstanding any other provision of law, be liable to the United
States Government for the actual coats incurred under subsection
(c) for the removal of such oil or substance by the United States
Government in an amount not to exceed $50,000,000, except that
where the United States can show that such discharge was the re-
sult of willful negligence or willful misconduct withm the priviLy
and knowledge of the owner, such owner or operator shall be liable
to the United States Government for the full amount of such costs.
The United States may bring an action against the owner or opera
tor of such facility in any court of competent jurisdiction to recover
such coats.
(4) The costs of removal of oil or a hazardous substance for
which the owner or operator of a vessel or onshore or offshore facil-
ity is liable under subsection (f) of this section shall include any
costs or expenses incurred by the Federal Government or any State
government in the restoration or replacement of natural resources
damaged or destroyed as a result of a discharge of oil or a hazard-
ous substance in violation of subsection (b) of this section.
(5) The President, or the authorized representative of any
State, shall act on behalf of the public as trustee of the natural re-
sources to recover for the coats of replacing or restoring such re-
sources. Sums recovered shall be used to restore, rehabilitate, or
acquire the equivalent of such natural resources by the appropriate
agencies of the Federal Government, or the State government.
(g) Where the owner or operator of a vessel (other than an in-
land oil barge) carrying oil or hazardous substances as cargo or an
onshore or offshore facility which handles or stores oil or hazardous
substances in bulk, from which oil or a hazardous substance is dis-
charged in violation of subsection (b) of this section, alleges that
such discharge was caused solely by an act or omission of a third
party, such owner or operator shall pay to the United States Gov-
ernment the actual costa incurred under subsection (c) for removal
of such oil or substance and shall be entitled by subrogation to all
rights of the United States Government to recover such coats from
such third party under this subsection. In any case where an owner
c ‘ ‘ierator of a vessel, of an onshore facility, or of an offshore facil-
ity, from which oiL or a hazardous substance is discharged in viola-
tion of subsection (bX3) of this section, proves that such discharge
of -oil or hazardous substance was caused solely by an act or omis-
sion of a third party, or was caused solely by such an act or omis-
sion in combination with an act of God, an act of war, or negligence
on the part of the United States Government, such third party
shalL, not withstanding any other provision of law, be liable to the
United States Government for the actual costs incurred under sub-
section (c) for removal of such oil or substance by the United States
Government, except where such third party can prove that such
discharge was caused solely by (A) an act of God, (B) an act of war,
(C) negligence on the part of the United States Government, or (D)
an act or omission of another party without regard to whether such
an act or omission was or was not negligent, or any combination
of the foregoing clauses. If such third party was the owner or oper-
ator of a vessel which caused the discharge of oil or a hazardous
substance in violation of subsection (bX3) of this section, the liabil-
ity of such third party under this subsection shall not exceed, in
the case of an inland oil barge $125 per gross ton of such barge,
$125,000, whichever is greater, and in the case of any other vessel,
$150 per gross ton of such vessel (or, for a vessel carrying oil or
hazardous substances as cargo, $250,000), whichever is greater. In
any other case the liability of such third party shall not exceed the
limitation which would have been appiicable to the owner or opera-
tor of the vessel or the onshore or offshore facility from which the
discharge actually occurred if such owner or operator were liable.
If the United States can show that the discharge of oil or a hazard-
ous substance in violation of subsection (bX3) of this section was
the result of willful negligence or willful misconduct within the
priviLy and knowledge of such third party, such third party shall
be liable to the United States Government for the full amount of
such removal costs. The United States may bring an action against
the third party in any court of competent jurisdiction to recover
such removal costs.
(h) The liabilities established by this section shall in no way
affect any rights which (1) the owner or operator of a vessel or of
an onshore facility or an offshore facility may have against any
third party whose acts may in any way have caused or contributed
to such discharge, or (2) The’ United States Government may have
against any third party whose actions may in any way have caused
or contributed to the discharge of oil or hazardous substance.
(1) In any case where an owner or operator of a vessel or an
onshore facility or an offshore facility from which oil or a hazard-
OUS substance is discharged in violation of subsection (b)(3) of this
section acts to remove such oil or substance in accordance with reg-
ulations promulgated pursuant to this section, BuCh owner or oper-
ator shall be entitled to recover the reasonable costs incurred in
such removal upon establishing, in a suit which may be brought
against the United States Government in the United States Claims
Court, that such discharge was caused solely by (A) an act of God.
(B) an act of war, (C) negligence on the part of the United States
Government, or (D) an act or omission of a third party without re-
‘So In mw Should not be c.piializad.
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Sec. 311 Sec. 311
FEDERAL WATER POLLUTION CONTROL ACT 131
137
FEDERAL WATER POLLUTION CONTROL ACT
gard to whether such act or omission was or was not negligent, or
of any combination of the foregoing clauses.
(j) NATIONAL RESPONSE SYSTEM.—
(1) IN GENERAL.—Conslstent with the National Contin-
gency Plan required by subsection (cX2) of this section, as soon
as practicable after the effective date of this section, and from
time to time thereafter, the President shall issue regulations
consistent with maritime safety and with marine and naviga-
tion laws (A) establishing methods and procedures for removal
of discharged oil and hazardous substances, (B) establishin
criteria for the development and implementation of local an
regional oil and hazardous substance removal contingency
plans, (C) establishing procedures, methods, and equipment
and other requirements for equipment to prevent discharges of
oil and hazardous substances from vessels and from onshore
facilities and offshore facilities, and to contain such discharges,
and (D) governing the inspection of vessels carrying cargoes of
oil and hazardous substances and the inspection of such car-
goes in order to reduce the likelihood of discharges of oil from
vessels in violation of this section.
(2) NATIONAL RESPONSE w rr—The Secretary of the de-
partinent in which the Coast Guard Is operating shall establish
a National Response Unit at Elizabeth City, North Carolina.
The Secretary, acting through the National Response Unit—
(A) shall compile and maintain a comprehensive com-
puter list of spill removal resources, personnel, and equip-
ment that is available worldwide and within the areas des-
ignated by the President pursuant to paragraph (4), and of
information regarding previous spills, including data from
universities, research institutions, State governments, and
other nations, as appropriate, which shall be disseminated
as appropriate to response groups and area committees,
and which shall be available to Federal and State agencies
and the public;
(B) shall provide technical assistance eq ripment, and
other resources requested by a Federal on-Scene Coordi-
nator
(a) shall coordinate use of private and public person-
nel and equipment to remove a worst case discharge, and
to mitigate or prevent a substantial threat of such a dis-
charge, from a vessel, offshore facility, or onshore facility
operating In or near an area designated by the President
pursuant to paragraph (4);
(D) may provide technical assistance in the prepara-
tion of Area Contingency Plans required under paragraph
(4);
(B) shall administer Coast Guard strike teams estab-
lished under the National Contingency Plan;
(F) shall maintain on file all Area Contingency Plans
approved by the President under this subsection; and
(G) shall review each of those plans that affects its re-
sponsibilities under this subsection.
(3) CoAST GUARD DISTRICT RESPONSE o oups.—(A) The
Secretary of the department in which the Coast Guard is oper-
ating shaU establish in each Coast Guard district a Coast
Guard District Response Group.
(B) Each Coast Guard District Response Group shall con-
sist of—
(i) the Coast Guard personnel and equipment, includ-
ing firefighting equipment, of each port within the district;
(ii) additional propositioned equipment; and
(iii) a district response advisory staff.
(C) Coast Guard district response groups—
(i) shall provide technical assistance, equipment, and
other resources when required by a Federal On-Scene Co-
ordinator;
(ii) shall maintain all Coast Guard response equip-
ment within its district;
(iii) may provide technical assistance in the prepara-
tion of Area ContingencY Plans required under paragraph
(4); and
(iv) shall review each of those plans that affect its area
of geographic responsibility.
(4) AREA COMMIITEES AND AREA CONTINGE1 4 C 1 ’ PL.ANS.—(A)
There is established for each area designated by the President
an Area Committee comprised of members appointed by the
President from qualified personnel of Federal, State, and local
agencies.
(B) Each Area Committee, under the direction of the Fed-
eral On-Scene Coordinator for its area, shall—
(i) prepare for its area the Area Contingency Plan re-
quired under subparagraph (C);
(ii) work with State and local officials to enhance the
contingency planning of those officials and to assure
preplanning of joint response efforts, including appropriate
procedures for mechanical recovery, dispersal. shoreline
cleanup, protection of sensitive environmental areas, and
protection, rescue, and rehabilitation of fisheries and wild-
life; and
(iii) work with State and local officials to expedite de-
cisions for the use of dispersanta and other mitigating sub-
stances and devices.
(C) Each Area Committee shall prepare and submit to the
President for approval an Area Contingency Plan for its area.
The Area Contingency Plan shall—
(i) when implemented in conjunction with the National
Contingency Plan, be adequate to remove a worst case dis-
charge, and to mitigate or prevent a substantial threat of
such a discharge, from a vessel, offshore facility, or on-
shore facility operating in or near the area;
(ii) describe the area covered by the plan, including
the areas of special economic or environmental importance
that might be damaged by a discharge;
(iii) describe in detail the responsibilities of an owner
or operator and of Federal, State, and local agencies in re-
moving a discharge, and in mitigating or preventing a sub-
stantial threat of a discharge;
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139 FEDERAL WATER POLLUTION CONTROL ACT
Sec.311 Sec.311
FEDERAL WATER POLLUTION CONTROL ACT 14U
(iv) list the equipment (including firefighting equip.
ment), dispersants or other mitigating aubstancea and de-
vices, and personnel available to an owner or operator and
Federal, State, and local agencies, to ensure an effective
and immediate removal of a discharge and to ensure initi-
gation or prevention of a substantial threat of a discharge
(v) compile a list of local scientists, both inside anJ
outside Federal Government service, with expertise in the
environmental effects of spills of the types of oil typically
transported in the area, who may be contacted to provide
information or, where appropriate, participate in meetings
of the scientific support team convened m response to a
spill, and describe the procedures to be followed for obtain-
ing an expedited decision regarding the use of diapersanta;
(vi) describe in detail how the plan is integrated into
other Area Contingency Plans and vessel, offshore facility,
and onshore facility response .plans approved under this
subsection, and into operating procedures of the National
Response Unit;
(vii) include any other information the President re-
quires; and
(viii) be updated periodically by the Area Committee.
(D) The President shall—
(1) review and approve Area Contingency Plans under
this paragraph; and
(ii) periodically review Area Contingency Plans so ap-
proved.
(5) T*i1K VESSEL AND FACILITY RESPONSE pt s.—(A) The
President shall issue regulations which require an owner or op-
erator of a tank vessel or facility described in subparagraph (B)
to prepare and submit to the President a plan for responding,
to the maximum extent practicable, to a worst case discharge,
and to a substantial threat of such a discharge, of oil or a haz-
ardous substance.
(B) The tank vessels and facilities referred to in subpara-
graph (A) are the following:
(1) A tank vessel, as defined under section 2101 of title
46, United States Code.
(ii) An offshore facility.
(iii) An onshore facility that, because of its location,
could reasonably be expected to cause substantial harm to
the environment by discharging into or on the navigable
waters, adjoining shorelines, or the exclusive economic
zone.
(C) A response plan required under this paragraph shall—
(i) be consistent with the requirements of the National
Contingency Plan and Area Contingency Plans;
(ii) identify the qualified individual having full author-
ity to implement removal actions, and require immediate
communications between that individual and the appro-
priate Federal official and the persons providing personnel
and eSuipment pursuant to clause (iii);
(ii i) identify, and ensure by contract or other means
approved by the President the availability of, private per--
sonnel and equipment necessary to remove to the maxi-
mum extent practicable a worst case discharge (including
a discharge resulting from fire or explosion), and to miti-
gate or prevent a substantial threat of such a discharge;
(iv) describe the training, equipment testing, periodic
unannounced drills, and response actions of persons on the
vessel or at the facility, to be carried out under the plan
to ensure the safety of the vessel or facility and to mitigate
or prevent the discharge, or the substantial threat of a dis-
charge;
(v) be updated periodically; and
(vi) be resubmitted for approval of each significant
change.
(D) With respect to any response plan submitted under
this paragraph for an onshore facility that, because of its loca-
tion, could reasonably be expected to cause significant and sub-
stantial harm to the environment by discharging into or on the
navigable waters or adjoining shorelines or the exclusive eco-
nomic zone, and with respect to each response plan submitted
under this paragraph for a tank vessel or offshore facility, the
President shall—
(i) promptly review such response plan;
(ii) require amendments to any plan that does not
meet the requirements of this paragraph;
(iii) approve any plan that meets the requirements of
this paragraph; and
(iv) review each plan periodically thereafter.
(E) I A tank vessel, offshore facility, or onshore facility re-
quired to prepare a response plan under this subsection may
not handle, store, or transport oil unless—
(i) in the case of a tank vessel, offshore facility, or on-
shore facility for which a response plan is reviewed by the
President under subparagraph (D), the plan has been ap-
proved by the President; and
(ii) the vessel or facility is operating in compliance
with the plan.
(F) Notwithstanding subparagraph (E), the President may
authorize a tank vessel, offshore facility, or onshore facility to
operate without a response plan approved under this para-
graph, until not Later than 2 years after the date of the sub-
mission to the President of a plan for the tank vessel or facil-
ity, if the owner or operator certifies that the owner or opera-
tor has ensured by contract or other means approved by the
President the availability of private personnel and equipment
necessary to respond, to the maximum extent practicable, to a
worst case discharge or a substantial threat of such a dis-
charge.
(G) The owner or operator of a tank vessel, offshore facil-
ity, or onshore facility may not claim as a defense to liability
under title I of the Oil Pollution Act of 1990 that the owner
‘Subparagraph (E) of eaclion 3 1I(JX6) shall take effect 36 moj lha (August 18. 1993) iSle, the
date o( the enactment of Public Law 101-380 See P.L 101-380. eec 4202 (bX4XC), 104 Slat 632
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Sec. 311
FEDERAL WAlER POU.UTIOI( COR1ROL ACT 142
FEDERAL WATER POWØION CONTROL ACT Sec. 311
or operator was acting in accordance with an approved re
sponse plan.
(H) The Secretary shall maintain. In the Vessel Identifica
tiOfl System established under chapter 125 of title 46, United
States Code, the dates of’ approval and review of a response
plan under thiB paragraph for each tank vessel that is a vessel
of the United States.
(6) EQUIPMENT REQUIREMENTS AND INSPECTION._Not later
than 2 years after the date of enactment of this section, the
president shall require—
(A) periodic inspection of containment booms, skim’
mere, vessels, and other major equipment used to remove
discharges; and
(B) vessels operating on navigable waters and carrying
oil or a hazardous substance in bulk as cargo to carry a -
propriate removal equipment that employs the best tec -
nology economicallY feasible and that is compatible with
the safe operation of the vessel.
(7) AREA D1uu s.—The President shall periodicallY conduct
drills of removal capability, without prior notice, in areas for
which Area Contingency Plans are required under this sub-
section and under relevant tank vessel and facility response
plans. The drills may include participation by Federal, State.
and local agencies. the owners and operators of vessels and fa-
cilities in the area, and private industry. The President may
publish annual reports on these drills, including assessments
of’ the effectiveness of the plans and a list of amendments
made to improve plans.
(8) UNITED grATES GOVERNMENT NOT UABI2.The United
States Oovernlfleflt is not liable for any damages arising from
its actions or omissions relating to any reBpoflse plan required
by this section.
(SubseCtion (k) was repealed by sec. 2002(bX2) of P.L. 101-380.3
(I) The President is authorized to delegate the administration
of this section to the heads of those Federal departments. agencies.
and instrumentalities which he determines to be appropriate. Each
such depart1fleD agency. and instrumentality, in order to avoid
duplication of effort shall, whenever appropriate, utilize the per-
sonnel. services. anJ facilities of other Federal departments agen-
cies, and instrumentalities.
(in) ADMINISTRA PROVISIONS.—
(1) FoR vESSELS.__AflyOns authorized by the President to
enforce the provisions of this section with respect to any vessel
may, except as to public vessels—
(A) board and inspect any vessel upon the navigable
waters of the United States or the waters of the contiguous
zone,
(B) with or without a warrant, arrest any person who
in the presence or view of the authorized person violates
the provisions of this section or any regulation issued
thereunder, and
(C) execute any warrant or other process issued by an
officer or court of competent jurisdiction.
(2) FoR FACILITIES.—
(A) RECORDKEEPING._Whenever required to carry out
the purposes of this section, the Administrator OT the Sec-
retary of the Department in which the Coast Guard is op-
erating shall require the owner or operator of a facility to
which this section applies to establish and maintain such
records, make such reports, install, use, and maintain such
monitoring equipment and methods, and provide such
other information as the Administrator or Secretary, as
the case may be, may require to carry out the objectives
of this section.
(B) ENTRY AND INSPECTION_Whenever required to
carry out the purposes of this section, the Administrator OT
the Secretary of the Department in which the Coast Guard
is operating or an authorized representative of the Admin-
istrator or Secretary, upon presentation of appropriate cre-
dentials, may—
(i) enter and inspect any facility to which this sec-
tion applies, including any facility at which any
records are required to be maintained under subpara-
graph (A); and
(ii) at reasonable times, have access to and copy
any records, take samples, and inspect any monitoring
equipment or methods required under subparagraPh
(A).
(C) ARRESTS AND EXECUTION OF wARBAN’rs._ -Anyone
authorized by the Administrator or the Secretary of the de-
partment in which the Coast Guard is operating to enforce
the provisions of this section with respect to any facility
may—
(i) with or without a warrant, arrest any person
who violates the provisions of this section or any regu-
lation issued thereunder in the presence or view of the
person so authorized; and
(ii) execute any warrant or process issued by an
officer or court of competent jurisdiction.
(I)) PUBLIC ACCESS.—AItY records, reports. or informa-
tion obtained under this paragraph shall be subject to the
same public access and disclosure requirements which are
applicable to records, reports, and information obtained
pursuant to section 308.
(n) The several district courts of the United States are invested
with jurisdiction for any actions, other than actions pursuant to
subsection (IX 1), arising under this section. In the case of Guam
and the Trust Territory of the Pacific Islands, such actions may be
brought in the district court of Guam, and in the case of the Virgin
Islands such actions may be brought in the district court of’ the Vir-
gin Islands. In the case of American Samoa and the Trust Territory
of the Pacific Islands, such actions may be brought in the District
Court of the United States for the District of Hawaii and such
court shall have jurisdiction of such actions. In the case of the
Canal Zone, such actions may be brought in the United States Dis-
trict Court for the District of the Canal Zone.
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FEDERAL WATER POLLUTION CONTROL ACT
Sec. 312 Sec. 312
FEDERAL WATER POLLUTION CONTROL ACT 144
143
(oX 1) Nothing in this section shall affect or modify in any way
the obligations of any owner or operator of any vessel, or of any
owner or operator of any onshore facility or offshore facility to any
person or agency under any provision of law for damages to any
publicly owned or privately owned property resulting from a dis-
charge of any oil or hazardous substance or from the removal of
any such oil or hazardous substance.
(2) Nothing in this section shall be construed as preempting
any State or political subdivision thereof from imposing any re-
quirement or liability with respect to the discharge of oil or hazard-
ous substance into any waters within such State, or with respect
to any removal activites related to such discharge.
(3) Nothing in this section shall be construed as affecting or
modifying any other existing authority of any Federal department
agency, or instrumentality, relative to onshore or offshore facilities
under this Act or any other provision of law, or to affect any State
or local law not in conflict with this section.
ISubsection (p) was repealed by eec. 2002(bX4) of Public Law
10 1-380, 104 Stat. 507.1
(q) The President is authorized to establish, with repect to any
class or category of onshore or offshore facilities, a maximum limit
of liability under subsections (0(2) and (3) of this section of less
than $50,000,0000, but not less than, $8,000,000.
(r) Nothing in this section shall be construed to impose, or au-
thorize the imposition of any limitation on liability under the Outer
Continental Shelf Lands Act or the Deepwater Port Act of 1974.
(s) The Oil Spill Liability Trust Fund established under section
9509 of the Internal Revenue Code of 1986 (26 U.S.C. 9509) shall
be available to carry out subsections (b), (C), (d), (j), and (I) as those
subsections apply to discharges, and substantial threats of dis-
charges, of oil. Any amounts received by the United States under
this section shall be deposited in the Oil Spill Liability Trust Fund.
(33 U.S.C. 1321)
MARINE SANITATION DEVICES
SEC. 312. (a) For the purpose of this section, the term—
(1) “new vessel” includes every description of watercraft or
other artificial contrivance used, or capable of being used, as
a means of transportation on the navigable waters, the con-
struction of which is initiated after promulgation of standards
and regulations under this section;
(2) “existing vessel” includes every description of
watercraft or other artificial contrivance used, or capable of
being used, as a means of transportation on the navigable wa-
ters, the construction of which is initiated before promulgation
of standards and regulations under this section;
(3) “public vessel” means a vessel owned or bareboat char-
tered and operated by the United States, by a State or political
subdivision thereof, or by a foreign nation, except when such
vessel is engaged in commerce;
(4) “United States” includes the States, the District of Co-
lumbia, the Commonwealth of Puerto Rico, the Virgin Islands,
Guam, American Samoa, the Canal Zone, and the Trust Tern-
tory of the Pacific Islands;
(5) “marine sanitation device” includes any equipment for
installation on board a vessel which is designed to receive, re-
tain, treat, or discharge sewage, and any process to treat such
sewage;
(6) “sewage” means human body wastes and the wastes
from toilets and other receptacles intended to receive or retain
body wastes except that, with respect to commercial vessels on
the Great Lakes, such term shall include graywater;
(7) “manufacture” means any person engaged in the manu-
facturing, assembling, or importation of marine sanitation de-
vices or of vessels subject to standards and regulations promul-
gated under this section;
(8) ‘person” means an individual, partnership, firm, cor-
poration, association, or agency of the United States, but does
not include an individual on board a public vessel;
(9) ‘discharge” includes, but is not limited to, any spilling,
leaking, pumping, pouring, emitting, emptying or dumping;
(10) ‘commercial vessels” means those vessels used in the
business of transporting property for compensation or hire, or
in transporting property in the business of the owner, lessee,
or operator of the vessel;
(11) “graywater” means galley, bath, and shower water;
(12) ‘discharge incidental to the normal operation of a ves-
sel”—
(A) means a discharge, including—
(i) graywater, bilge water, cooling water, weather
deck runoff, ballast water, oil water separator efiluent,
and any other pollutant discharge from the operation
of a marine propulsion system, shipboard maneuver-
ing system, crew habitability system, or installed
major equipment, such as an aircraft carrier elevator
or a catapult, or from a protective, preservative, or ab-
sorptive application to the hull of the vessel; and
(ii) a discharge in connection with the testing,
maintenance, and repair of a system described in
clause (i) whenever the vessel is waterborne; and
(B) does not include—
(i) a discharge of rubbish, trash, garbage, or other
such material discharged overboard;
(ii) an air emission resulting from the operation of
a vessel propulsion system, motor driven equipment,
or incinerator; or
(iii) a discharge that is not covered by part 122.3
of title 40, Code of Federal Regulations (as in effect on
the date of the enactment of subsection (n));
(13) ‘marine pollution control device” means any equip-
ment or management practice, for installation or use on board
a vessel of the Armed Forces, that is—
(A) designed to receive, retain, treat, control, or dis-
charge a discharge incidental to the normal operation of a
vessel; and
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Sec. 312
FEDERAL WATER POLLUTION CONTROL ACT 146
FEDERAL WATER POLLUTION CONTROL ACT Sec. 312
(B) determined by the Administrator and the Sac-.
retary of Defense to be the most effective equipment or
management practice to reduce the environmental impacts
of the discharge consistent with the considerations set
forth in subsection (nX2XB); and
(14) “vessel of the Armed Forces” means—
(A) any vessel owned or operated by the Department
of Defense, other than a time or voyage chartered vessel;
and
(B) any vessel owned or operated by the Department
of Transportation that is designated by the Secretary of
the department in which the Coast Guard is operating as
a vessel equivalent to a vessel described in subparagraph
(bX 1) As soon as possible, after the enactment of this section
and subject to the provisions of section 104(j) of this Act, the Ad-
ministrator, after consultation with the Secretary of the depart-
ment in which the Coast Guard Is operating, after giving appro-
priate consideration to the economic costs Involved, and within the
limits of available technology, shall promulgate Federal standards
of performance for marine sanitation devices (hereinafter in this
section referred to as “standards”) which shall be designed topre-
vent the discharge of untreated or inadequately treated sewage
into or upon the navigable waters from new vessels and existing
vessels, except vessels not equipped with installed toilet facilities.
Such standards and standards established under subsection
(c)( fl(B) of this section shall be consistent with maritime safety and
the marine and navigation laws and regulations and shall be co-
ordinated with the regulations Issued under this subsection by the
Secretary of the department in which the Coast Guard is operating.
The Secretary of the department in which the Coast Guard is oper-
ating shall promulgate regulations, which are consistent with
standards promulgated under this subsection and subsection (c) of
this section and with maritime safety and the marine and naviga-
tion laws and regulations governing the design, construction, in-
stallation, and operation of any marine sanitation device on board
such vessels.
(2) Any existing vessel equipped with a marine sanitation de-
vice on the date of promulgation of’ initial standards and regula-
tions under this section, which device is in compliance with such
initial standards and regulations, shall be deemed in compliance
with this section untIl such time as the device is replaced or is
found not to be in compliance with such initial standards and regu-
lations.
(cX1XA) Initial standards and regulations under this section
shall become effective for new vessels two years after promulption;
and for existing vessels five years after promulgation. Revisions of
standards and regulations shall be effective upon promulgation, un-
less another effective date is specified, except that no revision shall
take effect before the effective date of the standard or regulation
being revised.
(B) The Administrator shall, with respect to commercial vessels
on the Great Lakes, establish standards which require at a mini-
mum the equivalent of secondary treatment as defined under sec-
tion 304(d) of this Act. Such standards and regulations shall take
effect for existing vessels after such time as the Administrator de-
termines to be reasonable for the upgrading of marine sanitation
devices to attain such standard.
(2) The Secretary of the department in which the Coast Guard
is operating with regard to his regulatory authority established by
this section, after consultation with the Administrator, may distin-
guish among classes, types, and sizes of vessels as well as between
new and existing vessels, and may waive applicability of standards
and regulations as necessary or appropriate for such classes, types,
and sizes of vessels (including existing vessels equipped with ma-
rine sanitation devices on the date of promulgation of the initial
standards required by this section), and, upon application, for indi-
vidual vessels.
(d) The provisions of this section and the standards and regula-
tions promulgated hereunder apply to vessels owned and operated
by the United States unless the Secretary of Defense finds that
compliance would not be in the interest of national security. With
respect to vessels owned and operated by the Department of Do-
fense, regulations under the last sentence of subsection (bX 1) of
this section and certifications under subsection (gX2) of this section
shall be promulgated and issued by the Secretary of Defense
(e) Before the standards and regulations under thiB section are
promulgated, the Administrator and the Secretary of the depart-
ment in which the Coast Guard is operating shall consult with the
Secretary of State; the Secretary of Health, Education, and Wel-
fare; the Secretary of Defense; the Secretary of the Treasury; the
Secretary of Commerce; other interested Federal agencies; and the
States and industries interested; and otherwise comply with the re-
quirements of section 553 of title 5 of the United States Code.
(fX1)(A) Except as provided in subparagraph (B), after the ef-
fective date of the initial standards and regulations promulgated
under this section, no State or political subdivision thereof shall
adopt or enforce any statute or regulation of such State or political
subdivision with respect to the design, manufacture, or installation
or use of any marine sanitation device on any vessel subject to the
provisions of this section.
(B) A State may adopt and enforce a statute or regulation with
respect to the design, manufacture, or installation or use of any
marine sanitation device on a houseboat, if such statute or regula-
tion is more stringent than the standards and regulations promul-
gated under this section. For purposes of this paragraph, the term
“houseboat” means a vessel which, for a period of time determined
by the State in which the vessel is located, is used primarily as a
residence and is not used primarily as a means of transportation.
(2) If, after promulgation of the initial standards and regula-
tions and prior to their effective date, a vessel is equipped with a
marine sanitation device in compliance with such standards and
regulations and the installation and operation of such device is in
accordance with such standards and regulations, ouch standards
and regulations shall, for the purposes of paragraph (1) of this sub-
section, become effective with respect to such vessel on the date of
such compliance.
145
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141 FEDERAL WATER POWITION CONTROL ACT
Sec. 312 Sec. 312
FEDERAL WATER POLLUIION CONTROL ACT 148
(3) Alter the effective date of the initial standards and regula-
tions promulgated under this section, if any State determines that
the protection and enhancement of the quality of some or all of the
waters within such State require greater environmental protection,
such State may completely prohibit the discharge from all vessels
of any sewage, whether treated or not, into such waters, except
that no such prohibition shall apply until the Administrator deter-
mines that adeQuate facilities for the safe and sanitary removal
and treatment of sewage from all vessels are reasonably available
for such water to which such prohibition would apply. Upon appli-
cation of the State, the Administrator shall make such determina-
tion within 90 days of the date of such application.
(4XA) If the Administrator determines upon application by a
State that the protection and enhancement of the quality of speci-
fied waters within such State requires such a prohibition, he shall
by regulation completely prohibit the discharge from a vessel of
any sewage (whether treated or not) into such waters.
(B) Upon application by a State, the Administrator shall, by
regulation, establish a drinking water intake zone in any waters
within such State and prohibit the discharge of sewage from ves-
sels within that zone.
(g)(1) No manufacturer of a marine sanitation device shall sell,
offer for sale, or introduce or deliver for introduction in interstate
commerce, or import into the United States for sale or resale any
marine sanitation device manufactured after the effective date of
the standards and regulations promulgated under this section un-
less such device is in all material respects substantially the same
as a test device certified under this subsection.
(2) Upon application of the manufacturer, the Secretary of the
department in which the Coast Guard is operating shall so certify
a marine sanitation device if he determines, in accordance with the
provisions of this paragraph, that it meets the appr priate stand-
ards and regulations promulgated under this section. The Secretary
of the department in which the Coast Guard is operating shall teat
or require such testing of the device in accordance with procedures
set forth by the Administrator as to standards of performance and
for such other purposes as may be appropriate. If the Secretary of
the department in which the Coast Guard is operating determines
that the device is satisfactory from the standpoint of safety and
any other requirements of maritime law or regulation, and after
consideration of the design, installation, operation, material, or
other appropriate factors, he shall certify the device. Any device
manufactured by such manufacturer which is in all material re-
spects substantially the same as the certified teat device shall be
deemed to be in conformity with the appropriate standards and
regulations established under this section.
(3) Every manufacturer shall establish and maintain such
records, make such reports, and provide such information as the
Administrator or the Secretary of the department in which the
Coast Guard is operating may reasonably require to enable him to
determine whether such manufacturer has acted or is acting in
compliance with this section and regulations issued thereunder and
shall, upon request of an officer r employee duly deaipated by the
AahniniRtrator or the Secretary of the department in which the
Coast Guard is operating, permit such officer or employee at rea-
sonable times to have access to and copy such records. All informa-
tion reported to or otherwise obtained by the Administrator or the
Secretary of the department in which the Coast Guard is operating
or their representatives pursuant to this subsection which contains
or relates to a trade secret or other matter referred in section 1905
of title 18 of the United States Code shall be considered confiden-
tial for the purpose of that section, except that such information
may be disclosed to other officers or employees concerned with car-
rying out this section. This paragraph shall not apply in the case
of the construction of a vessel by an individuaLfor his own use.
(h) After the effective date of standards and regulations pro-
mulgated under this section, it shall be unlawful—
(1) for the manufacturer of any vessel subject to such
standards and regulations to manufacture for sale, to sell or
offer for sale, or to distribute for sale or resale any such vessel
unless it is equipped with a marine sanitation device which is
in all material respects substantially the same as the appro-
priate teat device certified pursuant to this section;
(2) for any person, prior to the sale or delivery of a vessel
subject to such standards and regulations to the ultimate pur-
chaser, wrongfully to remove or render inoperative any cer-
tified marine sanitation device or element of design of such de-
vice installed in such vessel;
(3) for any person to fail or refuse to permit access to or
copying of records or to fail to make reports or provide infor-
mation required under this section; and
(4) for a vessel subject to such standards and regulations
to operate on the navigable waters of the United States, if such
vessel is not equipped with an operable marine sanitation de-
vice certified pursuant to this section.
(i) The district courts of the United States shall have jurisdic-
tions to restrain violations of subsection (gXl) of this section and
subsections (hX 1) through (3) of this section. Actions to restrain
such violations shall be brought by, and in, the name of the United
States. in case of contumacy or refusal to obey a subpena served
upon any person under this subsection, the district court of the
United States for any district in which such person is found or re-
sides or transacts business, upon application by the United States
and after notice to such person, shall have jurisdiction to issue an
order requiring such person to appear and give testimony or to ap-
pear and produce documents, and any failure to obey such order of
the court may be punished by such court as a contempt thereof.
(j) Any person who violates subsection (gXl), clause (1) or (2)
of subsection (h), or subsection (nX8) shall be liable to a civil pen-
alty of not more than $5,000 for each violation. Any person who
violates clause (4) of subsection (h) of this section or any regulation
issued pursuant to this section shall be liable to a civil penalty of
not more than $2,000 for each violation. Each violation shall be a
separate offense. The Secretary of the department in which the
Coast Guard is operating may assess and compromise any such
penalty. No penalty shall be assessed until the person charged
shall have been given notice and an opportunity for a hearing on
such charge. In determining the amount of the penalty, or the
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149 FEDERAL WATER POLLUTION CONTROL ACT Sec. 312
amount agreed upon in comprO!fll 5 the gravity of the violation,
and the demonstrated good faith of the person charged in attempt’
ing to achieve rapid compliance, after notification of a violation,
shall be considered by said Secretary
(k) The provisions of this section shall be enforced by the Sec-
retary of the department in which the Coast Guard is operating
and he may utilize by agreement, with or without reimbursement,
law enforcement officers or other personnel and facilities of the Ad-
ministrator, other Federal gencieB, or the States to carry out the
provisions of this section. The provisions of this section may also
be enforced by a State.
(1) Anyone authorized by the Secretary of the department in
which the Coast Guard is operating to enforce the provisions of this
section may, except as to public vessels, (1) board and inspect any
vessel upon the navigable waters of the United States and (2) exe-
cute any warrant or other process issued by an officer or court of
competent jurisdictiOfi.
(in) In the case of Guam and the Trust Territory of the Pacific
Islands, actions arising under this section may be brought in the
district court of Guam, and in the case of the Virgin Islands such
actions may be brought in the district court of the Virgin Islands.
In the case of American Samoa and the Trust Territory of the Pa-
cific Islands, such actions may be brought in the District Court of
the United States for the District of Hawaii and such court shall
have jurisdictiOn of such actions. In the case of the Canal Zone,
such actions may be brought in the District Court for the District
of the Canal Zone.
(n) UNIFORM NATIONAL DISCHARGE STANDARDS FOR VESSELS
OF THE ARMED FoRCES.—
(1) APPUCAB1h2T .Th35 subsectiOn shall apply to vessels
of the Armed Forces and discharges, other than sewage, inci-
dental to the normal operation of a vessel of the Armed Forces,
unless the Secretaly of Defense finds that compliance with this
subsection would not be in the national security interests of
the United States.
(2) DETERMINATION OF DISCHARGES REQUIRED TO BE CON-
TROLLED BY MARINE POLLUTION CONTROL flEV1CES.
(A) IN GENERAL.’Th9 Administrator and the Sec-
retary of Defense, after consultation with the Secretary of
the department in which the Coast Guard is operating. the
Secretary of Commerce, and interested States, shall jointly
determine the discharges incidental to the normal oper-
ation of a vessel of the Armed Forces for which It is rea-
sonable and practicable to require use of a marine pollu-
tion control device to mitigate adverse impacts on the ma-
rine environment 0 tWith8taflthng subsection (aX1) of sec-
tion 553 of title 5, United States Code, the Administrator
and the Secretary of Defense shall promulgate the deter-
minations in accordance with such section. The Secretary
of Defense shall req ure the use of a marine pollution con-
trol device on board a vessel of the Armed Forces in any
case in which it is determined that the use of such a device
is reasonable and practicable.
Sec. 312 FEDERAL WATER POLLUTION CONTROL ACT 150
(B) CONSIDERA ’flONS ” .th making a determination
under subparagraPh (A), the Administrator and the Sec-
retary of Defense shall take into consideratlon
(i) the nature of the discharge
(ii) the environmental effects of the discharge;
(iii) the practicabilitY of using the marine pollu-
tion control device;
(iv) the effect that installation or use of the ma-
rine pollution control device would have on the oper-
ation or operational capability of the vessel;
(v) applicable United States law;
(vi) applicable jnternatiOflal standards and
(vii) the economic costs of the installation and use
of the marine pollution control device.
(3) PERFORMANCE STANDARDS FOR MARINE POLLUTION CON-
TROL DEVICES.
(A) IN OENEEAL._F0T each discharge for which a ma-
rine pollution control device is determined to be required
under paragraph (2), the Administrator and the Secretary
of Defense, in consultation with the Secretary of the de-
partment in which the Coast Guard is operatiflg the Sec-
retary of State, the Secretary of Commerce, other inter-
ested Federal agencies. and interested States, shall jointly
promulgate Federal standards of performance for each ma
rifle pollution control device required with respect to the
discharge. 0 tWithstandi g subsection (a)( 1) of section 553
of title 5, United States Code, the Administrator and the
Secretary of Defense shall promulgate the standards in ac-
cordance with such section.
(B) CONSIDER T1ONS.— 1 ” promulgating standards
under this paragraph, the Administrator and the Secretary
of Defense shall take into consideration the matters set
forth in paragraph (2XB).
(C) CLASSES, TYPES, AND SIZES OF VESSELS.—Tbs
standards promulgated under this paragraph may—
(i) distinguish among classes, types, and sizes of
vessels
(ii) distinguish between new and existing vessels;
and
(iii) provide for a waiver of the applicability of the
standards as necessary or appropriate to a particular
class, type, age, or size of vessel.
(4) REGULATIONS FOR USE OF MARINE POLLUTION CONTROl.
DEvIcES.—The Secretary of Defense, after consultation with
the Administrator and the Secretary of the department ifl
which the Coast Guard is operating, shall promulgate such
regulations governing the design, construction, installation,
and use of marine pollution control devices on board vessels of
the Armed Forces as are necessary to achieve the standards
promulgated under paragraph (3).
(5) DEADLINES; EFFECTWE DATE.—
(A) DETERMINATIONS_The Administrator and the
Secretary of Defense shall—
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151 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 312 Sec. 312
FEDERAL WATER POLLUTION CONTROL ACT 152
(I) make the initial determinations under para-
graph (2) not later than 2 years after the date of the
enactment of this subsection; and
(ii) every 5 years.—
(I) review the determinations; and
(H) if necessary, revise the determinations
based on significant new information.
(B) STANDARDS—The Administrator and the Secretary
of Defense shall—
(1) promulgate standards of performance for a ma-
rine pollution control device under paragraph (3) not
later than 2 years after the date of a determination
under paragraph (2) that the marine pollution control
device is required; and
(ii) every 5 years—
(I) review the standards; and
(H) if necessary, revise the standards, consist-
ent with paragraph (3XB) and based on significant
new information.
(C) REGULATIONS—The Secretary of Defense shall
promulgate regulations with respect to a marine pollution
control device under paragraph (4) as soon as practicable
after the Administrator and the Secretary of Defense pro-
mulgate standards with respect to the device under para-
graph (3), but not later than 1 year after the Adminis-
trator and the Secretary of Defense promulgate the stand-
ards. The regulations promulgated by the Secretary of De-
fense under paragraph (4) shall become effective upon pro-
mulgation unless another effective date is specified in the
regulations.
(D) PETITION FOR REVIEW.—The Governor of any State
may submit a petition requesting that the Secretary of De-
fense and the Administrator review a determination under
paragraph (2) or a standard under paragraph (3), if there
is significant new information, not considered previously,
that could reasonably result in a change to the particular
determination or standard alter consideration of the mat-
ters set forth in paragraph (2XB). The petition shall be ac-
companied by the scientific and technical information on
which the petition is based. The Administrator and the
Secretary of Defense shall grant or deny the petition not
later than 2 years after the date of receipt of the petition.
(6) EFFECT ON OTHER LAWS.—
(A) PROHIBITION ON REGULATION BY STATES OR POUTI-
CAL SUBDIVISIONS OF STATES—Beginning on the effective
date of—
(i) a determination under paragraph (2) that it is
not reasonable and practicable to require use of a ma-
rine pollution control device regarding a particular dis-
charge incidental to the normal operation of a vessel
of the Armed Forces; or
(ii) regulations promulgated by the Secretary of
Defense under paragraph (4);
except as provided in paragraph (7), neither a State nor a
political subdivision of a State may adopt or enforce any
statute or regulation of the State or political subdivision
with respect to the discharge or the design, construction,
installation, or use of any marine pollution control device
required to control discharges from a vessel of the Armed
Forces.
(B) FEDERAL LAWS.—ThiS subsection shall not affect
the application of section 311 to discharges incidental to
the normal operation of a vessel.
(7) EsrARLISHMENT OP STATE NO-DISCHARGE ZONES.—
(A) STATE PROHIBITION.—
(i) IN GENERAL—After the effective date of—
(I) a determination under paragraph (2) that
it is not reasonable and practicable to require use
of a marine pollubon control device regarding a
particular discharge incidental to the normal oper-
ation of a vessel of the Armed Forces; or
(H) regulations promulgated by the Secretary
of Defense under paragraph (4);
if a State determines that the protection and enhance-
ment of the quality of some or all of the waters within
the State require greater environmental protection,
the State may prohibit 1 or more discharges incidental
to the normal operation of a vessel, whether treated or
not treated, into the waters. No prohibition shall apply
until the Administrator makes the determinations de-
scribed in subclauses (II) and (III) of subparagraph
(BX1).
(ii) DOCUMENTATION—TO the extent that a prohi-
bition under this paragraph would apply to vessels of
the Armed Forces and not to other types of vessels,
the State Bhall document the technical or environ-
mental basis for the distinction.
(B) PROHIBITION BY THE ADMINISTRATOR.—
U) IN GENERAL—Upon application of a State, the
Administrator shall by regulation prohibit the dis-
charge from a vessel of 1 or more discharges incidental
to the normal operation of a vessel, whether treated or
not treated, into the waters covered by the application
if the Administrator determines that.—
(1) the protection and enhancement of the
quality of the specified waters within the State re-
quire a prohibition of the discharge into the wa-
ters;
(II) adequate facilities for the safe and sani-
tary removal of the discharge ,ihcidental to the
normal operation of a vessel a4e reasonably avail-
able for the waters to which th prohibition would
apply; and -,
( III) the prohibition will not have the effect of
discriminating against a vessel of the Armed
Forces by reason of the ownership or operation by
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FEDERAL WATER POLLUTION CONTROL ACT
Sec. 313 Sec. 313
FEDERAL. WATER POLLUTION CONTROL ACT 154
153 _____
the Federal Government, or the military function,
of the vessel.
(ii) APPROVAL OR DISAPPROVAL.—The Adminis-
trator shall approve or disapprove an application sUb-
mitted under clause (i) not later than 90 days after the
date on which the application is submitted to the Ad-
ministrator. Notwithstanding clause (iXil), the Admin-
istrator shall not disapprove an application for the
sole reason that there are not adequate facilities to re-
move any discharge incidental to the normal operation
of a vessel from vessels of the Armed Forces.
(C) APPLICABILITY TO FOREIGN FLAGGED VESSELS.—A
prohibition under this paragraph—
(1) shall not impose any design, construction, man-
ning, or equipment standard on a foreign flagged ves-
sel engaged in innocent passage unless the prohibition
implements a generally accepted international rule or
standard and
(ii) that relates to the prevention, reduction, and
control of pollution shall not apply to a foreign flag ed
vessel engaged in transit passage unless the prohibi-
tion implements an applicable international regulation
regarding the discharge of oil, oily waste, or any other
noxious substance into the waters.
(8) PROHIBITION RELATING TO VESSELS OF ThE ARMED
FORCFS.—AfteT the effective date of the regulations promul-
gated by the Secretary of Defense under paragraph (4), it shall
be unlawful for any vessel of the Armed Forces subject to the
regulations to—
(A) operate In the navigable waters of the United
States or the waters of the contiguous zone, if the vessel
is not equipped with any required marine pollution control
device meeting standards established under this sub-
section; or
(B) discharge overboard any discharge incidental to
the normal operation of a vessel In waters with respect to
which a prohibition on the discharge has been established
under paragraph (7).
(9) ENFORCEMENT.—Thls subsection shall be enforceable,
as provided in subsections (j) and (k) , against any agency of the
United States responsible for vessels of the Armed Forces not-
withstanding any immunity asserted by the agency.
(33 U.S.C. 1322)
FEDERAL FACILITIES POLU7FION CONTROL
Szc. 313. (a) Each department, agency, or instrumentality of
the executive, leçislative, and judicial branches of the Federal Gov-
ernment (1) having jurisdiction over any property or facility, or (2)
engaged in any activity resulting, or which may result, in the dis-
charge or runoff of pollutants, and each officer, agent, or employee
thereof in the performance of his official duties, shall be subject to,
and comply with, all Federal. State, interstate, and local require-
ments, administrative authority, and process and sanctions respect-
ing the control and abatement of water pollution in the same man-
ner, and to the same extent as any nongovernmental entity includ-
ing the payment of reasonable service charges. The precedifl sen-
tence shall apply (A) to any requirement whether substantive or
procedural (including any recordkeeping or reporting requirement,
any requirement respecting permits and any other requirement,
whatsoever), (B) to the exercise of any Federal, State, or local ad-
ministrative authority, and (C) to any process and sanction, wheth-
er enforced in Federal State, or local courts or in any other man-
ner. This subsection shall apply notwithstanding any immunity of
such agencies, officers, agents, or employees under any law or rule
of law. Nothing in this section shall be construed to prevent any
department, agency, or instrumentalitY of the Federal Government,
or any officer, agent, or employee thereof in the performance of his
official duties, from removing to the appropriate Federal district
court any proceeding to which the department, agency, or instru-
mentality or officer, agent, or employee thereof is subject pursuant
to this section, and any such proceeding may be removed in accord-
ance with 28 U.S.C. 1441 et seq. No officer, agent, or employee of
the United States shall be personally liable for any civil penalty
arising from the performance of his official duties, for which he is
not otherwise liable, and the United States shall be liable only for
those civil penalties arising under Federal law or imposed by a
State or local court to enforce an order or the process of such court.
The President may exempt any effluent source of any department,
agency, or instrumentalitY in the executive branch from compliance
with any such a requirement if he determines it to be in the para-
mount interest of the United States to do so; except that no exemp-
tion may be granted from the requirements of section 306 or 307
of this Act. No such exemptions shall be granted due to lack of ap-
propriation unless the President shall have specifically requested
such appropriation as a part of the budgetary process and the Con-
gress shall have failed to make available such requested appropria-
tion. Any exemption shall be for a period not in excess of one year,
but additional exemptions may be granted for periods of not to ex-
ceed one year upon the President’s making a new determination.
The President shall report each January to the Congress all exemp-
tions from the requirements of this section granted during the pre-
ceding calendar year, together with his reason for granting such ex-
emption. In addition to any such exemption of a particular effluent
source, the President may, if he determines it to be in the para-
mount interest of the United States to do so, issue regulations ex-
empting from compliance with the requirements of this section any
weaponry, equipment, aircraft, vessels, vehicles, or other classes or
categories of property, and access to such property, which are
owned or operated by the Armed Forces of the United States (in-
cluding the Coast Guard) or by the National Guard of any State
and which are uniquely military in nature. The President shall re-
consider the need for such regulations at three-year intervals.
(b)( 1) The Administrator shall coordinate with the head of each
department, agency, or instrumentality of the Federal Government
having jurisdiction over any property or facility utilizing federally
owned wastewater facilities to develop a program of cooperation for
utilizing wastewater control systems utilizing those innovative
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155 FEDERAL WATER POWITION CONTROL ACT
Sec. 314 Sec. 314
FEDERAL WATER POLLUTION CONTROL ACT 156
treatment processes and techniques for which guidelines have been
promulgated under section 304(dX3). Such program shall include
an inventory of property and facilities which could utilize such
processea and techniques.
(2) Construction shall not be initiated for facilities for treat-
ment of wastewater at any Federal property or facility after Sep.
tember 30, 1979, if alternative methods for wastewater treatment
at such property or facility utilizing innovative treatment processes
and techniques, including but not limited to methods utilizing recy-
cle and reuse techniques and land treatment are not utilized, un-
less the life cycle cost of the alternative treatment works exceeds
the life cycle cost of the most cost effective alternative by more
than 15 per centum. The Administrator may waive the application
of this paragraph in any case where the Administrator determines
it to be in the public interest, or that compliance with this para-
graph would interfere with the orderly compliance with the condi-
tions of a permit issued pursuant to section 402 of this Act.
(33 U.S.C. 1323)
CLEAN LAKES
SEC. 314. (a) ESTABLISHMENT AND SCOPE or PRooa M.—
(I) STATE PROGRAM REQUIREMENTS—Each State on a bien-
nial basis shall prepare and submit to the Administrator for
his approval—
(A) an identification and classification according to eu-
trophic condition of all publicly owned lakes in such State;
(B) a description of procedures, processes, and meth-
ods (including land use requirements), to control sources of
pollution of such lakes;
(C) a description of methods and procedures, in con-
junction with appropriate Federal agencies, to restore the
quality of such lakes;
(D) methods and procedures to mitigate the harmful
effects of high acidity, includin? innovative methods of
neutralizing and restoring bulTenng capacity of lakes and
methods of removin from lakes toxic metals and other
toxic substances mobilized by high acidity;
(E) a list and description of those publicily owned
lakes in such State for which uses are known to be im-
paired, including those lakes which are known not to meet
applicable water quality standards or which require imple-
mentation of control programs to maintain compliance
with applicable standards and those lakes in which water
quality has deteriorated as a result of high acidity that
may reasonably be due to acid deposition; and
(F) an assessment of the status and trends of water
quality in lakes in such State, including but not limited to,
the nature and extent of pollution loading from point and
nonpoint sources and the extent to which the use of lakes
is impaired as a result of such pollution, particularly with
respect to toxic pollution.
(2) SUBMISSION AS PART OF 305(bXl) REPORT.—The informa-
‘required under paragraph (1) shall be included In the re-
port required under section 305(bXl) of this Act, beginning
with the report required under such section by April 1, 1988.
(3) REPORT OF ADMINISTRATOR—Not later than 180 days
alter receipt from the States of the biennial information re-
quired under paragraph (1), the Administrator shall submit to
the Committee on Public Works and Transportation of the
House of Representatives and the Committee on Environment
and Public Works of the Senate a report on the status of water
quality in lakes in the United States, including the effective-
ness of the methods and procedures described in paragraph
(1XD).
(4) ELIGIBILITY REQUIREMENT—Beginning after April 1,
1988, a State must have submitted the information required
under paragraph (1) in order to receive grant assistance under
this section.
(b) The Administrator shall provide financial assistance to
States in order to carry out methods and procedures approved by
him under subsection (a) of this section. The Administrator shall
provide financial assistance to States to prepare the identification
and classification surveys required in subsection (aX 1) of this sec-
tion.
(cXl) The amount granted to any State for any fiscal year
under subsection (b) of this section shall not exceed 70 per centum
of the funds expended by such State in such year for carrying out
approved methods and procedures under subsection (a) of this sec-
tion.
(2) There is authorized to be appropriated $50,000,000 for the
fiscal year ending June 30, 1973; $100,000,000 for the fiscal year
1974; $150,000,000 for the fiscal year 1975, $50,000,000 for fiscal
year 1977, $60.000,000 for fiscal year 1978, $60,000,000 for fiscal
year 1979, $60,000,000 fore fiscal year 1980, $30,000,000 for fiscal
year 1981, $30,000,000 for fiscal year 1982, such sums as may be
necessary for fiscal years 1983 through 1985, and $30,000,000 per
fiscal year for each of the fiscal years 1986 through 1990 for grants
to States under subsection (b) of this section which such sums shall
remain available until expended. The Administrator shall provide
for an equitable distribution of such sums to the States with ap-
proved methods and procedures under subsection (a) of this section.
(d) DEMONSTRATION PROGRAM.—
(1) GENERAL REQUIREMENTS—The Administrator is au-
thorized and directed to establish and conduct at locations
throughout the Nation a lake water quality demonstration pro-
gram. The program shall, at a minimum—
(A) develop cost effective technologies for the control of
pollutants to preserve or enhance lake water quality while
optimizing multiple lakes uses;
(B) control nonpoint sources of pollution which are
contributing to the degradation of water quality in lakes;
(C) evaluate the feasibility of implementing regional
consolidated pollution control strategies;
(D) demonstrate environmentally preferred techniques
for the removal and disposal of contaminated lake sedi-
ments;
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Sec. 314 Sec. 315
FEDERAL WATER POLLUTION CONTROL ACT 158
151
FEDERAL WATER POWITION CONTROL ACT
(E) develop improved methods for the removal of silt,
stumps, aquatic growth, and other obstructions which im-
pair the quality of lakes;
(F) construct and evaluate gilt traps and other devices
or equipment to prevent or abate the deposit of sediment
in lakes; and
(G) demonstrate the costs and benefits of utilizing
dredged material from lakes in the reclamation of de-
spoiled land.
(2) GEOGRAPHICAL REQUUIEMENTS.—Dernonstration
pr jects authorized by this subsection shall be undertaken to
reflect a variety of geographical and environmental conditions.
As a priority, the Administrator shall undertake demonstration
projects at Lake Champlain, New York and Verznont Lake
Houston, Texas; Beaver Lake, Arkansas; Greenwood La ie and
Beicher Creek, New Jersey; Deal Lake, New Jersey; Alcyon
Lake, New Jersey; Gorton’s Pond, Rhode Island; Lake Wash-
inaton, Rhode laland Lake Bomoseen, Vermont; Sauk Lake,
Minnesota; and Lake Worth, Texas.
(3) Rxpowrs.—By January 1, 1997 and January 1 of every
odd-numbered year thereafter, the Acfzninistrator shall report
to the Committee on Transportation and Infrastructure of the
House of Representatives and the Committee on Environment
and Public Works of the Senate on work undertaken pursuant
to this subsection. Upon completion of the program authorized
by this subsection, the Administrator shall submit to such com-
mittees a final report on the results of such program, along
with recommendations for further measures to improve the
water quality of the Nation’s lakes.
(4) Aw1 10m7.*TION OF APPROPRIATIONS.—
(A) IN GENERAL—There is authorized to be appro-
priated to carry out this subsection not to exceed
$40,000,000 for fiscal years beginning after September 30,
1986, to remain available until expended.
(B) SPECIAL AL7flIORIZATIONS.—
(i) AMOUNr.—There Is authorized to be appro-
priated to carry out subsection (b) with respect to sub-
section (aX1XD) not to exceed $15,000,000 for fiscal
years beghiniTig after September 30, 1986, to remain
available until expended.
(ii) DISTRIBUTION OF gurws.—The Administrator
shall provide for an equitable distribution of sums ap-
propriated pursuant to this subparagraph among
States carrying out approved methods and procedures.
Such distribution shall be based on the relative needs
of each such State for the mitigation of the harmful al-
fects on lakes and other surface waters of high acidity
that may reasonably be duo to acid deposition or acid
mine drainage.
(iii) GRANTS AS ADDITIONAL ASSISTANCE.—The
amount of any grant to a State under this subpara-
graph shall be in addition to, and not in lieu of, any
other Federal financial assistance.
NATIONAL STUDY COMMISSION
SEC. 315. (a) There is established a National Study Comr 1 y
sion, which shall make a full and complete investigation and study
of all of the technological aspects of achieving, and all aspects of
the total economic, social, and environmental effects of achieving or
not achieving, the emuent limitations and goals set forth for 1983
in section 30 1(bX2) of this Act.
(b) Such Commission shall be composed of fifteen members, in.
cluding five members of the Senate. who are members of the Public
Works committee, appointed by the President of the Senate, five
members of the House, who are members of the Public Works com-
mittee, appointed by the Speaker of the House, and five members
of the public appointed by the President. The Chairman of such
Commission shall be elected from among its members.
(c) In the conduct of such study, the Commission is authorized
to contract with the National Academy of Sciences and the Na-
tional Academy of Engineering (acting through the National Re-
search Council), the National Institute of Ecology, Brookings Insti-
tution, and other nongoverTiiflefltal entities, for the investigation of
matters within their competence.
(d) The heads of the departments. agencies and instrumental-
ities of the executive branch of the Federal Government shall co-
operate with the Commission in carrying out the requirements of
this section, and shall furnish to the Commission such information
as the Commission deems necessary to carry out this section.
(e) A report shall be submitted to the Congress of the results
of such investigation and study, together with recommendations,
not later than three years after the date of enactment of this title.
(I) The members of the Commission who are not officers or em-
ployees of the United States, while attending conferences or meet-
ings of the Commission or while otherwise serving at the request
of the Chairman shall be entitled to receive compensation at a rate
not in excess of the maximum rate of pay for grade GS.-18, as pro-
vided in the General Schedule under section 5332 of title V of the
United States Code, including traveltime and while away from
their homes or regular places of business they may be allowed trav-
el expenses, including per diem in lieu of subsistence as authorized
by law (5 U.S.C. 73b—2) for persons in the Government service em-
ployed intermittently.
(g) In addition to authority to appoint personnel subject to the
provisions of title 5, United States Code, governing appointments
in the competitive service, and to pay such personnel in accordance
with the provisions of chapter 51 and subchapter III of chapter 53
of such title relating to classification and General Schedule pay
rates, the Commission shall have authority to enter into contracts
with private or public organizations who shall furnish the Commis-
sion with such administrative and technical personnel as may be
necessary to carry out the purpose of this section. Personnel fur-
nished by such organizations under this subsection are not, and
shall not be considered to be, Federal employees for any purposes.
but in the performance of their duties shall be guided by the stand-
ards which apply to employees of the legislative branches under
(33 U.S.C. 1324)
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159 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 317 Sec. 318
FEDERAL WATER POLLUTION CONTROL ACT 180
rules 41 and 43 of the Senate and House of Representatives, re-
spectively.
(h) There is authorized to be appropriated, for use in carrying
out this section, not to exceed $17,250,000.
(33 U.S.C. 1325)
THERMAL DISCHARGES
SEC. 316. (a) With respect to any point source otherwise sub-
ject to the provisions of section 301 or section 306 of this Act,
whenever the owner or operator of any such source, after oppor-
tunity for public hearing, can demonstrate to the satisfaction of the
Administrator (or, if appropriate, the State) that any emuent limi-
tation proposed for the control of the thermal component of any dis-
charge from such source will require effluent limitations more
stringent than necessary to assure the projection and propagation
of a balanced, indigenous population of shellfish, fish, and wildlife
in and on the body of water into which the discharge is to be made,
the Administrator (or, if appropriate, the State) may impose an ef
fluent limitation under such sections for such plant, with respect
to the thermal component of such discharge (taking into account
the interaction of such thermal component with other pollutants),
that will assure the projection and propagation of a balanced, in.
digenous population of shellfish, fish, and wildlife in and on that
body of water.
(b) Any standard established pursuant to section 301 or section
306 of this Act and applicable to a point source shall require that
the location, design, construction, and capacity of cooling water in-
take structures reflect the best technology available for minimizing
adverse environmental impact.
(c) Notwithstanding any other provision of this Act, any point
source of a discharge having a thermal component, the modification
of which point source is commenced after the date of enactment of
the Federal Water Pollution Control Act Amendments of 1972 and
which, as modified, meets effluent limitations established under
section 301 or, if more stringent, effluent limitations established
under section 303 and which effluent limitations will assure protec-
tion and propagation of a balanced, indigenous population of shell-
fish, fish, and wildlife in or on the water into which the discharge
is made, shall not be subject to any more strin ent effluent limita-
tion with respect to the thermal component of its discharge during
a ten year period beginning on the date of completion of such modi-
fication or during the period of depreciation or amortization of such
facility for the purpose of section 167 or 169 (or both) of the Inter-
nal Revenue Code of 1954, whichever period ends first.
i33 u.s.c. 1326)
FINANCiNG STUDY
SEc. 317. (a) The Administrator shall continue to investigate
and study the feasibility of alternate methods of financing the cost
of preventing, controlling and abating pollution as directed in the
Water Quality Improvement Act of 1970 (Public Law 91—224), in-
chiding, but not limited to, the feasibility of establishing a pollution
abatement trust fund. The results of such investigation and study
shall be reported to the Congress not later than two years after en-
actment of this title, together with recommendations of the Admin-
istrator for financing the programs for preventing, controlling and
abating pollution for the fiscal years beginning after fiscal year
1976, including any necessary legislation.
(b) There is authorized to be appropriated for use in carrying
out this section, not to exceed $1,000,000.
(33 U.S.C. 1327)
AQUACULTURE
SEc. 318. (a) The Administrator is authorized, after public
hearings, to permit the discharge of a specific pollutant or pollut-
ants under controlled conditions associated with an approved aqua-
culture project under Federal or State supervision pursuant to sec-
tion 402 of this Act.
(b) The Administrator shall by regulation establish any proce-
dures and guidelines which the Administrator deems necessary to
carry out this section. Such regulations shall require the applica-
tion to such discharge of each criterion, factor, procedure, and re-
quirement applicable to a permit issued under section 402 of this
title, as the Administrator determines necessary to carry out the
objective of this Act.
Cc) Each State desiring to administer its own permit program
within its jurisdiction for discharge of a specific pollutant or pollut-
ants under controlled conditions associated with an approved aqua-
culture project may do so if upon Bubmission of such program the
Administrator determines such program is adequate to carry out
the objective of this Act.
(33 u.s_c. 1328)
SEC. 319. NONPOINT SOURCE MANAGEMENT PROGRAMS.
(a) STATE ASSESSMENT REPORIS.—
(1) CONTENTS.—The Governor of each State shall, after no-
tice and opportunity for public comment, prepare and submit
to the Administrator for approval, a report which—
(A) identifies those navigable waters within the State
which, without additional action to control nonpoint
sources of pollution, cannot reasonably be expected to at-
tain or maintain applicable water quality standards or the
goals and requirements of this Act;
(B) identifies those categories and subcategories of
nonpoint sources or, where appropriate, particular
nonpoint sources which add significant pollution to each
portion of the navigable waters identified under subpara-
graph (A) in amounts which contribute to such portion not
meeting such water quality standards or such goals and
requirements;
(C) describes the process, including intergovernmental
coordination and public participation, for identifying l,°st
management practices and measures to control each flt-
egory and subcategory of nonpoint sources and, wher” ap-
propriate, particular nonpoint sources identified under
subparagraph (B) and to reduce, to the maximum e tont
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FEDERAL WATER POUU1IOII CONTROL ACT
Sec. 31! Sec. 319
FEDERAL WATER POLLUTION CONTROL ACT 162
hi
practicable, the level of pollution resulting from such cat-
egory aubcategory, or source; and
(L)) identifies and describes State and local programs
for controlling pollution added from nonpoint sources to,
and improving the quality of, each such portion of the nav-
igable waters, including but not limited to those programs
which are receiving Federal assistance under subsections
(h) and (I).
(2) INFORMATION USED IN PREPARATION—In developing the
report required by this section, the State (A) may rely upon in-
formation developed pursuant to sections 208, 303(e), 304(f),
305(b), and 314, and other information as appropriate, and (B)
may utilize appropriate elements of the waste treatment man-
agement plans developed pursuant to sections 208(b) and 303,
jo the extent such elements are consistent with and fulfill the
requirements of this section.
(b) STATE MANAGEMENT PROGRAMS.—
(1) IN GENERAL—The Governor of each State, for that
State or in combination with adjacent States, shall, after notice
and opportunity for public comment, prepare and submit to the -
Administrator for approval a management program which such
State proposes to implement in the first four fiscal years begin-
ning after the date of submission of such management program
for controlling pollution added from nonpoint sources to the
navigable waters within the State and improving the quality of
such waters.
(2) SPEcIFIC CONTENTS.—EaCh management program pro-
posed for implementation under this subsection shall include
each of the followinç
(A) An identification of the beet management practices
and measures which will be undertaken to reduce pollut-
ant loadings resulting from each category, eubcategory, or
particular nonpoint source designated under paragraph
(1XB), taking into account the impact of the practice on
ground water quality.
(B) An Identification of programs (including, as appro-
pilate, nonregulatory or regulatory proçrams for enforce-
ment, technical assistance financial assistance, education,
training, technology transFer, and demonstration projects)
to achieve Implementation of the best management prac-
tices by the categories, subcategories, and particular
nonpoint sources designated under subparagraph (A).
(C) A schedule containing annual milestones for (i) uti-
lization of the program implementation methods identified
in subparagraph (B), and (ii) Implementation of the beat
management practices Identified In subparagraph (A) by
the categories, subcategories, or particular nonpoint
sources designated under paragraph (1XB). Such schedule
shall provide for ntili’atiou of the beet management prac-
tices at the earliest practicable date.
(D) A certification of the attorney general of the State
or States (or the chief attorney of any State water pollu-
tion control agency which has Independent legal counsel)
that the laws of the State or States, as the case may be,
provide adequate authority to implement such manage-
ment program or, if there is not such adequate authority.
a list of such additional authorities as will be necessar! to
implement such management program. A schedule dnd
commitment by the State or States to seek such additional
authorities as expeditiously as practicable.
(E) Sources of Federal and other assistance and fund-
ing (other than assistance provided under subsections (h)
and (i)) which will be available in each of such fiscal years
for supporting implementation of such practices and meas-
ures and the purposes for which such assistance will be
used in each of such fiscal years.
(F) An identification of Federal financial assistance
programs and Federal development projects for which the
State will review individual assistance applications or de-
velopment projects for their effect on water quality pursu-
ant to the procedures set forth in Executive Order 12372
as in effect on September 17, 1983, to determine whether
such assistance applications or development projects would
be consistent with the program prepared under this sub-
section; for the purposes of this subparagraph, identifica-
tion shall not be limited to the assistance programs or de-
velopment projects subject to Executive Order 12372 but
may include any programs listed in the most recent Cata-
log of Federal Domestic Assistance which may have an ef-
fect on the purposes and objectives of the State’s nonpoint
source pollution management program.
(3) UTILIZATION OF LOCAL AND PRIVATE EXpEins.—In devel-
oping and implementing a management program under this
subsection, a State shall, to the maximum extent practicable,
involve local public and private agencies and organizations
which have expertise in control of nonpoint sources of pollu-
tion.
(4) DEVELOPMENT ON WATERSHED BAS1S.—A State shall, to
the maximum extent practicable, develop and implement a
management program under this subsection on a watershed-
by-watershed basis within such State.
(c) ADMINISTRATIVE PROVISIONS.—
(1) COOPERATION REQUIREMENT.AnY report required by
subsection (a) and any management program and report re-
quired by subsection (b) shall be developed in cooperation with
local, substate regional, and interstate entities which are ac-
tively planning for the implementation of nonpoint source pol-
lution controls and have either been certified by the Adminis-
trator in accordance with section 208, have worked jointly with
the State on water quality management planning under section
205(j), or have been designated by the State legislative body or
Governor as water quality management planning agencies for
their geographic areas.
(2) TIME PERIOD FOR SUBMISSION OF REPORTS AND MANAGE-
MENT PROCRAMS.—Each report and management program shall
be submitted to the Administrator during the 18-month period
beginning on the date of the enactment of this section.
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163 FEDERAL WATER POU.UTION CONTROL ACT
Sec. 319 Sec. 319
FEDERAL WATER POLLUTION CONTROL ACT 164
(d) APPROVAL OR DISAPPROVAL OF REPORTS AND MANAGEMENT
PROGRAMS.—
(1) DEADLINE.—Subject to paragraph (2), not later than
180 days after the date of submission to the Administrator of
any report or management program under this section (other
than subsections (h), (i), and (k)), the Administrator shall ei-
ther approve or disapprove such report or management pro-
gram, as the case may be. The Administrator may approve a
portion of a management program under this subsection. If the
Administrator does not disapprove a report, management pro-
gram, or portion of a management program in such 180-day pe-
riod, such report, management programs or portion shall be
deemed approved for purposes of this section.
(2) PROCEDURE FOR DISAPPROVAL.—If, after notice and op-
portun4y for public comment and consultation with appro-
priate Federal and State agencies and other interested per-
sons, the Administrator determines that—
(A) the proposed management program or an r portion
thereof does not meet the requirements of subsection (bX2)
of this section or is not likely to satisfy, in whole or in
part, the goals and requirements of this Act;
(B) adequate authority does not exist, or adequate re-
sources are not available, to implement such program or
portion;
(C) the schedule for implementing such program or
portion is not sufficiently expeditious; or
(D) the practices and measures proposed in such pro-
gram or portion are not adequate to reduce the level of pol-
lution in navigable waters in the State resulting from
nonpoint sources and to improve the quality of navigable
waters in the State;
the Administrator shall within 6 months of the receipt of the
proposed program notify the State of any revisions or modifica-
tions necessary to obtain approval. The State shall thereupon
have an additional 3 months to submit its revised management
program and the Administrator shall approve or disapprove
such revised program within three months of receipt.
(3) F*n.uRE OF SFATE TO SUBMIT REPORT.—lf a Governor of
a State does not submit the report required by subsection (a)
within the period specified by subsection (cX2), the Adminis-
trator shall, within 30 months after the date of the enactment
of this section, prepare a report for such State which makes
the identifications required by paragraphs (1XA) and (1XB) of
subsection (a). Upon completion of the requirement of the pre-
ceding sentence and after notice and opportunity for comment,
the Administrator shall report to Congress on his actions pur-
suant to this section.
(e) LOCAL MANAGEMENT PROGRAMS; TECHNICAL ASSISTANCE.—
If a State fails to submit a management program under subsection
(b) or the Administrator does not approve such a management pro-
gram, a local public agency or organization which has expertise in,
and authority to, control water pollution resulting from nonpoint
sources in any area of such State which the Administrator deter-
mines is of sufficient geographic size may, with approval of such
State, request the Administrato’- to provide, and the Administrator
shall provide, technical assistance to such agency or organization
in developing for such area a management program which is de-
scribed in subsection (b) and can be approved pursuant to sub-
section (d). After development of such management program, such
agency or organization shall submit such management program to
the Administrator for approval. If the Administrator approves such
management program, such agency or organization shall be eligible
to receive financial assistance under subsection (h) for implementa-
tion of such management program as if such agency or organization
were a State for which a report submitted under subsection (a) and
a management program submitted under subsection (b) were a -
proved under this section. Such financial assistance shall be su -
ject to the same terms and conditions as assistance provided to a
State under subsection (h).
(fl TECHNICAL ASSISTANCE FOR STATE.—Upon request of a
State, the Administrator may provide technical assistance to such
State in developing a management program approved under sub-
section (b) for those portions of the navigable waters requested by
such State.
(g) INTERSTATE MANAGEMENT CONFERENCE.—
(1) CoNvENING OF CONFERENCE; NOTIFICATION; PURPOSE.—
If any portion of the navigable waters in any State which is
implementing a management program approved under this
section is not meeting applicable water quality standards or
the goals and requirements of this Act as a result, in whole or
in part, of pollution from nonpoint sources in another State,
such State may petition the Administrator to convene, and the
Administrator 8hall convene, a management conference of all
States which contribute significant pollution resulting from
nonpoint sources to such portion. If, on the basis of information
available, the Administrator determines that a State is not
meeting applicable water quality standards or the goals and
requirements of this Act as a result, in whole or in part, of sig-
nificant pollution from nonpoint sources in another State, the
Administrator shall notify such States. The Administrator may
convene a management conference under this paragraph not
later than 180 days after giving such notification, whether or
not the State which is not meeting such standards requests
such conference. The purpose of such conference shall be to de-
velop an agreement among such States to reduce the level of
pollution in such portion resulting from nonpoint sources and
to improve the water quality of such portion. Nothing in such
agreement shall supersede or abrogate rights to quantities of
water which have been established by interstate water com-
pacts, Supreme Court decrees, or State water laws. This sub-
section shall not apply to any pollution which is subject to the
Colorado River Basin Salinity Control Act. The requirement
that the Administrator convene a management conft.rence
shall not be subject to the provisions of section 505 of this Act.
(2) STATE MANAGEMENT PROGRAM REQUIREMENT—TO the
extent that the States reach agreement through such con-
ference, the management programs of the States whkh are
parties to such agreements and which contribute significant
-------
FEDERAL WATER POLLUTION CONTROL ACT
Sec. 319 Sec. 319
FEDERAL WATER POLLUTION CONTROL ACT 16$
pollution to the navigable watere or portions thereof not meet-
ing applicable water quality standards or goals and require-
ments of this Act will be revised to reflect such agreement.
Such management programs shall be consistent with Federal
and State law.
(h) Ga rrr PROGRAM.—
(1) Gwns FOR IMPLEMENTATION OF MANAGEMENT PRO-
GRAMS—Upon application of a State for which a report submit-
ted under subsection (a) and a management program submit-
ted under subsection (b) is approved under this section, the Ad-
ministrator shall make grants, subject to such terms and con-
ditions as the Administrator considers appropriate, under this
subsection to such State for the purpose of assisting the State
in implementing such management program. Funds reserved
pursuant to section 205(jX5) of this Act may be used to develop
and implement such management program.
(2) APPUCATIONS.—Afl application for a grant under this
subsection in any fiscal year shall be in such form and shall
contain such other information as the Administrator may re-
quire, including an identification and description of the best
manaçement practices and measures which the State proposes
to assist, encourage, or require In such year with the Federal
assistance to be provided under the grant.
(3) FEDERAL SHABE.—The Federal share of the cost of each
management program implemented with Federal assistance
under this subsection in any fiscal year shall not exceed 60
percent of the cost incurred by the State in implementing such
management program and shall be made on condition that the
non-Federal share Is provided from non-Federal sources.
(4) LIMITATION oN 0 l.r ouprrs._Notwithstanding any
other provision of this subsection, not more than 15 percent of
the amount appropriated to carry out this subsection may be
used to make pants to any one State, including any grants to
any local public agency or organization with authority to con-
trol pollution from nonpoint sources in any area of such State.
(5) PRIORITY FOR EFFECTIVE MECHANISMS.—FOr each fiscal
year beginning after September 30, 1987, the Administrator
may give priority in mi’king grants under this subsection, and
shall give consideration in determining the Federal share of
any such pant, to States which have implemented or are pro-
posing to implement management programs which will—
(A) control particularly difficult or serious nonpoint
source pollution problems, Including, but not limited to,
problems resulting from mining activities;
(B) implement innovative methods or practices for con-
trolling nonpoint sources of pollution, including regulatory
programs where the Administrator deems appropriate;
(C) control interstate nonpoint source pollution prob-
lems; or
(D) carry out Found water quality protection activities
which the Administrator determines are part of a com-
prehensive nonpoint source pollution control program, in-
cluding research, planning, ground water assessments,
demonstration programs, .nlbrcement, technical assist-
ance, education, and training to protect ground wator qual-
ity from nonpoint sources of pollution.
(6) AvAILABILITY FOR OBLIGATION.—The funds granted to
each State pursuant to this subsection in a fiscal year shall re-
main available for obligation by Buch State for the fiscal year
for which appropriated. The amount of any such funds not obli-
gated by the end of such fiscal year shall be available to the
Administrator for granting to other States under this sub-
section in the next fiscal year.
(7) LIMITATION ON USE OF FUNDS.—States may use funds
from grants made pursuant to this section for financial assist-
ance to persons only to the extent that such assistance is relat-
ed to the costs of demonstration projects.
(B) SATISFACTORY PROGRESS.—NO grant may be made
under this subsection in any fiscal year to a State which in the
preceding fiscal year received a grant under this subsection un-
less the Administrator determines that such State made satis-
factory progress in such preceding fiscal year in meeting the
schedule specified by such State under subsection (b)(2).
(9) MMNTENANCE OF EFFORT—NO grant may be made to
a State under this subsection in any fiscal year unless such
State enters into such agreements with the Administrator as
the Administrator may require to ensure that such State will
maintain its aggregate expenditures from all other sources for
programs for controlling pollution added to the navigable wa-
ters in such State from nonpoint sources and improving the
quality of such waters at or above the average level of such ex-
penditures in its two fiscal years preceding the date of enact-
ment of this subsection.
(10) REQuEST FOR INFORMATION—The Administrator may
request such information, data, and reports as he considers
necessary to make the determination of continuing eligibility
for grants under this section.
(11) REPORTING AND OTHER REQUIREMENra.—EaCh State
shall report to the Administrator on an annual basis concern-
ing (A) its progress in meeting the schedule of milestones sub-
mitted pursuant to subsection (bX2XC) of this section, and (B)
to the extent that appropriate information is available, reduc-
tions in nonpoint source pollutant loading and improvements
in water quality for those navigable waters or watersheds
within the State which were identified pursuant to subsection
(aX1XA) of this section resulting from implementation of the
management program.
(12) LIMITATION ON ADMINISTRATIVE COSTS.—FOr purposes
of this subsection, administrative costs in the form of salaries.
overhead, or indirect costs for services provided and charged
against activities and programs carried out with a grant under
this subsection shall not exceed in any fiscal year 10 percent
of the amount of the grant in such year, except that costs of
implementing enforcement and regulatory activities, education,
training, technical assistance, demonstration projects, and
technology transfer programs shall not be subject to this limi-
tation.
(i) GRANTS FOR PROTECTING GROUNDWATER QUALITY.—
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167 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 319 Sec. 319
FEDERAL WATER POLLUTION CONTROL ACT 168
(1) ELIGIBlE APPLICANTS D ACTIVITIES.—UpOn applica-
tion of a State for which a report submitted under subsection
(a) and a plan submitted under subsection (b) is approved
under this section, the Administrator shall make grants under
this subsection to such State for the purpose of assisting such
State in carrying out groundwater quality protection activities
which the Administrator determines will advance the State to-
ward implementation of a comprehensive nonpoint source pol-
lution control program. Such activities shall include, but not be
limited to, research, planning, groundwater assessment, dem-
onstration programs, enforcement, technical assistance, edu-
cation and training to protect the quality of groundwater and
to prevent contamination of groundwater from nonpoint
sources of pollution.
(2) APPLICATIONS—An application for a grant under this
subsection shall be in such form and shall contain such infor-
mation as the Administrator may require.
(3) FEDERAL SHARE; MAXIMUM AMOUNT—The Federal
share of the cost of assisting a State in carrying out ground-
water protection activities in any fiscal year under this sub-
section shall be 50 percent of the coats incurred by the State
in carrying out such activities, except that the maximum
amount of Federal assistance which any State may receive
under this subsection in any fiscal year shall not exceed
$150,000.
(4) REPORT.—The Administrator shall include in each re-
port transmitted under subsection (m) a report on the activites
and programs implemented under this subsection during the
preceding fiscal year.
(j) AUTHORIZATION OF AppROPIuAIIoNS.—There is authorized to
be appropriated to carry out subsections (h) and (i) not to exceed
$70,000,000 for fiscal year 1988, $100,000,000 per fiscal year for
each of fiscaL years 1989 and 1990, and $130,000,000 for fiscal year
1991; except that for each of such fiscal years not to exceed
$7,500,000 may be made available to carry out subsection (i). Sums
appropriated pursuant to this subsection shall remain available
until expended.
(k) CoNSISTENcY ø OTHER PROGRAMS AND PROJECTS WITH
MANAGEMENT PROGRAMS.—The Administrator shall transmit to the
Office of Management and Budget and the appropriate Federal de-
partments and agencies a list of those assistance programs and de-
velopment projects identified by each State under subsection
(bX2XF) for which individual assistance applications and projects
will be reviewed pursuant to the procedures set forth in Executive
Order 12372 as in effect on September 17, 1983. Beginning not
later than sixty days alter receiving notification by the Adminis-
trator, each Federal department and agency shall modify existing
regulations to allow States to review individual development
projects and assistance applications under the identified Federal
assistance programs and shaU accommodate, according to the re-
quirements and definitions of Executive Order 12372, as in effect
on September 17, 1983, the concerns of the State regarding the
consistency of such applications or projects with the State nonpoint
---i pollution ‘nr’nngement program.
(1) COLLECTION OF INFORMATION—The Administrator shall col-
lect and make available, through publications and other appro-
priate means, information pertaining to management practices and
implementation methods, including, but not limited to, (1) informa-
tion concerning the coats and relative efficiencies of best manage-
ment practices for reducing nonpoint source pollution; and (2)
available data concerning the relationship between water quality
and implementation of various management practices to control
nonpoint sources of pollution.
(m) REPORTS OF ADMINISTRATOR.—
(1) ANNUAL REPORTS—Not later than January 1, 1988,
and each January 1 thereafter, the Administrator shall trans-
mit to the Committee on Public Works and Transportation of
the House of Representatives and the Committee on Environ-
ment and Public Works of the Senate, a report for the preced-
ing fiscal year on the activities and programs implemented
under this section and the progress made in reducing pollution
in the navigable waters resulting from nonpoint sources and
improving the quality of such waters.
(2) FINAL REPORT—Not later than January 1, 1990, the
Administrator shall transmit to Congress a final report on the
activities carried out under this section. Such report, at a mini-
mum, shall—
(A) describe the management programs being imple-
mented by the States by types and amount of affected nav-
igable waters, categories and subcategories of nonpoint
sources, and types of best management practices being im-
plemented;
(B) describe the experiences of the States in adhering
to schedule and implementing best management practices;
(C) describe the amount and purpose of grants award-
ed pursuant to subsections (h) and (i) of this section;
(D) identify, to the extent that information is avail-
able, the progress made in reducing pollutant loads and
improving water quality in the navigable waters;
(E) indicate what further actions need to be taken to
attain and maintain in those navigable waters (i) applica-
ble water quality standards, and (ii) the goals and require-
ments of this Act;
(F) include recommendations of the Administrator con-
cerning future programs (including enforcement programs)
for controlling pollution from nonpoint sources; and
(0) identify the activities and programs of depart-
ments, agencies, and instrumentalities of the United
States which are inconsistent with the management pro-
grams submitted by the States and recommend modifica-
tions so that such activities and programs are consistent
with and assist the States in implementation of such man-
agement programs.
(n) SRT ASIDE FOR ADMINISTRATIVE PERSONNEL.—NOL less than
5 percent of the funds appropriated pursuant to subsection (j) for
any fiscal year shall be available to the Administrator to maintain
-------
- FEDERAL WATER POUUTION COPITROL ACT Sec. 320
personnel levels at the Environmental Protection Agency at levels
which are adequate to carry out this section in such year.
(33 U.S.C. 1329)
SEC. 320. NATIONAL IIJARY PROGRAM.
(a) MANAGEMENT CON?ERENCE.—
(1) NOMINATION OF ESTUARIES—The Governor of any State
may nominate to the Administrator an estuary lying in whole
or in part within the State as an estuary of national signifi-
cance and request a management conference to develop a com-
prehensive management plan for the estuary. The nomination
shall document the need for the conference, the likelihood of
success, and information relating to the factors in paragraph
(2).
(2) CONVENING OF CONFERENCE.—
(A) IN GENERAL—In any case where the Administrator
determines, on his own initiative or upon nomination of a
State under paragraph (1), that the attainment or mainte-
nance of that water quality in an estuary which assures
protection of public water supplies and the protection and
propagation of a balanced, indigenous population of shell-
fish, fish, and wildlife and allows recreational activities, in
and on the water, requires the control of point and
nonpoint sources of pollution to supplement existing con-
trols of pollution in more than one State, the Adminis-
trator shall select such estuary and convene a manage-
ment conference.
(B) PRIORITY CONSIDERATION. —The Administrator
shall give priority consideration under this section to Long
Island Sound, New York and Connecticut; Narragansett
Bay, Rhode Island; Buzzards Bay, Massachusetts; Massa-
chusetts Bay, Massachusetts (including Cape Cod Bay and
Boston Harbor);’ Puget Sound, Washington; New York-
New Jersey Harbor, New York and New Jersey; Delaware
Bay, Delaware and New Jersey; Delaware Inland Bays,
Delaware, Albermarle Sound, North Carolina; Sarasota
Bay, Florida; San Francisco Bay, California; Santa Monica
Bay, California; Galveston Bay, Texas; 2 Barataria-
Terrebonne Bay estuary complex, Louisiana; Indian River
Lagoon, Florida; and Peconic Bay, New York.
(3) BoUNDARY DISPUTE EXCEFflON.—In any case in which
a boundary between two States passes through an estuary and
such boundary Is disputed and is the subject of an action in
any court, the MmimstratOr shall not convene a management
conference with respect to such estuary before a final adjudica-
tion has been made of such dispute.
(b) PURPOSES OF CONFERENCE.—The purposes of any manage-
ment conference convened with respect to an estuary under this
subsection shall be to—
‘Dub p. 1 . 100-4 53 and P1. 100-658 Inssi ad the sims MusachuSeUS ay ph ’ . .. sItar Bus-
taid . Bar that lbs shims seess” twIce.
‘P.L 160-688. asdIssi 2001(3) Inasetad lb. Liuklana. Thzlds, New Yo,k bays altar ‘0.3-
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(1) assess trends in water quality, natural resources, and
uses of the estuary;
(2) collect, characterize, and assess data on toxics, nutri-
ents, and natural resources within the estuarifle zone to iden-
tify the causes of environmental problems;
(3) develop the relationship between the inplace loads and
point and nonpoint loadings of pollutants to the estuarifle zone
and the potential uses of the zone, water quality, and natural
resources;
(4) develop a comprehensive conservation and management
plan that recommends priority corrective actions and compli-
ance schedules addressing point and nonpoint sources of pollu-
tion to restore and maintain the chemical, physical, and bio-
logical integrity of the estuary, including restoration and main-
tenance of water quality, a balanced indigenous population of
shellfish, fish and wildlife, and recreational activities in the es-
tuary, and assure that the designated uses of the estuary are
protected;
(5) develop plans for the coordinated implementation of the
plan by the States as well as Federal and local agencies par-
ticipating in the conference
(6) monitor the effectiveness of actions taken pursuant to
the plan; and
(7) review all Federal financial assistance programs and
Federal development projects in accordance with the require-
ments of Executive Order 12372, as in effect on September 17.
1983, to determine whether such assistance program or project
would be consistent with and further the purposes and objec-
tives of the plan prepared under this section.
For purposes of paragraph (7), such programs and projects shall
not be limited to the assistance programs and development projects
subject to Executive Order 12372, but may include any programs
listed in the most recent Catalog of Federal Domestic Assistance
which may have an effect on the purposes and objectives of the
plan developed under this section.
(c) MEMBERS OF CONFERENCE_The members of a manage-
ment conference convened under this section shall include, at a
minimum, the Administrator and representatives of—
(1) each State and foreign nation located in whole or in
part in the estuarine zone of the estuary for which the con-
ference is convened;
(2) international, interstate, or regional agencies or enti-
ties having jurisdiction over all or a significant part of the es-
tuary;
(3) each interested Federal agency, as determined apprO-
priate by the Administrator;
(4) local governments having jurisdiction over any land or
water within the estuarifle zone, as determined appropriate by
the Administrator; and
(5) affected industries, public and private educational insti-
tutions, and the general public, as determined appropriate by
the Administrator.
(d) UTILIZATION OF EXISTING DATA.—Ifl developing a conserva-
tion and management plan under this section, the management
169
Sec. 320 FEDERAL WATER P0LLVT 0h( CONTROL ACT 170
-------
171
FEDERAL WATER POLLUTION CONTROL ACT
Sec. 320
conference shall survey and utilize existing reports, data, and stud-
ies relating to the estuary that have been developed by or made
available to Federal, interstate, State, and local agencies.
(e) PERIOD OF CONFERENCE—A management conference con-
vened under this section shall be convened for a period not to ex-
ceed 5 years. Such conference may be extended by the Adminis-
trator, and if terminated after the initial period, may be recon-
vened by the Administrator at any time thereafter, as may be nec-
essary to meet the requirements of this section.
(I) APPROVAL AND IMPLEMENTATION OF PLANS.—
(1) APpROVAL—NOt later than 120 days after the comple-
tion of a conservation and management plan and after provid-
ing for public review and comment, the Administrator shall ap-
prove such plan if the plan meets the requirements of this sec-
tion and the affected Governor or Governors concur.
(2) IMPLEMENTAT1ON.UPOfl approval of a conservation
and management plan under this section, such plan shall be
implemented. Funds authorized to be appropriated under titles
II and VI and section 319 of this Act may be used in accord-
ance with the applicable requirements of this Act to assist
States with the implementation of such plan.
(g) GRA) .—
(1) gEcIpIEms.—The Administrator is authorized to make
grants to State, interstate, and regional water pollution control
agencies and entities, State coastal zone management agencies.
interstate agencies, other public or nonprofit private agencies,
institutions, organizations, and individuals.
(2) PLJRPOSES.—Grants under this subsection shall be
made to pay for assisting research, surveys, studies, and mod-
eling and other technical work necessary for the development
of a conservation and management plan under this section.
(3) FEDERAL SHAI 1E.—The amount of grants to any person
(including a State, interstate, or regional agency or entity)
under this subsection for a fiscal year shall not exceed 75 per-
cent of the costs of such research, survey, studies, and work
and shall be made on condition that the non-Federal share of
such coats are provided from non-Federal sources.
(h) GRANT REPORTiNG—AnY person (including a State. inter-
state, or regional agency or entity) that receives a grant under But)-
section (g) shall report to the Administrator not later than 18
months after receipt of such grants and biennially there after on
the progress being made under this section.
(1) AUTHORIZATION OF APPROpRIAT I0NS. —There are authorized
to be appropriated to the Administrator not to exceed $12,000,000
per fiscal year for each of fiscal years 1987, 1988, 1989, 1990, and
1991 for—
(1) expenses related to the administration of management
conferences under this section, not to exceed 10 percent of the
amount appropriated under this subsection;
(2) making Fanta under subsection (g); and
(3) monitoring the implementation of a conservation and
management plan by the management conference or by the Ad-
ministrator, in any case in which the conference has been ter-
minated.
Sec. 320 FEDERAL WATER POLLUTION CONTROL ACT 112
The Administrator shall provide up to $5,000,000 per fiscal year of
the sums authorized to be appropriated under this subsection to
the Administrator of the National Oceanic and Atmospheric Ad-
ministration to carry out subsection Ci).
(j) RESEARCH.—
(1) PROGRAMS—In order to determine the need to convene
a management conference under thiB section or at the request
of such a management conference, the Administrator shall co-
ordinate and implement. through the National Marine Pollu-
tion Program Office and the National Marine Fisheries Service
- of the National Oceanic and Atmospheric Administration, as
appropriate, for one or more estuarine zones—
(A) a long-term program of trend assessment monitor-
ing measuring variations in pollutant concentrations, ma-
rine ecology, and other physical or biological environ-
mental paramenters which may affect estuanfle zones, to
provide the Administrator the capacity to determine the
potential and actual effects of alternative management
strategies and measures;
(B) a program of ecosystem assessment assisting in
the development of (i) baseline studies which determine
the state of estuarifle zones and the effects of natural and
anthropogeflic changes, and (ii) predictive models capable
of translating information on specific discharges or general
pollutant loadings within estuarine zones into a set of
probable effects on such zones;
(C) a comprehensive water quality sampling program
for the continuous monitoring of nutrients, chlorine, acid
precipitation dissolved oxygen, and potentiallY toxic poflut-
ants (including organic chemicals and metals) in estuarine
zones, after consultation with interested State, local, inter-
state, or international agencies and review and analysis of
all environmental sampling data presently collected from
estuarine zones; and
(D) a program of research to identify the movements
of nutrients, sediments and pollutants through estuarine
zones and the impact of nutrients, sediments, and pollut-
ants on water quality, the ecosystem. and designated or
potential uses of the estuarine zones.
(2) REPoRTS—The Administrator, in cooperation with the
Administrator of the National Oceanic and Atmospheric Ad-
ministration, shall submit to the Congress no less often than
biennially a comprehensive report on the activities authorized
under this subsection including—
(A) a listing of priority monitoring and research needs;
(B) an assessment of the state and health of the Na-
tion’s estuarine zones, to the extent evaluated under this
Bubsectiofl
(C) a discussion of pollution problems and trends in
pollutant concentrations with a direct or indirect effect on
water quality, the ecosystem. and designated or potential
uses of each estuarine zone, to the extent evaluated under
this subsection; and
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Sec. 401
FEDERAL WATER POLLUTION CONTROL ACT 114
FEDERAL WAlER POLLUTION COIIIROL aci Sec. 401
(D) an evaluation of pollution abatement activities and
management measures so far implemented to determine
the degree of improvement toward the objectives expressed
in subsection (bX4) of this section.
(k) DEFuIrVIONS.—F0r purposes of this section, the terms “estu-
ary” and “estuarine zone” have the meanings such terms have in
section 104(nX4) of this Act, except that the term “eatuarine zone”
shall also indude associated aquatic ecosystems and those portions
of tributaries draining into the estuary up to the historic height of
migration of anadromous fish or the historic head of tidal influence,
whichever is higher.
(33 U.S.C. 1330)
TITLE IV—PERMITS AND LICENSES
CEKTIF ICATION
SEC. 401. (aX 1) Any applicant for a Federal license or permit
to conduct any activity including, but not limited to, the construc-
tion or operation of facilities, which may result in any discharge
into the navigable waters, shall provide the licensing or permitting
agency a certification from the State in which the discharge origi-
nates or will originate, or,if appropriate 1 from the interstate water
pollution control agency having jurisdiction over the navigable wa-
ters at the point where the discharge originates or will originate,
that any such discharge will comply with the applicable provisions
of sections 301, 302, 303, 306, and 307 of this Act. In the case of
any such activity for which there is not an applicable effluent limi-
tation or other limitation under sections 30 1(b) and 302, and there
is not an applicable standard under sectIons 306 and 307, the State
shall so certify, except that any such certification shall not be
deemed to satisfy section 6 11(c) of this Act. Such State or inter-
state agency shall establish procedures for public notice in the case
of all applications for certification by it and, to the extent it deems
appropriates procedures for public hearings in connection with spe-
cific applications. In any case where a State or interstate agency
has no authority to 0 ve such a certification, such certification shall
be from the Administrator. If the State. Interstate agency, or Ad-
ministrator, as the case may be, fails or refuses to act on a request
for certification, within a reasonable period of time (which shall not
exceed one year) after receipt of such request, the certification re-
quirements of this subsection shall be waived with respect to such
Federal application. No license or permit shall be granted until the
certification required by this section has been obtained or has been
waived as provided in the preceding sentence. No license or permit
shall be granted if certification has been denied by the State, inter-
state agency, or the Administrator, as the case ma, be.
(2) Upon receipt of such application and certification the licens-
ing or permitting agency shaU immediately notify the Adminis-
trator of such application and certification. Whenever such a dis-
charge may affect, as determined by the Administrator, the quality
of the waters of any other State, the Administrator within thirty
days of the date of notice of application for such Federal license or
permit shall so notify such other State, the licensing or permitting
agency, and the apphcant. If within sixty days after receipt of such
notification, such other State determines that such discharge will
affect the quality of its waters so as to violate any water quality
requirement in such State, and within such sixty-day period noti-
fies the Administrator and the licensing or permitting agency in
writing of its objection to the issuance of such license or permit and
requests a public hearing on such objection, the licensing or permit-
ting agency shall hold such a hearing. The Administrator shall at
such hearing submit his evaluation and recommendations with re-
spect to any such objection to the licensing or permitting agency.
Such agency, based upon the recommendations of such State, the
Administrator, and upon any additional evidence, if any, presented
to the agency at the hearing, shall condition such license or permit
in such manner as may be necessary to insure compliance with ap-
plicable water quality requirements- If the imposition of conditions
cannot insure such compliance such agency shall not issue such li-
cense or permit.
(3) The certification obtained pursuant to paragraph (1) of this
subsection with respect to the construction of any facility shall ful-
fill the requirements of this subsection with respect to certification
in connection with any other Federal license or permit required for
the operation of such facility unless, after notice to the certifying
State, agency, or Administrator, as the case may be, which shall be
given by the Federal agency to whom application is made for such
operating license or permit, the State, or if appropriate, the inter-
state agency or the Administrator, notifies such agency within sixty
days after receipt of such notice that there is no longer reasonable
assurance that there will be compliance with the applicable provi.
sions of sections 301, 302, 303, 306, and 307 of this Act because of
changes since the construction license or permit certification was
issued in (A) the construction or operation of the facility, (B) the
characteristics of the waters into which such discharge is made, (C)
the water quality criteria applicable to such waters or (D) applica-
ble emuent limitations or other requirements. This paragraph shall
be inapplicable in any case where the applicant for such operating
license or permit has failed to provide the certifying State, or, if ap-
propriate, the interstate agency or the Administrator, with notice
of any proposed changes in the construction or operation of the fa-
cility with respect to which a construction license or permit has
been granted, which changes may result in violation of section 301,
302, 303, 306, or 307 of this Act.
(4) Prior to the initial operation of any federally licensed or
permitted facility or activity which may result in any discharge
into the navigable waters and with respect to which a certification
has been obtained pursuant to paragraph (1) of this subsection,
which facility or activity is not subject to a Federal operating li-
cense or permit, the licensee or permittee shall provide an oppor-
tunity for such certifying State, or, if appropriate, the interstate
agency or the Administrator to review the manner in which the fa-
cility or activity shall be operated or conducted for the purposes of
assuring that applicable effluent limitations or other limitations or
other applicable water quality requirements will not be violated.
Upon notification by the certifying State, or if appropriate, the
interstate agency or the Administrator that the operation of any
such federally licensed or permitted facility or activity will violate
173
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175 FEDERAL WATER POWJTION CONTROL ACT
Sec. 401 Sec. 402
FEDERAL WATER POU UTION CONTROL ACT 17$
applicable effluent limitations or other limitations or other water
quality requirements such Federal agency may, after public hear-
ing, suspend such license or permit. If Buch license or permit is
suspended, it shall remain suspended until notification is received
from the certifying State, agency, or Administrator, as the case
may be, that there is reasonable assurance that such facility or ac-
tivity will not violate the applicable provisions of section 301, 302,
303, 306, or 307 of this Act.
(5) Any Federal license or permit with respect to which a cer-
tification has been obtained under paragraph (1) of this subsection
may be suspended or revoked by the Federal agency issuing such
license or permit upon the entering of a judgment under this Act
that such facility or activity has been operated in violation of the
applicable previsions of section 301, 302, 303. 306, or 307 of this
Act.
(6) Except with respect to a permit issued under section 402
of this Act, in any case where actual construction of a facility has
been lawfully commenced prior to April 3, 1970, no certification
shall be required under this subsection for a license or permit is-
sued after April 3, 1970, to operate such facility, except that any
such license or permit issued without certification shall terminate
April 3, 1973, unless prior to such termination date the person hav-
ing such license or permit submits to the Federal agency which is-
sued such license or permit a certification and otherwise meets the
requirements of this section.
(b) Nothing In this section shall be construed to limit the au-
thority of any department or agency pursuant to any other provi-
sion of law to require compliance with any applicable water quality
requirements. The Administrator shall, upon the request of any
Federal department or agency, or State or interstate agency, or ap-
plicant, provide, for the purpose of this section, any relevant infor-
mation on applicable effluent limitations, or other limitations,
standards, regulations, or requirements, or water quality criteria,
and shall, when requested by any such department or agency or
State or interstate agency, or applicant, comment on any methods
to comply with such limitations, standards, regulations, require-
ments, or criteria.
(c) In order to Implement the provisions of this section, the
Secretary of the Army, acting throught the Chief of Engineers, is
authorized, if he deems it to be in the public interest, to permit the
use of spoil disposal areas under his jurisdiction by Federal li-
censes or permittaes, and to make an appropriate charge for such
use. Moneys received from such licensees or permittees shall be de-
posited in the Treasury as miscellaneous receipts.
(d) Any certification provided under this section shall set forth
any effluent limitations and other limitations, and monitoring re-
quirements necessary to assure that any applicant for a Federal li-
cense or permit will comply with any applicable emuent limitations
and other limitations, under section 301 or 302 of this Act, stand-
ard of performance under section 306 of this Act, or prohibition, ef-
nt standard, or pretreatment standard under section 307 of this.
and with any other appropriate requirement of State law se
forth in such certification, and shall become a condition on any
Federal license or permit subject to the provisions of this section.
(33 U.S.C. 1341)
NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM
SEc. 402. (aX 1) Except as provided in sections 318 and 404 of
this Act, the Administrator may, after opportunity for public hear-
ing, issue a permit for the discharge of any pollutant, or combina-
tion of pollutants, notwithstanding section 30 1(a), upon condition
that such discharge will meet either (A) all applicable requirements
under sections 301, 302, 306, 307, 308, and 403 of this Act, or (B)
prior to the taking of necessary implementing actions relating to all
such requirements, such conditions as the Administrator deter-
mines are necessary to carry out the provisions of this Act.
(2) The Administrator shall prescribe conditions for such per-
mits to assure compliance with the requirements of paragraph (1)
of this subsection, including conditions on data and information col-
lection, reporting, and such other requirements as he deems appro-
priate.
(3) The permit program of the Administrator under paragraph
(1) of this subsection, and permits issued thereunder, shall be sub-
ject to the same terms, conditions, and requirements as apply to a
State permit program and permits issued thereunder under sub-
section (b) of this section.
(4) All permits for discharges into the navigable waters issued
pursuant to section 13 of the Act of March 3, 1899, shall be deemed
to be permits issued under this title, and permits issued under this
title shall be deemed to be permits issued under section 13 of the
Act of March 3, 1899, and shall continue in force and effect for
their term unless revoked, modified, or suspended in accordance
with the provisions of this Act.
(5) No permit for a discharge into the navigable waters shall
be issued under section 13 of the Act of March 3, 1899, after the
date of enactment of this title. Each application for a permit under
section 13 of the Act of March 3, 1899, pending on the date of en-
actment of this Act shall be deemed to be an application for a per-
mit under this section. The Administrator shall authorize a State,
which he determines has the capability of administering a permit
program which will carry out the objective of this Act, to issue per-
mits for discharges into the navigable waters within the jurisdic-
tion of such State. The Administrator may exercise the authority
granted him by the preceding sentence only during the period
which begins on the date of enactment of this Act and ends either
on the ninetieth day after the date of the first promulgation of
guidelines required by section 304(hX2) of this Act, or the date of
approval by the Administrator of a permit program for such State
under subsection (b) of this section, whichever date first occurs,
and no such authorization to a State shall extend beyond the last
day of such period. Each such permit shall be subject to such condi-
tions as the Administrator determines are necessary to carry out
the provisions of this Act. No such permit shall issue if the Admin-
istrator objects to such issuance.
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Sec. 402 Sec. 402
FEDERAL WATER POLLUTION CONTROL ACT 118
111
FEDERAL WATER POUUTION CONTROL ACT
(b) At any time after the promulgation of the guidelines re-
quired by subsection (hX2) of section 304 of this Act, the Governor
of each State desiring to administer its own permit program for
discharges into navigable waters within its jurisdiction may submit
to the Administrator a full and complete discription of the program
it proposes to establish and administer under State law or under
an interstate compact. In addition, such State shall submit a state-
ment from the attorney general (or the attorney for those State
water pollution control agencies which have independent legal
counsel), or from the chief legal officer in the case of an interstate
agency, that the Laws of such State, or the interstate compact, as
the case may be, p rovide adequate authority to carry out the de-
scribed program. The Administrator shall approve each such sub-
mitted program unless he determines that adequate authority does
not exist:
(1) To issue permits which—
(A) apply, and insure compliance with, any applicable re-
quirements of sections 301, 302, 306, 307, and 403;
(B) are for fixed terms not exceeding five years; and
(C) can be terminated or modified for cause including, but
not limited to, the following:
(i) violation of any condition of the permit;
(ii) obtaining a permit by misrepresentation, or failure
to disclose fully all relevant facts;
(iii) change in any condition that requires either a
temporary or permanent reduction or elimination of the
permitted discharge;
(D) control the disposal of pollutants into wells;
(2XA) To issue permits which apply, and insure compliance
with, all applicable requirements of section 308 of this Act, or
(B) To inspect, monitor, enter, and require reports to at least
the same extent as required in section 308 of this Act;
(3) To insure that the public, and any other State the waters
of which may be affected, receive notice of each application for a
permit and to provide an opportunity for public hearing before a
ruling on each such application;
(4) To Insure that the Administrator receives notice of each ap-
plication (including a copy thereof) for a permit;
(5) To insure that any State (other than the permitting State),
whose waters may be affected by the issuance of a permit may sub-
mit written recommendations to the permitting State (and the Ad-
ministrator) with respect to any permit application and, if any part
of such written recommendations are not accepted by the permit.
ting State, that the permitting State will notify such affected State
(and the Administrator) in writing of its failure to so accept such
recommendations together with its reasons for so doing
(6) To insure that no permit will be issued if in tf ejudgment
of the Secretary of the Army acting through the C iiief of Engineers,
after consultation with the Secretary of the department in which
the Coast Guard is operating, anchoraçe and navigation of any of
the navigable waters would be substantially impaired thereby;
(7) To abate violations of the permit or the permit program, in-
cluding civil and criminal penalties and other way. and means of
enforcement;
(8) To insure that any permit for a discharge from a publicly
owned treatment works includes conditions to require the identi-
fication in terms of character and volwne of pollutants of any sig-
nificant source introducing pollutants subject to pretreatment
standards under section 307(b) of this Act into such works and a
program to assure compliance with such pretreatment standards by
each such source, in addition to adequate notice to the permitting
agency of (A) new introductions into such works of pollutants from
any source which would be a new source as defined in section 306
if such source were discharging pollutants, (B) new introductions of
pollutants into such works from a source which would be subject
to section 301 if it were discharging such pollutants, or (C) a sub-
stantial change in volume or character of pollutants being intro-
duced into such works by a source introducing pollutants into such
works at the time of issuance of the permit. Such notice shall in-
clude information on the quality and quantity of effluent to be in-
troduced into such treatment works and any anticipated impact of
such change in the quantity or quality of effluent to be discharged
from such publicly owned treatment works; and
(9) To insure that any induBtrial user of any publicly owned
treatment works will comply with sections 204(b), 307, and 308.
(cXl) Not later than ninety days after the date on which a
State has submitted a program (or revision thereof) pursuant to
subsection (b) of this section, the Administrator shall suspend the
issuance of permits under subsection (a) of this section as to those
discharges subject to such program unless he determines that the
State permit program does not meet the requirements of subsection
(b) of this section or does not conform to the guidelines issued
under section 304(iX2) of this Act. If the Administrator so deter-
mines, he shall notify the State or any revisons or modifications
necessary to conform to such requirements or guidelines.
(2) Any State permit program under this section shall at all
times be in accordance with this section and guidelines promul-
gated pursuant to section 304(hX2) of this Act.
(3) Whenever the Administrator determines after public hear-
in that a State is not administering a program approved under
this section in accordance with requirements of this section, he
shall so notify the State and, if appropriate corrective action is not
taken within a reasonable time, not to exceed ninety days, the Ad-
ministrator shall withdraw approval of such program. The Admin-
istrator shall not withdraw approval of any such program unless he
shall first have notified the State, and made public, in writing, the
reasons for such withdrawal.
(4) LiMiTATIONS ON PARTIAL PERMIT PROGRAM R FURNS AND
WITHDRAWAlS—A State may return to the Administrator ad-
ministration, and the Administrator may withdraw under
paragraph (3) of this subsection approval, of—
(A) a State partial permit program approved under
subsection (n)(3) only if the entire permit program being
administered by the State department or agency at the
time is returned or withdrawn; and
(B) a State partial permit program approved under
subsection (nX4) only if an entire phased component of the
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179 FEDERAL WATER POUU11ON CONTROL ACT
Sec. 402 Sec. 402
FEDERAL WATER POLLUTION CONTROL ACT 180
permit program being administered by the State at the
time is returned or withdrawn.
(dXl) Each State shall transmit to the Administrator a copy of
each permit application received by such State and provide notice
to the Administrator of every action related to the consideration of
such permit pplication, including each permit proposed to be is-
sued by such State.
(2) No permit shall issue (A) if the Administrator within ninety
days of the date of his notification under subsection (bX5) of this
section objects in writing to the issuance of such permit, or (B) if
the Administrator within ninety days of the date of transmittal of
the proposed permit by the State objects in writing to the issuance
of such permit as being outside the guidelines and requirements of
this Act.. Whenever the Administrator objects to the issuance of a
permit under this paragraph such written objection shall contain a
statement of the reasons for such objection and the effluent limita-
tions and conditions which such permit would include if it were is.
sued by the Administrator.
(3) The Administrator may, as to any permit application 1 waive
paragraph (2) of this subsection.
(4) In any case where, after the date of enactment of this para-
graph, the Administrator, pursuant to paragraph (2) of this sub-
section, objects to the issuance of a permit, on request of the State,
a public hearing shall be held by the Administrator on such objec-
tion. If the State does not resubmit such permit revised to meet
such objection within 30 days after completion of the hearing, or,
if no hearing is r 9 uested within 90 days after the date of such ob-
jection, the Administrator may issue the permit pursuant to sub-
section (a) of this section for such source in accordance with the
guidelines and requirements of this Act.
(e) In accordance with guidelines promulgated pursuant to sub-
section (hX2) of sectIon 304 of this Act, the Administrator is au-
thorized to waive the requirements of subsection (d) of this section
at the time he approves a program pursuant to subsection (b) of
this section for any category (including any class, type, or size
within such category) of point sources within the State submitting
such program.
(F) The Administrator shali promulgate regulations establish-
ing categories of point sources which he determines shall not be
subject to the requirements of’ subsection (d) of this section in any
State with a program approved pursuant to subsection (b) of this
section. The Administrator may distinguish among las ”e , types,
and sizes within any category of point sources.
(g) Any permit Issued under this section for the discharge of
pollutants Into the navigable waters from a vessel or other floating
craft shall be subject to any applicable regulations promulgated by
the Secretary of the Department in which the Coast Guard is oper.
atinç, establishing specifications for safe transportation, handling,
carnage, storage, and stowage of pollutants.
(h) In the event any condition of a permit for discharges from
a treatment works (as defined in section 212 of this Act) which is
publicly owned is violated, a State with a program approved under
subsection (b) of this section or the Administrator, where no State
n am Is approved or where the Administrator determines pursu-
ant to section 309(a) of this Act that a State with an approved pro-
gram has not commenced appropriate enforcement action with re-
spect to such permit, may proceed in a court of competent jurisdic-
tion to restrict or prohibit the introduction of any pollutant into
such treatment works by a source not utilizing such treatment
works prior to the finding that such condition was violated.
(i) Nothing in this section shall be construed to limit the au-
thority of the Administrator to take action pursuant to section 309
of this Act.
(j) A copy of each permit application and each permit issued
under this section shall be available to the public. Such permit ap-
plication or permit, or portion thereof, shall further be available on
request for the purpose of reproduction.
(k) Compliance with a permit issued pursuant to this section
shall be deemed compliance, for purposes of sections 309 and 505,
with sections 301, 302, 306, 307, and 403, except any standard im-
posed under section 307 for a toxic pollutant injurious to human
health. Until December 31 1974, in any case where a permit for
discharge has been applied for pursuant to this section, but final
administrative disposition of such application has not been made,
such discharge shall not be a violation of (1) section 301, 306, or
402 of this Act, or (2) section 13 of the Act of March 3, 1899, unless
the Administrator or other plaintiff proves that final administra-
tive disposition of such application has not been made because of
the failure of the applicant to furnish information reasonably re-
quired or requested in order to process the application For the
180-day period beginning on the date of enactment of the Federal
Water Pollution Control Act Amendments of 1972, in the case of
any point source discharging any pollutant or combination of pol-
lutants immediately prior to such date of enactment which source
is not subject to section 13 of the Act of March 3, 1899, the dis-
charge by such source shall not. be a violation of’ this Act if such
a source applies for a permit for discharge pursuant to this section
within such 180-day period.
(I) LIMITATION ON PERMIT REQUIREMENT.—
(1) AGRIcULTURAL RETURN FLOWS.—The Administrator
shall not require a permit under this section for discharges
composed entirely of return flows from irrigated agriculture,
nor shall the Administrator directly or indirectly, require any
State to require such a permit.
(2) STORMWATER RUNOFF FROM OIL., GAS, AND MINING OPER-
ATIONS—The Administrator shall not require a permit under
this section, nor shall the Administrator directly or indirectly
require any State to require a permit, for discharges of
stormwater runoff from mining operations or oil and gas explo-
ration, production, processing, or treatment operations or
transmission facilities, composed entirely of flows which are
from conveyances or systems of conveyances (including but not
limited to pipes, conduits, ditches, and channels) used for col-
lecting and conveying precipitation runoff and which are not
contaminated by contact with, or do not come into contact with,
any overburden, raw material, intermediate products, finished
product, byproduct, or waste products located on the site of
such operations.
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181 FEDERAL WATER PI IWfflON COIITROL ACT
Sec. 40? Sec 402
FEDERAL WATER POLIUTIOII COWTRUL ACT - - - - - 182
(in) ADDITIONAL PRETREATMENT OP CONVENTIONAL Powir-
ANTS NOT REQUIRED.—To the extent a treatment works (as defined
in section 212 of this Act) which is publicly owned Is not meeting
the requirements of a permit issued under this section for such
treatment works as a result of inadequate design or operation of
such treatment works, the Administrator, in issuing a permit
under this section, shall not require pretreatment by a person in-
troducing conventional pollutants identified pursuant to a section
304(aX4) of this Act into such treatment works other than
pretreatment required to assure compliance with pretreatment
standards under subsection (bX8) of this section and section
307(bXl) of this Act. Nothing in this subsection shall affect the Ad-
ministrator’s authority under sections 307 and 309 of this Act, af-
fect State and local authority wider sections 307(bX4) and 510 of
this Act, relieve such treatment works of its obligations to meet re-
quirements established under this Act, or otherwise preclude such
works from pursuing whatever feasible options are available to
meet its responsibility to comply with its permit under this section.
(n) PARTIAL Pawirr Paocassi.—
(1) S’r,in suasussIoN.—The Governor of a State may sub-
mit under subsection (b) of this section a permit program (or
a portion of the discharges into the navigable waters in such
State.
(2) MnUMuM COVERAGE—A partial permit program under
this subsection shall cover, at a minimum, administration of a
major category of the discharges into the navigable waters of
the State or a major component of the permit program required
by subsection (b).
(3) APPROVAL or MA.,oa CATEGORY pAJrrw. , PERMIT PRO-
GRAMS.—The Administrator may approve a partial permit pro-
gram covering administration of a major category of discharges
under this subsection if—
(A) such program represents a complete permit pro-
gram and covers all of the discharges under the jurisdic-
tion of a department or agency of the State; and
(B) the Administrator determines that the partial pro-
gram represents a significant and identifiable part of the
State program required by subsection (b).
(4) APPROVAL OP MAJOR COMPONENT PARrIAL PERMIT PRO-
CRAMS.—The Administrator may approve under this subsection
a partial and phased permit program covering administration
of a major component (including discharge categories) of a
State permit program required by subsection (b) if.—
(A) the Administrator determines that the partial pro-
gram represents a significant and identifiable part of the
State program required by subsection (b) and
(B) the State submits, and the Administrator ap-
proves, a plan for the State to assume administration by
phases of the remainder of the State program required by
subsection (b) by a specified date not more than 6 years
after submission of the partial program under this sub-
section and agrees to make all reasonable efforts to as-
sume such administration by such data.
(o) Aivri-B*cicsuou a.—
(1) GENERAL PROH 1RITION.—ln the case of effluent limita-
tions established on the basis of subsection (aX 1MB) of this sec-
tion, a permit may not be renewed, reissued, or modified on
the basis of emuent guidelines promulgated under section
304(b) subsequent to the original issuance of such permit, to
contain effluent limitations which are less stringent than the
comparable effluent limitations in the previous permit. In the
case of effluent limitations established on the basis of section
3OUbX1)(C) or section 303(d) or (e), a permit may not be re-
newed, reissued, or modified to contain effluent limitations
which are less stringent than the comparable effluent limita-
tions iii the previous permit except in compliance with section
303(d)(4).
(2) ExcEP’rIoNS.—A permit with respect to which para-
graph (1) applies may be renewed, reissued, or modified to con-
tain a less stringent effluent limitation applicable to a pollut-
ant if—
(A) material and substantial alterations or additions to
the permitted facility occurred after permit issuance which
justify the application of a less stringent emuent limita-
lion;
(BXi) information is available which was not available
at the time of permit issuance (other than revised regula-
tions, guidance, or teat methods) and which would have
justified the application of a less stringent effluent limita-
tion at the time of permit issuance; or
(ii) the Administrator determines that technical mis-
takes or mistaken interpretations of law were made in is-
suing the permit under subsection (aX 1MB);
(C) a less stringent effluent limitation is necessary be-
cause of events over which the permittee has no control
and for which there is no reasonably available remedy;
(D) the pennittee has received a permit modification
under section 301(c), 301(g), 301(h), 301(i), 301(k), 301(n).
or 3l6(a) or
(€) tke perrnittee has installed the treatment facilities
required to meet the effluent limitations in the previous
permit and has properly operated and maintained the fa-
cilities but has nevertheless been unable to achieve the
previous effluent limitations, in which case the limitations
in the reviewed, reissued, or modified permit may reflect
the level of pollutant control actually achieved (but shall
not be less stringent than required by effluent guidelines
in effect at the time of permit renewal, reissuance, or
modification).
Subparagraph (B) shall not apply to any revIsed waste load al-
locations or any alternative grounds for translating water qual-
ity standards into effluent limitations, except where the cumu-
lative effect of such revised allocations results in a decrease in
the amount of pollutants discharged into the concerned waters 1
and such revised allocations are not the result of a discharger
eliminating or substantially reducing its discharge of pollut-
ants due to complying with the requirements of this Act or for
reasons otherwise unrelated to water quality.
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103 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 402 Sec. 402
FEDERAL WATER POLLUTION CONTROL ACT 104
(3) LIMFFATIONS.—10 no event may a permit with respect
to which paragraph (1) applies be renewed, reissued, or modi-
fied to contain an effluent limitation which is lees stringent
than required by effluent guidelines in effect at the time the
permit is renewed, reissued, or modified. In no event may such
a permit to discharge into waters be renewed, reissued, or
modified to contain a lees stringent effluent limitation if the
implementation of such limitation would result In a violation
of a water quality standard under section 303 applicable to
such waters.
(p) MUNICIPAL AND INDUSrRIAL ST0IU.IwATER DIscnaJiGES.—
(1) GENERAL rnn.. .—Prior to October 1, 1994, the Adminis-
trator or the State (in the case of a permit program approved
under section 402 of this Act) shall not require a permit under
this section for discharges composed entirely of storinwater.
(2) ExcgprgOns. —Paragraph (1) shall not apply with re-
spect to the following stormwater discharges:
(A) A discharge with respect to which a permit has
been issued under this section before the date of the enact-
ment of this subsection.
(B) A discharge associated with industrial activity.
(C) A discharge from a municipal separate storm
sewer system serving a population of 250 000 or more.
(D) A discharge from a municipa’ separate storm
sewer system serving a population of 100,000 or more but
lees than 250,000.
(E) A discharge for which the Administrator or the
State, as the case may be, determines that the stormwater
discharge contributes to a violation of a water quality
standard or is a significant contributor of pollutants to wa-
ters of the United States.
(3) PERMrT REQUIREMENTS
(A) INDUSTRiAL D,SCHARGES.—Permit8 for discharges
associated with industrial activity shall meet all applicable
provisions of this section and section 301.
(B) MuNICiPAL DISCHARGE.—Peflflita for discharges
from municipal storm sewers—
(i) may be issued on a system- or jurisdiction-wide
basis;
(ii) shall include a requirement to effectively pro-
hibit non-stormwater discharges into the storm sew-
ers; and
(iii) shall require controls to reduce the discharge
of pollutants to the maximum extent practicable, in-
cluding management practices, control techniques and
system, design and engineering methods, and such
other provisions as the Administrator or the State de-
termines appropriate for the control of such pollutants.
(4) PEnMrr APPUCATION REQuiREMENTS.—
(A) INDUSTRiAL AND LARGE MUNICIPAL DISCHARGES.—
Not later than 2 years after the date of the enactment of
this subsection, the Administrator shall establish regula-
tions setting forth the permit application requirements for
stormwater discharges described in paragraphs (2XB) an
(2XC). Applications for permits for such discharges shall be
filed no later than 3 years after such date of enactment.
Not later than 4 year after such date of enactment the Ad-
ministrator or the State, as the case may be, shall issue
or deny each such permit. Any such permit shall provide
for compliance as expeditiously as practicable, but in no
event later than 3 years after the date of issuance of such
permit.
(B) OTHER MUNICIPAL DISCHARGES—Not later than 4
years after the date of the enactment of this subsection,
the Administrator shall establish regulations setting forth
the permit application requirements for stormwater dis-
charges described in paragraph (2XD). Applications for
permits for such discharges shall be filed no later than 5
years after such date of enactment. Not later than 6 years
after such date of enactment, the Administrator or the
State, as the case may be, shall issue or deny each such
permit. Any such permit shall provide for compliance as
expeditiously as practicable, but in no event later than 3
years after the date of issuance of such permit.
(5) STUDIES.—The Administrator, in consultation with the
States, shall conduct a study for the purposes of—
(A) identifying those atormwater discharges or classes
of storinwater discharges for which permits are not re-
quired pursuant to paragraphs (1) and (2) of this sub-
section;
(B) determining, to the maximum extent practicable.
the nature and extent of pollutants in such discharges; and
(C) establishing procedures and methods to control
stormwater discharges to the extent nec ry to mitigate
impacts on water quality.
Not later than October 1, 1988, the Administrator shall submit
to Congress a report on the results of the study described in
subparagraphs (A) and (B). Not later than October 1, 1989, the
Administrator shall submit to Congress a report on the results
of the study described in subparagraph (C).
(6) REGULATIONS.—Not later than October 1, 1993, the Ad-
ministrator, in consultation with State and local officials, shall
issue regulations (based on the results of the studies conducted
under paragraph (5)) which designate stormwater discharges,
other than those discharges described in paragraph (2), to be
regulated to protect water quality and shall establish a com-
prehensive program to regulate such designated sources. The
program shall, at a minimum, (A) establish priorities, (B) es-
tablish requirements for State stormwater management pro-
grams, and (C) establish expeditious deadlines. The program
may include performance standards, guidelines, guidance, and
management practices and treatment requirements, as appro-
priate.
(33 U.S.C. 1342)
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185 FEDERAl. WATER POLLUTION CONTROL ACT
Sec. 404 Sec. 404
FEDERAL WATER POLLUTION CONTROL ACT 186
OCEAN DISCHARGE CRITERIA
SEC. 403. (a) No permit under section 402 of this Act for a dis-
charge into the territorial sea, the waters of the contiguous zone,
or the oceans shall be issued, after promulgation of çuidelines es-
tablished under subsection (c) of this section, except in compliance
with such guidelines. Prior to the promulgation of such guidelines,
a permit may be issued under such section 402 if the Administrator
determines it to be in the public Interest.
(b) The requirements of subsection (d) of section 402 of this Act
may not be waived in the case of permits for discharges into the
territorial sea.
(cXl) The Administrator shall, within one hundred and eighty
days after enactment of this Act (and from time to time thereafter),
promulgate guidelines for determining the degradation of the wa-
ters of the territorial seas, the contiguous zone, and the oceans,
which shall include:
(A) the effect of disposal of pollutants on human health or
welfare, including but not limited to plankton, fish, shellfish,
wildlife, shorelines, and beaches;
(B) the effect of disposal of pollutants on marine life in-
cludin the transfer, concentration, and dispersal of pollutants
or their byproducts through biological, physical, and chemical
processes; changes in marine ecosystem diversity, productivity,
and stability; and species and community population changes;
(C) the effect of disposal, of pollutants on esthetic, recre-
ation, and economic values;
(D) the persistence and permanence of the effects of dis-
posal of pollutants;
(E) the effect of the disposal at varying rates, of particular
volumes and concentrations of pollutants
(F) other possible locations and methods of disposal or re-
cycling of pollutants including land-based alternatives; and
(0) the effect on alternate uses of the oceans, such as min-
eral exploitation and scientific study.
(2) In any event where inaulflcient information exists on any
proposed discharge to make a reasonable judgment on any of the
guidelines established pursuant to this subsection no permit shall
be issued under section 402 of this Act.
- (33 U.S.C. 1343)
PERMITS POE DREDGED OR FILL MATERIAL
SEC. 404. (a) The Secretary may issue permits, after notice and
opportunity for public hearings for the discharge of dredged or fill
material into the navigable waters at specified disposal sites. Not
later than the fifteenth day after the date an applicant submits all
the information required to complete an application for a permit
under this subsection, the Secretary shall publish the notice re-
quired by this subsection.
(b) Subject to subsection (c) of this section, each such disposal
site shall be specified for each such permit by the Secretary (1)
through the application of guidelines developed by the Adminis-
trator, in cozijunction with the Secretary which guidelines shall be
based upon criteria comparable to the criteria applicable to the ter-
ritonal seas, the contiguous zone, and the ocean under section
403(c), and (2) in any case where such guidelines under clause (1)
alone would prohibit the specification of a site, through the applica-
tion additionally of the economic impact of the site on navigation
and anchorage.
(c) The Administrator is authorized to prohibit the specification
(including the withdrawal of specification) of any defined area as
a disposal site, and he is authorized to deny or restrict the use of
any defined area for specification (including the withdrawal of spec-
ification) as a disposal site, whenever he determines, after notice
and opportunity for public hearings, that the discharge of such ma-
terials into such area will have an unacceptable adverse effect on
municipal water supplies, shellfish beds and fishery areas (includ-
ing spawning and breeding areas), wildlife, or recreational areas.
Before making such determination, the Administrator shall consult
with the Secretary. The Administrator shall set forth in writing
and make public his findings and his reasons for making any deter-
mination under this subsection.
(d) The term “Secretary” as used in this section means the Sec-
retary of the Army, acting through the Chief of Engineers.
(eXi) In carrying out his functions relating to the discharge of
dredged or fill material under this section, the Secretary may, alter
notice and opportunity for public hearing, issue general permits on
a State, reçional, or nationwide basis for any category of activities
involving discharges of dredged or fill material if the Secretary de-
termines that the activities in such category are similar in nature,
will cause only minimal adverse environmental effects when per-
formed separately, and will have only minimal cumulative adverse
effect on the environment. Any general permit issued under this
subsection shall (A) be based on the guidelines described in sub-
section (bXl) of this section, and (B) set forth the requirements and
standards which shall apply to any activity authorized by such gen-
eral permit.
(2) No general permit issued under this subsection shall be for
a period of more than five years after the date of its issuance and
such general permit may be revoked or modified by the Secretary
if, after opportunity for public hearing, the Secretary determines
that the activities authorized by such general permit have an ad-
verse impact on the environment or such activities are more appro-
priately authorized by individual permits. .).
(0(1) Except as provided in paragraph (2) of this subsectjofl
the discharge of dredge or fill material— s 2 -
(A) from normal farming, silviculture, and ranching activi-
ties such as plowing, seeding, cultivating, minor drainage, ,har -. - -
vesting for the production of food, fiber, and forest producta or
upland soil and water conservation practices;
(B) for the purpose of maintenance, including emergency
reconstruction of recently damaged parts, of currently service-
able structures such as dikes, dams, levees, groins, riprap,
breakwaters, causeways, and bridge abutments or approaches,
and transportation structures;
(C) for the purpose of construction or maintenance of farm
or stock ponds or irrigation ditches, or the maintenance of
drainage ditches;
-------
Ill - FEDERAL WATER POWITIOII CONTROL ACT
Sec. 404 Sec. 404
FEDERAL WATER POLLUTION CONTROL ACT 188
(D) for the purpose of construction of temporary sedi-
mentation basins on a construction site which does not include
placement of fill material Into the navigable waters;
(E) for the purpose of construction or maintenance of farm
roads or forest roads, or temporaiy roads for movinq mining
equipment, where such roads are constructed and maintained,
in accordance with beat management practices, to assure that
flow and circulation patterns and chemical and biological char-
acteristics of the navigable waters are not impaired, that the
reach of the navigable water. is not reduced and that any ad-
verse effect on the aquatic environment will Lie otherwise mini-
mized;
(F) resulting from any activity with respect to which a
State has an a preved program under section 208(bX4) which
meets the requirementa of subparagraph. (B) and (C) of such
section,
is not prohibited by or otherwise subject to regulation under this
section or section 301(a) or 402 of this Act (except for effluent
standards or prohibitions under section 307).
(2) Any discharge of dredçed or fill material into the navigable
waters inmdental to any activity having as its purpose bringing an
area of the navigable waters into a use to which it was not pre-
viously subject, where the flow or circulation of navigable waters
may be impaired or the reach of such waters be reduced, shall be
required to have a permit under this section.
( X1) The Governor of any State desiring to administer its own
individual and general permit program for the discharge of dredged
or fill material into the navigable waters (other than those waters
which are presently used, or are susceptible to use in their natural
condition or by reasonable improvement as a means to transport
interstate or foreign commerce shoreward to their ordinaiy high
water mark, Including all waters which are subject to the ebb and
flow of the tide shoreward to their mean high water mark, or mean
higher high water mark on the west coast, mcluding wetlands adja-
cent thereto), within its jurisdiction may submit to the Adminis-
trator a full and complete description of the program it proposes to
establish and administer under State law or under an interstate
compact. In addition, such State shall submit a statement from the
attorney general (or the attorney for those State agencies which
have independent legal counsel), or from the chief legal officer in
the case of an Interstate agency, that the laws of such State, or the
interstate compact, as the case may be, provide adequate authority
to carry out the described program.
(2) Not later than the tenth day after the date of the receipt
of the program, and statement submitted by any State under para-
graph (1) of this subsection, the Administrator shall provide copies
of such program and statement to the Secretary and the Secretary
of the Interior, acting through the Director of the United State.
Fish and Wildlife Service.
(3) Not later than the ninetieth day after the date of the re-
ceipt by the Administrator of the program and statement submitted
by any State, under paragraph (1) of this subsection, the Secretary
and the Secretary of the Interior acting through the Director of the
U I State, Fish and Wlldll?e Service, shall submit any com-
menta with respect to such program and statement to the Adminis-
trator in writing.
(hXl) Not later than the one-hundred-twentieth day after the
date of the receipt by the Administrator of a program and state-
ment submitted by any State under paragraph (I) of this sub-
section, the Administrator shall determine, taking into account any
comments submitted by the Secretary and the Secretary of the In-
terior, acting through the Director of the United States Fish and
Wildlife Service, pursuant to subsection (g) of this section, whether
such State has the following authority with respect to the issuance
of permits pursuant to such program:
(A) To issue permits which—
(i) apply, and assure compliance with, any applicable
requirements of this section, including, but not limited to,
the guideline. established under subsection (bX 1) of this
section, and sections 307 and 403 of this Act;
(ii) are for fixed terms not exceeding five years; and
(iii) can be terminated or modified for cause including,
but not limited to, the following:
(I) violation of any condition of the permit;
(II) obtaining a permit by misrepresentation, or
failure to disclose fully all relevant facts;
(Ill) change in any condition that requires either
a temporary or permanent reduction or elimination of
the permitted discharge.
(B) To issue permit. which apply, and assure compliance
with, all applicable requirements of section 308 of this Act, or
to inspect, monitor, enter, and requrie reports to at least the
same extent as required in section 308 of this Act.
(C) To assure that the public, and any other State the wa-
ters of which may be affected, receive notice of each application
for a permit and to provide an opportunity for public hearing
before a ruling on each such application.
(D) To assure that the Administrator receives notice of
each application (including a copy thereof) for a permit.
(E) To assure that any State (other than the permitting
State), whose waters may be affected by the issuance of a per-
mit may submit written recommendation to the permitting
State (and the Administrator) with respect to any permit appli-
cation and, if any part of such written recommendations are
not accepted by the permitting State, that the permitting State
will notify such affected State (and the Administrator) in writ-
ing of its failure to so accept such recommendations together
with its reasons for so doing.
(F) To assure that no permit will be issued if, in the judg-
ment of the Secretary, after consultation with the Secretary of
the department in which the Coast Guard is operating, anchor-
age and navigation of any of the navigable waters would be
substantially impaired thereby.
(G) To abate violations of the permit or the permit pro-
gram, including civil and criminal penalties and other ways
and means of enforcement.
(H) To assure continued coordination with Federal and
Federal-State water-related planning and review processes.
-------
FEDERAL WATER POLLIflION CONTROL ACT SeC. 404
(2) If, with respect to a State program submitted under sub-
section (gXl) of this section, the Administrator determines that
such State—
(A) has the authority set forth in paragraph (1) of this sub-
section, the Administrator shall approve the program and so
notify (I) such State, and (ii) the Secretary, who upon subse-
quent notification from such State that it is administering such
program, shall suspend the issuance of permits under sub-
section (a) and (e) of this section for activities with respect to
which a permit may be issued pursuant to such State program;
or
Sec. 404 FEDERAL WATER POLLUTION CONTROL ACT 190
Administratol makes the determination described in clause (1) of
this subsection and such State again has an approved program.
(j) Each State which is 8 rninisteriflg a permit program pursu-
ant to this section shall transmit to the Administrator (1) a copy
of each permit application received by such State and provide no-
tice to the Administrator of every action related to the consider-
ation of such permit applications including each permit proposed to
be issued by such State, and (2) a copy of each proposed general
permit which such state intends to issue. Not later than the tenth
day after the date of the receipt of such permit application or such
proposed general permit. the Administrator shall provide copies of
such permit application or such proposed general permit to the Sec-
retary and the Secretary of the Interior, acting through the Direc-
tor of the United States Fish and Wildlife Service. If the Adminis-
trator intends to provide written comments to such State with re-
spect to such permit application or such proposed general permit,
he shall so notify such State not later than the thirtieth day after
the date of the receipt of such application or such proposed general
permit and provide such written comments to such State, after con-
sideration of any comments made in writing with respect to such
application or such proposed general permit by the SecretarY and
the Secretary of the Interior, acting through the Director of the
United States Fish and Wildlife Service, not later than the nine-
tieth day after the date of such receipt. LI such State is so notified
by the Administratol, it shall not issue the proposed permit until
after the receipt of such comments from the Administrator, or after
such ninetieth day, whichever first occurs. Such State shall not
issue such proposed permit after such ninetieth day if it has re-
ceived such written comments in which the Administrator objects
(A) to the issuance of such proposed permit and such proposed per-
mit is one that has been submitted to the Administrator pursuant
to subsection (hX1ME), or (B) to the issuance of such proposed per-
mit as being outside the requirements of this section, including, but
not limited to, the guidelines developed under subsection (bX 1) of
this section unless it modifies such proposed permit in accordance
with such comments. Whenever the Administrator objects to the is-
suance of a permit under the preceding sentence such written ob-
jection shall contain a atatement of the reasons for such objection
and the conditions which such permit would include if it were is-
sued by the Administrat01 In any case where the Adininistratol
objects to the issuance of a permit, on request of the State, a public
bearing shall be held by the Administrator Ofl such objection. If the
State does not resubmit such permit revised to meet such objection
within 30 days after completion of the hearing or, if no hearing is
requested withifl 90 days after the date of such objection. the Sec-
retary may issue the permit pursuant to subsection (a) or (e) of this
section, as the case may be, for such source in accordance with the
guidelines and requirements of this Act.
(k) In accordance with guidelines promulgated pursuant to
subsectiOn (iX2) of section 304 of this Act, the Administrator is au-
thorized to waive the requirements of subsection (j) of this section
at the time of the approval of a program pursuant to subsection
(hX2XA) of this section for any category (including any class, type,
189
(B) does not have the authority set forth in paragraph (1)
of this subsection, the Administrator shall so notify such State,
which notification shall also describe the revisions or modifica-
tions necessary so that such State may resubmit such program
for a determination by the Administrator under this sub-
section.
(3) If the Administrator fails to make a determination with re-
spect to any pro am submitted by a State under subsection (gXl)
of this section within one-hundred-twentY days after the date or the
receipt of such program, such program shall be deemed approved
pursuant to paragraph (2XA) of this subsection and the Adminis-
trator shall so notify such State and the Secretary who, upon sub-
sequent notification from such State that it is administenng such
program, shall suspend the issuance of permits under subsection
(a) and (e) of this section for activities with respect to which a per-
mit may be issued by such State.
(4) After the Secretary receives notification from the Adminis-
trator under paragraph (2) or (3) of this subsection that a State
permit program has been approved, the Secretary shall transfer
any applications for permits pending before the Secretary for activi-
ties with respect to which a permit may be issued pursuant to such
State program to such State for appropriate action.
(5) Upon notification from a State with a permit program ap-
proved under this subsection that such State intends to administer
and enforce the terms and conditions of a general permit issed by
the Secretary under subsection (e) of this section with respect to ac-
tivities in such State to which such general permit applies, the Sec-
retary shall suspend the administration and enforcement of such
general permit with respect to such activities.
(i) Whenever the Administrator determines after public hear-
ing that a State is not administering a program approved under
section (hX2XA) of this section, In accordance with this section, in-
cluding, but not limited to, the guidelines established under sub-
section (bXl) of this section, the Administrator shall so notify the
State, and, if ’ appropriate corrective action is not taken within a
reasonable time, not to exceed ninety days after the date of the re-
ceipt of such notification, the Administrator shall (1) withdraw ap-
proval of such program until the Administrator determines such
corrective action has been taken, and (2) notify the Secretary that
the Secretary shall resume the prog -wu for the issuance of permits
under subsections (a) and (e) of this section for activities with re-
spect to which the State was lasuin permits and that such author-
ity of the Secretary shall continue in effect until such time as the
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191 FEDERAL WATER POLLUTION CONTROL ACT
S .c. 404 Sec. 404
FEDERAL WATER POLLUTiON CONTROL ACT 192
or size within such category) of discharge within the State submit-
ting such program.
(I) The Administrator shall promulgate regulations establishing
categories of discharges which he determines shall not be subject
to the requirements of subsection (j) of this section in any State
with a program approved pursuant to subsection (hX2XA) of this
section. The Administrator may distinguish among classes, types,
and sizes within any category of discharges.
(m) Not later than the ninetieth day after the date on which
the Secretary notifies the Secretary of the Interior, acting through
the Director of the United States Fish and Wildlife Service that (1)
an application for a permit under subsection (a) of this section has
been received by the Secretary or (2) the Secretary proposes to
issue a general permit under suisection (e) of this section, the Sec-
retary of the Interior, acting through the Director of the United
States Fish and Wildlife Service, shall submit any comments with
respect to such application or such proposed genera) permit in writ,-
ing to the Secretary.
(a) Nothing in this section shall be construed to limit the au-
thority of the Administrator to take action pursuant to section 309
of this Act.
(o) A copy of each permit application and each permit issued
under this section shall be available to the public. Such permit ap-
plication or portion thereof, shall further be available on request
for the purpose of reproduction.
(p) Compliance with a permit issued pursuant to this section,
including any activity carried out pursuant to a general permit is-
sued under this section, shall be deemed compliance, for purposes
of sections 309 and 505, with sections 301. 307, and 403.
(q) Not later than the one-hundred-eightieth day after the date
of enactment of this subsection, the Secretary shall enter into
agreements with the Administrator, the Secretaries of the Depart-
ments of Agriculture, Commerce, Interior, and Transportation, and
the heads of other appropriate Federal agencies to minimize, to the
maximum extent practicable, duplication, needless paperwork, and
delays in the issuance of permits under this section. Such agree-
ments shall be developed to assure that, to the maximum extent
practicable, a decision with respect to an application for a permit
under subsection (a) of this section will be made not later than the
ninetieth day after the date the notice of such application is pub-
lished under subsection (a) of this section.
(r) The discharge of dredged or flU material as part of the con-
struction of a Federal project specifically authorized by Congress,
whether prior to or on or after the date of enactment of this sub-
section, is not prohibited by or otherwise subject to regulation
under this section, or a State program approved under this section,
or section 301(a) or 402 of the Act (except for effluent standards or
prohibitions under section 307), if information on the effects of such
discharge, including consideration of the guidelines developed
under subsection (bXl) of this section, is included in an environ-
mental impact statement for such project pursuant to the National
Environmental Policy Act of 1969 and such environmental impact
statement has been submitted to Congress before the actual dis-
charge of dredged or fill material in connection with the construe-
tion of such project and prior to either authorization of such project
or an appropriation of funds for each construction.
(sXl) Whenever on the basis of any information available to
him the Secretary finds that any person is in violation of any con-
dition or limitation set forth in a permit issued by the Secretary
under this section, the Secretary shall issue an order reqwring
such persons to comply with such condition or limitation, or the
Secretary shall bring a civil action in accordance with paragraph
(3) of this subsection.
(2) A copy of any order issued under this subsection shall be
sent immediately by the Secretary to the State in which the viola-
tion occurs and other affected States. Any order issued under this
subsection shall be by personal service and shall state with reason-
able specificity the nature of the violation, specify a Lime for com-
pliance, not to exceed thirty days, which the Secretary determines
is reasonable, taking into account the seriousness of the violation
and any good faith efforts to comply with applicable requirements.
In any case in which an order under this subsection is issued to
a corporation, a cqpy of such order shall be served on any appro-
priate corporate officers.
(3) The Secretary is authorized to commence a civil action for
appropriate relief, including a permanent or temporary injunction
for any violation for which he is authorized to issue a compliance
order under paragraph (1) of this subsection. Any action under this
paragraph may be brought in the district court of the United States
for the district in which the defendant is located or resides or is
doing business, and such court shall have jurisdiction to restrain
such violation and to require compliance. Notice of the commence-
ment of such acton i shall be given immediately to the appropriate
State.
(4) Any person who violates any condition or limitation in a
permit issued by the Secretary under this section and any person
who violates any order issued by the Secretary unc er paragraph (1)
of this subsection, shall be subject to a civil penalty not to exceed
$25,000 per day for each violation. In determining the amount of
a civil penalty the court shall consider the seriousness of the viola-
tion or violations, the economic benefit (if any) resulting from the
violaltion, any history of such violations, any good-faith efforts to
comply with the applicable requirements, the economic impact of
the penalty on the violator, and such other matters as justice may
require.
(t) Nothing in the section shall preclude or deny the right of
any State or interstate agency to control the discharge of dredged
or fill material in any portion of the navigable waters within the
jurisdiction of such State, including any activity of any Federal
agency, and each such agency shall comply with such State or
interstate requirements both substantive and procedural to control
the discharge of dredged or fill material to the same extent that
any person is subject to such requirements. This section shall not
be construed as affecting or impairing the authority of the Sec-
retary to maintain navigation.
(33 USC. 1344)
‘So In law. Probably should ho sction.
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193 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 405 Sec. 405
FEDERAL WATER POLLUTION CONTROL ACT 194
DISPOSAL OF SEWAGE SLUDGE
SEC. 405. (a) Notwithstanding any other provision of this Act
or of any other law, in the case where the diaposal of sewage sludge
resulting from the operation of a treatment works as defined in sec-
tion 212 of this Act (including the removal of in-place sewage
sludge from one location and its deposit at another location) would
result in any pollutant from such sewage sludge entering the navi-
gable waters, such disposal is prohibited except in accordance with
a permit issued by the Administrator under section 402 of this Act.
(b) The Administrator shall issue regulations governing the is-
suance of permits for the disposal of sewage sludge subject to sub-
section (a) of this section and section 402 of this Act. Such regula-
tions shall require the application to such disposal of each cri-
terion, factor, procedure, and requirement applicable to a permit is-
sued under section 402 of this title.
(c) Each State desiring to administer its own permit program
for disposal of sewage sludge subject to subsection (a) of this sec-
tion within its jurisdiction may do so in accordance with section
402 of this Act.
(d) REGULATIONS.—
(1) REGULATIONS—The Administrator, after consultation
with appropriate Federal and State agencies and other inter-
ested persons, shall develop and publish, within one year after
the date of enactment of this subsection and from time to time
thereafter, regulations poroviding guidelines for the diaposal of
sludge and the utilization of sludge for various purposes. Such
regulations shall—
(A) identify uses for sludge, including disposal;
(B) specify factors to be taken into account in deter-
mining the measures and practice. applicable to each such
use or disposal (including publication of information on
coats);
(C) identify concentrations of pollutants which inter-
fere with each such use or disposal.
The Administrator is authorized to revise any regulation is-
sued under this subsection.
(2) IDENTIFICATION AND RECULATION OF TOXIC POLLUT-
ANTS-
(A) ON BASIS OF AVAILABLE INFORMATION.—
(1) PROPOSED RBGULATIONS.—Not later than No-
vember 30. 1986, the Administrator shall identify
those toxic pollutant. which, on the basis of available
information on their toxicity, persistence, concentra-
tion, mobility, or potential for exposure, may be
present in sewage sludge in concentrations which may
adversely affect public health or the environment, and
propose regulations specifying acceptable management
practices for sewage sludge containing each such toxic
pollutant and establishing numerical limitations for
each such pollutant for each use Identified under para-
graph (1XA).
(ii) FINAL REOULATIONS.—Not later than August
31, 1987, and after opportunity for public hearing, the
Administrator shall promulgate the regulations re-
quired by subparagraph (AXi).
(B) OTHERS.—
(1) PROPOSED REGULATION5.—NOt later than July
31 1987, the Administrator shall identify those toxic
pollutants not identified under subparagraph (AX1)
which may be present in sewage sludge in concentra-
tions which may adversely affect public health or the
environment, and propose regulations specifying ac-
ceptable management practices for sewage sludge con-
taining each such toxic pollutant and establishing nu-
merical limitations for each pollutant for each such
use identified under paragraph (1XA).
(ii) FINAL REGULATIONS—Not later than June 15,
1988, the Administrator shall promulate the regula-
tions required by subparagraph (BX1).
(C) REVIEW—From time to time, but not less often
than every 2 years, the Administrator shall review the reg-
ulations promulgated under this paragraph for the purpose
of identifying additional toxic pollutants and promulgating
regulations for such pollutants consistent with the require-
ment. of this paragraph.
(D) MINIMUM S ’rAND#JWS; COMPLIANCE DATE.—The
management practices and numerical criteria established
under subparagraphs (A), (B), and (C) shall be adequate to
protect public health and the environment from any rea-
sonably anticipated adverse effects of each pollutant. Such
regulations shall require compliance as expeditiously as
practicable but in no case later than 12 months after their
publication, unless such regulations require the construc-
tion of new pollution control facilities, in which case the
regulations shall require compliance as expeditiously as
practicable but in no case later than two years from the
date of their publication.
(3) ALTERNATIVE STANDARDS.—FOr purposes of this sub-
section, if, in the judgment of the Administrator, it is not fea-
sible to prescribe or enforce a numerical limitation for a pollut-
ant identified under paragraph (2), the Administrator may in-
stead promulgate a design, equipment, management practice,
or operational standard, or combination thereof, which in the
Adminiatrator’a judgment is adequate to protect public health
and the environment from any reasonably anticipated adverse
effects of such pollutant. In the event the Administrator pro-
mul?ates a design or equipment standard under this sub-
section, the Administrator shall include as part of such stand-
ard ouch requirements as will assure the proper operation and
maintenance of any such element of design or equipment.
(4) CONDITIONS ON PERMITS.—Prior to the promulgation of
the regulations required by paragraph (2), the Administrator
shall impose conditions in permits issued to publicly owned
treatment works under section 402 of this Act or take such
other measures as the Admini8trator deems appropriate to pro-
tect public health and the environment from any adverse ef-
fects which may occur from toxic pollutants in sewage sludge.
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Sec. 501
FEOERM. WAlER POlLUTION CONTROL ACT 196
FEDERAL WATER POWflION CONTROL ACT Sec. 405
(5) LmiiT TION ON &rA1t7IORY CONSr UCTION.—NOtliiUg II
this section Is Intended to waive move stringent requirements
established by this Act or any other law.
(e) MANNER OF SLUDGE DJSPOSAL.—The determination of the
manner of disposal or use of sludge is a local determination, except
that it shall be unlawful for any person to dispose of sludge from
a publicly owned treatment works or any other treatment works
treating domestic sewage for any use for which regulations have
been established pursuant to subsection (d) of this section, except
in accordance with such regulations.
(f) IMPLEMENTATION OF REGULATIONS.—
(1) THROUGH SECTION 402 PERMITS.—Afly permit issued
under section 402 of this Act to a publicly owned treatment
works or any other treatment works treating domestic sewage
shall include requirements for the use and disposal of sludge
that implement the regulations established pursuant to sub.
section (d) of this section, unless such requirements have been
included in a permit issued under the appropriate provisions
of subtitle C of the Solid Waste Disposal Act, part Cof the Safe
Drinking Water Act, the Marine Protection, Research, and
Sanctuaries Act of 1972, or the Clean Air Act, or under State
permit programs approved by the Administrator, where the
Administrator determines that such programs assure compli-
ance with any applicable requirements of this section. Not
later than December 15. 1986, the Administrator shall promul-
gate procedures for approval of State programs pursuant to
this paragraph.
(2) TuR0UCH OTHER PERMIIe.—ln the case of a treatment
works described in paragraph (1) that is not subject to section
402 of this Act and to which none of the other above listed per-
mit programs nor approved State permit authority apply, the
Adm*nistrator may issue a permit to such treatment works
solely to impose requirements for the use and disposal of
sludge that implement the regulations established pursuant to
subsection (d) of this section. The Administrator shall include
in the permit appropriate requirements to assure compliance
with the regulations established pursuant to subsection (d) of
this section. The Administrator shall establish procedures For
issuing permits pursuant to this paragraph.
(g) STUDIES AND PROJECTS.—
(1) GIIANT PROGRAM; INFORMATION OATHERINO.—The Ad-
ministrator is authorized to conduct or initiate scientific stud-
ies, demonstration projects, and public Information and edu-
cation projects which are designed to promote the safe and
beneficial management or use of sewage sludge for such pur-
poses as aiding the restoration of abandoned mine sites, condi-
tioning soil for parka and recreation areas, agricultural and
horticultural uses, and other beneficial purposes. For the pur-
poses of carrying out this subsection, the Administrator may
make grants to State water pollution control agencies, other
public or nonprofit agencies, institutions, organizations, and in-
dividuals. In cooperation with other Federal departments and
agencies, other public and private agencies, institutions, and
rgazuzatfons, the Administrator is authorized to collect an’
TITLE V. ...GENERAL PROVISIONS
ADMINISTRATION
SEC. 501. (a) The Administrator is authorized to prescribe such
regulations as are necessary to carry out his functions under this
Act.
(b) The Administrator, with the consent of the head of any
other agency of the United States may utilize such officers and
employees of such agency as may be found necessary to assist in
carrying..Out the purposes of this Act.
(c) Each recipient of financial assistance under this Act shall
keep such records as the Administrator shall prescribe, including
records which fully disclose the amount and disposition by such re-
cipient of the proceeds of such assistance, the total cost of the
project or undertaking in connection with which such assistance is
given or used and the amount of that portion of the cost of the
project or unjertaking supplied by other sources, and auch other
records as will facilitate an effective audit.
(d) The Administrator and the Comptroller General of the
United States, or any of their duly authorized representatives,
shall have access, for the purpose of audit and examination to any
books, documents, papers . and records of the recipients that are
pertinent to the ranta received under this Act. For the purpose of
carrying out audits and examinations with respect to recipients of
Federal assistance under this Act, the Administrator is authorized
to enter into noncompetitive procurement contracts with independ-
ent State audit organizations consistent with chapter 75 of title 31,
United States Code. Such contracts may only be entered into to the
extent and in such amounts as may be provided in advance in ap-
propriation Acts.
(eXi) It is the purpose of this subsection to authorize a pro-
gram which will provide official recognition by the United States
Government to those industrial organizations and political subdivi-
sions of States which during the preceding year demonstrated an
outstanding technological achievement or an innovative process.
method, or device in their waste treatment and pollution abate-
ment programs. The Administrator shall, in consultation with the
appropriate State water pollution control agencies, establish regu-
lations under which such recognition may be applied for and grant-
ed, except that no applicant shall be eligible for an award under
this subsection if such applicant is not in total complianCe with all
applicable water quality requirements under this Act, or otherwise
does not have a satisfactory record with respect to eflvirpnmentsl
quality.
195
disseminate information pertaining to the safe and beneficial
use of sewage s1u lge.
(2) AUTHORIZATION OF APPROPRIATI0N }’0T the purposes
of carrying out the scientific studies, demonstration projects,
and public information and education projects authorized in
this section, there is authorized to be appropriated for fiscal
years beginning after September 30, 1986, not to exceed
$5,000,000.
(33 U.S.C. 1346) -
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FEI)ERAI. WATER POWIIION CONTROL ACT Sec. 51)2
(2) The Administrator shall award a certificate or plaque of
swtable design to each industrial organization or political subdivi-
‘ion which qualifies for such recognition under regulations estab-
lished under this subsection.
(3) The President of the United States, the Governor of the ap-
propriate State, the Speaker of the House of Representatives, and
the President pro tempore of the Senate shall be notified of the
award by the Administrator and the awarding of such recognition
shall be published in the Federal Register.
(1) Upon the request of a State water pollution control agency,
personnel of the Environmental Protection Agency may be detailed
to such agency for the purpose of carrying out the provisions of this
Act.
(33U.SC. 1381)
GENERAL DEFINITIONS
SsC. 502. Except as otherwise specifically provided, when used
in this Act:
(1) The term “State water pollution control agency” means the
State agency designated by the Governor having responsibility for
enforcing State laws relating to the abatement of pollution.
(2) The term “interstate agency” means an agency of two or
more States established by or pursuant to an agreement or com-
pact approved by the Congress, or any other agency of two or more
States, having substantial powers or duties pertaining to the con-
trol of pollution as determined and approved by the Adminstrator.
(3) The term “State” means a State, the District of Columbia,
the Commonwealth of Puerto Rico, the Virgin Islands, Guam,
American Samoa, the Commonwealth of the Northern Mariana Is-
lands, and the Trust Territory of the Pacific Islands.
(4) The term “municipality” means a city, town, borough, coun-
ty, parish, district, association, or other public body created by or
pursuant to State law and having jurisdiction over disposal of sew-
age, industrial wastes, or other wastes, or an Indian tribe or an au-
thorized Indian tribal organization, or a designated and approved
management agency under section 208 of this Act.
(5) The term “person” means an individual, corporation, part-
nership, association, State, municipality, commission, or political
eubdivision of a State, or any interstate body.
(6) The term “pollutant” means dredged spoil, solid waste, in-
cinerator residue, sewage, garbage, sewage sludge, munitions,
chemical wastes, biological materials, radioactive materials, heat,
wrecked or discarded equipment, rock, sand, cellar dirt and indus-
trial, municipal, and agricultural waste discharged into water. This
term does not mean (A) “sewage from vessels or a discharge inci-
dental to the normal operation of a vessel of the Armed Forces”
within the meaning of section 312 of this Act; or (B) water, gas, or
other material which is injected into a well to facilitate production
of oil or gas, or water derived in association with oil or gas produc-
tion and disposed of in a well, if the well used either to facilitate
production or for disposal purpose is approved by authority of the
State in which the well is located, and if such State determines
uRINAL WATER POLLUTION CONTROL ACT — 198
that such injection or disposal will not result in the degradation of
ground or surface water resources.
(7) The term “navigable waters” means the waters of the Unit-
ed States, including the territorial seas.
(8) The term ‘territorial seas” means the belt of the seas meas-
ured from the line of ordinary low water along that portion of the
coast which is in direct contact with the open sea and the line
marking the seaward limit of inland waters, and extending sea-
ward a distance of three miles.
(9) The term “contiguous zone” means the entire zone estab-
lished or to be established by the United States under article 24
of the Convention of the Territorial Sea and the Contiguous Zone.
(10) The term “ocean” means any portion of the high seas be-
yond the contiguous zone.
(11) The term “effluent limitation” means any restriction estab-
lished by a State or the Administrator on quantities, rates, and
concentrations of chemical, physical, biological, and other constitu-
ents which are discharged from point sources into navigable wa-
ters, the waters of the contiguous zone, or the ocean, including
schedules of compliance.
(12) The term “discharge of a pollutant” and the term “dis-
charge of pollutants” each means (A) any addition of any pollutant
to navigable waters from any point source, (B) any addition of any
pollutant to the waters of the contiguous zone or the ocean from
any point source other than a vessel or other floating craft.
(13) The term “toxic pollutant” means those pollutants, or com-
binations of pollutants, including disease-causing agents, which
after discharge and upon exposure, ingestion. inhalation or assimi-
lation into any organism, either directly from the environment or
indirectly by ingestion through food chains, will, on the basis of in.
formation available to the Administrator, cause death, disease, be-
havioral abnormalities, cancer, genetic mutations, physiological
malfunctions (including malfunctions in reproduction) or physical
deformations, in such organisms or their offspring.
(14) The term “point source” means any discernible, confined
and discrete conveyance, including but not limited to any pipe,
ditch, channel tunnel, conduit, well, discrete fissure, container,
rolling stock, concentrated animal feeding operation, or vessel or
other floating craft, from which pollutants are or may be dis-
charged. This term doss not include agricultural stormwater dis-
charges and return flows from irrigated agriculture.
(15) The term “biological monitoring” shall mean the deter-
mination of the effects on aquatic life, including accumulation of
pollutants in tissue, in receiving waters due to the discharge of pol-
lutants (A) by techniques and procedures, including sampling of or-
ganisms representative of appropriate levels of the food chain ap-
propriate to the volume and the physical, chemical, and biological
characteristics of the emuent, and (B) at appropriate frequencies
and locations.
(16) The term “discharge” when used without qualification in-
cludes a discharge of a pollutant, and a discharge of pollutants.
(17) The term “schedule of compliance” means a schedule of re-
medial measures including an enforceable sequence of actions or
197
Sec. 502
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FEDERAL WATER POWIIION CONTROL ACT
Sec. 503 Sec. 504
FEDERAL WATER POLLUTION CONTROL ACT 200
log
operations leadinç to compliance with an effluent limitation, other
limitation, prohibition, or standard.
(18) The term “industrial user” means those industries identi-
fied In the Standard Industrial Classification Manual, Bureau of
the Budget, 1967, as amended and supplemented, under the cat-
e ory “Division D—Manufacturing” and ouch other classes of sig-
nificant waste producers as, by regulation, the Administrator
deems appropriate.
(19) The term “pollution” means the man-made or man-induced
alteration of the chemical, physical, biological, and radiological in-
tegrity of water.
(20) The term “medical waste” means isolation wastes; infec-
tious agents; human blood and blood products; pathological wastes;
sharps; body parts; contaminated bedding; surgical wastes and po-
tentially contaminated laboratory wastes; dialysis wastes; and ouch
additional medical items as the Administrator shall prescribe by
regulation.
(33 U.S.C. 1362)
WATER POLLUTION CONTROL ADVISORY BOARD
SEC. 503. (aX 1) There is hereby established in the Environ-
mental Protection Agency a Water Pollution Control Advisory
Board, composed of the Administrator or his designee, who shall be
Chairman, and nine members appointed by the President, none of
whom shall be Federal officers or employees. The appointed mem-
bers, having due regard for the purposes of this Act, shall be se-
lected from among representatives of various State, interstate, and
local governmental agencies, of public or private interests contrib-
uting to, affected by, or concerned with pollution, and of other pub-
lic and private agencies, organizations, or groups demonstrating an
active interest in the field of pollution prevention and control, as
well as other individuals who are expert in this field.
(2XA) Each member appointed by the President shall hold of-
fice for a term of three years, except that (i) any member appointed
to fill a vacancy occurring prior to the expiration of the term for
which his predecessor was appointed shall be appointed for the re-
mainder of such term, and (ii) the terms of office of the members
first taking office after June 30. 1956, shall expire as follows: three
at the end of one year after such date, three at the end of two years
after such date, and three at the end of three years after such date,
as designated by the President at the time of appointment, and (iii)
the term of any member under the preceding provisions shall be
extended until the date on which his successor’s appointment is ef-
fective. None of the members appointed by the President shall be
eligible for reappointment within one year after the end of his pre-
ceding term.
(B) The members of the Board who are not officers or employ-
ees of the United States, while attending conferences or meetings
of the Board or while otherwise serving at the request of the Ad-
ministrator, shall be entitled to receive compensation at a rate to
be fixed by the Mmini trator, but not exceeding $100 per diem, in-
cluding traveltime, and while away from their homes or regular
pl Qe of business they may be allowed travel expenses, including
per diem in lieu of subsistence, as authorized by law (5 U.S.C. 73b-
2) for persons in the Government service employed intermittently.
(b) The Board shall advise, consult with, and make rec-
ommendations to the Administrator on matters of policy relating to
the activities and functions of the Administrator under this Act.
(c) Such clerical and technical assistance as may be necessary
to discharge the duties of the Board shall be provided from the per-
sonnel of the Environmental Protection Agency.
(33 U SC. 1363)
EMERGENCY POWERS
SEC. 504. (a) Notwithstanding any other provision of this Act,
the Administrator upon receipt of evidence that a pollution source
or combination of sources is presenting an imminent and substan-
tial endangerment to the health of persons or to the welfare of per-
sons where such endangerment is to the livelihood of such persons,
such as inability to market shellfish, may bring suit on behalf of
the United States in the appropriate district court to immediately
restrain any person causing or contributing to the alleged pollution
to stop the discharge of pollutants causing or contributing to such
pollution or to take such other action as may be necessary.
(Subsection (b) repealed by §304(a) of P.L. 96—510, Dec. 11,
1980, 94 Stat. 28091
(33 U S.C. 1364)
CITIZEN SUITS
Sgc. 505. (a) Except as provided in subsection (b) of this sec-
tion and section 309(gX6), any citizen may commence a civil action
on his own behalf—
(1) against any person (including (i) the United States, and
(ii) any other governmental instrumentality or agency to the
extent permitted by the eLeventh amendment to the Constitu-
tion) who is alleged to be in violation of (A) an effluent stand-
ard or limitation under this Act or (B) an order issued by the
Administrator or a State with respect to such a standard or
limitation, or
(2) against the Administrator where there is alleged a fail-
ure of the Administrator to perform any act or duty under this
Act which is not discretionary with the Administrator.
The district courts shall have )urisdiction without regard to the
amount in controversy or the citizenship of the parties, to enforce
such an effluent standard or limitation, or such an order, or to
order the Administrator to perform such act or duty, as the case
may be, and to apply any appropriate civil penalties under section
309(d) of this Act.
(b) No action may be commenced—
(1) under subsection (a)( 1) of this section—
(A) prior to sixty days after the plaintiff has given no-
tice of the alleged violation (i) to the Administrator, (ii) to
the State in which the alleged violation occurs, and (iii) to
any alleged violator of the standard, limitation, or order,
or —
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FEDER*I. WATER POUUUOII COIIIROL ACT
Sec. 505 Sec.
FE0ER L WATER POWJIISR CONTROL ACT 202
201
(B) if the Administrator or State has commenced and
Is diligently prosecuting a civil or criminal action in a
court of the United States, or a State to require compliance
with the standard, limitation, or order, but in any SUCh ac-
tion in a court of the United States any citizen may inter-
vene as a matter of right.
(2) under subsection (aX2) of this section prior to sixty
days after the plaintiff has given notice of such action to the
Administrator,
except that such action may be brought immediately after such no-
tification in the case of an action under this section respecting a
violation of sections 306 and 307(a) of this Act. Notice under this
subsection shall be given in ouch manner as the Administrator
shall prescribe by regulation.
(cXl) Any action respecting a violation by a discharge source
of an effluent standard or limitation or an order respecting such
standard or limitation may be brought under this section only in
the judicial district in which such source is located.
(2) In such action under this section, the Administrator, If not
a party, may intervene as a matter of right.
(3) PROTEC’IION OF INTERESTS OF UNITED STATES—When
ever any action is brought under this section in a court of the
United States, the plaintiff shall serve a copy of the complaint
on the Attorney General and the Administrator. No consent
judgment shall be entered in an action in which the United
States is not a party prior to 45 days Following the receipt of
a copy of the proposed consent judgment by the Attorney Gen-
eral and the Administrator.
(d) The court, In issuing any final order in any action brought
pursuant to this section, may award costs of litigation (including
reasonable attorney and expert witness fees) to any prevailing or
substantially prevailing party, whenever the court determines such
award is appropriate. The court may, If a temporary restraining
order or preliminary Injunction is sought, require the filing of a
bond or equivalent security in accordance with the Federal Rules
of Civil Procedure.
(e) Nothing in this section shall restrict any right which any
person (or class of persons) may have under any statute or common
law to seek enforcement of any effluent standard or limitation or
to seek any other relief (including relief against the Administrator
or a State agency).
(F) For purposes of this section, the term “effluent standard or
limitation under this Act” means (1) effective July 1, 1973, an un-
lawful act under subsection (a) of section 301 of this Act; (2) an ef-
fluent limitation or other limitation under section 301 or 302 of
this Act; (3) standard or performance under section 306 of this Act;
(4) prohibition, effluent standard or pretreatment standards under
section 307 of this Act (5) certification under section 401 of this
Act; (6) a permit or condition thereof issued under section 402 of
this Act, which is in effect under this Act (including a requirement
applicable by reason of section 313 of this Act); or (7) a regulat’ofl
under section 405(d) of this Act,.’
(g) For the purposes of this section the term “citizen” means
a person or persons having an interest which is or may be ad-
versely affected.
(h) A Governor of a State may commence a civil action under
subsection (a), without regard to the limitations of subsection (b) of
this section. against the Administrator where there is alleged a
failure of the Administrator to enforce an emuent standard or limi-
tation under this Act the violation of which is occurring in another
State and is causing an adverse effect on the public health or wel-
fare in his State, or is causing a violation of any water quality re-
quirement in his State.
(33 U.S.C. 1366)
APPEARANCE
SEc. 506. The Administrator shall request the Attorney Gen-
eral to appear and represent the United States in any civil or
criminal action instituted under this Act to which the Adminis-
trator is a party. Unless the Attorney General notifies the Adminis-
trator within a reasonable time, that he will appear in a civil ac-
tion. attorneys who are officers or employees of the Environmental
Protection Agency shall appear and represent the United States in
such action.
(33 USC 1366)
EMPLOYEE PROTECTION
SEc. 507. (a) No person shall fire, or in any other way discrimi-
nate against, or cause to be fired or discriminated against, any em-
ployee or any authorized representative or employees by reason of
the fact that such employee or representative has filed, instituted,
or caused to be filed or instituted any proceeding under this Act,
or has testified or is about to testify in any proceeding resulting
from the administration or enforcement of the provisions of this
Act.
(b) Any employee or a representative of employees who believes
that he has been fired or otherwise discriminated against by any
person in violation of subsection (a) of this section may, within thir-
ty days after such alleged violation oecurs, apply to the Secreta
of Labor for a review of such firing or alleged discrimination.
copy of the application shall be sent to such person who shall be
the respondent. Upon receipt of such application, the Secretary of
Labor shall cause such investigation to be made as he deems ap-
propriate. Such investigation shall provide n opportunity for a
public hearing at the request of any party to such review to enable
the parties to present information relating to such alleged viola-
tion. The parties shall be given written notice of the time and place
of the hearing at least five days prior to the hearing. Any such
hearing shall be of record and shall be subject to section 554 of title
5 of the United States Code. Upon receiving the report of such in-
vestigation, the Secretary of Labor shall make findings of fact. If
‘So In law So. P.L 700-4. . 406(4X2). 101 St.L 73
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203 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 501 Sec. 500
FEDERAL WATER POLLUTION CONTROL ACT 204
he finds that such violation did occur, he shall issue a decision, in-
corporating an order therein and his findings, requiring the party
committing such violation to take such affirmative action to abate
the violation as the Secretary of Labor deems appropriate, includ-
ing, but not limited to, the rehiring or reinstatement of the em-
ployee or representative of employees to his former position with
compensation. If he finds that there was no such violation, he shall
issue an order denying the application. Such order issued by the
Secretary of Labor under this subparagraph shall be subject to ju-
dicial review in the same manner as orders and decisions of the
Administrator are subject to judicial review under this Act.
(c) Whenever an order is issued under this section to abate
such violation, at the request of the applicant, a sum equal to the
aggregate amount of all costs and expenses (including the attor-
ney’s fees), as determined by the Secretary of Labor, to have been
reasonably incurred by the applicant for, or in connection with, the
institution and prosecution of such proceedings, shall be assessed
against the person committing such violation.
(d) This section shall have no application to any employee who,
acting without direction from his employer (or his agent) delib-
erately violates any prohibition of effluent limitation or other limi-
tation under section 301 or 302 of this Act, standards of perform-
ance under section 306 of this Act, effluent standard, prohibition or
pretreatment standard under section 307 of this Act, or any other
prohibition or limitation established under this Act.
(e) The Administrator shall conduct continuing evaluations of
potential loss or shifts of employment which may result from the
issuance of any effluent limitation or order under this Act, includ-
ing, where appropriate, investigating threatened plant closures or
reductions in employment allegedly resulting from such limitation
or order. Any employee who is discharged or laid off, threatened
with discharge or lay-off or otherwise discriminated against by any
person because of the aheged results of any effluent limitation or
order issued under this Act, or any representative of such em-
ployee, may request the Administrator to conduct a full investiga-
tion of the matter. The Administrator shall thereupon investigate
the matter and, at the request of any party, shall hold public hear-
ings on not less than five days notice, and shall at such hearings
require the parties, including the employer involved, to present in-
formation relating to the actual or potential effect of such limita-
tion or order on employment and on any alleged discharge, lay-off,
or other discrimination and the detailed reasons or justification
therefor. Any such hearing shall be of record and shall be subject
to section 554 of title 5 of the United States Code. Upon receiving
the report of such investigation, the Administrator shall make find-
ings of fact as to the effect of such effluent limitation or order on
employment and on the alleged discharge, lay-off, or discrimination
and shall make such recommendations as he deems appropriate.
Such report, findings, and recommendations shall be available to
the public. Nothing in this subsection shall be construed to require
or authorize the Administrator to modify or withdraw any effluent
limitation or order issued under this Act.
‘J C. 1367)
FEDERAL PROCUREMENT
SEc. 508. (a) No Federal agency may enter into any contract
with any person, who has been convicted of any offense under sec-
tion 309(c) of this Act, for the procurement of goods, materials, and
services if such contract is to be performed at any facility at which
the violation which gave rise to such conviction occurred, and if
such facility is owned, leased, or supervised by such person. The
prohibition in the preceding sentence shall continue until the Ad-
ministrator certifies that the condition giving rise to such convic-
tion has been corrected.
(b) The Administrator halI establish procedures to provide all
Federal agencies with the notification necessary for the purposes of
subsection (a) of this section.
(c) In order to implement the purposes and policy of this Act
to protect and enhance the quality of the Nation’s water, the Presi-
dent shall not more than one hundred and eighty days after enact-
ment of th 8 Act, cause to be issued an order (1) requiring each
Federal agency authorized to enter into contracts and each Federal
agency which is empowered to extend Federal assistance by way of
grant, loan, or contract to effectuate the purpose and policy of this
Act in such contracting or assistance activities, and (2) setting forth
procedures, sanctions, penalties, and such other provisions, as the
President determines necessary to carry out such requirement.
(dl The President may exempt any contract, loan, or grant
from all or part of the provisions of this section where he deter-
mines such exemption is necessary in the paramount interest of
the United States and he shall notify the Congress of such exemp-
tion.
(e) The President shall annually report to the Congress on
measures taken in compliance with the purpose and intent of this
section, including, but not limited to, the progress and problems as-
sociated with such compliance.
(t)( 1) No certification by a contractor, and no contract clause,
may be required in the case of a contract for the acquisition of com-
mercial items in order to implement a prohibition or requirement
of this section or a prohibition or requirement issued in the imple-
mentation of this section.
(2) In paragraph (1), the term ‘commercial item” has the
meaning given such term in section 4(12) of the Office of Federal
Procurement Policy Act (41 U.S.C. 403(12)).
(33 U.S.C. 1368)
ADMINISTRATIVE PROCEDURE AND JUDICIAL REVIEW
SEC. 509. (aX 1) For purposes of obtaining information under
section 305 of this Act, or carrying out section 507(e) of this Act.
the Administrator may issue subpenas for the attendance and testi-
mony of witnesses and the production of relevant papers, books,
and documents and he may administer oaths. Except for emuent
data, upon a sf owing satisfactory to the Administrator that such
papers, books, documents, or information or particular part thereof,
if made public, would divulge trade secrets or secret processes, the
Administrator shall consider such record, report, or informati in or
particular portion thereof confidential in accordance with the puT-
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205 FROERAL WATER POLLUTION CONTROL &CT
Scs 509 Sec 510
FEO P.AL WAIRN POLLUTION CONTROL Ad 205
poses of section 1905 of title 18 of the United States Code, except
that such paper, book document, or information may be disclosed
to other officers, employees, or authorized representatives of the
United States concerned with carrying out this Act, or when rel-
evant in any proceeding under this Act. Witnesses summoned shall
be paid the same fees and mileage that are paid witnesses in the
courts of the United States. In case of contumacy or refusal to obey
a suhpena served upon any person under this subsection, the dis-
trict court of the United States for any district in which such per-
son is found or resides or transact. business, upon application by
the United States and after notice to such person, shall have juris-
diction to issue an order requiring such person to appear and give
testimony before the Administrator, to appear and produce papers.
books, and documents before the Administrator, or both, and any
failure to obey such order of the court may be punished by such
court as a contempt thereof.
(2) The diatrict courts of the United States are authorized,
upon application by the Administrator, to issue subpenaa for at-
tendance and testimony of witnesses and the production of relevant
papers, books, and documents, for purposes of obtaining inforina-
Lion under sections 304 (b) and (c) of this Act. Any papers, books,
documents, or other information or part thereof, obtained by reason
of such a subpena shall be subject to the same requirements as are
provided in paragraph (1) of this subsection.
(bXI) Review of the Administrator’s action (A) in promulgating
any standard of performance under section 306, (B) in making any
determination pursuant to section 306(bX1XC), (C) in promulgating
any emuent standard, prohibition, or pretreatment standard under
section 307, (D) in making any determination as to a State permit
program submitted under section 402(b), (E) in approving or pro.
mulgating any effluent limitation or other limitation under sections
301. 302, 306, or 4O5 (F) in issuing or denying any permit under
section 402, and (G) in promulgating any individual control strat-
egy under section 304(1), may be had by any intereated person in
the Circuit Court of Appeals of the United States for the Federal
judicial district in which ouch person resides or transacta business
which is directly affected by such action upon application by such
person. Any such application shall be made within 120 days from
the date of such determination, approval, promulgation, issuance or
denial, or after such date only if such application is based solely
on grounds which arose after such 120th day.
(2) Action of the Administrator with respect to which review
could have been obtained under pararaph (1) of this subsection
shall not be subject to judicial review in any civil or criminal pro-
ceeding for enforcement.
(3) Aw 1w or rsis.—In any judicial proceeding under this
subsection, the court may award costa of litigation (including
reasonable attorney and expert witness fees) to any prevailing
or substantially prevailing party whenever it determines that
such award is appropriate.
(c) In any judimal proceeding brought under subsection (b) of
this section in which review is sought of a determination under this
Act required to be made on the record after notice and opportunity
for bearing, if any party applies to the court for leave to adduce
additional evidence, and shows to the satisfaction of the court that
such additional evidence is material and that there were reason-
able grounds for the failure to adduce such evidence in the proceed-
ing before the Administrator, the court may order such additional
evidence (and evidence in rebuttal thereofl to be taken before the
Administrator, in such manner and upon such terms and comb-
tiona as the court may deem proper. The Administrator may modify
his findings as to the facts, or make new findings, by reason of the
additional evidence so taken and he shall file such modified or new
findings, and his recommendation, if any, for the modification or
setting aside of his original determination with the return of such
additional evidence.
(33 U.S.C. 1369)
STATE AUTHORITY
SEC. 510. Except as expressly provided in this Act, nothing in
this Act shall (1) preclude or deny the right of any State or political
subdivision thereof or interstate agency to adopt or enforce (A) any
standard or limitation respecting discharges of pollutants, or (B)
any requirement respecting control or abatement of pollution; ex-
cept that if an effluent limitation, or other limitation. emuent
standard, prohibition, pretreatment standard, or standard of per-
formance is in effect under this Act, such State or political subdivi-
sion or interstate agency may not adopt or enforce any emuent lim-
itation, or other limitation, effluent standard, prohibition,
pretreatment standard, or standard of performance which is less
stringent than the effluent limitation, or other limitation, effluent
standard prohibition, pretreatment standard, or standard of per-
formance under this Act; or (2) be construed as impairing or in any
manner affecting any right or jurisdiction of the States with re-
spect to the waters (including boundary waters) of such States.
(33 U.S.C. 1370)
OTHER APFECTED AUTHORITY
SEC. 511. (a) This Act shall not be construed as (1) limiting the
authority or functions of any officer or agency of the United States
under any other law or regulation not inconsistent with this Act;
(2) affecting or impairing the authority of the Secretary of the
Army (A) to maintain navigation or (B) under the Act of March 3,
1899 (30 Stat. 1112); except that any permit issued under section
404 of this Act shall be conclusive as to the effect on water quality
of any discharge resulting from any activity subject to section 10
of the Act of March 3, 1899, or (3) affecting or impairing the provi-
sions of any treaty of the United SLates.
(b) Discharges of pollutants into the navigable waters subject
to the Rivers and Harbors Act of 1910 (36 Stat. 593; 33 U.S.C. 421)
and the Supervisory Harbors, Act of 1888 (25 Stat. 209; 33 U.S.C.
441—451b) shall be regulated pursuant to this Act, and not subject
to such Act of 1910 and the Act of 1888 except as to effect on navi-
gation and anchorage.
(cX 1) Except for the provision of Federal financial assistance
for the purpose of assisting the construction of publicly owned
treatment works as authorized by section 201 of this Act, and the
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207 FEDERAL WAlER POWJTION CONTROL ACT
Sec. 513 Sec. 514
FEDERAL WATER POUJITION CONTROL ACT 208
issuance of a permit under section 402 of this Act for the discharge
of any pollutant by a new source as defined in section 306 of this
Act, no action of the Administrator taken pursuant to this Act shall
be deemed a major Federal action significantly affecting the quality
of the human environment within the meaning of the National En-
vironmental Policy Act of 1969 (83 Stat. 852); and
(2) Nothing in the National Environmental Policy Act of 1969
(83 Stat. 852) shall be deemed to—
(A) authorize any Federal agency authorized to license or
permit the conduct of any activity which may result in the dis-
charge of a pollutant into the navigable waters to review any
effluent limitation or other reqwrement established pursuant
to this Act or the adequacy of any certification under section
401 of ths Act; or
(B) authorize any such agency to impose, as a condition
precedent to the issuance of any license or permit, any effluent
limitation other than any such limitation established pursuant
to this Act.
(d) Notwithstanding this Act or any other provisions of law, the
Administrator (1) shall not require any State to consider in the de-
velopment of the ranking in order of priority of needs for the con-
struction of treatment works (as defined in title II of this Act), any
water pollution control agreement which may have been entered
into between the United States and any other nation, and (2) shall
not consider any such agreement in the approval of any such prior-
ity ranking.
(33 U.S.C. 1371)
SEPARABILITY
SEC. 512. If any provision of this Act, or the application of any
provision of this Act to any person or circumstance, is held invalid,
the application of such provision to other persona or circumstances,
and the remainder of this Act shall not be affected thereby.
(33 U.S.C. 1251 not.)
LABOR STANDARDS
Sac. 513. The Mministrator shall take such action as may be
necessary to insure that all laborers and mechanics employed by
contractors or subcontractors on treatment works for which grants
are made under this Act shall be paid wages at rates not less than
those prevailing for the same type of work on similar construction
in the immediate locality, as determied by the Secretry of Labor,
in accordance with the Act of March 3, 1931, as amended, known
as the Davis-Bacon Act (46 Stat. 1494; 40 U.S_c., sec. 276a through
276a—6). The Secretary of Labor shall have, with respect to the
labor standards specified in this subsection, the authority and func-
tions set forth in Reorganization Plan Numbered 14 of 1950 (15
F.1t 3176) and section 2 of the Act of June 13, 1934, as amended
(48 Stat 948; 40 US.C. 276c).
‘‘ U.S.C. 1372)
PUBLIC HEALTh AGENCY COORDINATION
Sac. 514. The permitting agency under section 402 shall assist
the applicant for a permit under such section in coordinating the
requirements of this Act with those of the appropriate public health
agencies.
(33 U.S.C. 1373)
EFFLUENT STANDARDS AND WATER QUALITY INFORMATION ADVISORY
COMMITIEE
Sac. 515. (aX 1) There is established on Effluent Standards and
Water Quality Information Advisory Committee, which shall be
composed of a Chairman and eight members who shall be ap-
pointed by the Administrator within sixty days after the date of en-
actment of this Act.
(2) All members of the Committee shall be selected from the
scientific community, qualified by education, training, and experi-
ence to provide assess, and evaluate scientific and technical infor-
mation on effluent standards and limitations.
(3) Members of the Committee shall serve for a term of four
years, and may be reappointed.
(bXl) No later than one hundred and eighty days prior to the
date on which the Administrator is required to publish any pro-
posed regulations required by section 304(b) of this Act, any pro-
posed standard of performance for new sources required by section
306 of this Act, or any proposed toxic effluent standard required by
section 307 of this Act, he shall transmit to the Committee a notice
of intent to propose such regulations. The Chairman of the Com-
mittee within ten days after receipt of such notice may publish a
notice of a public hearing by the Committee, to be held within thir-
ty days.
(2) No later than one hundred and twenty days after receipt
of such notice, the Committee shall transmit to the Administrator
such scientific and technical information as is in its possession, in-
cluding that presented at any public hearing, related to the subject
matter contained in such notice.
(3) Information so transmitted to the Administrator shall con-
stitute a part of the administrative record and comments on any
proposed regulations or standards as information to be considered
with other comments and information in making any final deter-
minations.
(4) In preparing information for transmittal, the Committee
shall avail itself of the technical and scientific services of any Fed-
eral agency, including the United States Geological Survey and any
national environmental laboratories which may be established.
(CX 1) The Committee shall appoint and prescribe the duties of
a Secretary, and such legal counsel as it deems necessary. The
Committee shall appoint such other employees as it deems nec-
essary to exercise and fulfill its powers and responsibilities. The
compensation of all employees appointed by the Committee shall be
fixed in accordance with chapter 51 and subchapter III of chapter
53 of title V of the United States Code. —
(2) Members of the Committee shall be entitled to recei com-
pensation at a rate to be fixed by the President but not n excess
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209 FEDERAL. WATER PIIWITION CONTROL ACT
Sec. 51$ Sec. SIN
FEDERAL WATER POUDIIOM CONTROL ACT - 210
of the maximum rate of pay grade for GS—1B, as provided in the
General Schedule under section 6332 of tit1 V of the United States
Code.
(d) Five members of the Committee shall constitute a quorum,
and official actions of the Committee shalt be taken only on the af-
firmative vote of at least five members. A special panel composed
of one or more members upon order of the Committee shall conduct
any hearing authorized by this section and submit the transcript
of such hearing to the entire Committee for its action thereon.
Ce) The Committee La authorized to make such rules as are nec-
easary for the orderly transaction of its business.
(33 U.S C. 1374)
REPOR7S TO CONGRESS
Sac. 516. (a) Within ninety days following the convening of
each session of Congress, the Administrator shall submit to the
Congress a report, In addition to any other report required by this
Act, on measures taken toward implementing the objective of this
Act, including, but not limited to, (1) the progress and problems as-
sociated with developing comprehensive plans under section 102 of
this Act, areawide plans under section 208 of this Act, basin plans
under section 209 of this Act, and plans under section 303(e) of this
Act; (2) a summary of actions taken and results achieved in the
field of water pollution control research, experiments studies, and
related matters by the Administrator and other FeJera agencies
and by other persons and agencies under Federal grants or con-
tracts; (3) the pro reos and problems associated with the deveLop-
ment of emuent Limitations and recommended control techniques;
(4) the status of State programs, including a detailed summary of
the progress obtained as compared to that planned under the State
program plans Ibr development and enforcement of water quality
requirements; (5) the identification and status of enforcement Sc.
Lions pending or completed under such Act during the preceding
year, (6) the status of State, interstate, and local pollution control
programs established pursuant to, and assisted by, this Act; (7) a
summary of the results of the survey required to be taken under
section 210 of this Act; (8) his activities including recommendations
under sections 109 through 111 of this Act and (9) all reports and
recommendations made by the Water Pollution Control Advisory
Board,
(bXI) The Administrator, In cooperation with the States, in-
cluding water pollution control agencies and other water pollution
control planning agencies, shall make (A) a detailed estimate of the
coat of canytug out the provisions of this Act; (B) a detailed esti-
mate, biennially revised, of the cost of construction of all needed
publicly owned treatment works in all of the States and of the coat
of construction of all needed publicly owned treatment works in
each of the States; (C) a comprehensive study of the economic im-
pact on affected units of gevernment of the cost of installation of
treatment facilities; and (D) a comprehensive analysis of the na-
tional requirements for and the cost of treating municipal, indus-
trial, and other effluent to attain the water quality objectives as es-
tablished by this Act or applie -shle State law. The Administrator
shall submit such detailed estimate and such comprehensive arudy
of such cost to the Congress no later than February 10 of each odd-
numbered year. Whenever the Administrator, pursuant to this sub-
section. requests and receives an estimate of cost from a State, he
shall furnish copies of such estimate together with such detailed
estimate to Congress.
(2) Notwithstanding the second sentence of paragraph (1) of
this subsection, the Administrator shall make a preliminary de-
tailed estimate called for y ubparagraph (B) of such paragraph
and shall submit such preliminary detailed estimate to the Con.
gress no later than September 3, 1974. The Administrator shall re-
quire each State to prepare an estimate of cost for such State, and
shall utilize the survey form EPA—I, O.M.B. No. I58—R0017. pre-
pared for the 1973 detailed estimate, except that such estimate
shall include all costs of compliance with section 201(gX2XA) of this
Act and water quality standards established pursuant to section
303 of this Act, and all coats of treatment works as defined in sec-
tion 212(2), including all eligible coats of constructing sewage col-
lection systems and correcting excessive infiltration or inflow and
all eligible costa of correcting combined storm and sanitary sewer
problems and treating storm water flows. The survey form shall be
distributed by the Administrator to each State no later than Janu-
ary 31, 1974.
(c) The Administrator shalt submit to the Congress by October
1, 1978, a report on the status of combined sewer overflows in mu-
nicipal treatment works operations. The report shall include (1) the
status of any projects funded under this Act to address combined
sewer overflows, (2) a listing by State of combined sewer overflow
needs identified in the 1977 State priority listings, (3) an estimate
for each applicable municipality of the number of years necessary.
assuming an annual authorization and appropriation for the con-
struction grants program of $5,000,000,000 to correct combined
sewer overflow problems, (4) an analysis using representative mu-
nicipalities faced with major combined sewer overflow needs, of the
annual discharges of pollutants from overflows in comparison to
treated affluent discharges, (5) an analysis of the technological al-
ternatives available to municipalities to correct major combined
sewer overflow problems, and (6) any recommendations of the Ad-
ministrator for legislation to address the problem of combined
sewer overflows, including whether a separate authorization and
grant program should be established by the Congress to address
combined sewer overflows.
(d) The Mministrator, in cooperation with the States, includ-
ing water pollution control agencies, and other water pollution con-
trol planning agencies, and water supply and water resources agen-
cies of the States and the United States shall submit to Congress,
within two years of the date of enactment of this section, a report
with recommendations for legislation on a program to reqwre co-
ordination between water supply and wastewater control plans as
a condition to grants for construction of treatment works under this
Act. No such report shall be submitted except after opportunity for
public hearings on such proposed report.
(e) STATE REvoLVING Fwio RE1owr.
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211 FEDERAl. WATER POLLUTION CONTROL ACT
Sec. 517 Sec. 510
FEDERAL WATER POLLUTION CONTROL ACT 717
(1) IN CENERAL —NOt later than February 10, 1990, the
Administrator shall submit to Congress a report on the (‘man-
cial status and operations of water pollution control revolving
funds established by the States under the title VI of this Act.
The Administrator shall prepare such report in cooperation
with the States, including water pollution control agencies and
other water pollution control planning and financing agencies.
(2) CONTEWIS.—The report under this subsection shall also
include the following:
(A) an inventory of the facilities that are In significant
noncompliance with the enforceable requirements of this
Act;
(B) an estimate of the coat of construction neceeBary to
bring such facilities into compliance with such require-
ments;
(C) an assessment of the availability of sources of
funds for financing such needed construction, including an
estimate of the amount of funds available for providing as-
sistance for such construction through September 30, 1999,
from the water pollution control revolving funds estab-
lished by the States under title VI of this Act;
(D) an assessment of the operations, loan portfolio,
and loan conditions of such revolving funds;
(E) an assessment of the effect on user charges of the
assistance provided by such revolving funds compared to
the assistance provided with funds appropriated pursuant
to section 207 of this Act; and
(F) an assessment of the efficiency of the operation
and maintenance of treatment works constructed with as-
sistance provided by such revolving funds compared to the
efficiency of the operation and maintenance of treatment
works constructed with assistance provided under section
201 of this Act.
(33 U.s C. 1376)
GENERAL AUTHORIZATION
SEc. 517. There are authorized to be appropriated to carry out
this Act, other than sections 104, 105. 106(a), 107, 108, 112, 113,
114, 115, 206, 207, 208 (f) and (h), 209, 304, 311 (c), (d), (i), (I), and
(k), 314, 315, and 317, $250,000,000 for the fiscal year ending June
30, 1973, $300,000,000 for the fiscal year ending June 30, 1974,
$350,000,000 for the fiscal year ending June 30, 1975, $100,000,000
for the fl caI year ending September 30, 1977, $150,000,000 for the
fiscal year ending September 30, 1978, $150,000,000 for the fiscal
year ending September 30, 1979, $150,000,000 for the fiscal year
ending September 30, 1980, $150,000,000 for the fiscal year ending
September 30, 1981. $161,000,000 for the fiscal year ending Sep-
tember 30, 1982, such sums as may be necessary for fiscal years
1983 through 1985, and $135,000,000 per fiscal year for each of the
fiscal years 1986 through 1990.
(33 US.C. 1378)
SEC. 518. INDIAN TRIBES.
(a) Poucy.—Nothing in this section shall be construed to affect
the application of section 101(g) of this Act, and all of the provi-
sions of this section shall be carried out in accordance with the pro-
visions of such section 101(g). Indian tribes shall be treated as
States for purposes of such section 10 1(g).
(b) ASSESSMENT OF SEwAGE TREATMENT NEEDS; REPORT.—The
Administrator, in cooperation with the Director of the Indian
Health Service, shall assess the need for sewage treatment works
to serve Indian tribes the degree to which such needs will be met
through funds allotted to States under section 205 of this Act and
priority lists under section 216 of this Act, and any obstacles which
prevent such needs from being met. Not later than one year after
the date of the enactment of this section, the Administrator shall
submit a report to Congress on the assessment under this sub-
section, along with recommendations speci(ying (1) how the Admin-
istrator intends to provide assistance to Indian tribes to develop
waste treatment management plans and to construct treatment
works under this Act, and (2) methods by which the participation
in and administration of programs under this Act by Indian tribes
can be maximized.
(c) RESERVATION OF FUNDS—The Administrator shall reserve
each fiscal year beginning after September 30, 1986, before allot-
ments to the States under section 205(e), one-half of one percent
of the sums appropriated under section 207. Sums reserved under
this subsection shall be available only for grants for the develoment
of waste treatment management plans and for the construction of
sewage treatment works to serve Indian tribes, as defined in sub-
section (h) and former Indian reservations in Oklahoma (as deter-
mined by the Secretary of the Interior) and Alaska Native Villages
as defined in Public Law 92-203.
(d) COOPERATIVE AGREEMENTS—In order to ensure the consist-
ent implementation of the requirements of this Act, an Indian tribe
and the State or States in which the lands of such tribe are located
may enter into a cooperative agreement, subject to the review and
approval of the Administrator, to jointly plan and administer the
requirements of this Act.
(e) TREATMENT AS STATes—The Administrator is authorized to
treat an Indian tribe as a State for purposes of title II and sections
104, 106, 303, 305, 308, 309, 314, 319, 401, 402, and 404 of this
Act to the degree necessary to carry out the objectives of this sec-
tion, but only if—
(1) the Indian tribe has a governing body carrying out sub-
stantial governmental duties and powers;
(2) the functions to be exercised by the Indian tribe pertain
to the management and protection of water resources which
are held by an Indian tribe, held by the United States in trust
for Indians, held by a member of an Iiidian tribe if such prop-
erty interest is subject to a trust restriction on alienation, or
otherwise within the borders of an Indian reservation; and
(3) the Indian tribe is reasonably expected to be capable,
in the Administrato?s judgment, of carrying out the fri rtions
to be exercised in a manner consistent with the terms and pur-
poses of this Act and of all applicable regulations.
-------
FEDERAL WATER POWJTIP! CONTROL ACT
Sac. SIR
Sec. 5l
FEDERAL WATER POllUTION CONTROL ACT 214
213 _____________
Such treatment as a State may include the direct provision of
funds reserved under subsection (c) to the governing bodies of In-
d ian tribes and the determination of priorities by Indian tribes,
where not ãetermined by the Administrator in cooperation with the
Director of the Indian Health Service. The Administrator, in co-
operation with the Director of the Indian Health Service, is author-
ized to make grants under title II of this Act in an amount not to
exceed 100 percent of the cost of a project. Not later than 18
months after the date of the enactment of this section, the Admin-
istrator shall, in consultation with Indian tribes, promulgate final
regulations which specify how Indian tribes shall be treated as
States for purposes of this Act. The Administrator shall, in Promul-
gating such regulations, consult affected States sharing common
water bodies and provide a mechanism for the resolution of any un-
reasonable consequences that may arise as a result of differing
water quality standard. that may be set by States and Indian
tribes located on common bodies of water. Such mechanism shall
provide for explicit consideration of relevant factors including, but
not limited to, the effect. of differing water quality permit require-
ments on upstream and downstream dischargers, economic im-
pacts, and present and historical uses and quality of the waters
subject to such standards. Such mechanism should provide for the
avoidance of such unreasonable consequences in a manner consist-
ent with the objective of this Act.
(I) GwrN FOR NONPOINT SOURCE Pgocw s.—The Adminis-
trator shall make grants to an Indian tribe under section 319 of
this Act as though such tribe was a State. Not more than one-third
of one percent el the amount appropriated for any fiscal year under
section 319 may be used to make grants under this subsection. In
addition to the requirements of section 319, an Indian tribe shall
be required to meet the requirements of paragraphs (1), (2), and (3)
of subsection (d) of this section in order to receive such a pant.
(g) AIASICA NATIVE OaGANIzATI0N5 .—No provision of this Act
shall be construed to—
(1) grant, enlarge, or diminish, or in any way affect the
scope of the governmental authority, if any, of any Alaska Na-
tive organization, including any federally-recognized tribe, tra-
ditional Alaska Native council, or Native council organized
pursuant to the Act of June 18, 1934 (48 Stat. 987), over lands
or persons In latafr* ;
(2) create or validate any assertion by such organization or
any form of governmental authority over lands or persons in
Alaeka ; or
(3) in any way affect any assertion that Indian country, as
defined in section 1151 of title 18, United States Code, exist.
or does not exist in Alaska.
(h) DEPINm0N&—For purposes of this section, the term—
(1) “Federal Indian reservation” means all land within the
limit. of any Indian reservation under the jurisdiction of the
United States Government, notwithstanding the issuance of
any patent, and including rights-of-way running through the
reservation; and
‘ri .b3r bgald b subascUas (d
(2) “Indian tribe” means any Indian tribe, band, group 1 or
community recognized by the Secretary of the Interior andex-
ercising governmental authority over a Federal Indian reserva-
tion.
(33 U.S.C. 1377)
SHORT TITLE
SEc. 519. This Act may be cited as the “Federal Water Pollu-
tion Control Act” (commonly referred to as the Clean Water Act).
(33 U.S.C. 1251 note)
TITLE Vl—STATE WATER POLLUTION CONTROL
REVOLVING FUNDS
SEC. 601. GRANTS TO STAT FOR ESTABLISHMENT OF REVOLVING
FUNDS.
(a) GENERAL ALmiORITY.—Subject to the provisions of this
title, the Administrator shall make capitalization grants to each
State for the purpose of establishing a water pollution control re-
volving fund for providing assistance (1) for construction of treat-
meni. works (as defined in section 212 of this Act) which are pub-
licly owned, (2) for implementing a management program under
section 319, and (3) for developing and implementing a conserva-
tion and management plan under section 320.
(b) SCHEDULE OF GIIANT PAYMENTS—The Administrator and
each State shall jointly establish a schedule of payments under
which the Administrator will pay to the State the amount of each
grant to be made to the State under this title. Such schedule shall
be based on the State’s intended use plan under section 606(c) of
this Act, except that—
(1) such payments shall be made in quarterly installments,
and
(2) such payments shall be made as expeditiously as pos-
sible, but in no event later than the earlier of—
(A) 8 quarters after the date such funds were obligated
by the State, or
(B) 12 quarters after the date such funds were allotted
to the State.
(33U.SC. 1381)
SEC. 608. CAPITALIZATION GRANT AGREEMENTS.
(a) GENERAL RuLE.—To receive a capitalization grant with
funds made available under this title and section 205(m) of this
Act, a State shall enter into an apeement with the Administrator
which shall include but not be limited to the specifications set forth
in subsection (b) of this section.
(b) SPECIFIC REQUIREMENTS.—The Administrator shall enter
into an agreement under this section with a State only after the
State has established to the satisfaction of the Administrator
that —
(1) the State will accept grant payments with funds to be
made available under this title and section 205(m) of this Act
in accordance with a payment schedule established jointly by
the Administrator under section 601(b) of this Act and will de.
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215 FEDERAL WATER POLLUTION CONTROL ACT
Sec. 602 Sec. 603
FEDERAL WATER PO UJTI0N CONTROL ACT 216
posit all such payments in the water pollution control revolving
fund established by the State in accordance with this title;
(2) the State will deposit in the fund from State moneys
an amount equal to at least 20 percent of the total amount of
all capitalization grants which will be made to the State with
funds to be made available under this title and section 205(m)
of this Act on or before the date on which each quarterly grant
payment will be made to the State under this title;
(3) the State will enter into binding commitments to pro-
vide assistance in accordance with the requirements of this
title in an amount equal to 120 percent of the amount of each
such grant payment within 1 year after the receipt of such
grant payment;
(4) all funds in the fund will be expended in an expeditious
and timely manner;
(5) all funds in the fund as a result of capitalization grants
under this title and section 205(m) of this Act will first be used
to assure maintenance of progress, as determined by the Coy-
e nor of the State, toward complianc, with enforceable dead-
lines, goals, and requirements of this Act, including the munic-
ipal compliance deadline;
(6) treatment works eligible under section 603(cXl) of this
Act which will be constructed in whole or in part before fiscal
year 1995 with funds directly made available by capitalization
grants under thi. title and section 205(m) of this Act will meet
the requirements o1 or otherwise be treated (as determined by
the Governor of the State) under sections 201(b), 201(gX 1),
201(gX2), 201(gX3), 201(gX6), 201(gX6), 201(nXl), 201(o),
2 O4(aXl), 204(aX2), 204(bXl), 204(dX2), 211, 218, &11(cXl), and
513 of this Act in the same manner as treatment works con-
structed with assistance under title H of this Act;
(7) in addition to complying with the requirements of this
title, the State will commit or expend each quarterly grant
payment which it will receive under this title in accordance
with laws and procedures applicable to the commitment or ex-
penditure of revenues of the State;
(8) in carrying out the requirements of section 606 of this
Act, the State will use accounting, audit, and fiscal procedures
conforming to generally accepted government accounting
standards;
(9) the State will require as a condition of making a loan
or providing other assistance, as described In sectIon 603(d) of
this Act, from the fund that the recipient of such assisfance
will maintain project accounts in accordance with generally ac-
cepted government accounting standards; and
(10) the State will make annual report. to the Mminia-
trator on the actual use of’ funds in accordance with section
606(d) of this Act.
(33 U.S.C. 1382)
SEC. 603. WATER POLLUTION CONTROL REVOLVING LOAN FUNDS.’
(a) REQUIREMENTS FOR OBuGATI0N OF GaANr FuNDS—Before
a State may receive a capitalization grant with funds made avail-
able under this title and section 205(m) of this Act, the State shall
first establish a water pollution control revolving fund which com-
plies with the requirements of this section.
(b) ADMINISTRATOR—Each State water pollution control revolv-
ing fund shall be administered by an instrumentality of the State
with such powers and limitations as may be required to operate
such fund in accordance with the requirements and objectives of
this Act.
(c) PROJECTS ELIGIBLE FOR ASSISTANCE—The amounts of
funds available to each State water pollution control revolving fund
shall be used only for providing financial assistance (1) to any mu-
nicipality, intermunicipal, interstate, or State agency for construc-
tion of publicly owned treatment works (as defined in section 212
of this Act), (2) for the implementation of a management program
established under section 319 of this Act, and (3) for development
and implementation of a conservation and management plan under
section 320 of this Act. The fund shall be established, maintained,
and credited with repayments, and the fund balance shall be avail-
able in perpetuity for providing such financial assistance. 2
(d) TYPES OF ASSISTANCE—Except as otherwise limited by
State law, a water pollution control revolving fund of a State under
this section may be used only—
(1) to make loans, on the condition that,—
(A) such loans are made at or below market interest
rates, including interest free loans, at terms not to exceed
20 years;
(B) annual principal and interest payments will com-
mence not later than 1 year after completion of any project
and all loans will be fully amortized not later than 20
years after project completion;
(C) the recipient of a loan will establish a dedicated
source of revenue for repayment of loans; and
‘See section 104 5 of the Marine Protection Reeeaidl and Sanctuaries Mt or 1972 (33 USC
1414G) for sddltaonal amount. that are lob. epc.ited into. Stales fund and treatment of such
deposit.
‘Section *005 of the Ocean Dumping Ban Mt of 1988 (P L *00-688) ic sa follows.
SEC. lOSS. USE OF ATE WATER POW ON CONTROl. REVOLVING FUND
GRANTS FOR DEVELOPING ALIERNATIVE SYSTEM&
(a) Ogneari. Rs urnauewr —Notwithstanding the provision. of title Vi of the Federal Water
Pollution Control Act, each of the States of New York and New Jersey .k.I) use *0 percent ol
the amount of s grant payment made to such State under such title for each of the fiscal years
1990 and 1991 and 10 percent of the States contribution associated with such grant payment
in the 6.moiith period beginning on the date of receipt of such grant payment for making loan.
snd providing other assistance as described in section 603(d) of the Federal Water Pollution
Control Act to any governmental entity in such Stats which ha. entered into a compliance
agreement or enforoement agreement wider .sctlon 1048 of Ui. Marine Protection, Research.
and Sanctuaries Act of 1972 Far identifying developing, and Implementing pursuant to such sec
tion alternative system. for msnagement of sewage aludge
(bi Luirra eow —Il’. alter the last day of the Smooth period beglnningon the dat . of receipt
of a grant payment by the Stat, of New Yoch or New Jersey under title VI of the Federal Water
Pollution Control Act for each .f fIscal years 1990 and 1991. *0 percent of the amount of.sucli
grant payment and the State’s contribution —‘ Ied with such grant psyment has n.t been
used for providing auistancs ds.cnb.d In subsection (a) as a ,eault of ui.uflicient apç’l - .tiona
for such alsistenee from person . .ligibl. For such aislatance. the *0 peveant bmitabons foeth
In aubeection (a) shall not ha applicable with respect to such grant payment and associated Stat.
o snta lbutio
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217 IEDER L WATER POLLUTIWI COIITROL ACT
(D) the fund will be credited with aH payments of pnn-
cipal and interest on all loans;
(2) to buy or refinance the debt obligati n of munici:palities
and intermunicipal and interstate agencies within the State at
or below market rates, where such debt obligations were in-
curied alter March 7, 1985;
(3) to guarantee, or purchase insurance for, local obliga-
tions where such action would improve credit market access or
reduce interest rates;
(4) as a source of revenue or security for the payment of
principal and interest on revenue or general obligation bonds
issued by the State if the proceeds of the sale of such bonds
will be deposited in the fund;
(5) to provide loan guarantees for similar revolving funds
established by municipalities or intermunicipal agencies;
(6) to earn interest on fund accounts; and
(7) for the reasonable costs of administering the fund and
conducting activities under this title, except that such amounts
shall not exceed 4 percent of all grant awards to such fund
under this title.
(e) LIMITATION To Panvgt.ir Dou&.g BENEi ’rrs.—lf a State
makes, from its water pollution revolving fund, a loan which will
finance the cost of facility planning and the preparation of plans,
specifications, and estimates for construction of public! 7 owned
treatment works, the State shall ensure that if the recipient of
such loan receives a grant under section 20 1(g) of this Act for con-
struction of such treatment works and an allowance under section
201(lXl) of this Act for non-federal funds expended for such plan.
ning and preparation, such recipient will promptly repay such loan
to the extent of such allowance.
(I) CONSISTENCY Wim PLANNING REQUIREMENI8—A State
may provide financial assistance from its water pollution control
revolving fund only with respect to a project which Is consistent
with plans, if any, developed under sections 205( j), 208, 303(e), 319,
and 320 of this Act.
(0 Pmoiuty Lisr REQUIREMENT—The State may provide fi-
nancial assistance from Its water pollution control revolving fund
only with respect to a project for construction of a treatment works
described in subsection (cXl) If such project is on the State’s prior-
ity list under section 216 of this Act. Such assistance may be pro-
vided regardless of the rank of such project on such list.
(h) ELIGIBIUTY or NON-FEDERAL SHARE OF CONSTRUCTION
Gwn PR0.mcrs.—A State water pollution control revolving fund
may provide assistance (other than under subsection (d xl) of this
section) to a municipality or intermunicipal or interstate agency
with respect to the non-Federal share of the costs of a treatment
works project for which such municipality or agency is receiving as-
sistance from the Administrator under any other authority only if
such assistance Is necessary to allow such project to proceed.
(33 U.S.c. 1383)
SEC. 104. ALLOTMENT OP FUNDS.
(a) FORMuLA.—Sums authorized to be appropriated to carry
out this section for each of fiscal years 1989 and 1990 shall be a!-
Sec. 605 FEDERAl. WATER POLLUTIOII COUTROL ACT
lotted by the Administrator in accordance with section 2&, c) of
this Act.
(b) RESERVATION OF FUNDS FOR PLANNING.—Each State shall
reserve each fiscal year 1 percent of the sums allotted to such State
under this section for such fiscal year, or $100,000. whichever
amount is greater, to carry out planning under sections 205 (j) and
303(e) of this Act.
(c) ALIAYrIbIENT PERIOD.—
(1) PERIOD OF AVAILABILITY FOR GRANT AWARD—Sums al-
lotted to a State under this section for a fiscal year shall be
available for obligation by the State during the fiscal year for
which sums are authorized and during the following fiscal
year.
(2) REALLOTMENT OF UNOBLIGATED FUNDS.—The amount of
any allotment not obligated by the State by the last day of the
2-year period of availability established by paragraph (1) shall
be immediately reallotted by the Administrator on the basis of
the same ratio as is applicable to sums allotted under title H
of this Act for the second fiscal year of such 2-year period.
None of the funds reallotted by the Administrator shall be real-
lotted to any State which has not obligated all sums allotted
to such State in the first fiscal year of such 2-year period.
(33 U.S C. 1384)
SEC. 606. CORRECTIVE ACTION.
(a) NOTIFICATION OF NONCOMPLIANCE.—If the Administrator
determines that a State has not complied with its agreement with
the Administrator under section 602 of this Act or any other re-
quirement of this title, the Administrator shall notify the State of
such noncompliance and the necessary corrective action.
(b) WITHHOLDING OF PAYMEPrrs.—lf a State does not take cor-
rective action within 60 days after the date a State receives notifi-
cation of such action under subsection (a), the Administrator shall
withhold additional payments to the State until the Administrator
is satisfied that the State has taken the necessary corrective action.
(C) REALLOTMENT OF WITHHELD PAYMEprrs.—lf the Adminis-
trator is not satisfied that adequate corrective actions have been
taken by the State within 12 months after the State is notified of
such actions under subsection (a), the payments withheld from the
State by the Administrator under subsection (b) shall be made
available for reallotment in accordance with the most recent for-
mula for allotment of funds under this title.
(33 U.S.C. 1386)
SEC. 606. AUDITS, REPORTS, AND FISCAL CONTROL2 INTENDED USE
(a) FISCAL CONTROL AND AUDITING PROCEDURES—Each State
electing to establish a water pollution control revolving fund under
this title shall establish fiscal controls and accounting procedures
sufficient to assure proper accounting during appropriate account-
ing periods for—
(1) payments received by the fund;
(2) disbursements made by the fund; and
(3) fund balances at the beginning and end of the account-
ing period.
Soc. 804
_ 218
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219 FEDERAL WATER POLLUTION CONTROL ACT
Sec. ICR Sec. 601
FEDERAL WATER POLLUTION CONTROL ACT 220
(b) AJ uAi. FEDERAL AuDrrs.—The Administrator shall, at
least on an annual basis, conduct or require each State to have
independently conducted reviews and audit. as may be deemed
necessary or appropriate by the Administrator to carry out the ob-
jectives of this section. Audits of the use of funds deposited in the
water pollution revolving fund established by such State shall be
conducted in accordance with the auditing procedures of the Gen-
eral Accounting Office, including chapter 76 of tiLl. 31, United
States Code.
(c) INTENDED USE P1 &—After providing for public comment
and review, each State shall annually prepare a plan identifying
the intended uses of the amounts available to its water pollution
control revolving fund. Such intended use plan shall include, but
not be limited to—
(1) a list of those projects for construction of publicly
owned treatment works on the State’s priority list developed
pursuant to section 216 of this Act and a list of activities eligi-
ble for assistance under sections 319 and 320 of this Act;
(2) a description of the short- and long-term goals and ob-
- jectives of its water pollution control revolving fund;
(3) information on the activities to be supported, including
a description of project categories, discharge requirements
under titles III and N of this Act, terms of financial assist-
ance, and communities served;
(4) assurances and specific proposal. for meeting the re-
quirements of paragraphs (3), (4), (5), and (6) of section 602(b)
of this Act; and
(5) the criteria and method established for the distribution
of funds.
(d) ANNUAL R ioRr.—Beginning the first fiscal year after the
receipt of payments under this title, the State shall provide an an-
nual report to the Administrator describing how the State has met
the goals and objectives for the previous fiscal year as identified in
the plan prepared for the previous fiscal year pursuant to sub-
section (c), including identification of loan recipients, loan amounts,
and loan terms and similar details on other forms of financial as-
sistance provided from the water pollution control revolving fund.
(e) ANNUAL FEDERAL OVERSIGHT REVIEW—The Administrator
shall conduct an annual oversight review of each State plan pre-
pared under subsection (c), each State report prepared under sub-
section (d), and other such materials as are considered necessary
and appropriate In carrying out the purposes of this title. After rea-
sonable notice by the Administrator to the State or the recipient of
a loan from a water pollution control revolving fund, the State or
loan recipient shall make available to the Administrator such
records as the Administrator reasonably requires to review and de-
termine compI 1 ce with this title.
(I) APPUCABILITY OF TInE II PROVISIONS.—Except to the ex-
tent provided in this title, the provisions of title II shall not apply
to grants under thi. title.
(33 ‘386)
SEC. 607. AUTHORIZATION OF APPROPRIATIONS
There is authorized to be appropriated to carry out the pur-
poses of this title the following sums:
(1) $1,200,000,000 per fiscal year for each of fiscal year
1989 and 1990;
(2) $2,400,000,000 for fiscal year 1991;
(3) $1,800,000,000 for fiscal year 1992;
(4) $1,200,000,000 for fiscal year 1993; and
(5) $600,000,000 for fiscal year 1994.
(33 U.S.C. 1387)
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Reference 2
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Environmental Protection Agency
§ 131.3
• PART 131—WATER QUALl Y
• ‘ STANDARDS
Subpart A—General Provisions
Soo.
131.1 Soopa,
l31 2 Purpose.
131.3 DefinItion ,,
131.4 State authority.
131.5 EPA authoLity,
131.6 MinImum reguirement s (or water
quality standards submission.
131.7 DIspute resolution mechanism
131.8 Roquirementa for Indian Triljos to ad-
minister a water quality standards iimo-
gram.
Subpart B—Establishment of Water Quality
Slandards
131.10 Designation of uses.
131.11 CriterIa,
131.12 Antidegradation policy.
131.13 General policies,
Subpart C—Procedures for Poview and
Revision of Wale, Quolily Standards
131.20 Stale review and revision of watot’
quality standard,
.131.21 EPA review and approval of water
quality standard,,
1131.22 EPA promulgation of water quality
standards.
Subpart D—Fedaraiiy Promulgated Waler
Quality Standards
131.31 Arisomia, -
131.32 Pennsylvania,
131 33 Idaho
131.34 . ffloservedj
131.35 Colville Confederated Tribes lndi n
Reservation.
131,35 Toxlc criteria for those states not
complying with Clean Water Act section
303(c)(2)(I3).
131 37 California,
AUTIIOIUTY: 33 U.S C 1251 ci seq
Sounca’ 48 FR 51405. Nov. 0, 1083, unies,
otherwise noted.
Subpart A—General Provisions
fl31.1 Scope.
‘r liis part, describes the roquire,nent.s
and prooedure , for dovoloping, review-
ing, revising, and approving water
quality standards try the States as an-
thorised by soctioji 303(c) of the Clean
Waler Act. Additional specific Proce-
dures for developing, reviewing, revis-
ing. and approving wator quality nta,id
ards for Great Lakes States or Great
Lakes Tribes (as defined in 10 CFIt
132.2) to conform to section 118 of the
Clean Water Act and 10 CFR part 132,
are provided In 40 CFR part 132.
(60 FR 16308, Mar. 23. 1905J
I 131.2 Purpose.
A water quality standard defines the
water quality goals of a water body, or
portion thereof, by designating the use
or uses to be made of the water and by
setting criteria necessary to protect
the Uses.. States adopt water quality
standards to protect public health or
welfare, enhance the quality of water
and serve the purposes of the Clean
Water Act (the Act). “Serve the pur-
poses of the Act” (as defined in see-
lions 101(a)(2) and 303(c) of the Act)
means that water quality standards
should, wherever attainable, pm ovide
water quality for the protection and
propagation of fish, shellfish and wild-
life and for recreation In and on the
water and take into consideration their
use and value of pubilc water supplies,
propagation of fish, shellfish, and wild-
life. recreation in and on the water.
and agricultural, industrial, and other
purposes Includjng navigation.
Suoh standards serve the dual purposes
of establishing the water quality goals
for a specific water body and serve as
the regulatory basis for the establish-
mont of water-quality-based treatment
controls and strategies beyond time
technology-based levels of treatment
required by sections 301(b) and 306 of
the Aot.
1131.3 DefinItions.
(a) The Act means time Clean Water
Act (Pub. L. 92-600, as amended (33
U.S.C. 1251 et seq.)).
(b) Criteria are elements of State
water quality standards, expressed as
constituent Concentrations, leveis. or
narrative st.atnmenls, representing
quality of water that, supports a par-
ticular use. When criteria are met.
water quality will generally protect
lime designated use.
(ci SectIon 304(a) criterIa are developed
by EPA under authority of section
301(a) of the Act based on the latest
scientific information on the relation-
ship that the effect of a constituent
concentration has on particular ailuat.-
Ic species and/or human health. This
information is issued periodically to
the States as guidance for use in devel-
oping criteria.
(d) Toxic pollutants are those pollut.-
ants listed by tile Administrator under
section 307(a) of tile Act
(e) Exisiinq uses are those uses actu-
ally attained in the water body on or
after November 28, 1975, whether or not
they are included in the water quality
standards.
( I) Designated uses are those uses
specified in water quality standards for
each water body or segment whether or
not they are being attained.
(g) Use attainability analysis is a
structured scientific assessment of the
factors affecting the attainment of the
use which may include physical, chem-
ical, biological, and economic factors
as described in 1131 10(g).
(h) lVater quality limited sepmenl
means any segment where it is known
that water quality does not meet appli-
cable water quality standards, and/or is
not expected to meet applicable water
quality standards, even after the appli-
cation of the technology-bases eltluent
limitations re’iuired by sections 301(b)
and 306 of the Act
(I) Water quality strindards are provi-
sions of State or Federal law which
consist of a designated use or uses (or
the waters of the United States and
water quality criteria for such waters
based upon such uece Water quality
standards ame to protect the public
health or welfare, enhance the quality
of water and serve the purposes of the
Act.
(J) Slates include The 50 States, the
District of Columbia. Guam. the Com-
monwealth of Puerto Rico. Virgin Is-
lands, American Samoa. the Trust Ter-
ritory of the Pacific Islands. the Corn.
monwealth of the Northern Mariana
938
939
-------
§ 131.4
40 CFR Ch. I (7—1—99 Edition) Environmental Protection Agency
5131.7
Islands, and Indian Tribes that EPA
determines to be eligible for purposes
of water quauty standards program.
(k) Federal Indian Reservation. Indian
Reservation, or Reservation means all
land within the limits of any Indian
reservation under the jurisdiction of
the United States Government. not-
withstanding the Issuance of any pat-
ent, and Including rights-of-way run-
ning through the reservation.”
(1) Indian Tribe or Tribe means any In-
dian Tribe, band, group, or community
recognized by the Secretary of the In-
terior and exercising governmental au-
thority over a Federal Indian reserva-
tion
(48 FR 53405. Nov 0, 1983. as amended at 56
FR 64893. Dec 12, 199l, 59 FR 64344. Dec 14.
1994]
131.4 State authority.
(a) States (as defined in §131 3) are re-
sponsible for reviewing, establishing.
and revising water quality standards
As recognized by section 510 of the
Clean Water Act, States may develop
water quality standards more stringent
than required by this regulation. Con-
sistent with section 101(g) and 518(a) of
the Clean Water Act, water quality
standards shall not be construed to su-
persede or abrogate rights to quan-
tities of water.
(b) States (as defined in §131.3) may
issue certifications pursuant to the re-
quirements of Clean Water Act section
401. RevisIons adopted by States shall
be applicable for use In issuing State
certifications consistent with the pro-
visions of § 131 21(c).
(C) Where EPA determines that a
Tribe is eligible to the same extent as
a State for purposes of water quality
standards, the Tribe likewise is eligible
to the same extent as a State for pur-
poses of certifications conducted under
Clean Water Act section 401
(56 FR 64893, Dec 12, 1991. as amended at 59
FR 64344, Dec Fl, 1994]
§ 131.5 EPA authority.
(a) Under section 303(c) of the Act,
EPA is to review and to approve or dis-
approve State-adopted water quality
standards The review involves a deter-
mination of’
(1) WJiether the State has adopted
water uses which are consistent with
the requirements of the Clean Water
Act;
(2) Whether the State has adopted
criteria that protect the designated
water uses,
(3) Whether the State has followed its
legal procedures for revising or adopt-
ing standards,
(4) Whether the State standards
which do not include the uses specified
in section 101(a)(2) of the Act are based
upon appropriate technical and sci-
entific data and analyses, and
(5) Whether the State submission
meets the requirements included In
§ 131 6 of this part and, for Great Lakes
States or Great Lakes Tribes (as de-
fined In 40 CFR. 132.2) to conform to
section 118 of the Act, the require-
ments of 40 CFR part 132.
(b) If EPA determines that the
State’s or Tribe’s water quality stand-
ards are consistent with the factors
listed in paragraphs (a)(1) through
(a)(5) of this section, EPA approves the
standards EPA must disapprove the
State’s or Tribe’s water quality stand-
ards and promulgate Federal standards
under section 303(c)(4), and for Great
Lakes States or Great Lakes Tribes
under section 118(c)(2)(C) of the Act, if
State or Tribal adopted standards are
not consistent with the factors listed
in paragraphs (a)(I) through (a)(5) of
this section. EPA may also promulgate
a new or revised standard when nec-
essary to meet the requirements of the
Act.
(c) Section 401 of the Clean Water Act
autilorizes EPA to issue certifications
pursuant to the requirements of sec-
tion 401 in any case where a State or
interstate agency has no authority for
issuing such certifications.
[ 48 FR 51405, Nov 8, 1983, as amended at 56
FR 64894, Dec 12. 1991. 60 FR 15387, Mar 23,
1995J
§ 131.6 MInimum requirements for
water quality standards ubmia-
sion.
The following elements must be In-
cluded in each State’s water quality
standards submitted to EPA for review:
(a) Use designations consistent with
the provisions oi. sections 101(a)(2) and
303(c)(2) of the Act.
(b) Methods used and analyses con-
ducted to support water quality stand-
ards revisions.
(c) Water quality criteria sufficient
to protect the designated uses
(d) An antidegradation policy con-
sletent with § 131.12.
(e) Certification by the State Attor-
ney General or other appropriate legal
authority within the State that the
water quality standards were duly
adopted pursuant to State law.
(f) General information which will
aid the Agency in determining the ade-
quacy of the scientific basis of the
standards which do not include the
uses specified in section 101(a)(2) of the
Act as well as information on general
policies applicable to State standards
which may affect their application and
implementation.
§ 131.7 DIspute resolution mechanism.
(a) Where disputes between States
and Indian Tribes arise as a result of
differing water quality standards on
common bodies of water, the lead EPA
Regional Administrator, as determined
based upon 0MB circular A-105, shall
be responsible for acting In accordance
with the provisions of this section.
(b) The Regional Administi’ator shall
attempt to resolve such disputes
where
(1) The difference in water quality
standards results in unreasonable con-
Bequences;
(2) The dispute is between a State (as
defined in § 131.3(j) but exclusive of all
Indian Tribes) and a Tribe which EPA
haa determined is eligible to the same
extent as a State for purposes of water
quality standards;
(3) A reasonable effort to resolve the
dispute without EPA involvement has
been made;
(4) The requested relief is consistent
with the provisions of the Clean Water
Act and other relevant law,
(5) The differing State and Tribal
water quality standards have been
adopted pursuant to State and Tribal
law and approved by EPA; and
(6) A valid written request has been
submitted by either the Tribe or the
State.
Cc) Either a State or a Tribe may re-
quest EPA to resolve any dispute
which satisfies the criteria of pars-
graph (b) of this section. Written re-
quests for EPA Involvement should be
submitted to the lead Regional Admin-
istrator and must include:
(1) A concise statement of the unrea-
sonable consequences that are alleged
to have arisen because of differing
water quality standards;
(2) A concise description of the ac-
tions which have been taken to resolve
the dispute without EPA Involvement;
(3) A concise indication of the water
quality standards provision which has
resulted in the alleged unreasonable
consequences;
(4) Factual data to support the al-
leged unreasonable consequences; and
(5) A statement of the reiief sought
from the alleged unreasonable con-
sequences
(d) Where, in the Regional Adminis-
trator’s judgment, EPA involvement is
appropriate based on the factors of
paragraph (b) of this section, the Re-
gional Administrator shall, within 30
days, notify the parties in writing that
helshe is initiating an EPA dispute res-
olution action and solicit their written
response The Regional Administrator
shall also make reasonable efforts to
ensure that other interested individ-
uals or groups have notice of this ac-
tion. Such efforts’shall include but not
be limited to the following:
(1) Written notice to responsible
Tribal and State Agencies, and other
affected Federal agencies,
(2) Notice to the specific Individual
or entity that is alleging that an un-
reasonable consequence is resulting
from differing standards having been
adopted on a common body of water,
(3) Public notice in local newspapers,
radio, and television, as appropriate.
(4) Publication In trade journal news-
letters. and
(5) Other means as appropriate
(e) If in accordance with applicable
State and Tribal law an Indian Tribe
and State have entered into an agree-
ment that resolves the dispute or es-
tablishes a mechanism for resolving a
dispute, EPA shall defer to this agree-
ment where it is consistent with the
Clean Water Act and where It has been
approved by EPA
(1) EPA dispute resolution actions
shall be consistent with one or a com-
bination of the following options
940
941
-------
§1317
40 CFR Ch. I (7—1—99 Edition) Environmental Protection Agency
§ 131.8
(1) Mediation The Regional Adminis-
trator may appoint a mediator to me-
diate the dispute Mediators shall be
EPA employees, employees from other
Federal agencies, or other individuals
with appropriate qualifications
(i) Where the State and Tribe agree
to participate in the dispute resolution
process, mediation with the intent to
establish Tribal-State agreements,
consistent with Clean Water Act sec-
tion 518(d), shall normally be pursued
as a first effort.
(ii) Mediators shall act as neutral
facilitators whose function is to en-
courage communication and negotia-
tion between all parties to the dispute.
(iii) Mediators may establish advi-
sory panels, to consist in part of rep-
resentatives from the affected parties,
to study the problem and recommend
an appropriate solution.
(iv) The procedure and schedule for
mediation of individual disputes shall
be determined by the mediator in con-
sultation with the parties
(v) If formal public hearings ai’e held
in connection with the actions taken
under this paragraph, Agency require-
ments at 40 CFR 25 5 shall be followed.
(2) Arbitration Where the parties to
the di8pute agree to participate in the
dispute resolution process, the Re-
gional Administrator may appoint an
arbitrator or arbitration panel to arbi-
trate the dispute Arbitrators and
panel members shall be EPA employ-
ees, employees from other Federal
agencies, or other individuals with ap-
propriate qualifications. The Regional
administrator shall select as arbitra-
tors and arbitration panel members in-
dividuals who are agreeable to all par-
ties, are knowledgeable concerning the
requirements of the water quality
standards program, have a basic under-
standing of the political and economic
interests of Tribes and States involved,
and are expected to fulfill the duties
fairly and impartially.
(i) The arbitrator or arbitration
panel shall conduct one or more pri-
vate or public meetings with the par-
ties and actively solicit information
pertaining to the effects of differing
water quality permit requirements on
upstream and downstream dischargers,
comparative risks to public health and
the environment, economic impacts.
present and historical water uses, the
quality of the waters subject to such
standards, and other factors relevant
to the dispute, such as whether pro-
posed water quality criteria are more
stringent than necessary to support
designated uses, more stringent than
natural background water quality or
whether designated uses are reasonable
given natural background water qual-
ity.
(ii) Following consideration of rel-
evant factors as defined in paragraph
(f)(2)(i) of this section, the arbitrator
or arbitration panel shall have the au-
thority and responsibility to provide
all parties and the Regional Adminis-
trator with a written recommendation
for resolution of the dispute. Arbitra-
tion panel recommendations shall, In
general, be reached by majority vote
However, where the parties agree to
binding arbitration, or where required
by the Regional Administrator, rec-
ommendations of such arbitration pan-
els may be unanimous decisions Where
binding or non-binding arbitration pan-
els cannot reach a unanimous rec-
ommendation after a reasonable period
of time, the Regional Administrator
may dii’ect the panel to issue a non-
binding decision by majority vote
(iii) The arbitrator or arbitration
panel members may consult with
EPA’s Office of General Counsel on
legal issues, but otherwise shall have
no ex pane communications pertaining
to the dispute Federal employees who
are arbitrators or arbitration panel
members shall be neutral and shall not
be predisposed for or against the posi-
tion of any disputing party based on
any Federal Trust responsibilities
which their employers may have with
respect to the Tribe In addition, arbi-
trators or arbitration panel members
who are ‘ Federal employees shall act
independently from the normal hier-
archy within their agency.
(iv) The parties are not obligated to
abide by the arbitrator’s or arbitration
panel’s recommendation unless they
voluntarily entered into a binding
agreement to do so.
(v) If a party to the dispute believes
that the arbitrator or arbitration panel
has recommended an action contrary
to or inconsistent with the Clean
Watet Act, the party may appeal the
arbitrator’s recommendation to the
Regional Administrator. The request
for appeal must be In writing and must
include a description of the statutory
basis for altering the arbitrator’s rec-
ommendation.
(vi) The procedure and schedule for
arbitration of individual disputes shall
be determined by the arbitrator or ar-
bitration panel in consultation with
parties.
(vii) If formal public hearings are
held in connection with the actions
taken under this paragraph, Agency re-
quirements at 40 CFR 25 5 shall be fol-
lowed
(3) Dispute resolution default proce-
dure. Where one or more parties (as de-
fined in paragraph (g) of this section)
refuse to participate in either the me-
diation or arbitration dispute resolu-
tion proceBses, the Regional Adminis-
trator may appoint a single official or
panel to review available information
pertaining to the dispute and to issue a
written recommendation for resolving
the dispute. Review officials shall be
EPA employees, employees from other
Federal agencies, or other individuals
with appropriate qualifications Re-
view panels shall include appropriate
members to be selected by the Re-
gional Administrator in consultation
with the participating parties Rec-
ommendations of such review officials
or panels shall, to the extent possible
given the lack of participation by one
or more parties, be reached in a man-
ner identical to that for arbitration of
disputes specified In paragraphs (f)(2)(i)
through (f)(2)(vii) of this section
(g) Defsnhilons. For the purposes of
this section.
(1) Dispute Resolution Mechanism
means the EPA mechanism established
pursuant to the requirements of Clean
Water Act section 518(e) for resolving
unreasonable consequences that arise
as a result of differing water quality
standards that may be set by States
and Indian Tribes located on common
bodies of water.
(2) PartIes to a State-Tribal dispute
include the State and the Tribe and
may, at the discretion of the Regional
Administrator, include an NPDES per-
mittee. citizen, citizen group, or other
affected entity
156 FR 64594. Dcc 12. iD9i. as amended at. 59
FIt 64344, Dec 14, 1991)
131.8 Requirements for Indian Tribes
to administer a water quality stand-
ard progrsm.
(a) The Regional Administrator, as
determined based on 0MB Circular A—
105, may accept and approve a tribal
application for purposes of admin-
istering a water quality standards pro-
gram if the Tribe meets the following
criteria’
(1) The Indian Tribe is recognized by
the Secretary of the Interior and meets
the definitions in §131 3(k) and (I),
(2) The Indian Tribe has a governing
body carrying out substantial govern-
mental duties and powers.
(3) The water quality standards pro-
gram to be administered by the Indian
Tribe pertains to the management and
protection of water resources which are
within the borders of the indian res-
ervation and held by the Indian Tribe.
within the borders of the Indian res-
ervation and held by the United States
in trust for Indians. within the borders
of the Indian reservation and held by a
member of the Indian Tribe if such
property interest is subject to a trust
restriction on alienation, or otherwise
within the borders of the Indian res-
ervation, and
(4) The Indian Tribe is reasonably ex-
pected to be capable, in the Regional
Administrator’s judgment, of carrying
out the functions of an effective water
quality standards program in a manner
consistent with the terms and purposes
of the Act and applicable regulations.
(b) Requests by Indian Tribes for ad-
ministration of a water quality stand-
ards program should be submitted to
the lead EPA Regional Administrator
The application shall include the fol-
lowing Information:
(1) A statement that the Tribe is rec-
ognized by the Secretary of the inte-
rior.
(2) A descriptive statement dem-
onstrating that the Tribal governing
body is currently carrying out substan-
tial governmental duties and powers
over a defined area The statement
should
942
943
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§ 131.8
40 CFR Ch. I (7—1—99 EditIon) Environmental Protection Agency
§ 131.10
(I) Describe the form of the Tribal
government.
(ii) Describe the types of govern-
mental functions currently performed
by the Tribal governing body such as.
but not limited to. the exercise of po-
lice powers affecting (or relating to)
the health, safety, and welfare of the
affected population, taxation, and the
exercise of the power of eminent do-
main; and
(iii) Identify the source of the Tribal
government’s authority to carry out
the governmental functions currently
being performed.
(3) A descriptive statement of the
Indian Tribe’s authority to regulate
water quality. The statement should
include:
(I) A map or legal description of the
area over which the Indian Tribe as-
serts authority to regulate surface
water quality;
(ii) A statement by the Tribe’s legal
counsel (or equivalent official) which
describes the basis for the Tribes asser-
tion of authority and which may in-
clude a copy of documents such as
Tribal constitutions, by-laws, charters.
executive orders, codes, ordinances.
and/or resolutions which support the
Tribe’s assertion of authority; and
(iii) An identification of the surface
waters for which the Tribe proposes to
establish water quality standards.
(4) A narrative statement describing
the capability of the Indian Tribe to
administer an effective water quality
standards program The narrative
statement should Include:
(i) A description of the Indian Tribe’s
previous management experience
which may Include the administration
of programs and services authorized by
the Indian Self-Determination and
Education Assistance Act (25 U S C 450
et seq). the Indian Mineral Develop-
ment Act (25 U.S.C 2101 et seq.). or the
Indian Sanitation Facility Construc-
tion Activity Act (42 U S C 2004a);
(ii) A list of existing environmental
or public health programs adminis-
tered by the Tribal governing body and
copies of related Tribal laws, policies,
and regulations,
(iii) A description of the entity (or
entities) which exercise the executive,
legislative, and judicial functions of
the Tribal government:
(iv) A description of the existing, or
proposed, agency of the Indian Tribe
which will assume primary responsi-
bility for establishing, reviewing, im-
plementing and revising water quality
standards.
(v) A description of the technical and
administrative capabilities of the staff
to administer and manage an effective
water quality standards program or a
plan which proposes how the Tribe will
acquire additional administrative and
technical expertise. The plan must ad-
dress how the Tribe will obtain the
funds to acquire the administrative
and technical expertise
(5) Additional documentation re-
quired by the R.egionai Administrator
which, in the Judgment of the Regional
Administrator, is necessary to support
a Tribal application
(6) Wheie the Tribe has previously
qualified for eligibility or “treatment
as a state” under a Clean Water Act or
Safe Drinking Water Act program, the
Tribe need only provide the required
information which has not been sub-
mitted in a previous application.
(C) Procedure for processing an In-
dian Tribe’s application.
(1) The Regional Administrator shall
process an application of an Indian
Tribe submitted pursuant to §131.8(b)
in a timely manner. lie shall promptly
notify the Indian Tribe of receipt of the
application
(2) Within 30 days after receipt of the
Indian Tribe’s application the Regional
Administrator shall provide appro-
priate notice Notice shall’
(i) Include information on the sub-
stance and basis of the Tribe’s asser-
tion of authority to regulate the qual-
ity of reservation waters, and
(ii) Be provided to all appropriate
governmental entities
(3) The Regional Administrator shall
provide 80 days for comments to be
submitted on the Tribal application
Comments shall be limited to the
Tribe’s assertion of authority.
(4) If a Tribe’s asserted authority Is
subject to a competing or conflicting
claim, the Regional Administrator,
after due consideration, and in consid-
eration of other comments received.
shall determine whether the Tribe has
adequately demonstrated that it meets
the requirements of § 133 8(a)(3)
(5) Where the Regional Administrator
determines that a Tribe meets the re-
quirements of this section, he shall
promptly provide written notification
to the Indian Tribe that the Tribe is
authorized to administer the Water
Quality Standards program.
(56 FR 64895. Dec 12. 1991, as amended at 59
Fit 64314. Dec 14. 19941
Subpart B—Establishment of Water
Quality Standards
§ 131.10 Designation of uses.
(a) Each State must specify appro-
priate water uses to be achieved and
protected The cle.ssification of the wa-
ters of the State must take into con-
sideration the use and value of water
for public water supplies, protection
and propagation of fish, shellfish and
wildlife, recreation in and on the
water, agricultural, industrial, and
other purposes including navigation In
no case shall a State adopt waste
transport or waste assimilation as a
designated use for any waters of the
United States.
(b) In designating uses of a water
body and the appropriate criteria for
those uses, the State shall take into
consideration the water quality stand-
ards of downstream waters and shall
ensure that its water q’jality standards
provide for the attainment and mainte-
nance of the water quality standards of
downstream waters.
(c) States may adopt sub-categories
of a use and set the appropriate cri-
teria to reflect varying needs of such
sub-categories of uses, for instance, to
differentiate between cold water and
warm water fisheries.
(d) At a minimum, uses ai’e deemed
attainable if they can be achieved by
the imposition of effluent limits re-
quired under sections 301(b) and 306 of
the Act and cost-effective and reason-
able best management practices for
nonpoint source control.
(e) Prior to adding or removing any
use, or estabLishing sub-categories of a
use, the State shall provide notice and
an opportunity for a public hearing
under § 131.20(b) of this regulation
(f) States may adopt seasonal uses as
an alternative to reclassifying a water
body or segment thereof to uses requir-
ing less stringent water quality cr1-
teria. If seasonal uses are adopted.
water quality criteria should be ad-
justed to reflect the seasonal uses.
however, such criteria shall not pre-
clude the attainment and maintenance
of a more protective use in another
season.
(g) States may remove a designated
use which is not an existing use, as de-
fined in § 131.3. or establish sub-cat-
egories of a use if the State can dem-
onstrate that attaining the designated
use is not feasible because
(1) Naturally occurring pollutant
concentrations prevent the attainment
of the use, or
(2) Natural, ephemeral, intermittent
or low flow conditions or water levels
prevent the attainment of the use, un-
less these conditions may be com-
pensated for by the discharge of suffi-
cient volume of effluent discharges
without violating State water con-
servation requirements to enable uses
to be met, or
(3) Human caused conditions or
sources of pollution prevent the at-
tainment of the use and cannot be
remedied or would cause more en-
vironmental damage to correct than to
leave in place, or
(4) Dams, diversions or other types of
hydrologic modifications preclude the
attainment of the use, and it Is not fea-
sible to restore the water body to its
original condition or to operate such
modification in a way that would re-
sult In the attainment of the use, or
(5) Physical conditions related to the
natural features of the water body.
such as the lack of a proper substrate.
cover, flow, depth, pools, riffles, and
the like, unrelated to water quality.
preclude attainment of aquatic life
protection uses, or
(6) Controls more stringent than
those required by sections 301(b) and
306 of the Act would result in substan-
tial and widespread economic and
social impact
(h) States may not remove designated
uses if
(1) They are existing uses, as defined
in §131 3, unless a use requiring more
stringent criteria is added: or
(2) Such uses will be attained by im-
plementing effluent limits required
under sections 301(b) and 306 of the Act
944
945
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§ 131.11
40 CFR Ch. I (7—1—99 Edition) Environmental Protection Agency
§ 131.21
and by implementing cost-effective and
reasonable best management practices
for nonpoint source control.
(I) Where existing water quality
standards specify designated uses less
than those which are presently being
attained, the State shall revise its
standards to reflect the uses actually
being attained.
(J) A State must conduct a use at-
tainabilLty analysis as described in
5131.3(g) whenever
(1) The State designates or has des-
ignated uses that do not include the
uses specified in section 10I(a)(2) of the
Act, or
(2) The State wishes to remove a des-
ignated use that Is specified in section
1O1(a)(2) of the Act or to adopt
subcategories of uses specified In sec-
tion 1O1(a)(2) of the Act which require
less stringent criteria
(k) A State is not required to conduct
a use attainability analysis under this
regulation whenever designating uses
which include those specified in section
101(a)(2) of the Act
§131.11 Criteria.
(a) Inclusion of pollutants (1) States
must adopt those water quality cr1-
teria that protect the designated use
Such criteria must be based on sound
scientific rationale and must contain
sufficient parameters or constituents
to protect the designated use. For wa-
ters with multiple use designations.
the criteria shall support the most sen-
sitive use.
(2) Toxic pollutants. States must re-
view water quality data and informa-
tion on discharges to identify specific
water bodies where toxic pollutants
may be adversely affecting water qual-
ity or the attainment of the designated
water use or where the levels of toxic
pollutants are at a level to warrant
concern and must adopt criteria for
such toxic pollutants applicable to the
water body sufficient to protect the
designated use. Where a State adopts
narrative criteria for toxic pollutants
to protect designated uses, the State
must provide information identifying
the method by which the State intends
to regulate point source discharges of
toxic pollutants on water quality lim-
ited segments based on such narrative
criteria. Such information may be in-
cludecl as part of the standards or may
be included in documents generated by
the State in response to the Water
Quality Planning and Management
Regulations (40 CFR part 35).
(b) Form of criteria: In establishing
criteria, States should:
(1) EstablIsh numerical values based
on:
(1) 304(a) Guidance; or
(ii) 304(a) Guidance modified to re-
flect site-specific conditions; or
(iii) Other scientifically defensible
methods,
(2) Establish narrative criteria or cri-
teria based upon biomonitoring metli-
ode where numerical criteria cannot be
established or to supplement numerical
criteria
§ 131.12 Antidegradation policy.
(a) The State shall develop and adopt
a statewide antidegradation policy and
Identify the methods for implementing
such policy pursuant to this subpart.
The antidegradation policy and imple-
mentation methods shall, at a min-
imum, be consistent with the fol-
lowing:
(1) Existing Instream water uses and
the level of water quality necessary to
protect the existing uses shall be main-
tained and protected.
(2) Where the quality of the waters
exceed levels necessary to support
propagation of fish, shellfish, and wild-
life and recreation in and on the water,
that quality shall be maintained and
protected unless the State finds, after
full satisfaction of the intergovern-
mental coordination and public partici-
pation provisions of the States con-
tinuing planning process, that allowing
lower water quality is necessary to ac-
commodate important economic or so-
cial development in the area in which
the waters are located. In allowing
such degradation or lower water qual-
ity, the State shall assure water qual-
ity adequate to protect existing uses
fully. Further, the State shall assure
that there shall be achieved the high-
est statutory and regulatory require-
ments for all new and existing point
sources and all cost-effective and rea-
sonable best management practices for
nonpoint source oiitrol.
(3) Where high quality waters con-
stitute an outstanding National re-
source, such as waters of National and
State parks and wildlife refuges and
waters of exceptional recreational or
ecological significance, that water
quality shall be maintained and pro-
tected.
(4) In those cases where potential
water quality impairment associated
with a thermal discharge is involved.
the antidegradatlon policy and lmple.
menting method shall be consistent
with section 316 of the Act
§ 131.13 General policies.
States may, at their discretion, in-
clude in their State standards, policies
generally affecting their application
and implementation, such as mixing
zones, low flows and variances Such
policies are subject to EPA review and
approval.
Subpart C—Procedures for Review
and Revision of Water Quality
Standards
§ 131.20 State review and revision of
water quality standards.
(a) State review The State shall from
time to tIme, but at least once every
three years, hold public hearings for
the purpose of reviewing applicable
water quality standards and, as appro-
priate, modifying and adopting stand-
ards Any water body segment with
water quality standards that do not in-
clude the uses specified in section
101(a)(2) of the Act shall be re-exam-
ined every three years to determine if
any new information has become avail-
able If such new information indicates
that the uses specified in section
101(a)(2) of the Act are attainable, the
State shall revise Its standards accord-
ingly Procedures States establish for
identifying and reviewing water bodies
for review should be incorporated into
their Continuing Planning Process.
(b) Public participation The State
shall hold a public hearing for the pur-
pose of reviewing water quality stand-
ards, in accordance with provisions of
State law, EPA’s water quality man-
agement regulation (40 CFR 130 3(b)(6))
and public participation regulation (40
CFR part 25). The proposed water qual-
ity standards revision and supporting
analyses shall be made available to the
public prior to the hearing.
(C) Submittal to EPA The State shall
submit the results of the review, any
supporting analysis for the use attain-
ability analysis, the methodologies
used for site-specific criteria develop-
ment, any general policies applicable
to water quality standards and any re-
visions of the standards to the Re-
gional Administrator for review and
approval, within 30 days of the final
State action to adopt and certify the
revised standard, or if no revisions are
made as a result of the review, within
30 days of the completion of the review.
§ 131.21 EPA review and approval of
water quality standards.
(a) After the State submits its offi-
cially adopted revisions, the Regional
Administrator shall either
(1) Notify the State within 60 days
that the revisions are approved, or
(2) Notify the State within 90 days
that the revisions are disapproved
Such notification of disapproval shall
specify the changes needed to assure
compliance with the requirements of
the Act and this regulation, and shall
explain why the State standard is not
in compliance with such requirements
Any new or revised State standard
must be accompanied by some type of
supporting analysis
(b) The Regional Administrator’s ap-
proval or disapproval of a State water
quality standard shall be based on the
requirements of the Act as described in
St 131 5 and 131 6, and, with respect to
Great Lakes States or Tribes (as de-
fined in 40 CFR 132 2), 40 CFR part 132.
(c) A State water quality standard
remains in effect, even though dis-
approved by EPA, until the State re-
vises It or EPA promulgates a rule that
supersedes the State water quality
standard
(d) EPA shall, at least annually, pub-
lish in the FEDERAL REGISTER a notice
of approvals under this section
(40 FR 51405. Nov 0. 1983, an amended at. 60
FR 15307. Mat 23. 1995)
946
947
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§ 131.22
40 CFR Ch. I (7—1—99 Edition) Environmental Protection Agency
§ 131.33
*131.22 EPA promulgation of water
quality standards.
(a) If the State does not adopt the
changes specified by the Regional Ad-
ministrator within 90 days after notifi-
cation of the Regional Administrator’s
disapproval, the Administrator shall
promptly propose and promulgate such
standard.
(b) The Administrator may also pro-
pose and promulgate a regulation, ap-
plicable to one or more States, setting
forth a new or revised standard upon
determining such a standard is nec-
essary to meet the requirements of the
Act.
(c) In promulgating water quality
standards, the Administrator is subject
to the same policies, procedures, anal-
yses, and public participation require-
ments established for States in these
regulations.
Mean 90 pcI annual
value
Total Total nI-
phosphates bates as
as POrmgA N0 3 1n4
I Colorado River born Utah bor-
der to Willow Beach (main
stem)
2 Colorado River born Willow
Beachi to Pelter Dam (main
stem)
3 Colorado River from Pelter
Dam to Imperial Dam (main
stem)
4 Colorado River from Imperial
Dam to Morales Dam (main
stem)
5 Gte River lrcm New MexIco
bolder to Sart Canes Reservoir
(eschidng San Caries Ass-
arson)
.
Mean 90 PCI annual
value
Total
phosphates
as PO mgdl
lotil ft
hates ea
NO 3 nipt
8 Olle RIver from San Caries
Reservoir to Ashurst Hayden
Dam (Including San CarIes Res-
ervoIr)
7 Sin Pedro RIver
8 Verde RIver (except Orentle
Creek)
9 Salt RIver above Roosevell
Lake
10 Santa Cn n RIver from Inter-
national boundary near Nogales
to Sahuenla
11 LillIe Colorado River above
Lyman Reservoir
030-050
030-050
020-030
020-030
050-080
o 30-050
.
B The above standards are intended to
protect the beneficial uses of the named wa-
ters Because regulation of nitrates and
phosphates alone may not be adequate to
protect waters from eutrophication, no sub-
stance shall be added to any aurface water
which produces aquatic growth to the extent
that auch growths create a public nuisance
or interference with beneficial uses of the
water defined and designated In Rag 6-2-6
(2) P.eg 6-2-6.10 Subparts A and B
are amended to include Reg. 6-2-6.11 in
series with Regs. 6-2-6.6, 6-2-6.7 and 6—
2-68
(b) The following waters have, in ad-
dition to the uses designated by the
State, the designated use of fish con-
sumption as defined in R18—1I-101
(which is available from the Arizona
Department of Environmental Quality,
Water Quality Division, 3033 North
Central Ave., Phoenix, AZ 85012):
COLORADO MAIN STEM RIVER
BASIN:
Hualapai Wash
MIDDLE OLLA RIVER BASIN:
Agua Fria River (Camelback Road to
Avondale WWTP)
Galena Gulch
Gila River (Felix Road to the Salt
River)
Queen Creek (Headwaters to the Su-
perior WWTP)
Queen Creek (Below Potts Canyon)
5 SAN PEDRO RIVER BASIN:
Copper Creek
SANTA CRUZ RIVER BASIN:
Agua Caliente Wash
Nogales Wash
5-7 Sonoita Creek (Above the town of
Patagonia)
Tanque Verde Creek
Tinaja Wash
Davidson Canyon
UPPER GILA RIVER BASIN
Chase Creak
(c) To implement the requirements of
R18—1l—108.A.5 with respect to effects of
mercury on wildlife, EPA (or the State
with the approval of EPA) shall imple-
ment a monitoring program to assess
attainment of the water quality stand-
ard.
(8ec. 303, Federal Water Pollution Control
Act, as amended, 33 U S C 1313. 66 Stat 816
et seq. Pub L 92-500, Clean Water Act. Pub.
1. 92-500.asamended.33U8C I2Sletseq)
(41 FR 25000, June 22. 1916, 41 FR 48737, Nov
5, 1916 Redesignated and amended at 42 FR
56740. Oct 28. 1977 Further redesignated and
amended at 48 FR 51408, Nov 8. 1983, 61 FR
20693, May 7, 1996J
* 131.32 PennsylvanIa.
(a) Antldegradatfon poltcy. This
antidegradation policy shall be appli-
cable to all waters of the United States
within the Commonwealth of Pennsyl-
vania, including wetlands
(1) Existing in-stream uses and the
level of water quality necessary to pro-
tect the existing uses shall be main-
tained and protected.
(2) Where the quality of the waters
exceeds levels necessary to support
propagation of fish, shellfish, and wild-
life and recreation in and on the water,
that quality shall be maintained and
protected unless the Commonwealth
finds, after full satisfaction of the
inter-governmental coordination and
public participation provisions of the
Commonwealth’s continuing planning
process, that allowing lower water
quality is necessary to accommodate
important economic or social develop-
ment in the area in which the waters
are located. In allowing such degrada-
tion or lower water quality, the Com-
monwealth shall assure water quality
adequate to protect existing uses fully.
Further, the Commonwealth shall as-
sure that there shall be achieved the
highest statutory and regulatory re-
quirements for all new and existing
point sources and all cost-effective and
reasonable best management practices
for nonpoirit sources.
(3) Where high quality waters are
identified as constituting an out-
standing National resource, such as
waters of National and State parks and
wildlife refuges and water of excep-
tional recreational and ecological sig-
nificance. that water quality shall be
maintained and protected
(b) (Reserved]
(61 FR 64822, Dec 9, 19961
O 131.33 Idaho.
(a) Temperature criteria for bull trout.
(1) Except for those streams or portions
of streams located in Indian country,
or as may be modified by the Regional
Administrator, EPA Region X, pursu-
ant to paragraph (a)(3) of this section,
a temperature criterion of 10 °C. ex-
pressed as an average of daily max-
imum temperatures over a seven-day
period, applies to the waterbodles iden-
tified in paragraph (a)(2) of this section
during the months of June, July, Au-
gust and September.
(2) The following waters are pro-
tected for bull trout spawning and
rearing.
(i) BOISE-MORE BASIN Devils
Creek, East Fork Sheep Creek, Sheep
Creek.
(ii) BROWNLEE RESERVOIR BASIN:
Crooked River, Indian Creek.
(iii) CLEARWATER BASIN: Big Can-
yon Creek, Cougar Creek, Feather
Creek, Laguna Creek, Lob Creek,
Orofino Creek, ‘Falapus Creek, West
Fork Potlatch’River
(iv) COEUR D’ALENE LAKE BASIN:
Cougar Creek, Fernan Creek, Kid
Creek, Mica Creek, South Fork Mica
Creek, Squaw Creek, Turner Creek.
(v) HELLS CANYON BASIN: Dry
Creek, East Fork Sheep Creek, Getta
Creek, Granite Creek, Kurry Creek.
Little Granite Creek, Sheep Creek.
(vi) LEMHI BASIN: Adams Creek.
Aider Creek. Basin Creek, Bear Valley
Creek, Big Eightmile Creek, Big
Springs Creek. Big Timber Creek, Bray
Creek, Bull Creek, Cabin Creek, Can-
yon Creek, Carol Creek, Chamberlain
Creek, Clear Creek. Climb Creek, Coo-
per Creek, Dairy Creek. Deer Creek.
Deer Park Creek, East Fork Hayden
Creek, Eighteenmile Creek, Falls
Creek, Ferry Creek. Ford Creek.
Geertson Creek, Grove Creek. Hawley
Creek, Hayden Creek, Kadletz Creek.
Kenney Creek, Kirtley Creek, Lake
Creek, Lee Creek, Lemhi River (above
Big Eightmile Creek). Little Eightmile
Creek, Little Mill Creek. Little Timber
949
Subpart D’—Federally Promulgated
Water Quality Standards
§ 131.31 Arizona.
(a) Article 6, part 2 is amended as fol-
lows
(1) Reg. 6—2-6.11 shall read:
Rag. 6-2-6 II Nutrient Standards A The
mean annual total phosphate and mean an-
nual total nitrate concentrations of the fol-
lowing waters shall not exceed the values
given below nor shall the total phosphate or
total nitrate concentrations of more than 10
percent of the samples In any year exceed
the 90 percent values given below Unless
otherwise specified, indicated values also
apply to tributaries to the named waters
004-008
006-010
008-012
010-010
050-080
948
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§ 131.33
40 CFR Ch. I (7—1—99 EdItion) Environmental Protection Agency
§ 131.33
Creek. Middle Fork Little Timber
Creek. Milk Creek. Mill Creek, Mogg
Creek. North Fork Kirtley Creek.
North Fork Little Timber Creek. Para-
dise Creek. Patterson Creek. Payne
Creek. Poison Creek. Prospect Creek.
Rocky Creek, Short Creek. Squaw
Creek. Squirrel Creek, Tobias Creek.
Trail Creek. West Fork Hayden Creek,
Wright Creek.
(vii) LITTLE LOST BASIN: Badger
Creek, Barney Creek. Bear Canyon,
Bear Creek. Bell Mountain Creek. Big
Creek, Bird Canyon. Black Creek, Buck
Canyon, Bull Creek. Cedar Run Creek.
Chicken Creek, Coal Creek, Corral
Creek, Deep Creek, Dry Creek, Dry
Creek Canal, Firbox Creek. Garfield
Creek. Hawley Canyon, Hawley Creek.
Horse Creek. Horse Lake Creek, Iron
Creek, Jackson Creek, Little Lost
River (above Badger Creek). Mahogany
Creek. Main Fork Sawmill Creek. Mas-
sacre Creek, Meadow Creek, Mill
Creek, Moffett Creek, Moonshine
Creek, Quigley Creek, Red Rock Creek,
Sands Creek. Sawmill Creek. Slide
Creek, Smithie Fork. Squaw Creek,
Summerhouse Canyon, Summit Creek,
Timber Creek, Warm Creek, Wet Creek,
Williams Creek
(viii) LITTLE SALMON BASIN:
Bascum Canyon, Boulder Creek. Brown
Creek, Campbell Ditch, Castle Creek,
Copper Creek, Granite Fork Lake Fork
Rapid River, Hard Creek, Hazard
Creek, Lake Fork Rapid River, Little
Salmon River (above Hazard Creek),
Paradise Creek. Pony Creek. Rapid
River, Squirrel Creek, Trail Creek,
West Fork Rapid River
(ix) LOCHSA BASIN. Apgar Creek.
Badger Creek, Bald Mountain Creek.
Beaver Creek, Big Flat Creek, Big Stew
Creek, Boulder Creek, Brushy Fork,
Cabin Creek, Castle Creek, Chain
Creek, Cliff Creek, Coolwater Creek,
Cooperation Creek, Crab Creek. Crook-
ed Fork Lochsa River. Dan Creek.
Deadman Creek, Doe Creek. Dutch
Creek, Eagle Creek, East Fork Papoose
Creek, East Fork Split Creek, East
Fork Squaw Creek, Eel Creek, Fern
Creek, Fire Creek, Fish Creek, Fish
Lake Creek, Fox Creek, Gaas Creek,
Gold Creek, Ham Creek, Handy Creek,
Hard Creek, Haskell Creek. Heather
Creek, Heilgate Creek, Holly Creek.
Hopeful Creek, Hungery Creek, Indian
Grave Creek, Jay Creek. Kerr Creek,
Kube Creek, Lochsa River, Lone Knob
Creek, Lottie Creek, Macaroni Creek,
Maud Creek, Middle Fork Clearwater
River, No-see-urn Creek. North Fork
Spruce Creek, North Fork Storm
Creek, Nut Creek. Otter Slide Creek,
Pack Creek, Papoose Creek, Parachute
Creek, Pass Creek, Pedro Creek, Fell
Creek, Pete King Creek, Placer Creek,
Polar Creek, Postoffice Creek, Queen
Creek. Robin Creek. Rock Creek, Rye
Patch Creek, Sardine Creek, Shoot
Creek, Shotgun Creek, Skookum
Creek. Snowshoe Creek. South Fork
Spruce Creek, South Fork Storm
Creek. Split Creek, Sponge Creek,
Spring Creek, Spruce Creek. Squaw
Creek, Storm Creek, Tick Creek, Tom-
cat Creek, Tumble Creek, Twin Creek,
Wag Creek, Walde Creek, Walton
Creek. Warm Springs Creek, Weir
Creek, Wendover Creek, West Fork
Boulder Creek, West Fork Papoose
Creek, West Fork Squaw Creek, West
Fork Wendover Creek, White Sands
Creek, Willow Creek
(x) LOWER CLARK FORK BASIN.
Cascade Creek, East Fork, East Fork
Creek. East Forkast Fork Creek, Gold
Creek, Johnson Creek, Lightning
Creek, Mosquito Creek, Porcupine
Creek, Rattle Creek, Spring Creek,
Twin Creek, Wellington Creek.
(xi) LOWER KOOTENAI BASIN’ Ball
Creek, Boundary Creek, Brush Creek,
Cabin Creek, Caribou Creek, Cascade
Creek, Cooks Creek, Cow Creek. Curiey
Creek, Deep Creek, Grass Creek, Jim
Creek, Lime Creek, Long Canyon
Creek, Mack Creek, Mission Creek,
Myrtle Creek, Peak Creek, Snow
Creek, Trout Creek.
(xii) LOWER MIDDLE FORK SALM-
ON BASIN Acorn Creek, Alpine Creek,
Anvil Creek, Arrastra Creek, Bar
Creek, Beagle Creek, Beaver Creek,
Belvidere Creek, Big Creek, Biidseye
Creek, Boulder Creek. Brush Creek,
Buck Creek. Bull Creek. Cabin Creek,
Camas Creek. Canyon Creek, Castle
Creek, Clark Creek, Coin Creek, Corner
Creek, Coxey Creek, Crooked Creek,
Doe Creek, Duck Creek, East Fork
Holy Terror Creek, Fawn Creek, Flume
Creek, Fly Creek. Forge Creek, Fur-
nace Creek, Garden Creek, Government
Creek, Grouse Creek, Hammer Creek,
Hand Creek, Holy Terror Creek, J Fell
Creek, Jacobs Ladder Creek, Lewis
Creek, Liberty Creek, Lick Creek,
Lime Creek, Little Jacket Creek. Lit-
tle Marble Creek, Little White Goat
Creek, Little Woodtick Creek, Logan
Creek, Lookout Creek. Loon Creek.
Martindale Creek. Meadow Creek, Mid-
dle Fork Smith Creek, Monumental
Creek, Moore Creek, Mulligan Creek.
North Fork Smith Creek. Norton
Creek, Placer Creek, Pole Creek, Rams
Creek, Range Creek, Routson Creek,
Rush Creek, Sawlog Creek, Sheep
Creek, Sheldon Creek. Shellrock Creek,
Ship Island Creek, Shovel Creek, Silver
Creek, Smith Creek, Snowslide Creek,
Soldier Creek, South Fork Camas
Creek, South Fork Chamberlain Creek,
South Fork Holy Terror Creek, South
Fork Norton Creek, South Fork Rush
Creek, South Fork Sheep Creek, Spider
Creek. Spletts Creek, Telephone Creek.
Trail Creek, Two Point Creek. West
Fork Beaver Creek, West Fork Camas
Creek, West Fork Monumental Creek,
West Fork Rush Creek, White Goat
Creek, Wilson Creek.
(xiii) LOWER NORTH FORK CLEAR-
WATER BASIN: Adair Creek, Badger
Creek, Bathtub Creek, Beaver Creek,
Black Creek, Brush Creek, Buck Creek.
Butte Creek. Canyon Creek, Caribou
Creek, Crimper Creek, Dip Creek. Dog
Creek. Elmer Creak. Falls Creek, Fern
Creek, Goat Creek, isabella Creek.
John Creek, Jug Creak. Jungle Creek.
Lightning Creek. Little Lost Lake
Creek, Little North Fork Clearwater
River, Lost Lake Creek, Lund Creek,
Montana Creek, Mowitch Creek. Pa-
poose Creek, Pitchfork Creek. Rocky
Run, Rutledge Creek. Spotted Louis
Creek, Triple Creek, Twin Creek, West
Fork Montana Creek. Willow Creek.
(xiv) LOWER SALMON BASIN: Bear
Gulch. Berg Creek, East Fork John
Day Creek, Elkhorn Creek, Fiddle
Creek, French Creek, Hurley Creek,
John Day Creek, Kelly Creek, Klip
Creek, Lake Creek, Little Slate Creek.
Little Van Buren Creek, No Business
Creek, North Creek, North Fork Slate
Creek, North Fork White Bird Creek,
Partridge Creek, Slate Creek, Slide
Creek, South Fork John Day Creek.
South Fork White Bird Creek, Warm
Springs Creek.
(xv) LOWER SELWAY BASIN: An-
derson Creek, Bailey Creek, Browns
Spring Creek. Buck Lake Creek. Butte
Creek, Butter Creek, Cabin Creek,
Cedar Creek. Chain Creek, Chute
Creek, Dent Creek, Disgrace Creek,
Double Creek. East Fork Meadow
Creek, East Fork Moose Creek, Elbow
Creek, Fivemlie Creek, Fourmile
Creek. Gate Creek, Gedney Creek. God-
dard Creek, Horse Creek. Indian Hill
Creek. Little Boulder Creek, Little
Schwar Creek. Matteson Creek. Mead-
ow Creek, Monument Creek, Moose
Creek, Moss Creek, Newsorne Creek.
North Fork Moose Creek. Rhoda Creek,
Saddle Creek, Schwar Creek, Shake
Creek, Spook Creek, Spur Creek. Tam-
arack Creek, West Fork Anderson
Creek. West Fork Gedney Creek, West
Moose Creek, Wounded Doe Creek
(xvi) MIDDLE FORK CLEARWATER
BASIN Baldy Creek, Big Cedar Creek,
Browns Spring Creek. Clear Creek.
Middle Fork Clear Creek, Pine Knob
Creek, South Fork Clear Creek.
(xvii) MIDDLE FORK PAYETTE
BASIN. Bull Creek, Middle Fork
Fayette River (above Fool Creek), Ox-
tail Creek, Silver Creek. Sixteen-to-
one Creek.
(xviii) MIDDLE SALMON-CHAM-
BERLAIN BASIN Arrow Creek,
Barganiin Creek, Bat Creek, Bay
Creek. Bear Creek. Bend Creek. Big
Elkhorn Creek. Big Harrington Creek.
Big Mallard Creek. Big Squaw Creek.
Bleak Creek, Bronco Creek, Broomtail
Creek. Brown Creek, Cayuse Creek,
Center Creek, Chamberlain Creek, Cliff
Creek, Colt Creek. Corn Creek. Crook-
ed Creek, Deer Creek, Dennis Creek.
Disappointment Creek, Dismal Creek.
Dog Creek, East Fork Fall Creek. East
Fork Horse Creek. East Fork Noble
Creek. Fall Creek, Filly Creek, Fish
Creek, Flossie Creek, Game Creek. flap
Creek. Ginger Creek. Green Creek,
Grouse Creek, Guard Creek. Hamilton
Creek, Horse Creek, Hot Springs Creek.
Hotzel Creek, Hungry Creek, Iodine
Creek, Jack Creek, Jersey Creek,
Kitchen Creek. Lake Creek. Little
Horse Creek, Little Lodgepole Creek.
Little Mallard Creek, Lodgepole Creek,
Mayflower Creek, McCalla Creek,
Meadow Creek, Moose Creek, Moose
Jaw Creek, Mule Creek, Mustang
Creek. No Name Creek. Owl Creek.
Poet Creek. Pole Creek. Porcupine
Creek, Prospector Creek, Pup Creek,
950
183.150 D-99-.31
951
-------
131.33
40 CFR Ch. 1(7—1—99 EditIon) Environmental Protection Agency
§ 131.33
Queen Creek. Rainey Creek. Ranch
Creek. Rattlesnake Creek, Red Top
Creek. Reynolds Creek, Rim Creek,
Ring Creek. Rock Creek, Root Creek,
Runaway Creek. Sabe Creek, Saddle
Creek, Salt Creek, Schissler Creek.
Sheep Creek, Short Creek. Shovel
Creek, Skull Creek, Slaughter Creek.
Slide Creek. South Fork Cottonwood
Creek, South Fork Chamberlain Creek.
South Fork Kitchen Creek, South Fork
Salmon River, Spread Creek, Spring
Creek, Starvation Creek, Steamboat
Creek, Steep Creek. Stud Creek, War-
ren Creek, Webfoot Creek, Vest Fork
Chamberlain Creek. West Fork Rattle-
snake Creek, West Horse Creek,
Whimetick Creek, Wind River, Woods
Fork Horse Creek.
(xix) MIDDLE SALMON-PANTHER
BASIN: Allen Creek, Arnett Creek,
Beaver Creek. Big Deer Creek, Black-
bird Creek, Boulder Creek. Cabin
Creek, Camp Creek, Carmen Creek,
Clear Creek, Colson Creek, Copper
Creek, Corral Creek, Cougar Creek.
Cow Creek, Deadhorse Creek, Deep
Creek, East Boulder Creek, Elkhorn
Creek, Fawn Creek, Fourth Of July
Creek. Freeman Creek, Hornet Creek.
Hughes Creek, Hull Creek, Indian
Creek, Iron Creek, Jackass Creek, Jef-
ferson Creek. Jesse Creek. Lake Creek,
Little Deep Creek, Little Hat Creek,
Little Sheep Creek, McConn Creek.
McKim Creek, Mink Creek, Moccasin
Creek. Moose Creek, Moyer Creek,
Musgrove Creek, Napias Creek, North
Fork Hughes Creek, North Fork Iron
Creek. North Fork Salmon River,
North Fork Williams Creek, Opal
Creek, Otter Creek, Owl Creek, Pan-
ther Creek, Park Creek, Phelan Creek,
Pine Creek, Pony Creek, Porphyry
Creek, Pruvan Creek. Rabbit Creek,
Rancherio Creek. Rapps Creek, Salt
Creek, Salzer Creek. Saw Pit Creek,
Sharkey Creek, Sheep Creek, South
Fork Cabin Creek, South Fork Iron
Creek, South Fork Moyer Creek. South
Fork Phelan Creek, South Fork Sheep
Creek. South Fork Williams Creek,
Spring Creek, Squaw Creek. Trail
Creek, Twelvemile Creek, Twin Creek,
Weasel Creek, West Fork Blackbird
Creek, West Fork Iron Creek, Williams
Creek, Woocltick Creek.
(xx) MOYIE BASIN: Brass Creek,
Bussard Creek, Copper Creek, Deer
Creek. Faro Creek, Keno Creek, Kreist
Creek, Line Creek, McDougal Creek,
Mill Creek. Moyie River (above Skin
Creek), Placer Creek, Rutledge Creek.
Skin Creek, Spruce Creek, West Branch
Deer Creek
(xxi) NORTH AND MIDDLE FORK
BOISE BASIN: Abby Creek, Arrastra
Creek, Bald Mountain Creek,
Ballentyne Creek, Banner Creek.
Bayhouse Creek, Bear Creek, Bear
River, Big Gulch, Big Silver Creek,
Billy Creek, Blackwarrior Creek, Bow
Creek, Browns Creek, Buck Creek,
Cabin Creek. Cahhah Creek, Camp
Gulch. China Fork, Coma Creek,
Corbus Creek. Cow Creek, Crooked
River, Cub Creek, Decker Creek, Dutch
Creek, Dutch Frank Creek, East Fork
Roaring River, East Fork Swanhoim
Creek, East Fork Yuba River, Flint
Creek, Flytrip Creek, Gotch Creek,
Graham Creek. Granite Creek, Grays
Creek, Greylock Creek, Grouse Creek,
Hot Creek, Hungarian Creek, Joe Daley
Creek, Johnson Creek, Kid Creek, King
Creek. La Mayne Creek, Leggit Creek.
Lightening Creek, Little Queens River,
Little Silver Creek. Louise Creek,
Lynx Creek, Mattingly Creek, McKay
Creek, MoLeod Creek, McPhearson
Creek, Middle Fork Boise River (above
Roaring River). Middle Fork Corbus
Creek. Middle Fork Roaring River, Mill
Creek, Misfire Creek, Montezuma
Creek, North Fork Boise River (above
Bear River), Phifer Creek, Pikes Fork.
Quartz Gulch, Queens River, Rabbit
Creek, Right Creek, Roaring River,
Robin Creek, Rock Creek, Rockey
Creek, Sawmill Creek. Scenic Creek,
Scotch Creek, Scott Creek, Shorip
Creek, Smith Creek, Snow Creek,
Snowelide Creek. South Fork Corbus
Creek, South Fork Cub Creek. Spout
Creek, Steamboat Creek. Steel Creek,
Steppe Creek, Swanholm Creek. Timpa
Creek, Trail Creek, Trapper Creek, Tri-
pod Creek, West Fork Creek. West War-
rior Creek, Willow Creek, Yuba River.
(xxii) NORTH FORK PAYETFE
BASIN Gold Fork River, North Fork
Gold Fork River, Pearsol Creek.
(xxiii) ARSIMEROL BASIN: Baby
Creek, Bear Creek. Big Creek, Big
Gulch, Burnt Creek. Christian Gulch.
Dead Cat Canyon. Ditch Creek. Donkey
Creek, Doublespring Creek, Dry Can-
yon. Dry Gulch, East Fork Burnt
Creek. East Fork Morgan Creek, East
Fork Pahsimeroi River, East Fork Pat-
terson Creek. Elkhorn Creek, Falls
Creek, Goldberg Creek. Hillside Creek,
Inyo Creek, Long Creek. Mahogany
Creek, Mill Creek, Morgan Creek.
Morse Creek, Mulkey Gulch. North
Fork Big Creek, North Fork Morgan
Creek, Pahsimeroi River (above Big
Creek), Patterson Creek. Rock Spring
Canyon. Short Creek, Snowelide Creek.
South Fork Big Creek. Spring Gulch,
Squaw Creek, Stinking Creek, Tater
Creek. West Fork Burnt Creek. West
Fork North Fork Big Creek.
(xxiv) PAYETTE BASIN. Squaw
Creek, Third Fork Squaw Creek.
(xxv) PEND OREILLE LAKE BASIN.
Branch North Gold Creek, Cheer Creek,
Chloride Gulch, Dry Gulch, Dyree
Creek. Flume Creek, Gold Creek, Gran-
ite Creek, Grouse Creek, Kick Bush
Gulch. North Fork Grouse Creek,
North Gold Creek, Plank Creek, Rapid
Lightning Creek, South Fork Grouse
Creek, Strong Creek, Thor Creek, Tres-
tle Creek, West Branch Pack River,
West Gold CreeL-. Wylie Creek. Zuni
Creek
(xxvi) PRIEST BASIN Abandon
Creek, Athol Creek, Bath Creek, Bear
Creek, Bench Creek. Blacktail Creek,
Bog Creek, Boulder Creek. Bugle
Creek, Canyon Creek, Caribou Creek.
Cedar Creek, Chicopee Creek, Deadman
Creek. East Fork Trapper Creek, East
River, Fedar Creek, Floss Creek, Gold
Creek, Granite Creek, Horton Creek,
Hughes Fork, Indian Creek, Jackson
Creek, Jost Creek. Kalispell Creek,
Kent Creek. Keokee Creek. Lime
Creek. Lion Creek, Lost Creek, Lucky
Creek. Malcom Creek, Middle Fork
East River, Muskegon Creek, North
Fork Granite Creek, North Fork Indian
Creek, Packer Creek, Rock Creek.
Ruby Creek, South Fork Granite
Creek, South Fork Indian Creek, South
Fork Lion Creek, Squaw Creek, Tango
Creek. Tarlac Creek, The Thorofare,
Trapper Creek, Two Mouth Creek,
Uleda Creek, Priest K. (above Priest
Lake). Zero Creek.
(xxvii) SOUTH FORK BOISE BASIN’
Badger Creek, Bear Creek, Bear Gulch,
Big Smoky Creek. Big Water Gulch.
Boardman Creek, Burnt Log Creek.
Cayuse Creek.. Corral Creek, Cow
Creek, Edna Creek, Elk Creek, Emma
Creek, Feather River, Fern Gulch,
Grape Creek, Gunsight Creek, Haypress
Creek. Heather Creek. Helen Creek,
Johneon Creek, Lincoln Creek, Little
Cayuse Creek. Little Rattlesnake
Creek, Little Skeleton Creek. Little
Smoky Creek, Loggy Creek, Mule
Creek. North Fork Ross Fork. Pinto
Creek, Rattlesnake Creek, Ross Fork,
Russel Gulch, Salt Creek. Shake Creek.
Skeleton Creek, Slater Creek, Smokey
Dome Canyon, South Fork Ross Fork,
Three Forks Creek, Tipton Creek, Vi-
enna Creek. Weeks Gulch, West Fork
Big Smoky Creek, West Fork Salt
Creek, West Fork Skeleton Creek, Wil-
low Creek.
(xxviii) SOUTH FORK CLEAR-
WATER BASIN. American River,
Baker Gulch, Baldy Creek. Bear Creek.
Beaver Creek, Big Canyon Creek. Big
Elk Creek, Blanco Creek, Boundary
Creek. Box Sing Creek, Boyer Creek,
Cartwright Creek. Cole Creek. Crooked
River. Dawson Creek, Deer Creek,
Ditch Creek, East Fork American
River, East Fork Crooked River. Elk
Creek. Fivemile Creek. Flint Creek,
Fourrnile Creek, Fox Creek. French
Gulch, Galena Creek, Gospel Creek.
Hagen Creek, Hays Creek, Johns Creek,
Jungle Creek, Kirks Fork American
River, Little Elk Creek, Little Moose
Creek, Little Siegel Creek, Loon Creek.
Mackey Creek. Meadow Creek, Melton
Creek, Middle Fork Red River, Mill
Creek, Monroe Creek, Moores Creek,
Moores Lake Creek, Moose Butte
Creek. Morgan Creek. Mule Creek,
Newsome Creek, Nuggett Creek,
Otterson Creek, Pat Brennan Creek,
Pilot Creek. Quartz Creek, Queen
Creek, Rabbit Creek, Rainbow Gulch.
Red River, Relief Creek, Ryan Creek.
Sally Ann Creek, Sawmill Creek.
Schooner Creek, Schwartz Creek,
Sharmon Creek, Siegel Creek. Silver
Creek, Sixmile Creek, Sixtysix Creek,
Snooae Creek, Sourdough Creek. South
Fork Red River, Square Mountain
Creek, Swale Creek, Swift Creek, Tay-
lor Creek, Tenmile Creek, Trail Creek.
Trapper Creek. Trout Creek.
Twentymile Creek, Twin Lakes Creek.
Umatilla Creek. West Fork Big Elk
Creek, West Fork Crooked River. West
Fork Gospel Creek, West Fork
Newsome Creek. West Fork Red River.
West Fork Twentymile Creek, Whiskey
952
953
-------
§ 131.33
Creek, Wbitaker Creek, Williams
Creek
(xxix) SOUTH PORK PAYE E
BASIN Archie Creek. Ash Creek.
Baron Creek, Basin Creek. Bear Creek.
Beaver Creek, Big Spruce Creek. Bitter
Creek. Blacks Creek. Blue Jay Creek.
Burn Creek. Bush Creek. Camp Creek,
Canyon Creek, Canner Creek. Cat
Creek, Chapman Creek, Charters
Creek. Clear Creek, Coski Creek. Cup
Creek. Dead Man Creek. Deadwood
River. Deer Creek, East Fork Dead-
wood Creek, East Fork Warm Springs
Creek, Eby Creek, Elkhorn Creek,
Emma Creek, Fall Creek. Fence Creek,
Fern Creek. Fivemile Creek, Fox
Creek, Garney Creek, Gates Creek.
Goat Creek, Orandjem Creek, Grouse
Creek, Habit Creek, Helende Creek,
Horse Creek. Huckleberry Creek. Jack-
son Creek, Kettle Creek, Kirkham
Creek, Lake Creek, Lick Creek. Little
Tenmile Creek, Logging Gulch, Long
Creek, MacDonald Creek, Meadow
Creek, Middle Fork Warm Springs
Creek. Miller Creek, Monument Creek,
Moulding Creek, Ninemile Creek. No
Man Creek, No Name Creek, North
Fork Baron Creek, North Fork Canyon
Creek. North Fork Deer Creek, North
Fork Whitehawk Creek, O’Keefe Creek.
Packsaddle Creek, Park Creek, Pass
Creek. Pinchot Creek. Pine Creek.
Pitchfork Creek, Pole Creek. Richards
Creek. Road Fork Rock Creek. Rock
Creek. Rough Creek, Scott Creek, Sil-
ver Creek. Sixmile Creek, Smith Creek,
Smokey Creek, South Fork Beaver
Creek, South Fork Canyon Creek.
South Fork Clear Creek, South Fork
Payette River (above Rock Creek),
South Fork Scott Creek. South Fork
Warm Spring Creek, Spring Creek,
Steep Creek, Stratton Creek. Topnotch
Creek. Trail Creek, Wapiti Creek,
Warm Spring Creek, Warm Springs
Creek, Wbaugdoodle Creek, Wbitehawk
Creek, Wild Buck Creek, Wills Gulch,
Wilson Creek. Wolf Creek.
(xxx) SOUTH FORK SALMON
BASIN: Alex Creek, Back Creek, Bear
Creek. Bishop Creek. Blackmare Creek.
Blue Lake Creek, Buck Creek.
Buckhorn Bar Creek, Buckhorn Creek.
Burgdorf Creek, Burntlog Creek. Cabin
Creek. Calf Creek. Camp Creek, Cane
Creek. Caton Creek, Cinnabar Creek,
Cliff Creek. Cly Creek, Cougar Creek,
40 CFR Ch. I (7—1—99 Edition)
Cow Creek. Cox Creek, Curtis Creek.
Deep Creek. Dollar Creek, Dutch
Creek. East Fork South Fork Salmon
River. East Fork Zena Creek, Elk
Creek, Enos Creek. Falls Creek. Fernan
Creek, Fiddle Creek, Fitsum Creek.
Flat Creek, Fourmile Creek, Goat
Creek. Grimmet Creek. Grouse Creek,
Halfway Creek, Hanson Creek, Hays
Creek. Holdover Creek. Hum Creek, In-
dian Creek, Jeanette Creek. Johnson
Creek, Josephine Creek. Jungle Creek.
Knee Creek, Kraasol Creek, Lake
Creek, Landmark Creek, Lick Creek.
Little Buckhorn Creek. Little Indian
Creek, Lodgepole Creek, Loon Creek.
Maverick Creek, Meadow Creek. Middle
Fork Elk Creek, Missouri Creek, Moose
Creek. Mormon Creek. Nasty Creek,
Nethker Creek. Nick Creek, No Mans
Creek. North Fork Bear Creek. North
Fork Buckhorn Creek, North Fork
Camp Creek. North Fork Dollar Creek,
North Fork Fitsum Creek, North Fork
Lake Fork. North Fork Lick Creek,
North Fork Riordan Creek, North Fork
Six-bit Creek. Oompaul Creek, Para-
dise Creek. Park Creek. Peanut Creek,
Pepper Creek, Phoebe Creek, Piah
Creek, Pid Creek, Pilot Creek, Pony
Creek, Porcupine Creek, Porphyry
Creek, Prince Creek. Profile Creek,
Quartz Creek, Reeves Creek, Rice
Creek. Riordan Creek. Roaring Creek,
Ruby Creek, Rustican Creek. Ryan
Creek. Salt Creek. Sand Creek, Secesh
River. Sheep Creek. Silver Creek, Sis-
ter Creek, Six-Bit Creek. South Fork
Bear Creek. South Fork Blackmare
Creek, South Fork Buckhorn Creek.
South Fork Cougar Creek, South Fork
Elk Creek. South Fork Fitaum Creek,
South Fork Fourmile Creek, South
Fork Salmon River, South Fork
Threemile Creek, Split Creek. Steep
Creek. Sugar Creek. Summit Creek,
Tamarack Creek, Teepee Creek,
Threemile Creek, Trail Creek. Trapper
Creek, Trout Creek, Tsum Creek. Two-
bit Creek, Tyndall Creek. Vein Creek.
Victor Creek, Wardenhoff Creek, Warm
Lake Creek, Warm Spring Creek, West
Fork Buckborn Creek, West Fork Elk
Creek, West Fork Enos Creek. West
Fork Zena Creek. Whangdoodle Creek,
Willow Basket Creek. ‘Willow Creek,
Zena Creek.
(xxxi) ST. JOE ft. BASIN: Bad Bear
Creek, Bean Creek, Bear Creek, Beaver
Environmentoi Protection Agency
Creek, Bedrock Creek, Berge Creek,
Bird Creek, Blue Grouse Creek, Boulder
Creek. Broadaxe Creek, Bruin Creek.
California Creek. Cherry Creek. Clear
Creek, Color Creek, Copper Creek,
Dolly Creek, Dump Creek, Eagle Creek.
East Fork Bluff Creek. East Fork Gold
Creek, Emerald Creek. Fishhook
Creek. Float Creek, Fly Creek, Fuzzy
Creek. Gold ‘Creek, Hailer Creek, In-
dian Creek, Kelley Creek, Maim Creek,
Marble Creek, Medicine Creek. Mica
Creek, Mill Creek, Mosquito Creek,
North Fork Bean Creek, North Fork
Saint Joe River. North Fork Simmons
Creek, Nugget Creek, Packsaddle
Creek, Periwinkle Creek, Prospector
Creek. Quartz Creek, Red Cross Creek.
Red Ives Creek; Ruby Creek. Saint Joe
River (above Siwash Creek), Setzer
Creek. Sherlock Creek, Simmons
Creek, Siwash Creek, Skookum Creek,
Thomas Creek, “ Thorn Creek, Three
Lakes Creek, Timber Creek, Tinear
Creek,’ Trout Creek, Tumbledown
Creek, Wahoo Creek. Washout Creek,
Wilson Creek. Yankee Bar Creek.
(xxxii) UPPER COEUR ‘ D’AJJENE
BASIN: i -Brown Creek, Falls Creek,
Graham Creek.
(xxxiii) UPPER KOOTENAI BASIN
Halverson Cr. North Callahan Creek.
South Callahan Creek. West Fork
Keeler Creek
(xxxiv) UPPER MIDDLE FORK
SALMON ‘BASIN: Asher Creek. Auto-
matic ‘ Creek. ‘Ayers Creek, Baldwin
Creek, Banner Creek, Bear Creek, Bear
Valley Creek, Bearskin Creek, Beaver
Creek, Bernard Creek, Big Chief Creek,
Big Cottonwood Creek, Birch Creek.
Blue Lake Creek. Blue Moon Creek.
Boundary Creek, Bridge Creek, Brown-
ing Creek, Buck Creek, Burn Creek,
Cabin Creek. Cache Creek, Camp
Creek, Canyon Creek, Cap Creek, Cape
Horn Creek, Canner Creek, Castle Fork,
Canto Creek, Cat Creek, Chokebore
Creek, Chuck Creek, Cliff Creek. Cold
Creek, Collie Creek, Colt Creek, Cook
Creek, Corley Creek, Cornish Creek.
Cottonwood Creek, Cougar Creek, Crys-
tal Creek, Cub Creek, Cultus Creek.
Dagger Creek, Deer Creek, Deer Horn
Creek, Doe Creek, Dry Creek, Duffield
Creek, Dynamite Creek, Eagle Creek,
East Fork Elk Creek. East Fork Indian
Creek, East Fork Mayfield Creek. Elk
Creek, Elkhorn Creek, Endoah Creek.
§131.33
Fall Creek. Fawn Creek, Feltham
Creek. Fir Creek, Fiat Creek, Float
Creek. Foresight Creek, Forty-five
Creek, Forty-four Creek, Fox Creek,
Full Moon Creek, Fuse Creek, Grays
Creek, Grenade Creek, Grouse Creek,
‘Gun Creek, Half Moon Creek, Hogback
Creek, Honeymoon Creek. Hot Creek,
Ibex Creek, Indian Creek, Jose Creek,
Kelly Creek, Kerr Creek, Knapp Creek,
Kwiskwia Creek, Lime Creek, Lincoln
Creek, Little Beaver Creek, Little Cot-
tonwood Creek, Little East Fork Elk
Creek, Little Indian Creek, Little Loon
Creek, Little Pistol Creek, Lola Creek,
Loon Creek, Lucinda Creek, Lucky
Creek, Luger Creek, Mace Creek, Mack
Creek, Marble Creek, Marlin Creek,
Marsh Creek. Mayfield Creek,
McHoney Creek, McKee Creek, Merino
Creek. Middle Fork Elkhorn Creek.
Middle Fork Indian Creek. Middle Fork
Salmon River (above Soldier Creek),
Mine Creek. Mink Creek. Moonshine
Creek. Mowitch Creek. Muskeg Creek.
Mystery Creek. Nelson Creek, New
Creek, No Name Creek. North Fork Elk
Creek, North Fork Elkhorn Creek.
North Fork Sheep Creek, North Fork
Sulphur Creek, Papoose Creek, Parker
Creek, Patrol Creek. Phillips Creek,
Pierson Creek, Pinyon Creek, Pioneer
Creek, Pistol Creek, Placer Creek,
Poker Creek, Pole Creek, Popgun
Creek, Porter Creek, Prospect Creek.
Rabbit Creek, Rams Horn Creek, Range
Creek, Rapid River, Rat Creek, Rem-
lngton Creek, Rock Creek. Rush Creek,
Sack Creek, Safety Creek. Salt Creek.
Savage Creek, Scratch Creek. Seafoam
Creek, Shady Creek, Shake Creek,
Sheep Creek, Sheep Trail Creek, Shell
Creek, Shrapnel Creek. Slab Creek, Sil-
ver Creek, Slide Creek, Snowshoe
Creek, Soldier Creek, South Fork Cot-
tonwood Creek, South Fork Sheep
Creek, Spike Creek. Springfield Creek,
Squaw Creek, Sulphur Creek, Sunny-
side Creek, Swamp Creek, Tennessee
Creek, Thatcher Creek, Thicket Creek,
Thirty-two Creek, Tomahawk Creek.
Trail Creek, Trapper Creek, Trigger
Creek, Twenty-two Creek, Vader
Creek, Vanity Creek, Velvet Creek.
Walker Creek, Wampum Creek. Warm
Spring Creek, West Fork Elk Creek,
West Fork Little Loon Creek. West
Fork Mayfield Creek, White Creek.
954
955
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§131.33
40 CFR Ch. I (7—1—99 EdItion) Environmental Protection Agency
§ 131.33
Wickiup Creek, Winchester Creek,
Winnemucca Creek. Wyoming Creek.
(xxxv) UPPER NORTH FORK
CLEARWATER BASIN: Adams Creek.
Avalanche Creek. Bacon Creek, Ball
Creek, Barn Creek, Barnard Creek,
Barren Creek. Bear Creek, Beaver Dam
Creek, Bedrock Creek, Bill Creek, Bos-
tonian Creek, Boundary Creek, Burn
Creek, Butter Creek, Camp George
Creek, Canyon Creek, Cayuse Creek.
Chamberlain Creek. Clayton, Creek.
Cliff Creek. Coffee Creek. Cold Springs
Creek, Collins Creek, Colt Creek, Cool
Creek. Copper Creek, Corral Creek,
Cougar Creek. Craig Creek. Crater
Creek, Cub Creek, Davlq creek. Dead-
wood Creek, Deer Creek, 1 Dill Creek,
Drift Creek. Elizabeth. Creek. Fall
Creek, Fire Creek, Fix Creek. Flame
Creek, Fly Creek. Fourth of July
Creek. Fro Creek. Frog Creek, Frost
Creek, Gilfillian Creek, Goose Creek,
Grass Creek, Gravey Creek, Grizzly
Creek, Hanson Creek. Heather Creek,
Henry Creek. Hidden Creek, Howard
Creek. Independence Creek. Jam Creek,
Japanese Creek, Johnagan Creek,
Johnny Creek, Junction Creek. Kelly
Creek. Kid Lake Creek. Kodiak Creek,
Lake Creek, Laundry Creek, Lightning
Creek, Little Moose Creek, Little
Weitas Creek, Liz Creek, Long Creek,
Marten Creek. Meadow Creek. Middle
Creek, Middle North Fork Kelly Creek,
Mill Creek, Mire Creek, Monroe Creek,
Moose Creek, Negro Creek, Nettle
Creek. Niagra Gulch, North Fork
Clearwater River (Fourth of July
Creek). Nub Creek, Osier Creek, Perry
Creek, Pete Ott Creek, Placer Creek,
Polar Creek, Post Creek, Potato Creek,
Quartz Creek, Rapid Creek, Rawhide
Creek. Roaring Creek, Rock Creek,
Rocky Ridge Creek. Ruby Creek. 8ad-
dIe Creek, Salix Creek, Scurry Creek.
Seat Creek, Short Creek, Shot Creek.
Siam Creek, Silver Creek, Skull Creek.
Slide Creek, Smith Creek, Snow Creek,
South Fork Kelly Creek. Spud Creek,
Spy Creek, Stolen Creek, Stove Creek,
Sugar Creek, Swamp Creek, Tinear
Creek. Tinkle Creek. Toboggan Creek,
Trail Creek. Vanderbilt Gulch, Wall
Creek, Weitas Creek. Williams Creek,
Windy Creek, Wolf Creek. Young
Creek.
(xxxvi) UPPER SALMON BASIN:
Alder Creek, Alpine Creek, Alta Creek.
Alturaa Lake Creek. Anderson Creek,
Aspen Creek, Basin Creek, Bayhorse
Creek, Bear Creek. Beaver Creek, Big
Boulder Creek, Block Creek, Blowfly
Creek, Blue Creek, Boundary Creek.
Bowery Creek, Broken Ridge Creek.
Bruno Creek. Buckskin Creek, Cabin
Creek, Camp Creek, Cash Creek.
Challis Creek, ‘Chamberlain Creek.
Champion Creek, Cherry Creek. Cinna-
bar Creek. Cleveland Creek, Coal
Creek, Crooked Creek, Darling Creek,
Deadwood. Creek. Decker Creek. Deer
Creek, Dry Creek, Daffy Creek. East
Basin Creek, East Fork Salmon River,
East Fork Valley Creek. East Pass
Creek, Eddy Creek, Eigbtmile Creek,
Elevenmile Creek, Elk Creek, Ellis
Creek. Estee Creek, First Creek, Fisher
Creek, Fishhook Creek, ‘Fivemile
Creek, Fourth of July Creek. French-
man Creek. Garden Creek, Germania
Creek, Goat Creek, Gold Creek, Goose-
berry Creek,’ Greylock ‘Creek, Hay
Creek. Hell Roaring Creek, Herd Creek,
Huckleberry Creek, Iron Creek, - Job
Creek. Jordan Creek, Juliette Creek,
Kelly Creek, ‘Kinnikinic Creek. Lick
Creek, Lightning Creek. Little Basin
Creek, Little Beaver Creek, Little
Boulder Creek. Little West Fork Mor-
gan Creek, Lodgepole Creek, Lone Pine
Creek, Lost Creek, MacRae Creek,
Martin Creek, McKay Creek. Meadow
Creek. Mill Creek, Morgan Creek,
Muley Creek, Ninemile Creek, Noho
Creek. Pack Creek, Park Creek, Pat
Hughes Creek, Pig Creek, Pole Creek,
Pork Creek, Prospect Creek, Rainbow
Creek, Redfish Lake Creek, Road
Creek, Rough Creek; Sage Creek, Sage-
brush Creek, Salmon River (Redflsh
Lake Creek), Sawmill Creek, Second
Creek, Sevenmile Creek, Sheep Creek,
Short Creek, Sixmlle Creek, ‘Slate
Creek. Smiley Creek. South Fork East
Fork Salmon River, - Squaw Creek,
Stanley Creek, Stephens Creek, Sum-
mit Creek, Sunday Creek, Swlmm
Creek. Taylor Creek, Tenmile Creek,
Tennel Creek. Thompson Creek, Three
Cabins Creek, Trail Creek, Trap Creek,
Trealor Creek, Twelvemile Creek, Twin
Creek. Valley Creek, Van Horn Creek,
Vat Creek, Warm Spring Creek, Warm
Springs Creek, Washington Creek, West
Beaver Creek. West Fork Creek. West
Fork East Fork Salmon River, West
Fork Herd Creek. West Fork Morgan
956
Creek. West Fork Yankee Fork. West
Pass Creek, Wickiup Creek, Williams
Creek, Willow Creak. Yankee Fork.
(xxxvii) UPPER SELWAY BASIN.
Basin Creek, Bear Creek, Burn Creek,
Camp Creek, ‘Canyon Creek, Cliff
Creek, Comb Creek. Cooper Creek, Cub
Creek, Deep Creek, Eagle Creek, Elk
Creek, Fall Creek, Fox Creek, Goat
Creek. Gold Pan Creek, Granite Creek.
Grass Gulch, Haystack Creek, Hells
Half Acre Creek, Indian Creek, Kim
Creek, Lake Creek, Langdon Gulch,
Little Clearwater River, Lodge Creek,
Lunch Creek, Mist Creek, Paloma
Creek, Paradise Creek, Peach Creek.
Pettibone Creek. Running Creek, Sad-
dle Gulch, Schofield Creek, Selway
River (above Pettibone Creek). South
Fork Running Creek, South Fork Sad-
dle Gulch. South Fork Surprise Creek.
Spruce ‘Creek. Squaw Creek, Stripe
Creek, Surprise Creek, Set Creek,
Tepee Creek, Thirteen Creek. Three
Lakes Creek. Triple Creek, Wahoo
Creek.’ White Cap Creek, Wilkerson
Creek. Witter Creek.
(xxxviii) WEISER BASIN: Anderson
Creek. Bull Corral Creek. Dewey Creek.
East Fork Weiser River, Little Weiner
River, above Anderson Creek, Sheep
Creek. Wolf Creek.
(3) Procedures for site specific modi-
fication of listed waterbodies or tem-
perature criteria for bull trout.
(i) The Regional Administrator may,
in his discretion, determine that the
temperature criteria in paragraph
(a)(1) of this section shall not apply to
a specific waterbody or portion thereof
listed in paragraph (a)(2) of this sec-
tion. Any such determination shall be
made consistent with §131.11 and shall
be based on a finding that bull trout
spawning and rearing is not an existing
use in such waterbody or portion there-
of
(ii) The Regional Administrator may.
in his discretion, raise the temperature
criteria in paragraph (a)(l) of this sec-
tion as they pertain to a specific
waterbody or portion thereof listed In
paragraph’ (a)(2) of this section. Any
such determination shall be made con-
sistent with § 131.11, and shall be based
on a finding that bull trout would be
fully supported at the higher tempera-
ture criteria
(iii) For any determination made
under paragraphs (a)(3)(i) or (a)(3)(li) of
this section, the Regional Adminis-
trator shall, prior to making such a de-
termination, provide for public notice
of and comment on a proposed deter-
mination. For any such proposed deter-
mination. the Regional Administrator
shall prepare and make available to
the public a technical support docu-
ment addressing each waterbody or
portion thereof that would be deleted
or modified and the Justification for
each proposed determination. This doc-
ument shall be made available to the
public not later than the date of public
notice
(iv) The Regional Administrator
shall maintain and make available to
the public an updated list of deter-
minations made pursuant to para-
graphs (a)(3)(i) and (a)(3)(iI) of this sec-
tion as well as the technical support
documents for each determination.
(v) Nothing in this paragraph (a)(3)
shall limit the Administrator’s author-
ity to modify the temperature criteria
In paragraph (a)(1) of this section or
the list of waterbodies In paragraph
(a)(2) of this section through rule-
making.
(b) Use designations for surface waters.
In addition to the State adoped use
designations, the following water body
segments in Idaho are designated for
cold water biota. Canyon Creek (PB
121)—below mining impact; South Fork
Coeur d’Alene River (PB 140S)—Daisy
Gulch to mouth; Shields Gulch (PB
148S)—below mining Impact, Blackfoot
River (USB 360)—Equalizing Dam to
mouth, except for any portion in In-
dian country; Soda Creek (BB 310)—
source to mouth.
(c) Excluded waters. Lakes, ponds.
pools, streams, and springs outside
public lands but located wholly and en-
tirely upon a person’s land are not pro-
tected specifically or generally for any
beneficial use, unless such waters are
designated In Idaho 16.01.02 110.
through 160.. or, although not so des-
ignated, are waters of the Unitod
States as defined at 40 CFR 1222.
Cd) Water quahty standard variances.
(1) The Regional Administrator. EPA
Region X, is authorized to grant
variances from the water quality
957
II
I’
II’
-------
§ 131.34
standards in paragraph (b) of this sec-
tion where the requirements of this
paragraph (d) are met. A water quality
standard variance applies only to the
permittee requesting the variance and
only to the pollutant or pollutants
specified In the variance; the under-
lying water quality standard otherwise
remains in effect
(2) A water quality standard variance
shall not be granted if:
(1) Standards will be attained by im-
plementing effluent limitations re-
quired under sections 301(b) and 306 of
the CWA and by the permittee Imple-
menting reasonable best management
practices for nonpoint source control;
or
(ii) The variance would likely jeop-
ardize the continued existence of any
threatened or endangered species listed
under section 4 of the Endangered Spe-
cies Act or result in the destruction or
adverse modification of such species’
critical habitat.
(3) Subject to paragraph (d)(2) of this
section. a water quality standards vari-
ance may be granted If the applicant
demonstrates to EPA that attaining
the water quality standard is not fea-
sible because:
(i) Naturally occurring pollutant con-
centrations prevent the attainment of
the use, or
(ii) Natural, ephemeral, intermittent
or low flow conditions or water levels
prevent the attainment of the use, un-
less these conditions may be com-
pensated for by the discharge of suffi-
cient volume of effluent discharges
without violating State water con-
servation requirements to enable uses
to be met; or
(iii) Human caused conditions or
sources of pollution prevent the attain-
ment of the use and cannot be rem-
edied or would cause more• environ-
mental damage to correct than to leave
in place; or
(iv) Dams, diversions or other types
of hydrologic modifications preclude
the attainment of the use, and it is not
feasible to restore the waterbody to its
original condition or to operate such
modification in a way which would re-
sult in the attainment of the use; or
(v) Physical conditions related to the
natural features of the waterbody, such
as the lack of a proper substrate, cover,
40 CFR Ch.l (7—1—99 Edition)
flow, depth, pools, riffles, and the like
unrelated to water quality, preclude
attainment of aquatio life protection
uses; or
(vi) Controls more stringent than
those required by sections 301(b) and
306 of the CWA would result in substan-
tial and widespread economic’ and so-
cial impact.
(4) Procedures. An applicant for a
water quality standards variance shall
submit a request to the Regional Ad-
ministrator not later than the date the
applicant applies for an NPDES permit
which would implement the variance.
except that an application may be filed
later if the need for the variance arises
or the data supporting the variance be-
comes available after the NPDES per-
mit application is filed. The applica-
tion shall include all relevant informa-
tion showing that the requirements for
a variance have been satisfied. The bur-
den is on the applicant to demonstrate
to EPA’s satisfaction that the des-
ignated use is unattainable for one of
the reasons specified in paragraph
(d)(3) of this section. If the Regional
Administrator preliminarily deter-
mines that grounds exist for granting a
variance, he shall publish notice of the
proposed variance. Notice of a final de-
cision to grant a variance shall also be
published. EPA will incorporate into
the permittee’s NPDES permit all con-
ditions needed to implement the vari-
ance.
(5) A variance may not exceed 5 years
or the term of the NPDES permit,
whichever is less. A variance may be
renewed if the applicant reapplies and
demonstrates that the use in question
is still not attainable. Renewal Of the
variance may be denied if the applicant
did not comply with’the conditions of
the original variance.
[ 62 FIt 41163, July 31. 1997)
§ 131.34 [ Reserved)
§ 131.35 Colvllle Confederated Tribes
Indian Reservation.
The water quality standards applica-
ble to the waters within the Colville
Indian Reservation, located in the
State of Washington.
958
Environmental Protection Agency
(a) Background (1) It is the purpose
of these Federal water quality stand-
ards to prescribe minimum water qual-
ity requirements for the surface waters
located within the exterior boundaries
of the Colville Indian Reservation to
ensure compliance with section 303(c)
of the Clean Water Act
(2) The Colville Confederated Tribes
have a primary interest in the protec-
tion, control, conservation, and utiliza-
tion of the water resources of the
Colviile Indian Reservation. Water
quality standards have been enacted
into tribal law by the Colville Business
Councii of the Confederated Tribes of
the Colville Reservation, as the
Colville Water Quality Standards Act,
CTC Title 33 (Resolution No 1984—526
(August 6, 1984) as amended by Resolu-
tion No 1985—20 (January 18, 1985))
(b) Territory covered The provisions of
these water quality standards shall
apply to all surface waters within the
exterior boundaries of the Colville In-
dian Reservation.
(C) Applicability, Administration and
Amendment, (1) The water quality
standards in this section shall be used
by the Regional Administrator for es-
tablishing any water quality based Na-
tional Pollutant Discharge Elimination
System Permit (NPDES) for point
sources on the Colville Confederated
Tribes Reservation.
(2) In conjunction with the issuance
of section 402 or section 404 permits,
the Regional Administrator may des-
ignate mixing zones in the waters of
the United States on the reservation
on a case-by-case basis. The size of
such mixing zones and the in-zone
water quality in such mixing zones
shall be consistent with the applicable
procedures and guidelines in EPA’s
Water Quality Standards Handbook
and the Technical Support Document
for Water Quality Based Toxics Con-
trol.
(3) Amendments to the section at the
request of the Tribe shall proceed in
the following manner.
(I) The requested amendment shall
first be duly approved by the Confed-
erated Tribes of the Coiville Reserva-
tion (and so certified by the Tribes
Legal Counsel) and submitted to the
Regional Administrator
§ 131.35
(ii) The requested amendment shall
be reviewed by EPA (anti by the State
of Washington. if the action would af-
fect a boundary water).
(iii) If deemed in compliance with the
Clean Water Act, EPA will propose and
promulgate an appropriate change to
this section
(4) Amendment of this section at
EPA’s initiative will follow consulta-
tion with the Tribe and other appro-
priate entitles Such amendments will
then follow normal EPA rulemaking
procedures
(5) All other applicable provisions of
this part 131 shall apply on the Colville
Confederated Tribes Reservation. Spe-
cial attention should be paid to § 131 6,
131.10, 131.11 and 131 20 for any amend-
ment to these standards to be initiated
by the Tribe
(6) All numeric criteria contained in
this section apply at all In-stream flow
rates greater than or equal to the flow
rate calculated as the minimum 7-con-
secutive day average flow with a recur-
rence frequency of once in ten years
(7Q10); narrative criteria ( 131 35(e)(3))
apply regardless of flow. The 7QlO low
flow shall be calculated using methods
recommended by the U S Geological
Survey.
(d) Definitions (1) Acute toxicity
means a deleterious response (e.g.,
mortality, disorientation, immobiliza-
tion) to a stimulus observed in 96 hours
or less.
(2) Background conditions means the
biological, chemical, and physical con-
ditions of a water body, upstream from
the point or non-point source discharge
under consideration. Background sam-
pling location in an enforcement ac-
tion will be upstream from the point of
discharge, but not upstream from other
inflows. If several discharges to any
water body exist, and an enforcement
action is being taken for possible viola-
tions to the standards, background
sampling will be undertaken imme-
diately upstream from each discharge.
(3) Ceremonial and fleligious watei- use
means activities involving traditional
Native American spiritual practices
which involve, among other things, pri-
mary (direct) contact with water.
(4) Chronic toxicity means the lowest
concentration of a constituent cau8ing
observable effects (i e , considering
959
I ,
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§ 131.35
40 CFR Cli. I (7—1-99 EditIon) I Environmental Protection Agency
§ 131.35
lethality, growth, reduced reproduc-
tion. etc.) over a relatively long period
of time, usually a 28-day test period for
small fish test species.
(5) Council or Tribal Council means
the Colville Business Council of the
Colville Confederated Tribes.
(6) Geometric mean means the nth root
of a product of n factors
(7) Mean retention time means the
time obtained by dividing a reservoir’s
mean annual minimum total storage
by the non-zero 30-day, ten-year low-
flow from the reservoir
(8) Mixing zone or dilution zone means
a limited area or volume of water
where initial dilution of a discharge
takes place; and where numeric water
quality criteria can be exceeded but
acutely toxic conditions are prevented
from occurring.
(9) p11 means the negative logarithm
of the hydrogen Ion concentration.
(10) Primary contact recreation means
activities where a person would have
direct contact with water to the point
of complete submergence, including
but not limited to akin diving, swim-
ming. and water skiing.
(11) Regional Administrator means the
Administrator of EPA’s Region X.
(12) Reservation means all land within
the limits of the Colville Indian Res-
ervation, established on July 2, 1872 by
Executive Order, presently containing
1,389,000 acres more or less, and under
the jurisdiction of the United States
government, notwithstanding the
issuance of any patent, and including
rights-of-way running through the res-
ei-vation.
(13) Secondary contact recreation
means activities where a person’s
water contact would be limited to the
extent that bacterial infections of eyes,
ears, respiratory, or digestive systems
or urogenital areas would normally be
avoided (such as wading or fishing).
(14) Surface water means all water
above the surface of the ground within
the exterior boundaries of the Colville
Indian Reservation including but not
limited to lakes, ponds, reservoirs, ar-
tificial impoundments, streams, rivers,
springs, seeps and wetlands.
(15) Temperature means water tem-
perature expressed in Centigrade de-
grees (C).
(16) Total dissolved solids (TDS) means
the total filterable residue that passes
through a standard glass fiber filter
disk and remains after evaporation and
drying to a constant weight at 180 de-
grees C. it is considered to be a meas-
ure of the dissolved salt content of the
water
(17) Toxicity means acute and/or
chronic toxicity
(18) Tribe or Tribes means the Colville
Confederated Tribes.
(19) TurbIdity means the clarity of
water expressed as nephelometric tur-
bidity units (NTU) and measured with
a calibrated turbidimeter.
(20) Wildlife habitat means the waters
and surrounding land areas of the Res-
ervation used by fish, other aquatic life
and wildlife at any stage of their life
history or activity.
(e) General considerations. The fol-
lowing general guidelines shall apply
to the water quality standards and
classifications set forth in the use des-
ignation Sections.
(1) Classification boundaries. At the
boundary between waters of different
classifications, the water quality
standards for the higher classification
shall prevail.
(2) Antidegradation policy This
antidegradation policy shall be appli-
cable to all surface waters of the Res-
ervation.
(i) Existing in-stream water uses and
the level of water quality necessary to
protect the existing uses shall be main-
tained and protected.
(ii) Where the quality of the waters
exceeds levels necessary to support
propagation of fish, shellfish, and wild-
life and recreation in and on the water,
that quality shall be maintained and
protected unless the Regional Adminis-
trator finds, after full satisfaction of
the inter-governmental coordination
and public participation provisions of
the Tribes’ continuing planning proc-
ess, that allowing lower water quality
is necessary to accommodate impor-
tant economic or social development in
the area in which the ‘waters are lo-
cated. In allowing such degradation or
lower water quality, the Regional Ad-
ministrator shall assure water quality
adequate to protect existing uses fully.
Further, the Regional Administrator
shall assure that there shall be
960
achieved the highest statutory and reg-
ulatory requirements for all new and
existing point sources and all coat-ef-
fective and reasonable best manage-
ment practices for nonpoint source
control.
(iii) Where high quality waters are
identified as constituting an out-
standing national or reservation re-
source, such as waters within areas
designated as unique water quality
management areas and waters other-
wise of exceptional recreational or eco-
logical significance, and are designated
as special resource waters, that water
quality shall be maintained and pro-
tected
(iv) In those cases where potential
water quality impairment associated
with a thermal discharge is involved,
this anttdegradation policy’s imple-
menting method shall be consistent
with section 316 of the Clean Water
Act.
(3) AesthetIc qualities. All waters with-
in the Reservation, including those
within mixing zones, shall be free from
substances, attributable to wastewater
discharges or other pollutant sources,
that’
(i) Settle to form objectionable de-
posits,
(ii) Float as debris, scum, oil, or
other matter forming nuisances,
(iii), Produce objectionable color,
odor, taste, or turbidity;
(iv) Cause Injury to. are toxic to, or
produce adverse physiological re-
sponses in humans, animals, or plants,
or
(v) produce undesirable or nuisance
aquatic life.
(4) AnalytIcal methods (i) The analyt-
ical testing methods used to measure
or otherwise evaluate compliance with
water quality standards shall to the ex-
tent practicable, be in accordance with
the “Guidelines Establishing Test Pro-
cedures for the Analysis of Pollutants”
(40 CFR part 136). When a testing meth-
od is not available for a particular sub-
stance. the most recent edition of
“Standard Methods for the Examina-
tion of- Water and Wastewater” (pub-
lished by the American Public Health
Association, American Water Works
Association. ‘and the Water Pollution
Control Federation) and other or super-
seding methods published and/or ap-
proved by EPA shall be used.
(f) General water use and criteria class-
es The following criteria shall apply to
the various classes of surface waters on
the Colville Indian Reservation,
(1) Class I (Extraordinary)—(i) Des-
ignated uses The designated uses in-
clude, but, are not limited to, the fol-
lowing:
(A) Water supply (domestic, indus-
trial, agricultural).
(B) Stock watering.
(C) Fish and shellfish’ Salmonid mi-
gration, rearing, spawning, and har-
vesting, other fish migration, rearing,
spawning, and harvesting.
(D) Wildlife habitat.
(E) Ceremonial and religious water
use.
(F) Recreation (primary contact
recreation, sport fishing, boating and
aesthetic enjoyment).
(0) Commerce and navigation.
(ii) Water quality cnteTia. (A) Bac-
teriological Criteria. The geometric
mean of the enterococci bacteria den-
sities in samples taken over a 30 day
period shall not exceed 8 per 100 milli-
liters, nor shall any single sample ex-
ceed an enterococci density of 35 per
100 milliliters. These limits are cal-
culated as the geometric mean of the
collected samples approximately equal-
ly spaced over a thirty day period
(B) Dissolved oxygen—.me dissolved
oxygen shall exceed 9 5 mg/I
(C) Total dissolved gas—concentra-
tions shall not exceed 110 percent of
the saturation value for gases at the
existing atmospheric and hydrostatic
pressures at any point of sample collec-
tion.
(D) Temperature—shall not exceed
16 0 degrees 0 due to human activities
Temperature increases shall not, at
any time, exceed t=23F(Ti-5)
(1) When natural conditions exceed
16.0 degrees C, no temperature increase
will be allowed which will raise the re-
ceiving water by greater than 0 3 de-
grees C
(2) For purposes hereof. “t” rep-
resents the permissive temperature
change across the dilution zone; and
“T” represents the highest existing
temperature in this water classifica-
tion outside of any dilution zone.
961
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§ 131.35
(3) Provided that temperature in-
crease resulting from nonpoint source
activities shall not exceed 2 8 degrees
C. and the maximum water tempera-
ture shall not exceed 10.3 degrees C.
(E) pH shall be within the range of 8.5
to 8 5 with a human-caused variation of
less than 0.2 units.
(F) Turbidity shall not exceed 5 NTh
over background turbidity when the
background turbidity is 50 NTU or lees.
or have more than a 10 percent increase
in turbidity when the background tur-
bidity is more than 50 NTU.
(0) Toxic, radioactive, nonconven-
tional, or deleterious material con-
centrations shall be less than those of
public health significance, or which
may cause acute or chronic toxic con-
ditions to the aquatic blota, or which
may adversely affect designated water
uses
(2) Class II (Excellent)—(i) Designated
uses. The designated uses include but
are not limited to, the following:
(A) Water supply (domestic, indus-
trial, agricultural).
(B) Stock watering.
(C) Fish and shellfish’ Salmonid mi-
gration. rearing, spawning, and har-
vesting. other fish migration, rearing,
spawning, and harvesting; crayfish
rearing, spawning, and harvesting
(D) Wildlife habitat.
(E) Ceremonial and religious water
use.
(F) Recreation (primary contact
recreation, sport fishing, boating and
aesthetic enjoyment)
(0) Commerce and navigation
(ii) Water quality criteria. (A) Bac-
teriological Criteria—The geometric
mean of the enterococci bacteria den-
sities in samples taken over a 30 day
period shall not exceed 16/100 ml, nor
shall any single sample exceed an
enterococci density of 75 per 100 milli-
liters These limits are calculated as
the geometric mean of the collected
samples approximately equally spaced
over a thirty day period.
(B) Dissolved oxygen—The dissolved
oxygen shall exceed 8.0 mgll.
(C) Total dissolved gas—concentra-
tions shall not exceed 110 percent of
the saturation value for gases at the
existing atmospheric and hydrostatic
pressures at any point of sample collec-
tion.
40 CER Ch. I (7—1—99 Edition)
(D) Temperature-shall not exceed 18 0
degrees C due to human activities
Temperature increases shall not, at
any time, exceed t=28/(Ti-7).
(I) When natural conditions exceed 18
degrees C no temperature increase will
be allowed which will raise the receiv-
ing water temperature by greater than
0.3 degrees C.
(2) For purposes hereof, “t” rep-
resents the permissive temperature
change across the dilution zone; and
“T” represents the highest existing
temperature in this water classifica-
tion outside of any dilution zone.
(3) Provided that temperature in-
crease resulting from non-point source
activities shall not exceed 2.8 degrees
C. and the maximum water tempera-
ture shall not exceed 18.3 degrees C.
(E) pH shall be within the range of 6.5
to 8 5 with a human-caused variation of
less than 0.5 units.
(F) Turbidity shall not exceed 5 NTU
over background turbidity when the
background turbidity is 50 NTU or less,
or have more than a 10 percent increase
in turbidity when the background tur-
bidity is more than 50 NTU.
(0) Toxic, radioactive, nonconven-
tional, or deleterious material con-
centrations shall be less than those of
public health significance, or which
may cause acute or chronic toxic con-
ditions to the aquatic biota, or which
may adversely affect designated water
uses.
(3) Class 111 (Good)—(i) Designated
uses The designated uses include but
are not limited to, the following:
(A) Water supply (industrial, agricul-
tural).
(B) Stock watering.
(0) Fish and shellfish’ Salmonid mi-
gration, rearing, spawning, and har-
vesting; other fish migration, rearing,
spawning, and harvesting; crayfish
rearing, spawning, and harvesting.
(D) Wildlife habitat.
(E) Recreation (secondary contact
recreation, sport fishing, boating and
aesthetic enjoyment).
(F) Commerce and navigation.
(ii) Water quality criteria. (A) Bac-
teriological Criteria—The geometric
mean of the enterococci bacteria den-
sities in samples taken over a 30 day
period shall not exceed 33 100 ml, nor
shall any single sample exceed an
Environmental Protection Agency
enterococci density of 150 per 100 milli-
liters. These limits are calculated as
the geometric mean of the collected
samples approximately equally spaced
over a thirty day period.
(B) Dissolved oxygen.
.
,
Early life
stegea’
Other
ills
stages
7 day mean
tdaymlnimurn’
. . ..
. I
9 5 (65)
80(50)1
3 NA
85
‘These are waler column concentrations recommended to
achieve the required lntergrevel dissolved oxygen concentra-
tions shown In parentheses The 3 mg4. diilerentlal Is dis-
cussed In the dissolved oxygen criteria document (EPA 440!
5—85—003. AprIl 1986) For species thai have early life stages
exposed directly lo the water column, the figures fri paren-
theses apply
5 lncludes all embryonic and larval stages and at luvenif S
forms to 30-days iollowtng hatchIng
3 NA (not appilcable)
‘All mInim. Should be considered as instantaneous con.
cenlratlons to be eciileved 51 all timex
(C) Total dissolved gas concentra-
tions shall not exceed 110 percent of
the saturation value for gases at the
existing atmospheric and hydrostatic
pressures at a y point of sample collec-
tion. I
(0) Temperature shall not exceed 21.0
degrees C due to human activities.
Temperature increases shall not, at
any time, exceed t=34/(T+9).
• (1) When natural conditions exceed
21.0 degrees C no temperature increase
will be allowed which will raise the re-
ceiving water temperature by greater
than 0.3 degrees C.
(2) For purposes’ hereof, - “t” rep-
resents the psi-missive temperature
change across the dilution zone; and
“T” represents the highest existing
temperature in this water classifica-
tion outside of any dilution zone.
(3) Provided that temperature in-
crease resulting from nonpoint source
activities shall not exceed 2 8 degrees
C, and the maximum water tempera-
ture shall not exceed 21.3 degrees C.
(E) pH shall be within the range of 6 5
to 8.5 with a human-caused variation of
less than 0 5 units.
(F) Turbidity shall not exceed 10 NTU
over background turbidity when the
background turbidity is 50 NTU or less,
or have more than a 20 percent increase
in turbidity when the background tur-
bidity is more than 50 NTU.
(0) Toxic, radioactive, noncon-
ventional, or deleterious material con-
centrations shall be less than those of
public health significance, or which
9131.35
may cause acute or chronic toxic con-
ditions to the aquatic blota, or which
may adversely affect designated water
uses.
(4) Class IV (Fair)—(i) Designated uses.
The designated uses include but are not
limited to, the following:
(A) Water supply (industrial).
(B) Stock watering
(0) Fish (salmonid and other fish mi-
gration).
(D) Recreation (secondary contact
recreation, sport fishing, boating and
aesthetic enjoyment),
(E) Commerce and navigation.
(ii) Water quality criteria. (A) Dis-
solved oxygen
Du
aalmorrld
and other
fish nigra.
U s,
pedode
3odaymean
ldaymean
7 day mean min,mum
ldaynr lnirnum 5
65
‘NA
50
40
55
‘NA
40
30
‘NA (not appllcxble)
‘All minima should be considered as Instamaneois con-
cenUaticns lobe achieved at all times
(B) Total dissolved gas—concentra-
tions shall not exceed 110 percent of
the saturation value for gases at the
existing atmospheric and hydrostatic
pressures at any point of sample collec-
tion.
(C) Temperature shall not exceed 22.0
degrees C due to human activities
Temperature increases shall not, at
any time, exceed t=20/(T+2).
(I) When natural conditions exceed
22 0 degrees C, no temperature increase
will be allowed which will raise the re-
ceiving water temperature by greater
than 0.3 degrees C.
(2) For purposes hereof, “t” rep-
resents the permissive temperature
change across the dilution zone, and
‘T” represents the highest existing
temperature in this water classifica-
tion outside of any dilution zone.
(D) pH shall be within the range of 6 5
to 9.0 wIth a human-caused variation of
less than 0 5 units.
(E) Turbidity shall not exceed 10 NTU
over background turbidity when the
background turbidity is 50 NTU or less,
or have more than a 20 percent increase
in turbidity when the background tur-
bidity is more than 50 NTU.
962
963
-------
§ 131.35
(F) Toxic, radioactive, noncon-
ventional. or deleterious material con-
centrations shall be less than those of
public health significance, or which
may cause acute or chronic toxic con-
ditions to the aquatic biota, or which
may adversely affect designated water
uses.
(5) Lake Class—(i) Designated uses.
The designated uses include but are not
limited to, the following:
(A) Water supply (domestic, indus-
trial, agricultural).
(B) Stock watering.
(C) Fish and shellfish: Salmonid mi-
gration, rearing, spawning, and har-
vesting; other fish migration, rearing.
spawning, and harvesting; crayfish
rearing, spawning, and harvesting.
(D) Wildlife habitat
(E) Ceremonial and religious water
use.
(F) Recreation (primary contact
recreation, sport fishing, boating and
aesthetic enjoyment).
(G) Commerce and navigation.
(ii) Water quality cnteria. (A) Bac-
teriological Criteria. The geometric
mean of the enterococci bacteria den-
sities in samples taken over a 30 day
period shall not exceed 33/100 ml, nor
shall any single sample exceed an
enterococci density of 150 per 100 milli-
liters. These limits are calculated as
the geometric mean of the collected
samples approximately equally spaced
over a thirty day period. ‘ I
(B) Dissolved oxygen—no measurable
decrease from natural conditions.
(C) Total dissolved gas concentra-
tions shall not exceed 110 percent of
the saturation value for gases at the
existing atmospheric and hydrostatic
pressures at any point of sample collec-
tion.
(D) Temperature—no measurable
change from natural conditions.
(E) pH—no measurable change from
natural conditions.
(F) Turbidity shall not exceed 5 NTU
over natural conditions.
(0) Toxic, radioactive, noncon-
ventional, or deleterious material con-
centrations shall be less than those
which may affect public health, the
natural aquatic environment, or’ the
desirability of the water for any use.
(6) Special Resource Water Class
(SRW)—(i) General characteristics. These
40 CFR Ch. I (7—1—99 EditIon)
are freSh or saline waters which com-
prise a special and unique resource to
the Reservation. Water quality of this
class will be varied and unique as de-
termined by the Regional Adminis-
trator in cooperation with the Tribes.
(ii) Designated uses. The designated
uses include, but are not limited to,
the following:
(A)Wildlife habitat.
(B) Natural foodchain maintenance.
(iii) Water quality criteria.
(A) Enterococci bacteria densities
shall not exceed: natural conditions.
(B) Dissolved oxygen—shall not show
any measurable decrease from natural
conditions.
(C) Total dissolved gas shall not vary
from natural conditions.
(D) Temperature—shall not show any
meP.surable change from natural condi-
tions.
(E) pH shall not show any measurable
change from natural conditions.
(F) Settleable solids shall not show
any change from natural conditions.
(0) Turbidity shall not exceed 5 NTU
over natural conditions.
(H) Toxic, radioactive, or deleterious
material concentrations shall not ex-
ceed those found. under natural condi-
tions..
(g) General classifications. . General
classifications applying to various sur-
face waterbodies not specifically classi-
fied under §131.35(h) are as follows:
(1) All surface waters that are tribu-
taries to Class I waters are classified
Class I, unless otherwise classified.
(2) Except for those specifically clas-
sified otherwise, all lakes with existing
average concentrations lees than 2000
mgIL TDS and their feeder streams on
the Colviile Indian Reservation are
classified as Lake Class and Class I, re-
spectively.
(3) All lakes on the Colville Indian
Reservation with existing average con-
centrations of TDS equal to or exceed-
ing 2000 mg/L and their feeder streams
are classified as Lake Class and Class I
respectively unless specifically classi-
fied otherwise.
(4) All reservoirs with a mean deten-
tion time of greater than 15 days are
classified Lake Class.
Environmen aI Protection Agency
(5) All reservoirs with a mean deten-
tion time of 15 days or less are classi-
fied the same as the river section in
which they are located.
(6) All reservoirs established on pre-
existing lakes are classified as Lake
Class.
(7) All wetlands are assigned to the
Special Resource Water Class.
(8) All other waters not specifically
assigned to a classification of the res-
ervation are classified as Class H.
(h) Speciftc classifications Specific
classifications for surface waters of the
Colville Indian Reservation are as fol-
lows:
,l) Streams
Alice Creek Class Ill
Anderson Creek Class Ill
Amrstrong Creek Class Ill
Barnaby Creek Class II
sear Creek Class Ill
Beaver Dam Creek Class II
Bddge Creek Class II
Brush Creek Class Ill
Buckhom Creek Class Ill
Cache Creek Class Ill
Canteen Creek Class I
Capoose Creak Class lii
Cobbe Creek Class Ill
Columbia River irom Chief J 0 •
eeph Dam 10 Wefla Dam
Columbia River from northern
Reservation boundary to
Grand Caulee Dam (Roo-
sevelt Lake)
Columbia River from Grand
Coulee Dam to Chlel Joseph
Dam
Cook Creek Class I
Cooper Creek Class lii
Cornstalk Creek Class lit
Cougar Creek Class I
coyote Creek Class II
D.erttorn Creek Class Ill
Dick Creak Class Ill
Dry Creek Class I
Empire Creek Class ill
Faye Creek Class I
Forty Mile Creek Class Ill
Gfbson Creek Class I
Gold Creek Class II
Granite Creek Class II
Orinly Creek Class lii
Haley Creek Class Ill
Hell Crnek Class II
HaS Creek, West Fort, Class I
Iron Creek Class ill
Jack Creek Class ill
Jarred Creek Class I
Joe Moses Creek Class ill
John Tom Creek Class iii
Jones Creek Class I
Kailar Creek Class lit
Kincatd Creek Class Ill
King Creek Class Ill
IClondyke Creel, Class I
Lime Creek Class Ill
Little Jim Creek Class Ill
Little Neepetem Class Ii
Loule Creek Class Ill
Lynx Creek Class it
Manila Creel,
UcAllisior Creek
Meadow Creek
Mlii Creek
MissIon Creak
Neapelem River
Ne c Parce Creek
Nine Mile Creek
N,neleen Mile Creek
No Name Creek
North Nanamlrln C,eel,
North Star Creek
Okerrogan River horn fleserva-
lion north boundary to Colum
Ma River
Olds Creek
Omak Creek
Onion Creek
Pennenter Creek
Peel Creek
Peter Dan Creek
Rock Creek
San Poll River
Sanpoil, River Weal Fork
Seventeen Mile Creek
Silver Creek
Sildown Creek
Six MIle Creel,
South Nanamliln Creek
Spnng Creek
Slapaloop Creek
Slepstone Creel,
Slianger Creek
Strawbeny Creel,
Swimptkln Creek
Three Forks Creek
Three Mile Creek
Thirteen Mile Creek
Thirty Mile Creek
Trail Creek
Twenlyfive Mile Creek
Twontyone Mile Creek
Twentylhree Mile Creek
Wannacol Creek
Welts Creek
Whilelew Creek
Wilmoni Creek
(2) Lakes
Apex Lake
Big Goose Lake
Bourgeau Lake
Buffalo Lake
Cody Lake
Crawfish Lakes
Candle Lake
Elbow Lake
Fish Lake
Gold Lake
Greal Western Lake
Johnson Lake
LeFIeuv Lake
Utile Goose Lake
little Owhl Lake
McGinnis Lake
Nicholas Lake
Omak Lake
Owhl Lake
Penley Lake
Rebecca Lake
Round Lake
Simpson Lake
Soap Lake
Sugar Lake
Summit Lake
Twin Lakes
[ 51 FR 28525. July 6. 1989J
§ 131.35
Class Ill
Class Ill
Clese Ill
Class II
Class Ill
Class II
Clsee Ill
Class II
Class Ill
Class II
Class Ill
Class III
Claae II
Class I
Class II
Class Ii
Class Ill
Class ill
Class lii
Class I
Class I
Class II
Class lii
Class lii
Class Ill
Class III
Class Ill
Class Ill
Class Ill
Class Ill
Class II
Class Ill
Class Ill
Class I
Class Ill
Class II
Class II
Class Ill
Class Ill
Class Ill
Class Ill
Class Ill
Class I
Class iii
Class Ii
LC
LC
LC
IC
IC
IC
IC
IC
IC
IC
IC
IC
IC
IC
IC
IC
IC
SRW
SRW
SAW
IC
IC
IC
LC
IC
IC
SRW
964
965
-------
40 CFR Ch. I (7—1—99 EdItion)
criteria’ for priority toxic pollutants
but is restricted to specific pollutants
In specific States.
(b)(1) EPA’S Section 304(a) CrIteria for
Priority Toxic Pollutants.
0
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(10 rIsI for e . 4cInsII, )
06r C . 4 tI.4 of.
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U
4010UW,., 05
Criterion Criterion
U .aI. Contim
C. 6 C d
(UUILP ( s#L l
ii 12
201 1Sf
§ 131,36
0
UU *U UEAITU
I (10 r163 fer r.rcI . 4w.p
I . , C.ao t ion •li
Wit., $
0.ii 0( .iy
I ( q#Ll (os /LI
I Si . 5
§ 131.36
§ 131.36 Toxlcs criteria for those states
not complying with Clean Water
Act section 308(c)(2)(B).
(a) Scope This section Is not a gen-
eral promulgation of the section 304(a)
a
(I) CONP0UUD
a
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§ 131.36
A
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40 CFR Ch. I (7—1—99 EditIon)
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102
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- 3 •
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aI la-SIC
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.-000
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2 .
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I 0.16 a
I
I
I
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107
CAI.r u
57719 I
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0 p
0 00037 . .
0.0 9 00
105
4-V-OCT -
10293
1.1 p
0 aOl .
I 0.13
0001 p I
0.00059 00
0.00059 00
109
4 .4 -00I
72519 I
I
I
0 00059 00
0.00059 00
110
III
44 -995
01.1*1.
72045 I
60371 I
2.5 p
0.0019
I
I 0.71 N
I
0 0019 • I
0.0 (003 00
000010 00
000000 00
009011 00
112
aI i.-Is ..stfan
059910 I
0.32 p
0 054 I
I 0.034
0.0017 I I
0 93 .
0 0 a
I I )
bSIa-0I luIfSl
33913009 I
OU I
0 056 0
I 0 014 5
0 0007 I I
0.95 I
2.0 a
114
I. s.uIf . . alT...
1031010 I
I
I
0 93 .
2.0
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I.*t,
0 .*I . AId.0 d.
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- I
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0 76 •
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0 0(0 .a
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0 00073 00
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968
969
-------
§ 131.36
I
IC laWAti I
CrlI.rlw, C,It.rlw ,
Nail.. Caitlmaia
155 Cw. a c.. d
r 14011) ( qIL)
ii .
Footnotes’
a Criteria revised to reflect current agen-
cy q, or RID, as contained In the Integrated
Risk Information System (IRIS) The fish
tissue bioconcentratlon factor (BCF) from
the 1980 crit,orla documents was retained In
all cases
b. The criteria refers to the inorganic form
only.
o Criteria in the matrix based on carcino-
genicity (10° risk) For a risk level of 10-s.
move the decimal point in the matrix value
one place to the right
d. Criteria Maximum Concentration (CMC)
= the highest concentration of a pollutant to
which aquatic life can be exposed for a short
period of time (1-hour average) without dele-
terious effects Criteria Continuous Con.
centration (CCC) = the highest concentration
of a pollutant to which aquatic life can be
exposed for an extended period of time (4
days) without deleterious effects. ugIL , =
micrograms per liter
e. Freshwater aquatic life criteria for these
metals are expressed as a function of total
hardness (mg/L as CaC0 ). the pollutant’s
water effect ratio (WEE) as defined in
t131 36(c) and multiplied by an appropriate
dissolved conversion factor as defined in
§ 131 36(b)(2) For comparative purposes, the
values displayed in this matrix are shown as
cussolved metal and correspond to a total
hardness of 100 mg/I. and a water effect ratio
of 1 0
f. Freshwater aquatic life criteria for
pentachloropbenol are expressed as a func-
tion of pH, and are calculated an follows.
40 CFR Ch. I (7—1—99 EditIon)
I NUJIAU NIALIN
I (ID lISt lit
I.. C . ,.ptl .. iii
tS I
eve..l.. NaI’
0 1 5 11) ( 1511)
Os
Values displayed above in the matrix cor-
respond to a pH of? 8.
CMC exp(1 005(pH) — 4 830) CCC
exp(1 005(pH) — 5 290)
g. Aquatic life criteria for these com-
pounds were issued In 1980 utilizIng the 1980
Guidelines for criteria development The
acute values shown are final acute values
(FAV) which by the 1980 Guidelines are In-
stantaneous values as contrasted with a CMC
which Is a one-hour average
h These totals simply sum the criteria in
each column For aquatic life, there are 30
priority toxic pollutants with some type of
freshwater or saltwater, acute or chronic cri-
teria For human health, there are 91 pri-
orIty toxic pollutants with either “water +
fish” or”fish only” criteria. Note that these
totals count chromium as one pollutant even
though EPA has devel3ped criteria based on
two valence states. In the matrix, EPA ban
assigned numbers ba and 5b to the criteria
for chromium to reflect the fact that the list
of 128 priority toxic pollutants includes only
a single listing for chromium
i If the CCC for total mercury exceeds
0 012 ug(L more than once in a 3-year period
in the ambient water, the edible portion of
aquatic species of concern must be analyzed
to determine whether the concentration of
methyl mercury exceeds the FDA action
level (1 0 mglkg) If the FDA action level is
exceeded, the Stale must notify the appro-
priate EPA Regional Administrator, initiate
a revision of Its mercury criterion in its
Environmental Protection Agency
water quality standards so as to protect des-
ignated uses, and take other appropriate ac-
lion such as issuance of a fiah consumption
advisory for the affected area.
j No criteria for protection of human
health from consumption of aquatic orga-
nisms (excluding water) was presented In the
1900 criteria document or in the 1988 Quality
Criteria for Water Nevertheless, sufficient
information was presented in the 1980 docu-
ment to allow a calculation of a criterion,
even though the results of such a calculation
were not shown in the document
k. The criterion for asbestos is the MCI. (58
FR 3526. January 30, 1991)
i. (Reserved, this letter not used as a foot.
note]
m. Criteria for these metals are expressed
as a function of the water effect ratio, WEE.
as defined in 40 CFR 131.36(c).
CMC = column Bi or Cl value a WER
CCC column B2 or C2 value a WEE
n EPA is not promulgating human health
criteria for this contaminant However, per-
mit authorities should address this contami-
nant In NPDES permit actions using the
State’e existing narrative criteria for toxics
o (Reserved: This letter not used as a foot-
note]
p. Criterion expressed as total recoverable
General Notes
1. ThIs chart lists all of EPA’S priority
toxic pollutants whether or not criteria rec-
ommendations are available Blank spaces
indicate the absence of criteria recommenda-
tione Because of .,ariatlons in chemical no-
menclature systems, this listing of toxic pcI-
§ 131.36
iutant.s does not duplicate the listing in Ap-
pendix A of 40 CFR Part 423 EPA has added
the Chemical Abstract.s Service (CAS) reg-
istry numbers, which provide a unique iden-
tification for each chemical
2 The following chemicals have organ-
oleptic based criteria recommendations that
are not included on this chart (for reasons
which are discussed In the preamble) copper,
zinc, chlorobenzene, 2-chlorophenol, 2.4.
dichlorophenol, acenaphthene, 2,4-
dimethylphenoi. 3-methyl-4-chlorophenol,
hexachlorocyclopentadiene,
pentachiorophenol. phenol
3 For purposes of this rulemaking, fresh-
water criteria and saltwater criteria apply as
specified in 40 CFR 131 36(c).
Note to paragraph (b)(l) On April 14. 1995,
the Environmental Protection Agency issued
a stay of certain criteria in paragraph (bUll
of this section as follows the criteria in col-
umns B and C for arsenic, cadmium, chro-
mium (Vi), copper, lead, nickel, silver, and
zinc, the criteria in Bi and Cl for mercury;
the criteria in column B for chromium (111),
and the criteria in column C for selenium
The stay remains in effect until further no-
tice
(2) Factore for Calculating Hardness-
Dependent, Freshwater Metals Criteria
CMCWER exp ( mA(ln(hardnesa)]+bA}
x Acute Conversion Factor
CCC=WER exp ( mc(In(hardness)J+bc} x
Chronic Conversion Factor
Final CMC and CCC values should be
rounded to two sIgnificant figures.
C l) COMPOUND
SAL TWA TIN
1r 15 1e, C.It.. ’I.. ,
Unahaw I sn lhia , .
C . .. d C . .. d
(1511) 1,511)
-Ca
I II
Na,u. lar
1024475 I 0J2
a sass.
I 0.003
. 0.4034. i e.oeote a,
0.00011 a,
0 400049
us
as-I24
52410219 i
0.014 •
4.03 • I 0 000044 .
tie
-ll54
11407691 I
O S l O N
I
0.03 a 0.400044
0.000040
Ill
-1UI
11104752 I
0.014 5
I
0.03 e i 0 000044 a,
0.000045
172
lB
P 1 5-I l lS
P 1 5-I l l S
1114116 5
1l67 I
e,elI •
0.014 I
I
, 0.03 a I e.oeOeu a,
0.03. I 0.400044 a,
0.400040
e.woeis a,
124
as-Ilac
11096125 I
0.014 • I
803 • I 0.400044 a,
0.000045 a,
129
511. 1016
15674112 I
0.014 • I
0.03 a I
0.000044 a,
0.40004) a
126
hw51iuw
5001352 I
0.75
0.0005 I 0.21
0.0002 I
000073 a,
5.00055 a,
T.taI
IN. •f CriterIa 1k) •
24
29
03
27
91
00
Metal
m
b ,
m,
b
Freshwater usv.erslon
lectors
Anile
Ossr.c
Cadmium
Chromium (iii)
Copper ,
Lead
NIckel
Sliver
Zinc
1128
05190
09422
1273
08460
I 72
08473
—3828
3688
—$464
-I 460
33612
-652
08604
07852
08190
08545
1273
06480
114/A
06473
—3 490
1561
—1465
—4105
11045
‘NIA
07614
‘0944
0316
0960
‘0191
0998
055
0970
‘0909
0 860
0960
‘0791
0997
N /A
0986
Note to table The leon “sap” represents the base e exponential function
Footnotes 10 table
‘The Ireshweter converilon factors (CF) for cadmium and lead are hardneu’dependanl and can be calculated for any hard-
ness iaea Imitations In 8 131 36(c)(41 1 ualn the fc5owIn equations
Cadmium
Acute CF.t l36672—filn hardneu)(004I538)l
Chronic CF.t 10 1812—((ln hardneesXo 041538))
Lead (Acute and Chronic) CF I 48203—(Qn hardness)(0 145712)1
1 No Chronic culteds are available for silver
C
(c) AppllcabiH (y. (fl The criteria in criteria which are more stringent for a
paragraph (b) of this section apply to particular use in which case the State’s
the States’ designated uees cited in criteria will continue to apply.
paragraph (d) of thin aection and super- (2) The criteria established in this
sede any criteria adopted by the State. nection are subject to the State’s gen-
except when State regulations contain eral rules of applicability in the same
970
971
-------
§ 131.36
40 CFR Ch. I (7—1—99 EdItion) 1 EflVIfOflmefltal Protection Agency
§ 131.36
way and to the same extent as are the
other numeric toxics criteria when ap-
plied to the same use classifications In-
cluding mixing zones, and low flow val-
ues below which numeric standards can
be exceeded in flowing fresh waters
(I) For all waters with mixing zone
regulations or implementation proce-
dures, the criteria apply at the appro-
priate locations within or at the
boundary of the mixing zones, other-
wise the criteria apply throughout the
waterbody including at the end of any
discharge pipe, canal or other dis-
charge point
(ii) A State shall not use a iow flow
value below which numeric standards
can be exceeded that is less stringent
than the following for waters suitable
for the establishment of low flow re-
turn frequencies (ie, streams and riv-
ers):
AQUATIC LiFz
Acute criteria (CMC) I Q 10 or I B 3
Chronic criteria 7 Q 10 or 4 B 3
(CCC)
RUMAU HEALTH
Non-carcinogens 30 Q 5
Carcinogens Harmonic mean flow
Where
CMC—critei is maximum concentration—the
water quality criteria to protect against
acute effects in aquatic life and is the
highest instream concentration of a pri-
ority toxic pollutant consisting of a one-
hour average not to be exceeded more than
once every three years on the average.
CCC—.cri tens continuous concenti ation—the
water quality criteria to protect against
chronic effects in aquatic life is the high-
est instream concentration of a priority
toxic pollutant consisting of a 4-day aver-
age not to be exceeded more than once
every three years on the average.
I Q 10 Is the lowest one day flow with an av-
erage recurrence frequency of once in 10
years determined hydrologically,
I B 3 is biologicaliy based and indicates an
allowable exceedence of once every 3 years
It is determined by EPA’s computerized
method (DFLOW model).
7 Q 10 is the lowest average 7 consecutive day
low flow with an average recurrence fre-
quency of once in 10 years determined
hydrologically.
4 B 3 is biologically based and indicates an
allowable exceedence for 4 consecutive
days once every 3 years II Is determined
by EPA’S computerized method (DFLOW
model):
30 Q 5 is the lowest average 30 consecutive
day low flow wIth an average recurrence
frequency of once in 5 years determined
hydrologically, and the harmonic mean
flow is a long term mean flow value cal-
culated by dividing the number of daily
[ lowe analyzed by the sum of the recip-
rocals of those daily flows
(iii) If a State does not have such a
low flow value for numeric standards
compliance, then none shall apply and
the criteria included in paragraph (d)
of this section herein apply at all
flows.
(3) The aquatic life ctiteria in the
matrix in paragraph (b) of this section
apply as follows:
(I) For waters in which the salinity is
equal to or less than I part per thou-
sand 95% or more of the time, the ap-
plicable criteria are the freshwater cri-
teria in Column E;
(ii) For waters in which the salinity
Is equal to or greater than 10 parts per
thousand 95% or more of the time, the
applicable criteria are the saltwater
criteria In Column C; and
(iii) For waters in which the salinity
is between 1 and 10 parts per thousand
as defined in paragraphs (c)(3) (i) and
(Ii) of this section, the applicable cri-
teria are the more stringent of the
freshwater or saltwater criteria How-
ever, the Regional Administrator may
approve the use of the alternative
freshwater or saltwater criteria if sci-
entifically defensible information and
data demonstrate that on a site-spe-
cific basis the biology of the waterbody
is dominated by freshwater aquatic life
and that freshwater criteria are more
appropriate; or conversely, the biology
of the waterbody is dominated by salt-
water aquatic life and that saltwater
criteria are more appropriate
(4) ApplIcation of metals criteria. (i)
For purposes of calculating freshwater
aquatic life criteria for metals from
the equations in paragraph (b)(2) of
this section. the minimum hardness al-
lowed for use in those equations shall
not be less than 25 mg/i. as calcium
carbonate, even if the actual ambient
hardness is less than 25 mg /I as calcium
carbonate. The maximum hardness
value for use in those equations shall
not exceed 400 mg/I as calcium car-
bonate. even if the actual ambient
hardness is greater than 400 mg/I as
calcium carbonate. The’ same provi-
sions apply for calculating the metals
criteria for the comparisons provided
972
for in paragraph (c)(3)(iii) of this sec-
tion.
(ii) The hardness value8 used shall be
consistent with the design discharge
conditions established in paragraph
(c)(2) of this section for flows and mix-
ing zones.
(iii) Except where otherwise noted.
the criteria for metals (compounds #2.
#4—# 11, and #13, in paragraph (b) of this
section) are expressed as dissolved
metal For purposes of calculating
aquatic life criteria for metals from
the equations in footnote m in the cri-
teria matrix In paragraph (b)(l) of this
section and the equations in para-
graphs (b)(2) of this section, the water-
effect ratio is computed as a specific
pollutant’s acute or chronic toxicity
values measured in water from the site
covered by the standard, divided by the
respective acute or chronic toxicity
value in laboratory dilution water.
(d) Criteria for Specific Jurisdictions—
(1) Rhode Island, EPA Region I (i) All
waters assigned to the following use
classifications in the Water Quality
Regulations for Water Pollution Con-
trol adopted under Chapters 46—12. 42-
17 1, and 42-35 of the General Laws of
Rhode Island are subject to the criteria
in paragraph (d)(1)(ii) of this section.
without exception:
6 21 Freshwater 6 22 Saltwater.
Class A Class SA
Class B Class SB
Class C Class SC
(ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(1)(i) of this
section:
Use classification Applicable criteria
Class A
Class B waters where
water supply use lB
designated
Class B waters where
water supply use is
not designated;
Class C,
Class SA.
Class SB,
Class SC
(iii) The human health criteria shall
be applied at the 10’ risk level, con-
sistent with the State policy To deter-
mine appropriate value for carcino-
gens. see footnote c in the criteria ma-
trix In paragraph (b)(1) of this section
(2) Vermont, EPA Region 1 (i) All wa-
ters assigned to the following use clas-
sifications in the Vermont Water Qual-
ity Standards adopted under the au-
thority of the Vermont Water Pollu-
tion Control Act (10 V.8 A, Chapter 47)
are subject to the criteria in paragraph
(d)(2)(ll) of this section, without excep-
tion:
Class A
Class B
Class C
(ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(2)(1) of this
section:
Use classification Applicable criteria
This classification is
assigned the cri-
teria in’
Column P1—all
Column B2—all
Column flu—all
These classifications
are assigned the
criteria in
Column Bi—all
Column B2—all
Column D2—ali
(iii) The human health criteria shall
be applied at the State-proposed 10
risk level.
(3) New Jersey, EPA Region 2 U) All
waters assigned to the following use
classifications in the New Jersey Ad-
ministrative Code (N J A.C) 7 9—4.1 et
seq., Surface Water Quality Standards.
are subject to the criteria in paragraph
(d)(3)(ii) of this section, without excep-
tion.
N J A.C. 79—I 12(b) Class P1.
N.J A.C. 79—I 12(c) Class FW2
N.J A C 79-4 12(d) Class SEI
NJAC 79-412(e) ClassSE2
NJAC 79-412(f) ClassBEO
NJAC.79—1i2(gi CIassSC
N J A C 7 9-4 13(a) Delaware River Zones IC.
ID. and lB
973
Class A
Class B waters where
water supply use Is
designated
Class B waters where
water supply use is
not designated
Class C
These classifications
are assigned the
criteria in
Column DI—all
Each of these classi-
fications Is as-
signed the criteria
in’
Column D2—all
-------
§ 131.36
N J A C 7 9-1 13(b) Delaware River Zone 2
NJ A C 79-413(c) Delawate Rivei Zone 3
N J A C 79-4 13(d) Delawate River Zone 4
N J A.C 7 9-4 13(e) Delawni e River Zone 5
NJ AC 79-413(f) Delawate Rivei Zone 6
(ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(3)(i) of this
section
Use classification Applicable criteria
These classifications
are assigned the cri-
teria in Column 51—
all except #102. 105.
107. 108. 111. 112. 113.
115. II?, and 110
Column B2—all except
#105. 107. 108. 111, 112.
113. 115, 117. 110. 119.
120. 121. 122. 123. 124,
and 125
Column DI—all at a
10-6 rIsk level except
#23. 30. 37, 30. 42. 68.
89. 91. 93. 104. 105. #23.
30. 37. 38. 42. 68. 89. 91,
93. 104. 105. at a l0
risk level
Column D2—ail at a
10-6 risk level except
#23, 30. 37. 38. 42. 68.
89. 91. 93. 104. 105. #23.
30, 3’?, 38, 42, 68, 89. 91.
93, 104, 105, at a ID . -’
risk level
These clasaifications
are each assigned the
criteria in
Column Cl—all ex-
cept #102. 105, 107.
108. 111. 112. 113.
115. 117. and 118
Column C2—all ex-
cept #105. 101. 108.
111, 112, 113. 115,
117. 118. 119. 120.
121, 122. 123. 124.
and 125
Column D2—all at a
10—6 risk level ex-
cept #23, 30, 37, 38.
42. 68. 89. 91, 93,
104, 105. #23. 30, 37,
38. 42. 68. 89. 91.
93, 104. 105. at a
30—’ risk level
These classifications
are each assigned the
criteria in.
40 CFR Ch. I (7—1—99 EdItion)
Use classiflcation Applicable ci’itei is
Column Bl—all
Column B2—all
Column DI—all at a
10-6 risk level ex-
cept #23, 30. 37, 38,
42. 68. 89. 91. 93,
104. 105 #23. 30. 37.
38. 42. 68. 89. 91.
93, 101. 105, at a
10—’ risk level
Column D2—aIl at a
10—a risk level ex-
cept #23, 30. 37, 38.
42. 68. 89. 91. 93,
104. 105. #23. 30 37,
38. 42, 68. 89. 91.
93, 104. 105. at a
10—’ risk level
These classifications
are each assigned the
criteria in
Column Cl—all
Column C2—all
Column D2—all at a
10—6 risk level ex-
cept #23. 30, 37, 30.
42, 60, 89. 91. 93.
104. 105. #23. 30. 37.
38. 42. 68. 89. 91.
93, 104, 105. at a
10-’ risk level
(iii) The human health criteria shall
be applied at the State-proposed 10-6
risk level for EPA rated Class A, B 1 .
and B 2 carcinogens; EPA rated Class C
carcinogens shall be applied at 10.-i
risk level. To determine appropriate
value for carcinogens, see footnote c. in
the matrix in paragraph (b)(1) of this
section.
(4) Puerto Rico, EPA Region 2 (1) All
waters assigned to the following use
classifications In the Puerto Rico
Water Quality Standards (promulgated
by Resolution Number R—83—5--2) are
subject to the criteria in paragraph
(d)(4)(ii) of this section, wIthout excep-
tion.
Article 2 2 2—Class SB
Article 2 2 3—Class SC
Article 2 2 4—Class SD
(ii) The following criteria from the
matrix in paragraph (b)(l) of this sec-
tion apply to the use classifications
identified in paragraph (d)(4)(i) of this
section:
Environmental Protection Agency
Use classification Applicable criteria
Class SD This Cla#aification is
assigned critet Ia in
Column BI—all, ex-
cept: 10. 102, 105,
107, 108. 111, 112,
113. 115, 117. and
126
Column 52.—all, ex-
cept 105, 101, 108,
112. 113. 115, and
117.
Column D1—all. ex-
cept 0, 14. 105.
112. 113, and 115
Column D2—all, ex-
cept 14, 105, 112.
113. and 115
Class SB. Class SC These Classifications
are assigned criteria
in’
Column Cl—all, ex-
cept 4, 5b. 7. 8, 10.
11, 13. 102, 105, 107,
108, 111. 112. 113.
115, 117. and 126
Column CS—all, ex-
cept 4, Sb. 10, 13,
108. 112, 113. 115.
and 117
Column D2—all, ex-
cept 14, 105, 112,
113, and 115
(iii) The human health criteria shall
be applied at the State-proposed 10-s
risk level. To determine appropriate
value for carcinogens, see footnote c, in
the criteria matrix in paragraph (b)(1)
of this section.
(5) District of Columbia, EPA RegIon 3.
(i) All waters assigned to the fol-
lowing use classifications in chapter 11
Title 21 DCMR, Water Quality Stand-
ards of the District of Columbia are
subject to the criteria in paragraph
(d)(6)(ii) of this section, without excep-
tion-
1101.2 Class C waters
(Ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classification
identified in paragraph (d)(5)(i) of this
section:
Use classification ‘Applicable criteria
This classification is
assigned the addi-
tional criteria in’
Column B2—#10,
118. 126
975
§ 131,36
Use classification Applicable criteria
Column L )1—6l5, 16,
44. 67, 68, 79. 80,
81.68. 114. 116, 118
Column D2—all
(iii) The human health criteria shall
be applied at the State-adopted 10-6
risk level.
(6) Florida, EPA Region 4.
(i) All waters assigned to the fol-
lowing use classifications in Chapter
17—301 of the Florida Administrative
Code (i.e , identified in Section 17-
302 600) are subject to the criteria in
paragraph (d)(6)(ii) of this section,
without exception.
Class I
Class II
Class ill
(ii) The following criteria from the
matrix paragraph (b)(1) of this section
apply to the use classifications identi-
fied in paragraph (d)(6)(i) of this sec-
tion.
Use classification Applicable criteria
This classification is
assigned the cr1-
teria in
Column Dl—#16
This classification is
assigned the cr1-
teria in
Column D2—41O
Thi# classification is
assigned the cri-
teria in
Column D2—a16
(iii) The human health criteria
shall be applied at the State-adopted
106 risk level
(7) Michigan, EPA Region 5
(i) All waters assigned to the fol-
lowing use classifications in the Michi-
gan Department of Natural Resources
Commission General Rules, R 323 1100
designated uses, as defined at R
323.1043, Definitions, A to N, (i.e., iden-
tified in Section (g) “Designated use”)
are subject to the criteria in paragraph
(d)(7)(ii) of this section, wIthout excep-
tion:
Agriculture
Navigation
Industrial Water Supply
Public Water Supply at the Point of Water
Intake
Warmwater Fish
Delawate River
zones 3, 4. and 5,
and Delaware
Bay zone 6
PL (Fieshwater
Pinelands), FW2
Pt.. (Saline Water
Pinelands). SEI.
SE2, SE3. SC
Delaware River
zones IC, ID, lE,
2.3,4. 5 and
Delaware Bay
zone 6
Class I
Class II
Class II! (marine)
Class I II (freshwater)
974
Class C
-------
§ 131.36
40 CFP Ch. I (7—1—99 EditIon) I Environmental Protection Agency
§ 131.36
Other Indigenous Aquatic Life and Wildlife
Partial Body Contact Recreation
(ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(’l)(i) of this
section
Use classification Applicable criteria
Public Water sup-
ply
This classification is
assigned the criteria
in
Column B1—all,
Column B2—all,
Column D1—all
These classiFications
are assigned the cri-
teria in
Column 81—all.
Column 82—all.
and
Column D2—all
(iii) The human health criteria shall
be applied at the State-adopted 10 risk
level. To determine appropriate value
for carcinogens, see footnote c in the
criteria matrix in paragraph (b)(1) of
this section
(8) Arkansas, EPA Region 6
(I) All waters assigned to the fol-
lowing use classification in section 40
(Waterbody uses) identified In Arkan-
sas Department of Pollution Control
and Ecology’s Regulation No. 2 as
amended and entitled, “Regulation Es-
tablishing Water Quality Standards for
Surface Waters of the State of Arkan-
sas” are subject to the criteria in para-
graph (d)(8)(ii) of this section, without
exception:
Extraordinary Resource Waters
Ecologically Sensitive Waterbody
Natural and Scenic Waterways
Fisheries
(I) Trout
(2) Lakes and Reservoirs
(3) Streams
(a) Ozark Highlands Ecoregion
(b) Boston Mountains Ecoregion
(c) Arkansas River Valley Ecoregion
Cd) Ouachita Mountains Ecoregion
(e) Typical Gulf Coastal Ecoregion
Cr) Spring Water-influenced Gulf Coastal
Ecoregion
(g) l. eaat-altered Delta Ecoregion
(h) Channel-altered Delta Ecoregion
Domestic Water Supply
(ii) The following criteria from’ the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classification
identified in paragraph (d)(8)(i) of this
section:
Use classification Applicable criteria
Extraordinary Re-
source Waters
Ecologically Sensitive
Waterbody
Natural and Scenic Wa-
terways
Fisheries
(I) Trout
(2) Lakes and Res-
ervoirs
(3) Streams
(a) Ozark Highlands
Ecoregion
(b) Boston Moun-
tains Ecoregion
(C) Arkansas River
Valley Ecoregion
(d) Ouachita Moun-
iamB Ecoregion
Ce) Typical Gulf
Coastal
Ecoregion
(I) Spring Water-In-
fluenced Gulf
Coastal
Ecoregion
(g) Least-altered
Delta Ecoregion
(h) Channel-altered
Delta Ecoregion
(9) Kansas, EPA Region 7.
(I) All waters assigned to the’ fol-
lowing use classification in the Kansas
Department of Health and Environ-
ment regulations, K.A R. 28—16—28b
through K.A R 28—16- .28f, are subject to
the criteria in paragraph (d)(9)(ii) of
this section, without exception.
Section 29—16—28d
Section (2)(A)—Special Aquatic Life Use
Waters
Section (2)(8)—Expected Aquatic Life Use
Waters
Section (2)(C)—Restricted Aquatic Life Use
Waters
Section (3)—Domestic Water Supply
Section (6)(c)—Consumptive Recreation
Use
(ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(9)(i) of this
section:
Use classification Applicable criteria
These claseilication.
are each assigned all
criteria in:
Column Bi, all ex-
cept #9, 11, 13, 102.
105, 107. 108. 111—
113, 115, 117, and
128;
Column B2. all ex-
cept #9. 13. 105.
107. 108. 111—113.
115, 117, 119—125,
and 128, and
Column D2, all ex-
cept #9, 112, 113.
and 115
This classification is
assigned all criteria
in,
Column Dl. all ex-
cept #9, 12, 112,
113. and 115.
(iii) The human health criteria shall
be applied at the State-proposed 10-6
risk level.
(10) California. EPA, Region 9.
(i) All waters assigned any aquatic
life or human health use classifications
in the Water Quality Control Plans for
the various Basins of the State (“Basin
Plans”), as amended, adopted by the
Water and use classification
California State Water Resources Con-
trol Board (“SWRCB”), except for
ocean waters covered by the Water
Quality Control Plan for Ocean Waters
of California (“Ocean Plan”) adopted
by the SWRCB with resolution Number
90—27 on March . 1990, are subject to
the criteria in paragraph (d)(10)(ii) of
this section, without exception. These
criteria amend the portions of the ex-
isting State standards contained in the
Basin Plans. More particularly these
criteria amend water quality criteria
contained in the Basin Plan Chapters
specifying water quality objectives
(the State equivalent of federal water
quality criteria) for the toxic pollut-
ants identified in paragraph (d)(l0)(iI)
of this section. Although the State has
adopted several use designations for
each of these waters, for purposes of
this action, the specific standards to be
applied in paragraph (d)(10)(ii) of this
section are based on the presence in all
waters of some aquatic life designation
and the presence or absence of the
MIJN use designation (Municipal and
domestic supply) (See Basin Plans for
more detailed use definitions)
(ii) The following criteria from the
matrix in paragraph (b)(l) of this sec-
tion apply to the water and use classi-
fications defined in paragraph (d)(l0)(i)
of this section and identified below.
All other designa-
tions
Sections (21(A),
(2)(B), (2) C),
(6)(C)
Section (3)
These uses are
each assigned the
criteria in—
Column Bl—SS4,
Ca, Sb, 8, 7, 8,
9, 10, 11, 13. II
Column 82—#4.
5a, 5b. 0, 7, 8,
9, 10, 13. 14
Applicable criteria
Waters of the State defined as bays or estuaries except the These waters are assigned the
Sacramento-San Joaquin Delta and San Francisco Bay criteria in
Column BI—pollutanta Ca
and 14
Column 82—pollutants 5a
and 14
Column Cl—pollutant 14
Column Ca—pollutant Ii
Column D2—pollutanta 1.
12, 17, 18. 21, fl, 29, 30. 32.
33. 37. 38. 42—44. 48. 48. 49.
54. 59. 66. 81. 68. 78-82. 85.
89.90,91, 93. 95.96.98
Waters of the Sacramento—San Joaquin Delta and waters of These waters are assigned the
the State defined as inland Ci e • all surface waters of the criteria in’
State not bays or estuaries or ocean) that include a MUN Column Bl—pollutanta 5a
use designation and 14
Column B2—pollutanta Ca
and 14
Column DI—pollutants 1.
12. 15. 17, 18. 21. ?2. . 30.
32. 33. 37. 38, 42—48. 49. 59,
66. 67. 68. 78—82. 85. 89. 90.
91. 93. 95. 96. 98
I.
976
977
-------
§ 131.36
Vaters of the San Joaquin River from the mouth of the
Merced River to Vernalis
Waters of Salt Slough. Mud Slough (north) and the San Joa-
quin River. Sack Dam to the mouth of the Merced River
Waters of San Francisco Bay upstream to and Including
Sulaun Bay and the Sacramento-San Joaquin Delta
All inland waters of the United States or encloaed bays and
estuaries that are waters of the United States that include
an MUN use designation and that the State has either ex-
cluded or partially excluded from coverage under its Water
Quality Control Plan for Inland Surface Waters of Cali-
fornia. Tables 1 and 2. or its Water Quality Control Plan
for Enclosed Bays and Estuaries of California. Tables I and
2. or bee deferred applicability of those tables (Category
(a). (b). and (C) waters described on page 6 of Water Quality
Control Plan for Inland Surface Waters of California or
page 8 of Its Water Quality Control Plan for Enclosed Bays
and Estuaries of California)
All inland waters of the United States that do not include an
MUN use designation and that the State has either ex-
cluded or partially excluded from coverage under its Water
Quality Control Plan for Inland Surface Waters of Cali-
fornia. Tables I and 2. or has deferred applicability of these
tables (Category (a). (b), and (c) waters described on page 6
of Water Quality Control Plan for Inland Surface Waters of
California)
40 CFR Ch. 1(7—1—99 Edition)
Applicable criteria
These waters are assigned the
criteria for pollutants for
which the State does not
apply Table 1 or 2 stand-
ards These criteria are’
Column Bi—all pollutants
Column 82—all pollutants
Column D2—all pollutants
except #2
Environmental Protection Agency
(iii) The human health criteria Bhall
be applied at the State-adopted 10-6
risk level.
(11) Nevada. EPA Region 9 (I) All wa-
ters assigned the use classifications in
Chapter 445 of the Nevada Administra-
tive Code (NAC). Nevada Water Pollu-
tion Control Regulations, which are re-
ferred to in paragraph (d)(11)(ii) of this
section. are subject to the criteria in
paragraph (d)(11)(ii) of this section.
without exception. These criteria
amend the existing State standards
Water and use classification
Waters that the State has included in NAC
445 1339 where Municipal or domestic supply
Is a designated use
Waters that the State has included In NAC
445 1339 whore Municipal or domestic supply
is not a designated use
(iii) The human health criteria shall
be applied at the 106 risk level, con-
sistent with State policy. To determine
appropriate value for carcinogens, see
footnote c in the criteria matrix In
paragraph (b)(1) of this section.
(12) Alaska. EPA Region 10.
(I) All waters assigned to the fol-
lowing use classifications In the Alaska
Administrative Code (AAC). Chapter 16
(i.e., identified in 18 AAC 70020) are
subject to the criteria in paragraph
(d)(12)(ii) of this section. without ex-
ception:
7C 020(1) (A) Fresh Water
§ 131.36
Applicable criteria
These waters are assigned the
criteria for pollutants for
which the State does not
apply Table 1 or 2 stand-
ards These criteria are
Column 81—all pollutants
Column 133—all pollutants
Column Cl—all pollutants
Column C2—all pollutants
Column D2—all pollutants
except #2
contained in the Nevada Water Pollu-
tion Control Regulations More par-
ticularly, these criteria amend or sup-
plement the table of numeric standards
In NAC 445 1339 for the toxic pollutants
identified in paragraph (d)(11)(li) of
this section.
(ii) The following criteria from ma-
trix in paragraph (b)(1) of this section
apply to the waters defined in para-
graph (d)(l1)(i) of this section and iden-
tified below:
Applicable criteria
These waters are assigned the criteria in
Column BI—pollutant #118
Column B2—pollutant #118
Column D1—pollutant,s #15. 16. 10, 19. 20.
21. 23. 28. 27. 29. 30, 34. 37. 38. 42. 43. 55.
58—82. 64, 68. 73. 74. 78. 82. 85, 81-89. 91. 92.
96. 98. 100. 103. 104. 105. 114. 118. 117. 118
These watere are assigned the criteria in
Column El—pollutant #110
Column B2—pollutant #118
Column D2—all pollutants except #2
70020 Cl) (A) Water Supply
(i) DrInking, culinary, and food processing.
(iii) Aquaculture,
70 020 (l)(B) Water Recreation
(i) Contact recreatIon.
(ii) Secondary recreation.
70.020(1) (C) Growth and propagation of
fish, shellfish, other aquatic life, and
wildlife
70020 (2) (A) Marine Water
70 020 (2) (A) Water Supply
(i) Aquaculture.
70 020 (2) (8) Water Recreation
(i) contact recreation.
(ii) secondary recreation;
70 020 (2) (C) Growth and propagation or Fish.
shellfish, other aquatic life, and wildlife.
979
Water and use classification
Water and use classification
All enclosed bays and estuaries that are wateis of the United
States that do not include an MUN designation and that
the State has either excluded or partially excluded from
coverage under its Water Quality Control Plan for Inland
Surface Waters of California, Tables 1 and 2. or Its Water
Quality Control Plan for Enclosed Bays and Estuaries of
California, Tablee 1 and 2. or has deferred applicability of
those tables (Category (a), (b). and (c) waters described on
page 6 of Water Quality Control Plan for Inland Surface
Waters of California or page 6 of its Water Quality Control
Plan for Enclosed Bays and Estuaries of California)
‘The fresh water selenium criteria are included for the San Francisco Bay estuary because
high levels of bioaccumulation of selenium in the estuary indicate that the salt, water cri-
teria are underprotective for San Francisco Bay
Waters of the State defined as inland without an MUN use These waters aie assigned the
designation criteria In
Column 131—pollutants S e
and 14
Column 82—pollutants 5a
and 14
Column D2—pollutants 1,
12. 17, 10. 21. 22. 29, 30. 32.
33. 37. 38. 42—44. 46. 48. 49.
54. 59. 66. 87. 68. 78—82. 85.
89, 90. 91. 93, 95, 98, 98
In addition to the criteria as-
signed to these waters else-
where in this rule, these wa-
ters are assigned the cri-
teria in
Column 132—pollutant 10
In addition to the criteria as-
signed to these waterS else-
where in this rule, these wa-
ters are assigned the cr1-
terla in
Column BI—pollutant 10
Column 132—pollutant 10
These waters are assigned the
criteria in’
Column 81—pollutants 5a,
10’ and 14
Column B2—pollutanta 5a,
10’ and 14
Column Cl—pollutant 14
Column C2—pollutant 14
Column D2—pollutante 1.
12. 17. 10. 21. 22. 29. 30. 32,
33, 3’?, 30, 42-44, 48, 48, 49,
54. 59. 68. 67, 68. 78-82, 85.
89. 90, 91. 93. 95. 96, 98
These waters are assigned the
criteria for pollutants for
wbioh the State does not
upply Table 1 or 2 stand-
ards. These criteria are
Column BI—all pollutants
Column 82—all pollutants
Column Di—all pollutants
except #2
978
II
-------
§ 131.36
40 CFR Ch. I (7—1—99 Edition) Environmental Protection Agency
§ 131.37
70020 (2) (D) Harvesting for consumption 01
law mollusks oi othei law aquatic 1110.
(ii) The following criteria from the
matrix In paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(12)(i) of this
section:
Use classification Applicable criteria
Column Bl—09. 10. 13.
53. and 126
Column 52—sb
Column DI
S’s 16. 18—21. 23. 26. 27.
29. 30. 32. 37. 38. 42—44.
53. 55. 59—62, 64. 66. 68.
73. 74. 78. 82. 85. 88. 89.
91—93. 96. 98. 102-105.
107—111. 117—126
Column Bl—09. 10. 13.
53, and 126
Column B2—#10
Column D2
E 14. 16. 18-21, 22. 23.
26. 27. 29. 30. 32. 37, 38.
42—44. 46. 53. 54. 55. 59—
62. 64. 66, 68. 73, 74, 78.
82. 85. 88—93. 95. 96. 98,
102—103. 107—111. 115—
126
Column Bl—#9, 10. 13.
53. and 126
Column BI—slO
Column D2
H’ 5 14, 16. 18—21, 22. 23.
26. 27. 29. 30, 32. 37. 38.
42—44. 46, 53. 54. 55. 59—
62. 64. 66. 68. 73. 74. 78.
52. 85. 88—93. 95. 96. 98.
102—105. 107—111. 115—
126
Column C1—4 19, 10. 12.
and 53
Column C2—l10
Column 1)2
Ii’s 14 16, 18—21. 22. 23,
26, 27. 29. 30, 32, 37, 38,
42—44, 46. 53. 54, 55. 59—
62, 64. 66. 68. 73, 74. 78.
82, 85, 88-93. 95. 96, 98.
102-105, 107—111, 115—
126
(iii) The human health criteria shall
be applied at the State-proposed risk
level of 10 To determine appropriate
value for carcinogens, see footnote c In
the criteria matrix In paragraph (b)(1)
of this section.
(13) idaho, EPA Region 10
(I) All waters assigned to the fol-
lowing use classifications in the Idaho
Administrative Procedures Act
(IDAPA). Chapter 16 (i.e.. identified in
IDAPA 16 01 2100.02—16 01 2100,07) are
subject to the criteria in paragraph
(d)(13)(Ii) of this section, without ex-
ceptIon
1601 2100 02 a Cold Water hots
16 01 2100.02 b Warm Water Biota
16 01 2100 02cc Salmonid Spawning
(Ii) The following criteria from the
matrix in paragraph (b)(i) of this sec-
tion apply to the use classifications
identified in paragraph (d)(13)(i) of this
section:
Use classi- Applicable ci iteria
These classifications are as-
signed the criteria in
Column BI—all
Column B2—all
(14) Washington, EPA Region 70
(i) All waters assigned to the fol-
lowing use classifications in the Wash-
ington Administrative Code (WAC),
Chapter 173—201 (i.e., identified in WAC
173—201—045) are subject to the criteria
in paragraph (d)(14)(il) of this section,
without exception:
173—201-045
Fish and Shellfish
Fish
Water Supply (domestic)
Recreation
(ii) The following criteria from the
matrix in paragraph (b)(1) of this sec-
tion apply to the use classifications
identified in paragraph (d)(14)(i) of this
section:
Use classification Applicable criteria
These classifications
are assigned the cri-
teria in’
Column 02—6. 14
Column D2—all
These classifications
are assigned the cri-
teria in
Column DI—all
This classification is
assigned the criterIa
in
Column D2—Marine
waters and
Ireahwaters not
protected for do-
mestic water sup-
ply
(iii) The human health criteria shall
be applied at the State proposod risk
level of 10-”.
157 FR 60910. Dac 22, 1992, 68 FR 31177, June
1. 1993. ae amended at 68 FR 34499. June 25,
1993. 58 FR 36142. July 6. 1993. 60 FR 22229.
22235. May 4, 1995, 60 FR 44120. Aug 24. £995,
61 FR 60617, Nov. 29. 1998, 62 FR 52927, Oct 9.
1997: 82 FR 53214, Oct 10. 1997. 83 FR 10144.
Mar. 2, 19981
131.37 CalifornIa.
(a) Additional criteria The following
criteria are applicable to waters speci-
fied in the Water Quality Control Plan
for Salinity for the San Francisco Bay?
Sacramento-San Joaquin Delta Estu-
ary, adopted by the California State
Water Resources Control Board in
State Board Resolution No 91-34 on
May 1, 1991
(1) Estuarine habitat criteria. (I) Gen-
eral rule (A) Salinity (measured at the
surface) shall not exceed 2640
micromhosicentimeter specific con-
ductance at 25 °C (measured as a 14-day
moving average) at the Confluence of
the Sacramento and San Joaquin Riv-
ers throughout the period each year
from February 1 through June 30, and
(B) The Roe Island criteria apply at
the salinity measuring station main-
tained by the U.S. Bureau of Reclama-
tion at Port Chicago (km 64). The
Chippe Island criteria apply at the Mal-
lard Slough Monitoring 8ite, Station
D-10 (SKI RSAC-075) maintained by
the California Department of Water
Resources. The Confluence criteria
apply at the CollinBville Continuous
Monitoring Station C-2 (SKI RSAC—
081) maIntained by the California De-
partment of Water Resources.
(Ii) Exception. The criteria at Roe Is-
land shall be required for any given
shall not exceed 2640 micromhos/centi-
meter speciric conductance at 25 C
(measured an a 11-day moving average
at the specific locations noted in Table
1 near Roe Island and Chipps Island for
the number of days each month in the
February 1 to June 30 period computed
by reference to the following formula.
Number of days required in Month X =
Total number of days in Month X a
— 1I(1+e )
where
K = A + (Bnat,ural logarithm of the previous
month’s 8-River Index).
A and B are determined by reference to
Table 1 for the Roe Island and Chipps Is-
land locations.
x is the calendar month in the February 1 to
June30 period.
and e is the base of the natural (or Napier.
ian) logarithm
Where the number of days computed in
this equation in paragraph (a)(1)(i)(A)
of this section shall be rounded to the
nearest whole number of days. When
the previous month’s 8-River Index is
less than 500.000 acre-feet. the number
of days required for the current month
shall be zero.
month only if the 14-day moving aver-
age salinity at Roe Island falls below
2640 micromhos/centimeter specific
conductance on any of the last 14 days
of the previous month
(2) Fish migration criteria (i) General
rule.
(A) Sacramento River Measured Fish
Migration criteria values for the Sac-
ramento River shall be at least the fol-
lowing:
At temperatures less than below 61 F
SRFMC = 135
02 a
02 b
02cc
(1)(A) I
(l)(A) iii
(l)(B)i (1)(B) ii.
(I )(C)
(2)(Al i (2)111)1. and
(2)(B)iI. (2)(C).
(2)(D)
TABLE 1. CONSTANTS APPLICABLE TO EACH OF THE MONTHLY EQUATIONS TO DETERMINE MONTHLY
REQUIREMENTS DESCRIBED
Fish and Shellfish,
Fish
Water Supply (do-
mestic)
Recreation
Month IC
Clrlpps Island
Roe Island (ii
A B
A
Inggered)
Feb
Mar
Apt
htay.
June
—, —,
—10518 .15943
—4717 .6441
—9493 .13 562
—1436
—2019
—2073
—5422
*2068
.2741
.3703
.8571
‘CoefficIents lot A end B are fbi provided at Chlpps Island for February. because lire 2640 mic,onlhos(crn specific conduct-
ance criteria must be maintained al cirlppa Island ilvoughoul February under all historical B-River Indea values for January
980
981
-------
§ 131.37
40 CFR Ch. I (7—1—99 EditIon) - Environmental Protection Agency
§ 131.37
At temperatures between 61 F and 72
F SRFMC = 6 96- 092 * Fahrenheit
temperature
At temperatures greater than 72 F.
SRFMC = 0 34
where SRFMC is the Sacramento River
Fish Migration criteria value Tem-
perature shall be the water tempera-
ture at release of tagged salmon smolts
into the Sacramento River at Miller
Park.
(B) San Joaquui River. Measured Fish
Migration criteria values on the San
Joaquin River shall be at least the fol-
lowing.
For years in which the SJVIndex is >
25. SJFMC = (—0.012) +
0.184*SJVIndex
In other years SJFMC = 0.205 +
0 0975*SJVIndex
where SJFMC is the San Joaquin River
Fish Migration criteria value, and
SJVIndex is the San Joaquin Valley
Index in million acre feet (MAF)
(ii) Computing fish migration criteria
values for Sacramento River. In order to
assess fish migration criteria values for
the Sacramento River. tagged fall-run
salmon smolts will be released into the
Sacramento River at Miller Park and
captured at Chipps Island, or alter-
natively released at Miller Park and
Port Chicago and recovered from the
ocean fishery, using the methodology
described in this paragraph (a)(2)(ii).
An alternative methodology for com-
puting fish migration criteria values
can be used so long as the revised
methodology is calibrated with the
methodology described in this para-
graph (a)(2)(ii) so as to maintain the
validity of the relative index values
Sufficient releases shall be made each
year to provide a statistically reliable
verification of compliance with the cri-
teria. These criteria will be considered
attained when the sum of the dif-
ferences between the measured experi-
mental value and the stated criteria
value (i e., measured value minus stat-
ed value) for each experimental release
conducted over a three year period (the
current year and the previous two
years) shall be greater than or equal to
zero. Fish for release are to be tagged
at the hatchery with coded-wire tags.
and fin clipped. Approximately 50,000 to
100.000 fish of smolt size (size greater
than 75 mm) are released for each sur-
vival index estimate, depending on ex-
pected mortality. As a control for the
ocean recovery survival index, one or
two groups per season are released at
Benecia or Pt Chicago From each up-
stream release of tagged fish, fish are
to be caught over a period of one to
two weeks at Chipps Island Daylight
sampling at Chipps Island with a 9.1 by
7 9 m, 3 2 mm cod end, midwater trawl
is begun 2 to 3 days after release. When
the first fish is caught, full-time trawl-
ing 7 days a week should begin Each
day’s trawling consists of ten 20
minute tows generally made against
the current, and distributed equally
across the channel
(A) The Chipps Island smolt survival
index is calculated as
SSI=R+MT(0.007692)
where
R=number of recaptures of tagged fish
M=number of marked (tagged) fish released
T=proportion of time sampled vs total time
tagged fish were passing the site (i.e. time
between first and last tagged fish recovery)
Where the value 0.007692 is the propor-
tion of the channei width fished by the
trawl, and is calculated as trawl width!
channel width.
(B) Recoveries of tagged fish from
the ocean salmon fishery two to four
years after release are also used to cal-
culate a survival index for each re-
lease Smolt survival indices from
ocean recoveries are calculated as’
OSI=R 1 /M+R 2 /M 2
where
R,=nurnber of tagged adults iecovered from
the upstream release
M 1 =number released upstream
R 2 =number of tagged adults iecovered from
the Port Chicago release
M =numher released at Port Chicago
(1) The number of tagged adults re-
covered from the ocean fishery is pro-
vided by the Pacific States Marine
Fisheries Commission, which main-
tains a port sampling program -
(2) [ ReservedJ
(iii) Computing fish migration criteria
values for San Joaquin River In order to
assess annual fish migration criteria
values for the San Joaquin River,
tagged salmon smolts will be released
into the San Joaquin River at Mosadale
and captured at Chipps Island, or alter-
natively released at Moesdale and Port
Chicago and recovered from the ocean
fishery, using the methodology de-
scribed in paragraph (a)(2)(iii) An al-
ternative methodology for computing
fish migration criteria values can be
used so long as the revised method-
ology is calibrated with the method-
ology described below so as to main-
tain the validity of the relative index
values. Sufficient releases shall be
made each year to provide a statis-
tically reliable estimate of the SJFMC
for the year. These criteria will be con-
sidered attained when the sum of the
differences between the measured ex-
perimental value and the stated cri-
teria value (i.e., measured value minus
stated value) for each experimental re-
lease conducted over a three year pe-
riod (the current year and the previous
two years) shall be greater than or
equal to zero.
(A) Fish for release are to be tagged
at the hatchery with coded-wire tags.
and fin clipped. Approximately 50.000 to
100,000 fish of smolt size (size greater
than 75 mm) are released for each sur-
vival index estimate, depending on ex-
pected mortality. As a control for the
ocean recovery survival index, one or
two groups per season are released at
Benicia or Pt. Chicago. From each up-
stream release of tagged fish, fish are
to be caught over a period of one to
two weeks at Chipps Island. Daylight
sampling at Chipps Island with a 9.1 by
7.9 m, 3.2 mm cod end, midwater trawl
is begun 2 to 3 days after release. When
the first fish is caught, full-time trawl-
ing 7 days a week should begin Each
day’s trawling consists of ten 20
minute tows generally made against
the current, and distributed equally
across the channel
(B) The Chipps Island amolt survival
Index is calculated as:
BSI=R. MT(0.007692)
where
R=number of recaptures of tagged fish
M=number of marked (tagged) fish released
T=proportiofl of time sampled vs total time
tagged fish were passing the site (i e time
between first and last tagged 11th recovery)
Where the value 0 007692 is the propor-
tion of the channel width fished by the
trawl, and is calculated as trawl width!
channel width.
(C) Recoveries of tagged fish from the
ocean salmon fishery two to four years
after release are also used to calculate
a survival index for each release. Smolt
survival indices from ocean recoveries
are calculated as
OSI=R/M +
where
R 1 =number of tagged adults recovered from
the upstream release
M.=number released upstream
R 2 =number of tagged adults recovered from
the Port Chicago release
M 2 =number released at Port Chicago
(I) The number of tagged adults re-
covered from the ocean fishery is pro-
vided by the Pacific States Marine
Fisheries Commission, which main-
tains a port sampling program
(2) (Reserved)
(3) Suisun marsh criteria. (I) Water
quality conditions sufficient to support
a natural gradient in species composi-
tion and wildlife habitat characteristic
of a brackish marsh throughout all ele-
vations of the tidal marshes bordering
Suisun Bay shall be maintained. Water
quality conditions shall be maintained
so that none of the following occurs:
Loss of diversity; conversion of brack-
ish marsh to salt marsh; for animals.
decreased population abundance of
those species vulnerable to increased
mortality and loss of habitat from in-
creased water salinity, or for plants,
significant reduction in stature or per-
cent cover from increased water or soil
salinity or other water quality param-
eters.
(ii) [ Reserved)
(b) Revised criteria The following cri-
teria are applicable to state waters
specified in Table 1—1, at Section (C)(3)
(“Striped Bass—Salinity ‘ 3 Prisoners
Point, —Spawning) of the Water Quality
Control Plan for Salinity for the San
Francisco Bay_SacramefltOlSafl Joa-
quin Delta Estuary, adopted by the
California State Water Resources Con-
trol Board in State Board Resolution
No. 91—34 on May 1, 1991:
982
183-150 D.99- ’32
983
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§ 131.37
40 CFR Ch.l(7—I—99 [ dillon)
Location
Parameter
Description
rides type
Dates
Values
San Joaquin
DISIRSANOIB.
Specific
14-day nm-
Not
River at
C4SiSANO32.
Conduct-
thrg av-
AppIl.
25 MAF
April ito
044 mIcro-
Jersey
D29IRSANO3S.
sf 05
of
May31
mhoi
Point. Sen
P8IRSANO5S.
0 25 C
ereg
mean
Andreas
.!RSAN
for
Landing.
C6IRSANO73.
the
Prisoners
C7IRSANOS7.
pa-
nod
Point.
CIOIRSANII2
more
Ouckley
than
Cove.
value
Rough
shown In
end
nvnl i oa
Ready Is-
land,
Brand l
Bridge
Mossdate,
and
Vemalis
San Joequin
DISIRSANQIB
Specific
14-day nun.
Not
River at
C4IRSANO32,
Conduct-
fling as-
Appil-
cable
S MAF
April Ito
044 mIcro-
Jersey
D29IRSANO38
eric.
erege of
May31
mho
Point. Sen
Andreas
mean
deity br
,
Landing
tha pa-
end Pus-
rind not
oners
more
Point
than
vahie
shown. In
mmhos
(C) Definitions. Terms used in para-
graphs (a) and (b) of this section, shall
be defined as follows:
(1) Water year A water year is the
twelve calendar months beginning Oc-
tober 1.
(2) 8-River Index. The flow determina-
tions are made and are published by
the California Department of Water
Resources in Bulletin 120. The 8-River
Index shall be computed as the sum of
flows at the following stations:
(I) Sacramento River at Band Bridge,
near Red Bluff;
(ii) Feather River, total inflow to
Oroville Reservoir;
(iii) Yuba River at Smartville;
(iv) American River. total inflow to
Folsom Reservoir.
(v) Stanislaua River, total inflow to
New Melones Reservoir;
(vi) Tuolumne River. total inflow to
Don Pedro Reservoir;
(vii) Merced River, total inflow to
Exchequer Reservoir; and
(viii) San Joaquin River, total inflow
to Millerton Lake.
(3) San Joaquin Valley Index. (I) The
San Joaquin Valley Index Is computed
according to the following formula:
I =0.6X+O.2y and 0.2Z
where
Li,=San Joaquin Valley Index
X=Curi-ent year’s April—July San Joaquin
Valley unimpaired runoff
Y=Current year’s October-March San Joa.
quin Valley unimpaired runoff
Z=Previoua year’s index in MAF. not to ex-
coed 09 MAP
(ii) Measuring San Joaquin Valley
unimpaired runoff. San Joaquin Valley
unimpaired runoff for the current
water year is a forecast of the sum of
the following locations: Stanislaus
River, total flow to New Melones Res-
ervoir; Tuolumne River, total inflow to
Don Pedro Reservoir; Merced River,
total flow to Exchequer Reservoir; San
Joaquin River, total inflow to
Mlllerton Lake.
(4) Salinity. Salinity is the total con-
centration of dissolved ions in water, It
shall be measured by specific conduct-
ance in accordance Ith the procedures
set forth in 40 CFR 136.3, Table 1B, Pa-
rameter 64.
(60 FR 4707, Jan. 24. 1995J
984
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Reference 3
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United States
Environmental Protection
Agency
Office of Water
E PA-823-B-95-004
September 1994
6EPA
Introduction to
Water Quality
Standards
w
pu ,
it
b • k
, ‘; .
-------
OVERViEW
In response to widespread public concern about the condition of our
Nation’s waters, the United States Congress enacted landmark
legislation in 1972. This statute, the Federal Water Pollution
ontrol Act Amendments of 1972 [ referred to as the C]ean Water
tcct ol 1972 (CWA) , expanded and built upon existing laws
designed to control arid prevent water pollution. Successive
amendments to the 1972 CWA (the Clean Water Act oF 1977 and
the Water Quality Act of 1987) have continued to strengthen the law
to better protect our Nation’s waters.
Water quality standards are the cornerstone of a State c water
quality management program. States and Indian Tribes set wate l-
quality standards for waters within their jurisdictions. Water quality
standards define a use I’or a waterbody and descrihe the specific
water quality criteria to achieve that use. The water quality
standards also contai i i autidegradation policies to protect cxi sting
water quality. These are the goals by which success is ultimately
gauged for a given waterbod or watershed 1
This publication provides general information about the water
quality standards program. It is intended to scrve as an introductory
document for the general public and for those unfamiliar with the
water quality standards program. This document also informs the
reader about where to obtain additional information about water
quality standards. The document also contains a Glossary of terms
sect in this publication as Appendix A. It also contains terms and
concepts commonly assoc iatecL with water quality standards. Terms
found in the Glossary are printed in boldface italic type at their
first use, as above.
We would appreciate knowing if this publication has been helpful to
yOU. P/ease ; :ke a frw ininiacs to cam p/etc and return the Reader
Response (aid iocatt’ / c i i the c u d o/ this docuincuut.
I
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TABLE OF CONTENTS
Overview I
I)edication ii
I I i i ! ro t/u n ion I
I I Uses qt Waterbodv S
I II Water Quality Criteria 9
IV Antidegradation Policy /5
V YVater Quality Standards
on md /a u Lands 19
VI Adaption of Water Qualit ’
Standards 23
VII For More Intormation 29
Appendix A Glossary 32
Appendix B List f 307(a) Priority
Toxic Pollutants 37
Attach me in Reade i Response Card 39
Dedication
This publication is dedicated to David K. Sahock. Chief of the
Water Quality Standards Branch. U.S. Environmental
Protection Agency (EPA) from 1979-1995. Dave will retire at
the end of 1995 after more than 35 years of dedicated Federal
service. He has been the driving force and the guiding light
behind the water quality standards program at EPA and its
predecessor organizations. Dave has made significant
contributions to improvements in the Nation ’s water quality
during his long and illustrious career. He has been an
inspiration to and has guided the careers of many colleagues
during his tenure at EPA. We expect that his golden years will
he as vigorous and energetic as the last three and one-half
decades that he devoted to public service. We. his many
associates and friends, wish him well in his future endeavors.
11
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Section U introduction
Part A Definition and Purpose of Water Quality Standard,c
Water qLIaLlilY standards are laws or regulations that States and
Indian Tribes authorized to administer the program adopt to enhance
water quality and to protect public health and welfare, Water
quality standards provide the loLLndation for accomplishing two of
die principal goals of the Federal Water Pollution Control Act
Amendments of 1972 Icomrnonlv referred to as the Clean Water Act
(CWA) of l972 . Thai is to:
restore and maintain the chemical, phvs ca]. and
biological integrity of the Nation s waters; arid
• where attainable, to achieve water quality that
promotes protection and propagation of fish. shell fish.
and wildlife, and provides for recreation in and on the
water. This goal is commonly known by the
expression lishahle/swimniable -
States report to the U.S. Environmental Agency ( [ PA) and Congress
under a specific part of the CWA. known as Section 305 (b), on
whether these goals are being achieved. (Under Section 305(h),
States report to EPA once every two years on the condition of their
waters. EPA eompile.s the data and submits a report to Congress on
the statLis and condition of the Nation’s waters.)
A water quality standard consists of three elements: (1) the
designated beneficial use or uses of a waterbody or segment of a
wElterbody : (2) (he water quality criteria necessary to protect the use
or uses of that particular waterhody: and (3) an antidegradation
policy. (Each of these elements is discussed in this publication.)
Examples of designated uses are recreation and protection of aquatic
life. Water quality criteria describe the quality of water that will
support a designated Use.. Water quality criteria may he expressed
as either numeric limits or a narrative statenieilt. An
I
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antidegradation policy ensures that water quality improvenlents are
conserved, maintained, and protected.
Water quality standards apply to surface waters of (lie (lulled
States, m d uding wetlands. Surfitce waters include rivers, streams,
lakes, oceans, estauries, and wetlands; they do not include ground
water.
Part B: Statutory Authority for (lie Water Qualily Standards
Program
The water quality standards program is authorized under Section
303(c) of the CWA (33 U .S.C. 13 13(c)). The current regulations
implementing this section of the CWA were published initially in
the Federal Register (FR) on November 8, 1983 (48 FR 51400).
The specific language of the regulations can he found in the Code of
Federal Regulations (CFR) in Chapter 40, Part 13].
(The Federal Register is a periodical published by the U.S.
Government. It includes all proposed and final regulations issued by
EPA and other federal agencies. The number preceding the letters
“FR 1 ’ in the citation refers to the volume of the Federal Register, and
the numbers after FR indicate the page number. The Code of
Federal Regulations contains all EPA and other regulations that have
received fjnal approval. This document is abbreviated as CFR. The
numbers in CFR citations refer to chapters and parts: each chapter
customarily includes all the regulations in a given policy area such
as water quality standards, while each part within a chapter is a
specific subject within that policy area.)
The water quality standards program was strengthened in two
significant ways with passage of the 1987 Water Quality Act
amendments to the CWA. First, Section 303(c)(2)(B) of the CWA
requires States to adopt numeric criteria for specific toxic pollutants
that appear on a priority pollutant list [ Section 307(a) of the CWA].
(Priority pollutants are compounds and families that are among the
most persistent , prevalent, and toxic chemicals. A list of priority
2
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pollutants appears as Appendix B.) These toxic substances are thos.
for which EPA published Section 304(a) criteria recommendations.
These toxics, if discharged to a waterbody or are present in
sufficient concentrations in a waterhody, could compromise or
interfere with the waterbody’s designated use. On December 22,
1992, EPA imposed Federal chemical-specific, numeric criteria for
priority toxic pollutants on 14 States that failed to adopt their OWfl
criteria, as required by Section 303(e)(2)(B) of the CWA. This
action brought all States into compliance.
Second, Section 518 of the 1987 CWA gives EPA the authority to
approve Indian Tribes to administer the water quality standards
program on Reservation Lands. Section 5 1 8 also required EPA to
develop a mechanism for resolving disputes when an Indian Tribe
and a State adopt different water quality standards on a common
body of water. On December 12, 1991, EPA issued Amendments to
the Water Quality Standards Regulation that Pertain to Standards on
India , , Reservations (40 CFR I 3 1 .6 and 1 31 .7). The Amendments
establish qualification criteria for Indian Tribe administration and
describe a conilict resolution mechanism.
Part C: Establish ing Water Quality Standards
The 50 States, the District of Columbia, 13.5. Territories
(Commonwealth of Puerto Rico, American Samoa, Pa lau, the Virgin
Islands, Guam, and the Commonwealth of the Northern Mariana
Islands), and Indian Tribes authorized to administer the program
adopt water quality standards for each waterhody within the State,
territory, or tribal boundary. (Throughout this document, the term
Stare is used to mean any of the above jurisdictions.) EPA may also
establish water quality standards where a State fails to do so. A
single water quality standard need not be applied to the entire
waterhody (for example, for the entire length of a stream); different
water quality standards may be set on different segments of the
same waterhody.
3
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EPA reviews new or revised water quality standards that States
adopt to determine whether the standards meet (TWA requirements.
EPA also reviews the standards ot each State to ensure that they do
not interfere with attainment of standards in waters shared with
another State or waters located in another State downstream. if
EPA disapproves a State’s water qL lality standards, or determines
that a new or revised water qLIal ity standard is necessary to meet the
requirements of the Act, EPA may issue water quality standards to
which the State is hound. EPA provides technical guidance,
program grants, and assistance to the States to help them carry out
the requirements of the program.
4
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Section II: Uses of a Waterbody
Part A: Designa ted Uses and Existing Uses
The water quality standards program categorizes water uses in two
jways: designated uses and existing uses. A designated use is the
legally applicable use specified in a water quality standard for a
watershed. waterhody. or segment of a waterbody. A designated use
is a use that, presently. may or may not be met or ‘‘attained’’. All
P0 1 lution control activities are designed to attain the designated uses.
An existing use is the use that has been achieved for a waterhody on
or alier November 2K, 1975, and that requires the most stringent
criteria. (This is the date when the original water quality standards
regulation took effect.)
Understanding the distinction between existing and designated uses
is fundamental to understanding the standards program. An existing
use br a specific waterhody is one that has heen attained: that use
and the water quality necessary to continue supporting that use must
he protected and maintained. Designated uses, on the other hand.
may he changed upon finding that the use cannot be attained, hut
only abler conducting a Use Attainability Analysis (UAA), described
in Part C of this Section. Changing a designated use also results in a
change to the applicable water quality criteria.
Part B: Typical Uses of a Waterbody
Typical uses of waterhodies include public water supply,
propagation of fish and wildlife, recreation, agriculture, industrial
processes, and navigation. EPA does not recognize waste transport
as an acceptable use. Designated or existing uses for wetlands may
include providing habitat for endangered species or mitigating the
effects of floodwaters.
A special designated use category is Outstanding National Resource
Waters (ONRWs). These waters are high quality or ecologically
unique waters such as those within the jurisdiction of National and
5
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State Parks and wildlife refuges. ONRWs are waters that are
ecologically important, unique, or sensitive (such as swamps or hot
springs), which the commonly applied use classifications and
supporting criteria do not always serve to protect. No new or
additional discharges can occur in ONRWs. Some States have a
special use category called State Resource Watci-s. which may allow
limited changes in water quality as long as the changes do not aflèct
the characteristics that support the use designation.
Part C: Establishing Designated Uses
States are responsible for establishing designated uses of a
waterbody. Categories of designated uses vary by State. Each State
develops its own use classification system based on the generic uses
cited in the CWA (see Section I, Part A). States may designate uses
such as cold water fisheries or particular species to be protected, for
example. trout or bass. States may also designate special uses to
protect sensitive or valuable aquatic life or habitat.
Figure 1 below illustrates an example of a use designation. In this
case, the waterbody depicted is a cok! water stream, and the
Figure 1
6
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designated use is aquatic habitat. The stream system is appropriate
for sustaining the brook trout depicted in the figure hecause it has
undercut banks, a gravel stream bed. and overhanging vegetation.
Uses may he revised during periodic State reviews of the water
quality standards, which, by law, are required at least once every
three years. The public niList have an opportunity to comment on
changes in uses and EPA must approve any changes.
When establishing a designated use that does not meet the
“fishable/swimniable” goal. States perForm a use attainability
analysis (UAA) to determine the achievable uses of a waterhody. A
UAA is a structured scientific assessiiieIit of tile physical, chemical,
biological, and economic factors that affect tile attainment ol a use.
Consisting of a waterhody survey and assessment and an economic
analysis, if appropriate the UAA enahies the States to answer the
following questions about the conditions of its waters:
• What is the existing use to be protected?
• To what extent does pollution (as opposed to physical
factors) contribute to impaired use?
• What level of point source control is required to
restore or enhance the use? (The term “point source”
refers to pollution resulting from discharges into
receiving waters from any discernible confined and
discrete conveyance such as a pipe, ditch, or sewer.)
What level of nonpoint source control is required to
restore or enhance the use? (The term ‘ 1 nonpoint
source” refers to pollution sources that are diffuse and
do not have a single point of origin. Run-off from
agriculture, forestry, and construction sites are
exalllples.)
While UAAs are the responsibility of the States, the actual studies
7
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may be performed by other entities (e.g., consultants hired by the
States pr Indian Tribes). States are encouraged to consult with EPA
before the analysis is initiated and frequently while it is being
conducted. EPA’s Regional Offices can provide additional
information about UAAs (Section VII of this document contains a
list of the Regional Offices and the States and Territories covered by
each region). A State may also elect, at its option, to conduct a
UAA even when designating fishable/swimmable uses, simply to
document the reasonableness of the designation and the attainability.
Part D: Changing Designated Uses
States may modify a designated use when its attainment is precluded
because of one or more of the following factors:
• naturally occurring pollutant concentrations;
• natural, intermittent or low-flow water levels;
anthropogenic conditions or sources of pollution that
cannot be corrected or for which corrective measures
would cause more deterioration of the environment than
would leaving the conditions or pollutants in place;
dams, diversions, or other hydrologic modifications;
physical conditions associated with the natural features of
the waterbody, unrelated to quality, that impede
protection of aquatic life; or
more stringent controls than those required by Sections
301(b)(l)(A) and (B) and 306 of the CWA would result
in substantial and widespread economic and social
impact.
8
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Section III: Water Quality Criteria
Part A: !)efinition of Waler Quality Criteria
The phrase “water quality criteria” has two definitions under the
CWA. First, under Section 304(a), EPA publishes water quality
criteria that reflect available scientific information on the
concentrations of specific chemicals in water that protect aquatic life
or human health. These criteria are intended to provide protection
br all surface waters on a national basis and may he used by the
States as a basis for developing enforceable water quality criteria as
purl of their standards. The general public sometimes mistakenly
views these criteria as the “standards. In a legal sense, a water
quality standard must also contain a designated use and an
antidegradation policy.
Second, water quality criteria are elements of water quality standards
adopted by a State under Section 303(c), which describe the quality
of water that will support a particular use. When properly selected
criteria are met, they are expected to protect the designated use. As
a practical matter, most States for most pollutants adopt EPA’s
Section 304(a) criteria recommendations as part of their legally
enforceable water quality standards.
Part B: Forms of Criteria
Water quality criteria are expressed in either numeric form or
narrative form. Numeric criteria are expressed as chemical
concentrations or conditions (such as pt - I or turbidity) in water
which should protect designated uses. Concentrations of chemicals
or other pollutants are typically expressed as a weight. measured 13cr
liter, such as pgIL (micrograms per liter) or mg/L (milligrams per
liter). Micrograms are much smaller than milligrams: one milligram
equals 1 000 micrograms. An example of a numeric criterion is
t/jssoli’ei/ OXV CFI 5.0 mg/L (stated in English, this narrative
criterion means that the amount of oxygen dissolved in the water
should he equal to or greater than 5 milligrams per liter).
9
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Section 303(c )(2)( B) 01 the (‘WA requires States to adopt numeric
cnteriLl for priority lox ic 1)01 lutants. The 1 26 individual priority
toxics are listed in Appendix B to this document.
Narrative criteria are expressed in cOncise statements, generally iii a
free from” format. EPA aesthetic narrative quality criteria, for
example. state that ‘all waters should he tree from sLIhst 1I1ces
attributable to wastewater or other discharges that: (1) settle to form
objectional deposits; (2) float as debris. scuni, oil, or other matter to
form nuisances: (3) produce objectionable color, odor, taste, or
turbidity; (4) injure. are toxic to . or produce adverse physiological
responses ill humans. ani nials. or plants: and (5) produce undesirable
or nuisance aquatic Ii lb.” Similarly. the phrase ‘‘free from toxic
poll utants in toxic itiiour1ts is den ved lroiii the national goal
statement iii Section 1 () I (a)( 3) of’ the CWA. An example of a
narrative, biological criterion is natural background conditions shall
be maintained.
Part C: Site-spec fic Criteria
Site—specific criteria are either numeric or narrative criteria adopted
for a particular site that reflect environmental conditions at that site.
The EPA Section 304(a) guidance on water quality criteria, which
are intended to provide protection for all sLlrt’ace waters on a
Ilittiona I basis, is broad. These broad criteria can be tailored to
rellect localized, site—specific conditions. Site—specific criteria are
sometimes justified because:
species inhabiting a given site may be more sensitive or
less sensitive than those used by EPA to develop Section
3 04(a) criteria;
water chemistry (e.g.. pH. hardness, temperature,
suspended solids) at the site may differ substantially from
the water used in the laboratory for developing Section
3 04(a) criteria, affecting toxicity of [ lie chemicals to the
Organisms in the water: or
/0
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EPA may not have a criteria recommendation for a
poll Want adversely alTecti rig the designated use at a
particular location.
Part I): !)eveloping Water Quality Criteria
EPA publishes, as guidance, Section 304(a) criteria which reflect the
flU)st Curreilt scieiitilic inl’orniation available regarding pollutant
ellects on human health and aquatic li l’e. The criteria, which have
fl() force of law, are published as guidance documents to assist the
States and I ndian Tribes in setting water quality standards. Human
Iie(iltIi criteria provide guidelines that specify the potential risk of
adverse effects to huii ans due to suhstances in water. Aquatic life
criteria are designed to protect all aquatic life, including plants and
animals.
The criteria guidance documents issued by EPA contain two niajor
types of information:
scientific data on the effects of pollutants on human
health (including recreation) and aquatic life: and
2. quantitative concentrations or qualitative assessments
of pollutants in water that will generally ensure water
quality adequate to support a particular use.
The document, Quail /v (, itcnu fri t4 1 aier 1986, contains summaries
of all contaminants and conditions for which EPA has developed
criteria reconuinendations. The current edition is known as the
‘Gold Book. ? rj hiis document ]iiii)/ he obtained for a fee from the
National Technical In formation Source (NTIS) or the Education
Resource In formation Center (ERIC) (complete ordering information
is contained in Section VII of this document).
EPA considers effective State water quality standards programs to
i tic I tide both i i u lueric approaches and narrative approaches. In the
case of’ toxic 1)01 Iut1iits, br example, numeric criteria for specific
I I
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chemicals are appropriate in circumstances where the cause of ’
toxicity is known, or when human health effects are associated with
a specific concentration ol’ the toxic pollutant. A narrative standard
may he suitable when a specific pollutant is identified as impairing
the quality of the waterbody (such as reducing fish populations), hut
a numeric criterion is not specified in State standards. Narrative
standards can also he used when the chemical(s) causing the toxicity
is unknown. As a specific standards prograni matures and more
definitive data become available, narrative criteria can he replaced
with numeric ones ,
Anyone may propose a site-specific criterion to a State. A
municipality or a private company may conduct the work to support
a site—specific criterion. The State must review the data and the
procedures used to collect and analyie the data. The State must
then make the determination whether to adopt site—specific criteria.
If adopted, the State must submit the site—specific criteria to EPA ffir
review and approval or disapproval. The Slate may use methods
that are less scienti f’ical ly rigorous than EPA’s, but the methods
must he defensible (as required by 4() CPR I 3 1. 11).
Guidance, developed by EPA. for deriving site-specific water quality
criteria starting with EPA’s Section 304(a) criteria can he obtained
from EPA’s F-Iealth and Ecological Criteria Division at the address
listed in Section VII. (hi/defines few I)euii’inç Niin,eruw/ Nutionol
V/utet’ Quit/its’ (‘i’iieu/u JO , ’ tile Pi’otei’!itni of A quo/h’ Lift’, published
iii October 1 9K4, is available from NTIS ( publication number P 1385—
227049). States are also urged to consult with the appropriate EPA
Regional Office (listed in Sect ion VII) before beginning to develop
site-specific criteria.
Part E: Water Qualily Criteria frr Protenion of human flea It/ i
Water quality criteria have been established to protect human health
from most toxic pollutants ingested by consuming aquatic organisms
(such as fish containing mercury). The criteria are based on the
assumption that humans consume 6.5 grams of contaminated aquatic
12
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organisms daily and that the average body weight of a hunian is 70
kg or about 1 50 pounds. These criteria use other standardized
factors for each p c)1 I utant, which are derived troni laboratory studies.
EPA is now revising its human health criteria, which will encourage
more Slate and local input on risk management decisions.
EPA ’s water quality criteria for fish consumption are distinct from
the limits developed by the Food and Drug Administration (FDA)
and serve a different Function. The EPA criteria for protecting
human health are non—regulatory, scienti1 c recommendations for
ambient levels in water, which if iiot exceeded, will ensure that safe
levels are maintained in edible aquatic organisms. (“Ambient”
refers to the existing conditions in the waterhody.) The FDA action
levels are regulatory numbers used to prohibit the sale of edible
aquatic life when contaminant concentrations in the edible portions
of the organisms exceed the FDA limit.
Part F: Water Quality Criteria for the Protection of Aquatic Life
The development of national numerical water quality criteria for the
protection of aquatic life is a complex process. After a decision is
made that a national criterion is needed For a particular material, all
available information concerning the impact of that material on
aquatic life is collected; this can include experimental and laboratory
testing data. There are two types of criteria which may be
established: “acute,” which cover short-term exposures such as
spills, and “chronic,” which cover long-term or permanent
exposures. One or both of the acute and chronic criteria may he
related to other water quality characteristics, such as p1-I ,
temperature, or hardness. Separate criteria are developed for fresh
and salt waters.
Part G: Other O-iteria---Preserving Biological Integrity
In addition to human health and aquatic life criteria, EPA is
developing biological and sediment criteria to further the CWA
13
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goal of protecting the chemical, physical. and biological integrity of
the Nation’s waters. Biological criteria are narrative or numeric
expressions that describe the desired biological condition ot aquatic
communities inhabiting particular types of waterbodies. Sediment
criteria address the toxicity of difft rent sediment types in different
environmental settings controlli rig sediment pollutant concentration
helps prevent harmful chemicals from accumulating in the tissues of
animals in the food chain.
While each type of water quality criterion has a different protective
k)cus. human health, aquatic life. biological, and sediment criteria
are complementary. No single criterion value or number will
guarantee protection of all forms of life. Collectively, these four
types of criteria provide a valuable tool for protecting the physical.
chemical. and biological—and ultimately the ecolugical—integrity of
the Nation’s waters.
Figure 2 below shows how use designation and criteria can be
applied to different waterbodies (in this case a stream, lake, and
wetland) within a watershed.
LAKE
Designated Uses
Criteria
Figure 2
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Section IV: Antidegradation Policy
Part A: Origin and Purpose of A ntidegradation Policies
EPA ’s water quality standards regulation requires States and Indian
Tribes to adopt a policy that conserves, maintains, and protects
existing uses and the water quality necessary to protect these uses.
This policy is known as the antidegraclation policy. Established by
the Secretary of Interior in February 1 968 before the creation of
EPA, the policy was incorporated into the water quality standards
regulation issued by EPA in November 1975. The policy was
clarifled and included in the water quality standards regulation
published in the Federal Register on November 8, 1983 (48 FR
5 1400): the specific code is contained in 40 CFR 13 I. 12. Section
303(d) of CWA establishes Congressional recognition and approval
of EPA’s antidegradation policy.
Part B: Federal An tide gradation Requ iremetits
The water quality standards regulation requires States and Indian
Tribes to adopt an antidegradation policy that
maintains existing uses of a waterhody or segment
and the level of quality necessary to protect the use
(known as Tier I waters):
protects high quality waters (unless certain conditions
are met). High quality water is that which exceeds
levels necessary to support propagation of fish,
shellfish, and wildlife as well as recreation in and on
the water (these waters are also known as Tier 2
waters); and
provides special protection for Outstanding National
Resource Waters (ONRWs)(also known as Tier 3
waters).
/ 5
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Many States designate Outstanding State Waters instead of ON RW
to pro ide additional protect ion while a! lowiiig br Ii in tied
discharges.
Part C: State A ntidegradalion Policies
States and Indian Tribes are required to adopt an antidegradation
policy and methods for their i tiiplenientation. The policy need not
he loflual ly adopted into the State’ 5 water quality standards, hut it
must be speci bically referenced in the standards regulation so that its
relationship to the standards is clear.
EPA has the authority to review State and Tribal antidegradation
policies and to issue such policies it’ a State or Indian Tribe L ii Is to
adopt an antidegradation policy that is consistent with the CWA.
I mplementat ion plaii s may he (I isapproved hy EPA ii’ the plans
contain provisions that may result in violating the intent, spirit, and
requ i renients ol t he antidegradation policy.
Issu a nc e of a National Pollii ((lilt I)iseharge Elimination System
(NPDES) permit by a State or an Indian Tribe serves as an example
of how EPA may disapprove the i mplementati on of an
antidegradation policy. Sect ion 402 of ’ the CWA, the National
Pollutant I)ischarge Elimination System, is the EPA program that
controls the disc/large ol pollution from point sources by requiring
that a person or organization discharging any type of waste into a
surface water obtain a NPI)ES permit from EPA, and limit their
discharges to the Ii mit contained within the permit. EPA has the
legal authority to delegate its permit granting role to the States and
Indian Tribes.) If a State or Indian Tribe, t r example, fails to apply
its antidegradation policy when it issues an NPDES permit, EPA
may object to the permit as not meeting the requirements of the Act.
The State or Indian Tribe may then he barred from issuing the
permit until steps are taken to comply with the antidegradation
policy. Citizens may also challenge any permit in State court on thc
grounds that it does not comply with the State’s or Indian Tribe’s
aritidegradation policy. Add itiorial ly. EPA may determi tie
16
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that the State’s or Indian ‘l’rihe’ 5 uitidegradation policy is, iii fact,
inconsistetit with EPA requirements (40 CER Section 1 3 1 . I 2). In
this casc, EPA would issue an antidegradation policy for waters iii
the State or Reservation I ,ands.
The ant idegradat ion policy has been developed so that it mi iii in i /es
adverse effects on economic growth and deve lopnient and at the
same time protects (‘WA goals. Federal regulations are not intended
to result iii standards that are so stringent that compliance would
cause severe econon lic impacts. The antidegradation policy (toes not
prohibit lowering of water quality. It does, however, establish a
public process for considering the relevant factors before doing so.
11(1 ,1 1): A n ude gradation Policy and Wetlands
States and Indian Tribes arc expected to l iii ly apply their
antidegradatioll policies to wetlands. Wetlands are defined in the
(‘WA as those areas that are inundated or saturated by surface or
grotiiid water at a frequency and duration to support. and under
normal circumstances (10 sUpport, a prevalence of vegetation
typically adapted to Ii l’e in saturated soil conditions. Wet lands
generally md UR Ic marshes, swamps, hogs. and similar areas.
The ant idegradatioll policies should pro ’ ide for the protection of
existing uses in wetlands and the level of’ water quality that is
necessary to protect those uses, similar to antidegradation policies in
other waters. In the case of using wetlands for disposing dredge
and fill material ( such as materials that might result f’ronì
development of I i ighways and LU rports, or from construction of’ dams
and levees). EPA follows a slightly different interpretation of
cx isti rig uses. E1 A recognizes that Congress intended f’or sonic fill
to occur in wetlands, as long as the discharged materials do not
result in significant degradation as defined in the section of’ the
(‘WA that concerns permits for dredge and f’i I I materials I Section
404( b)( I ) guidelines in 4() CFR Part 230)1. TI guidelines
establish a process to ensure that i nipacts to wetlands are avoided,
/7
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iriin iiiized and ii itigated. States may. ot cotirse, adopt stricter
reqLlirenlents for vet1and 1’ilIs in their antidegradation policies.
/1
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Section V: Water Quality Standards on Indian Lands
Part A: Requirements for Waler Quality Standards Programs on
India , , Lands
Before an Indian Tribe is granted authority to administer a water
quality standards program. the following criteria must be met:
The Indian Tribe must he recognized by the Secretary
of Interior.
The Tribe must have a governing body with
substantial duties and powers within a defined area
(including authority to conduct governmental
functions such as ensuring the health and welfare of
an affected population).
The water quality standards program must include
managing and protecting water resources within the
borders of the Indian Reservation.
• The indian Tribe must have the necessary
managenient and technical skills to implement an
effective water quality standards program or must
submit a plan to acquire those skills.
The Tribal application to administer the program must he submitted
to the EPA Regional Administrator, who informs all neighboring
governmental entities that the application has been received. The
Regional Administrator allows 30 days for comments on the Tribe’s
application. (Locations of EPA Regional OfFices and the States
covered by each are contained in Section VII.) States and other
Federal entities participating in the review cannot veto the
application. EPA independently evaluates the application and
promptly notifies the Tribe in writing whether it qualifies to
administer the program. No statutory requirement exists that
requires an Indian Tribe to apply for the water quality standards
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program. nor is there a deadline by which applications must he
submitted.
Part B: The issue JiLcpute Resolution Mechanism
The 1)eeemher 1 2. I 991 Amendments to the Water Quality
Standards Regulation That Pertain to Standards on Indian
Reservations (4() CFR I A I .6 and 1 3 1 .7 ) set forth procedures to
resolve unreasonable consequences that may arise when an Indian
Tribe and State adopt different water quality standards on a coninion
body of water. EPA has established mechani sins br resolving
disputes between Indian Frihes and States, bitt pref ers that Indian
Tribes and States resolve disputes without EPA involvement.
The ‘‘issue dispute resolution mechanism ‘‘ is a way for EPA to
resolve issues thai. arise as a result of’ States and Indian Tribes
setting different water quality standards on eonitiion bodies of water.
Dispute resol Lition actions involving water quality standards must he
consistent with one or more of the fbi lowing options:
a. Mediation. The EPA Regional Administrator may appoint a
mediator who can be an eniployee of EPA or some other Federal
agency. or another appropriately qualified individual. The
mediator, acting as a neutral fbcilitator, encourages
communication and negotiation among dispLiting parties, and
may establish advisory panels to study the problems and
recommend a sol Lition. The advisory Panel must consist of
members Irom the affected parties. The mediation procedure
and schedule is determined by the niediator in coiistiltation with
the parties to the dispute.
h. Arbitration. The EPA Regional Administrator may appoint an
arbitrator or arbitration panel (which disputing parties must
approve) to settle the dispute. Arbitrators and panel members
may be EPA employees, employees of other Federal agencies. or
other individuals with appropriate qualifications. Individuals
serving in this capacity who are Federal employees must act
20
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independently of their agencies. Arbitrators and panelists
must he versed in the water quality standards prograni and
Lulderstand the political and economic interests of the Indian
Tribes and States involved.
At least one private or public meeting must be held with the
parties. The arbitrator or panel must solicit inlormation on
how lull i 11mg the requirements Gr obtaining a permit affect
entities that discharge into a water body comparative risks to
public hea Rh and the environment, economic impacts. water
uses, water quality, and other factors relevant to the dispute.
Alier considering these firetors. the arbitrator or panel
pros’ ides a written recommendation for resolving the dispute
to the afiected parties and the EPA Regional Administrator.
l)isputing parties need not accept the recommendatioii unless
they voluntarily entered into a binding agreement to do so.
II a party to the dispute believes that the arbitrator or panel
has recommended an action that is inconsistent with the
CWA, the party may appeal the recommendation to the
Regional Administrator in writing. The appeal must include
the statutory basis f r altering the arbitrator s
recommendation.
l)is ,ni!e Resolulie ’ ! De/thilt Pro edure. A default procedure
is available when disputing parties refuse to participate in
either mediation or arbitration. In such an event, the EPA
Regional Administrator may appoint a single official or panel
to review inforniation related to the dispute and issue a
written recommendation for its resolution. Recommendations
issued by EPA resulting from this default procedure have no
force of law.
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Part C: Options for Esta/.iliching Water Quality Standards
Indian Tribes have three options for establishing water quality
standards br waters under their jurisdiction:
They may negotiate a cooperative agreement with an
adjoining State to apply that State 1 s water quality
standards to the Reservation Lands. A cooperative
agreement can include any provision agreed upon by the
two parties; or
they may adopt the adjacent State s water quality
standards with or without ii odi Ilcations; or
they may develop and adopt their own standards to
account For unique Trihal uses and needs.
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Section VI: Adoption of Water Quality Standards
Part A: Processes For Establishing Water Quality Standards
The process for developing. reviewing, adopting, and implementing
water quality standards on land tinder the jurisdiction ol States and
Indian Tribes is the same. The overall requirements are speciFied in
the CWA and the water quality standards regulation issued on
November K, 19K3.
Each State and Tribe has its own legal and administrative
procedures For adopting water quality standards there are 110
standardized procedures. The CWA requires States and Indian
Tribes to hold one public hearing and to involve the public in
reviewing and revising water quality standards.
The governmental entity respoiisihle ffir adopting State or I ndi an
Tribal water quality standards varies from State to State and Tribe
to Tribe. In sonic States, water quality standards are adopted by
the State legislative body and signed into law by the Governor. In
others, standards are adopted through an administrative agency
rulemaking procedure which may he subject to legislative oversight.
For Indian Tribes, the governing Tribal body or authority is
responsible for adopting water quality standards on Reservation
Lands.
One approach to water quality protection considers the whole
aquatic system, including other resource management programs that
address land. air, and water to successfully manage problems for a
given aquatic resource. This approach—the watershed protection
approach—encourages States and Indian Tribes to work collectively
to manage high priority water quality concerns, to coordinate
among various interests, and to devise solutions for local
conditions. States and Tribes define the goals in the watershed, or
waterhody. of concern and can adopt these in their water quality
standards. Goal selection is driven by stakeholder involvement in
the process.
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Part B: Status of (lie Water Quality Standards Program
All 5() States, the District of Columbia. and the U .S. Territories
have developed water quality standards. Some Indian Tribes have
been authoriied to admiiii sEer the water quality standards program
and have approved water quality standards. ‘i’he nLIfflher of Trihe
that may eventually assume responsibility for the program is
u uk flown.
Part C: Reviewing, Revising, and Adopting New Standards
Section 303(e) of the CWA requires States to hold pLiblic hearings
at least once every three years to review applicable water quality
standards and, if appropriate, to adopt new standards. In
conjunction with EPA. States select waterhodies for which water
quality standards are to he reviewed in-depth. Selection is based on
the following sources of information:
a list of i npaired waters, Section 304(1). This list
comprises two types of waters: Iirst, those in which
water qLIal ity standards cannot he met because of the
presence of toxic pollutants: second, those in which the
following uses cannot he maintained or achieved. This
category includes pLiblic water supplies, agricultural and
industrial uses, the protection and propagation of a
balanced population ol shellfish, fish and wildlife, and
recreational activities in and on the water. The second
category also includes any waters that present a threat
public health.
reports on the condition of the waters within the
boundaries of each State (Section 305(b) Reports). These
reports, required biennially for each State, describe the
water quality of all navigable waters in the State, as well
as the nature and sources of pollution to the waters
during the preceding two years.
24
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waters identi fled as not meeting water quality
standards (Section 303(d) Lists). This section requires
States to list those waters br which (1) the
Ii lilitations Oil ellILielit discharges (or releases of
pollutants to a waterhody ) are not stringent enough to
implement water quality standards for the waters and
(2) the limitations on thermal discharges (eFfluent
with elevated temperatures) are not stringent enough
to ensure protection and propagation of a balanced
indigenous (native) population of shellfish. Fish, and
w i I dli k.
waterhody segments where major NPDES permits are
to he issued: and
priorities within a watershed.
Additionally, waterhodies with water quality standards that do not
meet the requirements of the CWA (i.e.. do not provide hr the
protection of aquatic life or recreation) must he reexamined every
three years. States must review their standards to determine ii new
scientific and technical data may he available which have a hearing
on their standards. Further, environmental changes and economic
development over time niay warrant the need for a review. Where
States have not adopted standards that provide for the protection ot
aquatic Ii Fe or recreation, the State must periodically review
standards to see if the “fishable/swimmable’ uses can he attained.
In addition, States may have adopted water quality standards
without sufficient data to determine whether the uses were
attainable. Finally, changes in the CWA or EPA’ s regulations may
necessitate State review of their standards to ensure continued
compliance with Federal requirements.
States niay use several ways to determine the appropriateness of a
water quality standard. Generally, States will review intensive
water quality survey and monitoring data, and any other information
for a waterhody, to determine if uses are impaired or if water
25
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quality criteria are exceeded. I I ’ uses are Impaired or criteria
exceeded, States will evaluate whether more stringent controls are
needed to attain the water quality standard or whether the water
quail ty standards are appropriate.
Part 1): EPA ‘s Role Following State or Tribal Adoption t!f
Standards
The Governor or Tribal Authority (or designee) submits the State’s
or Tribe’s officially adopted standards to the appropriate F1I A
Regional Administrator for review. The Regional Adrni nistrator
reviews the standards to determine compliance with the (‘WA and
implementing regulations. rçj Regional Admi i i istrator may
approve or disapprove (in whole or in part) State or Tribal water
quality standards based on the review. If the standards do not meet
CWA requirements. the Regional Admiiiistrator must inform the
State or rr rihe ol tile changes needed to bring the standards into
compliance. I I ’ the State or Tribe does not make the required
changes. EPA begins a process that results in the promulgation
(i.e., the issuance of a legally binding standard) of a Federal water
RtalitY standard for the affected waters. Mcanu’Iu/c, i/ic ciwu/cirt/s
(uIo/flc(/ hi the S/ale (Ii lithe remaIn in c/fret until I/ic prwiiiil gal /wi
process / 5 (oiii/)/ele 01 1/ic Slate adopts revised na /er £/u(1liIv
5/ali(lar(ls. Ihese requirements are listed in 4() (‘FR I 3 1 .6.
In addition, EPA is required under the Endangered Species Act to
consult with the Fish & Wi ldl lie Service (F&W5) and the National
Marine Fisheries Service (NMFS) to determine i i adverse effects to
threatened or endangered species are likely. The F&WS is part oF
the U.S. I)epartment oF Interior, and the NM ES is part of the
National Oceanic and Atmospheric Administration, rime
Endangered Species Act (ESA) was enacted in 1973. The ESA and
suhseq nei l ! amendments are intended to protect and preserve plaiits
and an i rllaIs whose popu lat ions have been threatened or impai red by
the actions of humans.
26
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EPA niay also Issue Federal regulations when the Adininistrawr
deterini ties that a new or revised standard is necessary to meet the
requirements of the CWA. Federal water quality standards are
withdrawn when States or Tribes adopt standards that nieet the
statutory and regulatory requirements. At the present time. Federal
actions ol this type remain in torce in Ariiona, the Colevi lie
Confederated Tribes Indian Reservation in Washington. the San
Francisco Bay/Delta. and in 1 4 jurisdictions in the National ToXics
Rule.
When issuing water quality standards that are binding on a State or
on Tribal Lands, EPA must adhere to the same substantive
requirements as the State or Tribe for adopting standards.
Additionally, EPA at a minimum must
• publish the proposed water quality standard in the
Federal Register.
• solicit public comments on the proposed standard,
hold a public hearing,
analyze and incorporate public comments, and
• publish the final water quality standard.
Part F: Enforcing Water Quality Standards
Water quality standards are not directly Federally entireeahle under
the (TWA, hut they provide a basis for establishing discharge limits
in NPDES permits and Section 404 permits (those permits that
at low br the disposal of dredge and fill material into surface
waters). The permits are legally enforceable. Failure to comply
with NPI)ES or dredge—and—fill permit limits can result in
enforcement action. States, however. do have the option. under
Section 5 It) of the CWA, to make water quality standards directly
entorceabte.
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Part F: The Role of the Public in Setting Water Quality Standards
rihe pLihi ic has a vested interest in our Nation’s water quality.
Open hearings cii water quality standards provide an opportLLllity br
the public to become involved in the water quality standards setting
process. Citizens may make recommendations on iiiipi’ovemeiits or
modifications in the standards during the public hearing process.
Public hearings are a powerlul vehicle through which citizens may
make their concerns known to public otlieials. States and Indian
Tribes are required by law to hold hearings at least once every three
years.
Part 6: Available Guidance and Assistance
In addition to publishing Section 304(a) criteria guidance. EPA
develops other inlormational materials to help the States and Indian
Tribes meet the requirements oF the water quality standards
pmg ni. Such inlorrnational materials include technical
puh l icat ions, newsletters, and videotapes. Guidance niateri als are
supplemented by train i iig programs. technical assistance,
workshops. meetings. and other Forums conducted by EPA
personnel. EPA personnel are also available For consultation. EPA
encourages a free exchange ci information in the Federal—State
efFort to clean—up and protect the Nation’s waters. ( Section V i i of
t his document tel Is you where additional information ahout water
quality standards and criteria can he obtained.)
2
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Section VII: For More Information
EPA ’s ten Regional Offices (listed on page 3 I ) can provide (letal led
in form at i o ci a bout t he proced tires by which an Indian Tribe may
— quality for water qtial ity standards program authorization. EPA is
t lso available to provide technical information as Indian Trihes
begin to develop water quality standards affecting Reservation
Lands.
Inlormatioci on the water quality standards of a given State may he
obtained from the State’s Water Pollution Control Agency or its
equivalent or directly from an Indian Tribe. I iiforniation may also
he obtained from the Water Quality Standards Coordinator in each
Regional Office identified on page 3 1
You may also contact EPA at the following address For iiiore
information ab out water quality standards, including schedules for
training programs and technical assistance workshops, documents
and videos.
Specific inf riiuuioii o/miit wa!cr qua/i!v standards may be obtaitied
U.S. Environmental Protection Agency
Office of Water
Office of Science & Technology
Standards & Applied Science Division
401 M Street, SW (4305)
Washington, DC 20460
(202) 260-1315
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.S’ 1 e ‘i/H i;;/ornia/ioii (11)011/ u’(IICJ q uality ‘i’ifr#7 i, j u n iuliuiç site—
.S/)eCi/f( ( ‘1’IICL’!(l, uii u he ohtniuu’il /‘mnn
Ii .5. EtliviFoll mental Protection Agency
( )fflce ol Water
Office c i Science & Feclinology
I IL’LLltll & [ colog ical Criteria 1)1 vision
401 M Street. SW (4304
Washington. L W 2046()
(202) 260-0658
In [ )uFcllase a c o p ol (juwulity ( ‘rjleu’ja for 1¼uiej’ I contai i ii ng
sum manes of’ at I comitam I nants and comidit ions Ioi’ which EPA has
developed criteria recoin mnendat ions, contact
National Technical I niormation Center
U.S. Depart nient ol’ Coni nierce
5285 Port Royal Road
Springfield, VA 22161
(800) 553-NTIS
Order Numher: PB87-226759
01’
Education Resource Inlormation ( 1 enter
1929 Kenny Road
Columbus, 011 432 I ()
(800) 276-0462
Order Number: l)-76()
. 3 ’ ,)
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EPA Regions
I
EPA Regional Water Quality Standards Coordinators
Ri’eion I Water Divisiofl
JFK Federal Building
Boston, MA 02203
(617) 565-3539
(617) 565 4t)_U) (Lix)
(‘I. NIL, VT, MA. NH. RI
Region 2 Water Division
2 )() Broadway
New York, NY 10007
(212) 264-5685
(212) 637-3772 (lax)
NJ, NY, Puerto Rico,
Vir iii Islands
Region 3 Waler Division
4 I (‘hesinut Sir cci
Phi I;idelphia . PA 19107
2 15) 597-44 )I
(215) 597-3359 (fax)
DL DC, WV. MD,
VA
PA,
Region 4 Water Division
345 (‘ourtland Street. NI’,.
Atlanta, GA 30365
(404) 347-3555 x6633
(404 347-I799 (Lix)
AL. H.. GA. TN, KY, NC.
SC, MS
Region 5 Water Djvisi n
77 West Jackson
Boulevard
Chicago. IL 60604-3507
(312) 353-9024
(312) 886-7804 (fax)
IL, IN, Oft MI. MN. WI
Region 6 Water Division
1445 Ross Avenue
First Interstate Bank
Tower
Dallas. TX 75202
(214) 665 - 43
(214 665 S9 (fax)
AR. LA, NM. OK. I X
Region 7 Water
Compliance Branch
726 Minncs ta A enuc
Kansas (‘liv, KS 66101
(913) 551-7441
(913) 551-77(iS (ax)
IA, KS. MO, NF
Region 8 Water Division
999 18th Street
I )cnver. Co 80202-2405
(303) 293- 1586
303t 3’)i -6957 (fax)
CO. M ’I’, UT, ND. SD,
WY
Rcizion 9 Water Division
75 Hawthorne Street
Sari Francisco, CA 94 lO S
(415) 744-1997
(415) 744-1078 (fax)
AZ, CA. NV. HI. Pahw.
( na air, American Sari a
N. Matiajia Islands
Region 10 Water Division
(WS-I39)
12(X) Sixth Avenue
Seattle. W,\ 98101
(206) 553-0176
206) 553-0165 (lax)
AK. ID, OR, WA
0
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APPENI)IX A: (HA)SSARY
‘1 /ii gle ). \Vuiv I / U ‘/(I(I(’ V I C 17/IS I(.V(J I I , i/its 1/0 1 / 1 /I /C / lI uiiil /t/iiii )IIIl/ I I 17// S I/ I / /I i / Ic I IT(//1CI/II\’
/1. 5/ 1/ I I I i/it /LV,\ I01I , 0/ i i i/fir (/11(1//IS S I(lI1(/i1IJS.
‘Ilie Act——relers to the ( ‘Ic/In Water Act ( Puhlic La s s 92—5 00. as aIileIl1led 33 1 ‘S( 125
(41) (‘FR 131.31
acute 1clc1’s I l l sfiori-teriii exposures to Illultalits
Aulniiiiistiatoi’--iefta’, to the Adiiiiuistrator of’ the IS. LtniuuIiilent/tt Protection AeeIie\
/tiiil)ieIlt——rejers to L’.\i’- tiI1Li coiiditioiis hi a \saterl/o(ly
:IIutIli’jt!e liic——u!enelateth OF L’1 1115t’ul 1)5 lie .ictioip, of IlL/lU /ills
/tIltJ( lciJILn.l/tili)l1 J)Olicv——f)Ohic\ ieqtiiied 1 )5 l l \s V /itLI uju/lIht\’ st/lll(l/lI(l5 l’e!21ll/ltU)ll Il l/It
St/lies h url lIl(lIh1l1 I riFies 1 111151 l(.lO))t tO eo liset’\’e, li laijitain. 1 111sf protect c.\istille uses lI lt] Ilk’
water quality necessary to protect these uses; the policy was estahl isl ied bs lie Secretar of
interior in i’ehruary 196 5 before the crc ition of’ LPA ;tii] illUO1’)1OI’/lle(l 11th) the water
quality sI hr Inlaids re Jnlat toil iss ued Nv IPA in Novenihci 1975
aquatic life eiiteiia——ntiidehiiies cleslene(l to protect all aquatic life, including jilaiìts ans i
ai iiiiials
aIhitlatlIn l——/t dispute resoltitioti piocess i ii which an itidividital o l’ ) ti1el reeoiiinieuuls a
soluitioii hi a u issue arisiiiu heisseen two patties.] he solution reeoiuiiiieuideul Nv the
al’l)itIlItol’ can he l)iIlditlg on the p 1 11 1 es ii’ they choose to make it 51).
attaiii——aehieve or reach (as a ssater quahit) goaU
hackorotiti sl eotithitioiis — uiattirah eoiiulitioiis. conditions not aliected or iiif’htiejieed hy the
aelt dies of humans
hkdogical ititegritv——tlie eiiiahitioii of’ the aquatic coiiitiiun by inhahiting Ltiiiiflpaired wh Ite ]
bodies of a specified habitat as iiieasnred Nv eonlnlnnity structure and functio n
biological criteria——narrative or nnnierie expressions that describe the desired hiohorieal
coiii.hitioti of aqrialie coinninnities inhabiting Particular types of \valerl)odies
eliionie——u’ei’eu’s to long—term exposnres In pollutants
(‘ode of’ Federal Rer nlations——a puthlication of’ the IS, C ivei’ntiient Ili:ut contains all FPA
and other regulations alter they have mcci vet] final approval. Referred to as
32
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(iesr n1ated ase— —that use defined in water qual it) staii(Iards br cacti water hod or segnicrit
whet her r u t tt the use s bei tie at tai ned
age limits——any restriction tni quantities, rates, and concentrations of clienuiic:tl.
:aI. bioloiiical or oilier constituents which are dischan’eed trout point soiuu’ces
rtiscltarec——tlic addition of all) pollutant (s) to rnavieahle waters hunt any poilit source.
dretlee nuaterial——utaterial restnltine horn activities such as the \\ 1(leIiillL
or deepening oh cliartiiels. birildinie of canals. construct ton oh levees
ccolo”y t ecolocical f——the study ot the interrelationships oi organisms arid their eiivirorrnient
ellhtrerit——waste ritaterial disclrareetl tutu the en\:ironlnent, iuicludine waters oi the t 1 nited
States
existiuie use——the use that has been ;iclrieved for a waterhody on or alter November 25.
1975
Federal Reeistcr— —a publication of’ the IS. (joverutneut that includes all proposed and final
reculatiotis issued k lIPA. Referred to as FR.
till material——earth nse(l ha’ euihankunents or as backbIt
Food and I)rur Adriiinistrationr —the [ IS. (lovernnient ;weucv that estahlishes hauls used to
proltihit the sale oh’ edible aquatic life when the concentrations ot coirtanliriauits exceed
spec i ed levels
habitat——the environment occupied by individuals of’ a pariicnlar species, population. or
coini nun it V
health cruten’ma—--eu their tics that specify the potential risk of adverse effects to humans
snhstauces in the water
hydroloev ( hydrologic f——tI le science dealing with tIme propeni ies. distribution. antI circulation
of water both on the surface of’ and under the earth
unpaired \\atcrs——watcrs that tail to meet applicable atcu tlu ilit\ standards ot’ to protect
designated uses such as fishine or swi unmniug
Indian Iribe on Tribe-—any tutdiatt ‘l’rihc. band. ur’oup. couiuuiuniihv ccogniicd by the
Secretary oh the Interior and exercisinie coveruunnental aLutlioritv over a Federal tndiau
Reservat it at
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Indiaii Reservation ( Reservattoii. irib tI 1 ands)——a1l land within the limits ol ai y Indian
reservat ion under the jurisdiction of the t LS. (iovertinieiil, nots ithstaiidinig the issuance of
any patent. and including rights of way running through the reservat ion
indigenous——ex istitig. and liasi m i originaied naturally, in a particular regiOn or envirOilmnen 1 t
Issue Dispute Resolution Mechanism——the pmoceclrmre untamed in the (‘lean Water Act
resolving conflicts between States and I mitlian Tribes that adopt different water quality
standards ni a coin Il( ii body of water
mediation——a dispute resolution proeess in which a neutral or impartial individual attemiipts
to t tcil itate a solifi ion to a dispute arising hetween two parties by encouraging
eonuni nil ication and negotiation
National Pollutant Discharge ltlinìinatnon System——the EPA prograni that regulates point
source discharges thnmgh the i ssuaiiee of’ perni its to discharges and cii hucenietit of the
terms and conditions of those periii its
navigable waters——the waters of the United States. including tile territorial seas
nonpoint source pollution——pollution sources that are diffuse and do not have a single point
of origin: run—off from agriculture. forestry. and construction sites can he nomi—poimil source
pollution
organic suhstaiiee——earbon—contaiiii rig substances in Pla nt and animal matter: high
conccntrat ot is are often found iii iiiunieipai and i ildusirial wastewatcr and in surface flmiluf f
orgatiie chenlicals refers to a manufactured chemical used for cotitrol I ing weeds and insect
pests; many are considered to he carcinogenic
Outstanding National Resource Waters——the highest qtiality waters of the United States:
waters of exceptional ecological signi tieance that ale iniportant. uitique, or ecologically
sensitive
perniit——lcgal almthorit\ to ear ly out a regulated activity
point source pollution——pollution resultiilg from discharges into receiving waters f’roni
discernible, confined, and discrete conveyance, such as a pipe, ditch, or sewer
priority tox cs w pull nitants——those substances listed by the Adnii iii strator under Sect i on
3f)7ta) of the (‘lean Water Act
protiiulgate——to niake known or public tile terms of a proposed i-egnlation, or to put a
regulation into action or force
Regional Administrator——the senior official in an EPA Regional Office
rulentaking——the pi-ocess by which regulations or laws are enacted
34
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sediriient( s f— —transported or deposited particles derived frotil rocks. soils. or biological
r iiatet’ i a Is
sedi inent criteria——narrative or ittiriieric expressions that describe the desired condition of
‘,edi luc i us in particular types of w ttei1iodies; sedinuent criteria address the lox icily of
di lierent seW nient types in different enviroiiiuiental settings
—includes ilie 50 United States, I)istrict of (‘ofLilnbia, Guam. (‘oiiujuuonwealth of’
Puerto Rico. Virgin Islands. American Samoa, Trust Territory d the Pacific Islands. and
( oiiuiion wealth of the Northern Mariana Islands, and Indian TI ] hes that EPA deterrn i rues
qual if)’ for treatment as States for the purpose of water quality standards
statute ( statutory )——a law (having legal lorce
surface waters——bodies of wtter on the surface of’ the earth, including lakes. rivers, streams.
wetlands. etc’.
toxic substance/pot lutant——suhstances (or pollutants) tha i. alier ci iseharge and upon e xposui’e.
iiugestion, inlu tlation. 01’ assimilation into any organism. either directly 11011) the
eiuv ironiuuent or indirectly by ingestion through food chains, will, or on the basis of
iii format ion avai fable to the Adni iiuisti’atoi-, cause deat Ii. cli sease, hehavioral abnormalities.
cancer, genetic Imitations, physioloi ical malfunctions ( iiicludi rig malfunctions mu
reprodtict ion ) or physical defornuat ions, i mu such organ i snus or their offspring
1 Ise Attainahi lity Analysis——a sfm’ucttired scieiutil’ic assessment of’ the f’actors aff’ecting the
attainment of the use which iuuay i ruclude physical. chemical. biological, and economic
factors as described in Section 1 3 I I 0(g ((40 ( ‘FR I 3 I 3)
water qual it)’ standards——pros isions ol’ State or Federal law which consist of’ a designated
use or uses for the waters of’ the U i ii ted Sates, water quality criteria for such waters based
u 1)011 such uses, and an ant idegradation policy; water quality standards are intended to
protect public health and welfare, enhance the quality of water, and serve the purposes of’
the (‘lean Water Act
quality criteria——critcria published by EPA under Section 304 a) for specific
icals in water intended to provide protection for aquatic life and human health in all
sur ace waters o n a riatR)flal basis; elements of water quality standards adopted by States
under Section 303(c), which describe the quality of water that will support a particular use
waters of the United States-—rel’er to
1) all waters which are currently used, were used in the past. or may he susceptible to
use in interstate or foreign commerce, including all waters which are subject to the ebb
and flow of the tide;
(2) all interstate waters, including interstate wetlands:
35
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(3) all other waters such as intrastate lakes, rivers, streams (including intermittentstreams),
mudflats, sandflats, wetlands, sloughs, prairie potholes, wet meadows, playa lakes, or
natural ponds the use or degradation of which would affect or could affect interstate or
foreign commerce, including any such waters:
(i) which are or could be used by interstate or foreign travelers for
recreational or other purposes;
(ii) from which fish or shellfish are or could be taken and sold in
interstate or foreign commerce;
(iii) which are or could be used for industrial purposes by industries in
interstate commerce;
(4) all impoundments of waters otherwise defined as waters of the United States
under this definition;
(5) tributaries of waters in paragraphs (I) through (4) of this definition;
(6) the territorial sea; and
(7) wetlands adjacent to waters (other than waters that are themselves wetlands)
identified in paragraphs (I) through (6) of this definition. ‘Wetlands t are defined
as those areas that are inundated or saturated by surface or ground water at a
frequency and duration sufficient to support, and that under normal circumstances
do support, a prevalence of vegetation typically adapted for life in saturated soil
conditions. Wetlands generally include marshes, swamps, bogs, and similar areas.
Note: Waste treatment systems, including treatment ponds or lagoons designed to
meet the requirements of the Act (other than cooling ponds as defined in 40 CFR
423.11(m) which also meet the criteria for this definition) are not waters of the
United States.
watershed--the region draining into a river, river system, or other waterbody
wetland--those areas that are inundated or saturated by surface or ground water at a
frequency and duration sufficient to support, and that under normal circumstances do
support, a prevalence of vegetation typically adapted for life in saturated soil conditions;
wetlands generally include swamps, marshes, bogs, and similar areas
36
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APPENDIX B
LiST OF SECTION 307(A) PRIORITY rfl) (: POLLUTANTS
:\cci lajTh1l ene ( )i1 rutunii l3ela 1 ndusnl1aii
/\ee l lap (h’clei lc (1rtclihu iniicl luiiie ) ltllck)stllIaIl ulI;itc
‘\cr dci ii 2 ( lllUrUI)I1L’IIUI ltli(lr [ 1i
/\eiv lniiitiile (‘hhnui uprnpyl l lIiel F iulriii :\ltlelivde
A kizi n (131 —2 ) F 1 1i I heiiietie
i\iiti iiiuti 2 ( likirointpliihaleiic IlLu )rel le
i\iiilii tceiic 4 ( hkniphenvl Ilienyl lltiuraniheiic
I tlie i I lc [ )l;ic1lIoi
Asbes lus ( ‘hunniuiii ( 11I’.X and IRI Hel)I;tehIUr kpu.\i(lc
I .2 I3cniaiithraeezie ( ‘Jiryserie Iiexaehluruethane
I3eniciie ( upper Lie \ aeli Ion )ben/.cIlc
I3cniiidiine (‘vari lde I Ic\;tchIunuh lniladien]e
i3eiiio (A I Pvictie (3 ,4 4,4 1)1)1 1 Iexaeh lul’ucyelohe\ane
I 3 eIuk ) ‘i relic) 4.4 1)1)1 (JJ iidzi lie)
3,4 l3cIi/.olitRffaIi)IieJIc 4,4 1)1)1) HexaLhIurueveIohcxzu lc
Bell/ u (K) Finuranitliene I )Iheniu (a.h I An illiraeeiie (Alpha)
I . I 2 14eniuper lene I .2 I )ielnluruheniene I IexacIiInloeveI{)liexal )e
I3ervllinini 1.3 I)icliluiuheiiiene (Be la)
I3iuinioluiiii 1 .4 I )Ichluroben,cne I Iexaeliloiueveluhexaiie
)irilil in l lu nnl(._’lIetlie) 3.3 I)Ielilnrdieni,it liiie (1)clla)
Iiruniiunneilnztne ( \lelIiyI 1.1 I)ielilnroethanc I IeYcileIlklnieveIupcliiadienc
I 3 1{1lill1Ie) .2 1)IeIiI{lroe)Ilane Idenu (I .2 ,3 ed) Pyrenc
4 l3runiniplienvl Ilienivl I .1 1 )IehloruetliyIene I PAl I
I’JIiL’I I .2 Iranis—I)iehlunuetliylenie lsupliuiinc
( ‘adnininini I)ieIilUlUI1I i)lflUlilethallc I eL i (I
(‘arliuni ‘I’e)iaeli lurit le (1 laluli lellialies) MCl’L’tllV
(I’elnnelilunuliiellianic ) I)ieliluroi iietliane N npIinIiaIenie
( ‘hlurdane I Ilalunnetlianes ) NieLel
( lion the Il/fIle 2.4 I )ieIi I uruphenuI NI truhell/cl 1e
\‘lunue}i lunohen/ene I I .2 1)ie Ii loruprupane 2 Nil ruphenol
h lol idihru liiullielharne 1 .3 I )iclilorupropvlenic 4 Nitruphenol
ilalunlell lalie) !)ieldriii 4.6 I)InIlru—2--Meilivlphellol
(‘hkn ietliane 2.4 1 )iniethylphenol N ilniisudiniietliv lallilne N
Muliucllluruenll;lne I I)ic llny ljitnnlia late Ni ili) udipliell) Ianiine—N
(‘Iiluruetliyl Ether U31s 2 l)I ni iel liy lplillia late Nitrusudl-N—Propy laiinlnc—N
I (Ii lurnet liuxy MetIi niie 2,4 1)1111110101 LICI 1C 1k ‘13 I 242
I t3Is 2 2,6 E)iniitrotoluenie lk’ 13 1254
2 (‘Iilurueihyl Vinnyl Ether 2,4 1)initruphenul FF13 1221
4 (‘hhuru-LMenhylphicnnul 1)iuxini 12.3.7.il(’l)l)) FF13 1232
( Iiluruninctli:nne ( Metliy I I .2 l)Iphenyhlivdra/.inle 1k ‘13 I 24S
(lilaride) Alpha IlnidusnIlall I i ‘13 I 261)
37
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P(’13 1016
Phenol
Petit ac hi on pherto 1
Phenanihrerie (PA 11)
H is (3 Ethyl Hexy!)
Plithalate
E3utyl l3eni.yi Phthalate
Di—N—l3ntyi Phthalate
Di - N - ( Dc tyl - Ph thai ate
Pyrene (PAIl)
Selenium
Silver
• I ,2,2 lctrachloroctliarie
T’etrach I oroet hylenc
‘Ehal ii uin
Ioiuene
To xaphene
I ,2.4 Trichlorohenzeiie
• I • I Trichloroethane
1,2 Trich loroetliane
Trichloroetliyiene
2 ,4,6 Trichlomphenol
Vinyl Chloride
((‘hioroethy I c tie)
25 tic
38
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READER RESPONSE CARD
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Reference 4
-------
Only “Appendix M” of the Water
Quality Standards Handbook is
currently included in this section
of the Reference Manual.
A copy of the handbook and all
its other appendices will be
mailed to you.
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2
Section 131.12--AntidegradatiOn
(a) (2) . . . allowing lower water quality is necessary to
accommodate important economic or social development in
the areas in which the waters are located...
Since publication of the water quality standards regulation
in 1983 we have produced extensive guidance on the interpretation
and application of the various regulatory requirements. None of
this guidance, however, dealt extensively with the economic
considerations.
This guidance workbook is intended to fill that gap. It is
anticipated that the guidance will”be revised from time to time
to reflect State and Regional experieuce in its application. For
example we intend to add case studies as appendices to the
guidance to reflect real-world experiences in its application.
In addition, the Agency is considering revising the water quality
regulation. If revisions to the regulation are made with respect
to economic considerations, the applicable guidance will be
revised accordingly. However, it is likely to be at least 3
years before any revisions to the regulation are finally
promulgated and no way of anticipating whether any changes will
be made in the economic provisions.
This guidance is presented to assist States and EPA Regional
Offices, along with other interested parties, in understanding
the economic factors that be considered, and the types of
tests that can be used to determine: (1) if a designated use
cannot be attained, (2) if a variance to an individual discharger
can be granted, or (3) if degradation of high-qua.].ity water is
warranted.
The regulatory requirement that must be met is that
attaining a designated use or obtaining a variance would result
in substantial and widespread economic and social impacts. The
regulatory requirement for antidegradation is that it must be
shown that lower water quality is necessary to accommodate
important social and economic development. This guidance provides
a framework for making these determinations.
The measures and tests suggested in this guidance are
standard economic analytical tools, but the States are free to
provide other kinds of analysis to support their position.
The guidance does provide information on the kinds and types of
analysis that are appropriate and how the information can be
assembled in order to make a decision. It is not an exhaustive
description of all appropriate economic analysis. Additional
information and tests may be necessary and/or desirable in
certain circumstances.
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3
The economic impacts to be considered are those that result
from treatment beyond that required by technology-based
regulations. All economic analyses of water quality standards
should address only the cost of improving the water to meet water
quality standards or the cost of maintaining water quality in
high-quality waters.
Although EPA is responsible for approving a State’s water
quality standards, the State is responsible for interpreting the
circumstances of each case and determining where there are
substantial and widespread economic and social impacts, or where
important economic and social development would be
inappropriately precluded;•
Various drafts of this guidance were reviewed by EPA
headquarters and regional offices, States, and other
organizations. State and Regional staff should feel free to
contact the Economic and Statistical Analysis Branch in the
Office of Science and Technology for advice and assistance
regarding this guidance or related concerns. We would appreciate
receiving feedback from the users of this guidance so that it can
be improved as necessary. As with all guidance related to the
water quality standards program, this document is considered to
be part of the Water quality Standards Handbook--Second Edition .
cc: Lee Schroer , OGC
Jim Pendergast, OWM
John Meagher, OWOW
William Painter, OPPE
Regional WQS Coordinators, Regions I - X
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1N ERIM ECONOMIC GUIDANCE
FOR WATER QUAL1 Y STANDARDS
WORKBOOK
Economics and Statistical Analysis Branch
Office of Science and Technology
Office of Water
U.S. Environmental Protection Agency
March 1995
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ECONOMIC GUIDANCE FOR WAru QUALITY STANDARDS WORKBOOK
TABLE OF CONTENTS
1. INTRODUCTION 1-1
1.1 Designated Uses, Vaiiances, and Antidegradation 1-3
1.2 Pollution Sources 1-5
1.3 Substantial Impacts 1-6
1.4 Widespread Impacts 14
1.5 Antidegradation 19
1.6 Organization of the Rest of the Workbook 1-10
2. EVALUATING SUBSTANTIAL IMPACf’S:
PUBLIC SECTOR ENTITIES 2-1
2.1 Verify Project Costs and Calculate the Annual Cost of the Pollution
ControiProject 25
2.2 Calculate Total Annn2liled Pollution Control Costs Per Household ... 2-10
2.3 Calculate and Evaluate the Municipal Preliminary Screener Value ... 2-14
2.4. Apply Secondary Test 2-15
2.5 Assess Where the Community Falls in the Substantial Impacts Mathx . 2-28
3. EVALUATING SUBSTANTIAL IMPACTS: PRIVATE-SECTOR
ENTiTIES 3-1
3.1 Verify Project Costs and Calculate the Annual Cost of the Pollution
Control Project 3-4
3.1.b Calculate the Annual Costs of the Pollution Control Project 3-5
3.2 Financial Impact Analysis 36
3.3 InterpretingtheResults 332
4. DETERMINATION OF WIDESPREAD IMPACTS 4-1
4.1 Define Relevant Geographical Area 4-2
4.2 Determine Whether Impacts axe Widespread: Public-Sector Entities.... 4-2
4.3 Determine Whether Impacts axe Widespread: Private-Sector Entities ... 4-5
4.4 Estimate Multiplier Effect 411
4.5 Economic Benefits of Clean Water 4-12
4.6 5umm of biancial Capability and Determination of Whether
Impacts are Substantial and Widespread 4-13
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5. ANTIDEGRADATION: ROLE OF ECONOMIC ANALYSIS. 5-1
5.1 Verify Project Costs and Calculate the Annual Cost of the Pollution
Control I’roject 5—5
5.2 Financial Analysis to Determine if Lower Water Quality is
uNecessaryll 5—14
5.3 Determine if Economic and Social Development would
be lmportant 5-33
5.4 Suinniary 5.35
APPENDIX A: Data Resources andRefeeneeMaterjaj A-i
APPENDIX B:TabIeofAnnualj,atjonFgt .w.. B-i
APPENDIX C: Conceptual Measures of Ecenomie Bçneflts c-i
WORASREETS A through AB
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ECONOMIC GUIDANCE FOR WATER QUALITY STANDARDS
WORKBOOK
1. INTRODUCTION
As presented in the Water Quality Standards
Regulation, economic factors are taken into consideration
at various points in the process of setting, enforcing, or
changing Water Quality Standards Thai guidance is
presented to assist States and applicants in understanding
the economic factors that may be considered, and the types
of tests that can be used to determine if a designated use
cannot be attained, if a variance can be granted, or if
degradation of high-quality water is warranted. In order to
remove a designated use or obtain a variance, the State or
discharger must demonstrate that attaining the designated
use would result in substantial and widespread economic
social impacts. Likewise, if a degradation in high-
quality water is proposed, it must be shown that lower
water quality is necessary to accommodate important social
and economic development.
This workbook provides guidance for those seeking to
document that uses meeting the fishable/swiITt1T%sble goals
of the Act are not attainable, obtain a variance based on
economic considerations, or to lower water quality in a
high-quality water. In addition, it provides guidance to
States and EPA regions responsible for reviewing requests
for variances, modifications to fishable/swim ble
designated uses, documentation that fishable/swifflmsble
uses arc not attsinable, and for approval of antidegradation
analyses. The guidance describes the types of information
and analyses that should be considered by applicants and
reviewers. The guidance, however, is not an exhaustive
description of appropriate economic impact analyses.
Additional information and tests may be necessary and/or
desirable in certain Circumstances.
The economic impacts considered aie those that result
from veamient beyond that required by technology-based
Economic Guidance for Water Quality Standards 1-1
-------
regulations. Since water quality cannot be lower than that
resulting from technology-based limits applied to direct and
indirect point source discharges, these are considered to be
the baseline. All economic impact analyses of water
quality standards should, therefore, address only the cost of
improving the water to meet flshable/swiiitTIiable uses or
the cost f maintaining water quality in high-quality waters.
Although EPA is responsible for approving a State’s
water quality standards, the State is responsible for
interpreting the circumstances of each case and determining
where there are substantial aâl widespread economic and
social impacts, or where important social and economic
development would be inappropriately precluded. Each
analysis of economic impacts must demonstrate:
• that the polluting entity, whether privately or pub-
licly owned, would face substantial finam ial
impacts due to the costs of the necessary pollution
controls (substantial impacts or would interfere with
development), and
• that the affected community will bear significant
adverse impacts if the entity is required to meet
existing or proposed water quality standards
(widespread impacts or important development).
This Workbook supplements the description contained
in the Water Quality &andards Handbook, which should be
read first as it contains many important definitions and
descriptions of the regulations. Specific attention should be
paid to Chapters 2 (Designation of Use) and 4
(AntidegradatiOn), which describe the context in which this
guidance is to be used. This Workbook is designed as a
series of worksheets and accompanying guidance to be used
when actually calculating the impacts of pollution control.
The intent of this workbook is to point States and
dischargers in the right direction. It does not give
definitive answers as to whether or not an entity has
demonstrated substantial, widespread, or important
Economic Guidance for Water Quality &andaid& 1-2
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economic and social impacts. If a State or discharger has
difficulty with any part of the analysis presented in this
workbook, they should consider seeking the assistance of
a financial expert. In addition, State and regional EPA
water quality staff should feel free to contact EPA
headquarters’ Economic and Statistical Analysis Branch in
the Office of Water for advice and assistance.
The remaining sections of Chapter 1 provide an
overview of the analysis aix! describe various factors aix!
concepts that generally apply to ana1yzin the economic
impacts of compliance with waler quality standards. The
following four chapters provide detailed guidance.
Throughout this Workbook, the term ‘fin ial
impacts” refers to impacts on the entity or party that will
pay for the pollution control, whereas the term
‘socioeconomic impacts’ refers to changes in the social
and/or economic conditions of the affected community.
For public-sector entities, such as a publicly owned
treatment works (POTW), substantial impacts include
financial impacts on the community, taking into
consideration current socioeconomic conditions.
Widespread, on the other hand , refers to changes in the
community’s socioeconomic conditions. By contrast, for
private-sector entities, substantial impacts refer to finai ial
impacts and widespread impacts refer to socioeconomic
impacts on the surrounding community. In addition, the
term “applicant’ refers to whomever will actually complete
the economic impact analysis, whether it be the State, an
individual discharger, a consultant, or some other org2niza-
tion.
1.1 Designated Uses, Variances, and Antidegradatlon
Pursuant to the Water Quality Standards Regulation (40
CFR 131), States must define statewide water quality goals
by: 1) designating water uses and 2) adopting water
quality criteria that protect the designated uses. When
designating uses, States must consider the use and value of
the waterbody for public water supplies, protection and
Economic Guidance for Water Quality Standards 1-3
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propagation of fish, shellfish and wildlife, recreation in and
on the water, agricultural, industrial, and other purposes
including navigation. The designated use may or may not
coincide with the existing use, but it cannot reflect lower
water quality than the existing use. As described in the
Water Qu 1ityS andardr Handbook, if the designated use
of a water body is also an existing use, the designated use
cannot be downgraded to one that requires less stringent
water quality criteria. If, however, the designated use is
not an existing use the States may, under certain
circumstanceS, remove the designated u , create new
subcategories of the use, or grant a water quality standard.
Before a designated use is removed a State or a
discharger must conduct and submit a use tt in bility
analysis to EPA. Briefly, a use att insbi1ity analysis is an
assessment of the physical, chemical, biological and, if
necessary, economic factors affecting the 2tt inm nt of a
use. If the analysis shows that, based on any one of these
factors, conditions exist which mal the use unsuitable or
impossible to achieve, then the State may remove the
designated use.
In many cases, a designated but una1t2i use for a
stream segment need not be removed. Instead, individu2l
discbargers may be granted variances from the water
quality standards for a limited lime with the expectation
that they will be able to comply with water quality
standards by the time their variance expires or that an
adjustment in the applicable standards is warranted. A
variance is preferablç to a removal of a designat’d use
since other dischargers, who are capable of meeting the
standards, must comply with the standards through their
permits. In cases where a discharger can meet water
quality based permit limits for some parameters, a variance
would not be granted for those parameters. The variance
procedure is designed to lead to the attainment of the water
quality goals of the Clean Water Act within a reasonable
timeframe.
States are also required to adopt an antidegradalion
policy to protect existing uses, high-quality waters, and
Economic Guidance for Water Quality Standards 1-4
-------
water quality in waters that are considered to be
outstanding national resources. The antidegradation policy
allows States to lower water quality in higbcr quality
waters (that are not ONRWs) only if it is necessary to
accommodate important economic or social development.
The use of the term “important” communicates a general
sense of the level of economic and social development.
Under no circumstances, may water quality fall below that
required to protect existing or designated uses.
For each of the circumstances descril d above, the
Water Quality Standards Regu lation allows the applicant to
take economic considerations into account. When applying
for a change in a designated use or for a variance, the
applicant must demonstrate that meeting the
fishable/swimmable goals of the Act will cause substantial
and widespread economic and social impacts. The antide-
gradation provision requires that the applicant demonstrate
that important economic or social development would be
prevented unless lower water quality is allowed. In all
three cases, the same general tests of impacts are used.
1.2 PollutIon Sources
The choice of methods used to evaluate the economic
impacts of meeting water quality standards depend, in part,
on whether pollution control is the responsibility of a
privately or a publicly owned entity. Since the polluting
entity or party may not be the one to pay for reductions,
the analyses focus on the party that pays for pollution
control. Some of the more common privately owned
entities include, but are not limited to: manufacturing
facilities, agricultural operations, shopping centers and
other commercial development, residential developments,
and recreational developments. Publicly owned entities
include: publicly owned sewage treatment works, roads,
and other municipal infrastnacture.
Economic Guidance for Woier Quality Standards 1-S
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determines not only who will pay for the necessai y
pollution control, but also the types of funding mechanisms
available. For example, in the case of a privately-owned
entity, the facility can raise the money through loans and
equity funds but may try to pass some or all of the cost on
to the consumer in the form of higher prices. In the case
of a publicly-owned entity, the community can float bonds
topay forthe capital costs, with the costofthebonds and
operating expenses covered by user fees and/or tax
revenues. The different impact measures are addressed in
two separate chapters. Chapter Two provides guidance on
public-sector entities and Chaptes Three pm tdes guidance
on private-sector entities.
Whether publicly or privately owned, polluting entities
can be point (direct discharge) or nonpoint (runoff and
erosion) sources of pollution. Attainment of water quality
standards is not limited to controls placed on point sources.
Water quality standards are applicable to nonpoint sources
of pollution despite the fact that there may be no direct
implementation mechanisms for nonpoint sources.
Although pollution control approaches used by nonpoint
sources may differ substantially from approaches typically
employed by point sources, analysis of the ensuing
economic impacts still depends upon whether the entity
providing the pollution control is privately or publicly
owned.
1.3 Substantial Impacts
A financial analysis of the discharger should be
conducted to determine if the capital and the operating and
maintenance costs of pollution control will have a
substantial impact. This analysis is typically performed by
the discharger and reviewed by the Stale, although there
may be cases where the State or some other group
completes the analysis on behaV of the discharger. The
first step is to estimate the capital and the operation and
maintenance costs of the necessary pollution control (see
Figure 1-1). The second step is to determine bow the
entity will finance the necessary reductions, If the entity
is publicly-owned (e.g. a municipal sewage treatment
&onomic Guidance for Water Quality Standartir 1-6
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Determining
Figure 1-1:
Steps in the Economic Impact Analysis
Whether Impacts Wifi Be Substantial and Widespread
Determine whether entity or group of entities is
publicly - or pnvacely - owned
Economic Guidance for Water Quality Standards
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plant), the households in the community will bear the cost
either through an increase in user fees, an increase in taxes
or a combination of both. The burden to households
resulting from total annual pollution control costs must be
estimated. In addition, the financial impact analysis must
consider the community’s ability to obtain financing and the
general economic health of the community.
If the entity is privatelyowned (e.g. a manufacturing
facility), the analysis should consider factors such as the
entity’s ability to secure financing and the dejiec to which
it will be able to pass the cost of pollution control on to its
customers in the form of higher prices. The financial
impact analysis of private-sector entities employs a vasiety
of financial ratios and tests. Soi e of these ratios and tests
include benchm2rk values to help in the analy is.
Demonstration of substantial financial impacts is not
sufficient reason to modify a use or grant a variance from
water quality standards. Rather, the applicant must also
demonstrate that compliance would create widespread
socioeconomic impacts on the affected community.
1.4 Widespread Impacts
States and dischargers will need to consider the
possibility that financial impacts could cause far reaching
and serious impacts to the community. An important factor
in deteimining the magnitude of these impacts is defining
the geographical area affected. The affected area might be
a town, city, region, county or some combination of these
geographical units.
Equally impoitant are the types of impacts that might
occur. There are no economic ratios or tests per se to
evaluate socioeconomic impacts. Instead, the relative
magnitude of a group of indicators should be taken into ac-
count. For public-sector entities, the applicant will need to
estimate the change in socioeconomic conditions that would
occur as a result of compliance. Of particular importance
are changes in factors such as median household income,
unemployment, and overall net debt as a percent of full
Economic Gulkmce for Woier Quality &andards 1-8
-------
market value of taxable property. For private-sector
entities, the assessment of widespread impacts should
consider many of the same socioeconomic conditions. The
analysis should also consider the effect of decreased tax
revenues if the private-sector entity were to go out of
business, income losses to the community if workers lose
their jobs, and indirect effects on other businesses.
In some instances, several entities potentially may suffer
substantial impacts. For example, this situation can arise
where several facilities are discharging to a stream segment
that is being considered for a.change in designated use.
While a separate financial analysis should be performed for
each facility, the impacts on all the facilities should be
considered jointly in the analysis of widespread impacts.
1.5 Antidegradation
As with removing a use or granting a variance, eco-
nomic impacts axe considered as pail of an antidegradation
review. While the terminology is different, the tests axe
basically the same. In the first case (discussed in Chapters
2, 3, and 4), a finding of substantial and widespread
economic impacts can be the basis for granting a variance
or changing a designated use. In the case of
antidegradation, the analysis must show that mainthining
high-quality watersu will preclude important economic and
social development. As such, the two cases can be thought
of as two sides of the same coin. Variances and
downgrades refer to situations where additional treatment
to meet standards may result in declining economic and
social conditions, while antidegradation refers to situations
where lowering water quality may result in improved social
and economic conditions.
When performing an antidegradation analysis, the first
question is whether the costs of the pollution controls
needed to maintain the high-quality water will interfere
with the development. If not, then lower water quality is
flQI necessary” for the development to take place. If, on
the other hand , the costs will interfere with the
development and lower water quality un swyu for the
Economic Guidance/or Water Quality Standardr 1-9
-------
development to take place, then the analysis must show that
the development would be an important economic and
social development. These two steps rely on the same test
as the determination of substantial and widespread
economic and social impacts.
1.6 Orpnlzation of the Rest of the Workbook
The remainder of this Workbook addresses the
measurement of economic impacts. In Chapter 2, guidance
is presented to assist applicants in evaluating financial
impacts on public-sector entities. Chapt 3 presents
guidance on evaluating financial impacts on private-sector
entities. Chapter 4 provides a discussion of how to assess
whether impacts are widespread as well as substantial. This
discussion includes both public-sector and private-sector
entities. Chapter 5 applies the concepts developed in
Chapters 2,3, and 4 to antidegradation.
Worksheets axe included in each chapter that will assist
the reader in calculating potential impacts. Chapters 2 and
3 include worksheets for. 1) estimation of annu’Ii’ed costs
of pollution control, and 2) evaluation of the financial
burden of pollution control. Chapter 4 includes worksheets
that can be used in the evaluation of whether the impacts
on the entity(ies) will result in widespread economic and
social impacts. Chapter 5 includes worksheets for
determining if impoitant social and economic development
might be lost.
In addition to presenting step by step guidance on how
to estimate impacts, several of the worksheets provide
benchmark comparisons that allow an assewnent of the
magnitude and relative importance of potential impacts.
These worksheets, however, should not be used in
isolation. Discussion of key sources of information,
important entity and community attributes, and
interpretation of results arc found only in the accompanying
text. Applicants, and State Water Quality staff charged
with reviewing the application, should be sure to read all
text accompanying the worksheets. While Chapter 2
addresses public-sector trea ent requirements, if a
Economic Guidance for Woier Quality Standards 1-10
-------
substantial portion of the costs of a public facility is borne
by a private entity (such as a manufacturing facility that
pays substantial user charge fees to a POTW), both
chapters 2 and 3 should be referred to.
In all cases, the determination of economic and social
impacts must be made on a case by case basis. This
determination, therefore, requires the application of good
judgement as well as use of the guidance provided in this
workbook. Additional information and tests may be
required in order to measure the size and extent of the
impacts. Applicants should be.aware tharihey will be
required to supply documentation to substantiate their claim
of substantial and widespread economic and social impacts.
In addition to background data, however, this documen-
teflon should include a brief written description of why the
applicant believes economic and social impacts will occur.
Economic Guidance/or Water Quality Standards 1-11
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2. EVALUATING SUBSTAN’llAL IMPACTS:
PUBLIC SECTOR ENTITIES
Public entities seeking relief from meeting water quality
standard requirements must demonstrate that the cost of
required water pollution control will result in substantial
impacts and that there will be “widespread” adverse social
and economic impacts if they axe required to meet these
standards. For the purposes of this workbook, a public
entity refers to any governmental unit that must comply
with pollution control requirements in order to meet water
quality standards. The most common example is a
municipality or sewage authority operating a publicly
owned treatment works (POTW) that must be upgraded or
expanded. Municipalities, however, may also be required
to control other point sources or nonpoint sources of
pollution within their jurisdiction. The procedures outlined
in this chapter apply to all types of publicly financed
projects that may be required to meet water quality
standards. Throughout this chapter, the term
“State/discharger” refers to whoever will actually conduct
the financial and socioeconomic impact analysis for the
public entity, whether it be the State, the municipality, a
consultant or some other organization.
The remainder of this chapter details methodologies and
sources of information for determining the financial
viability of publicly financed projects. Several worksheets
are presented that will assist in demonstrating substantial
impacts. States/dischargers are referred to Chapter 4 for
guidance on demonstrating widespread impacts. Readers
should keep in mind that the guidance in this chapter is not
meant to be exhaustive. The State and/or EPA may require
additional information or tests in order to evaluate whether
substantial and widespread impacts will occur. In addition,
the State/discharger should feel free to include any
additional information they think is relevant.
As mentioned in Chapter 1, the evaluation of substantial
impacts resulting from public entity compliance with water
quality standards includes two elements, 1) financial
Economic Guidance for Woier Quoiuy Standards
-------
impacts to the public entity and 2) current socioeconomic
conditions of the community. Governments have the
authority to levy taxes and distribute pollution control costs
among households and businesses according to the tax base.
Similarly, sewage authorities charge for services, and thus
can recover pollution control costs through users fees. In
both cases, a substantial impact will usually affect the
wider community. Whether or not the community faces
substantial impacts depends on both the cost of the
pollution control and the general financial and economic
health of the community.
If the public entity passes a significant portion of the
pollution control costs along to private facilities or finns,
then the review procedwes outlined in Chapter 3 of this
woitbook should also be consulted to determine the impact
on the private entities. Both public and private entities
should consult Chapter 4 for guidance on how to e m2tc
potential widepread impacts on the community.
This chapter focuses on ways to determine if the costs
of the proposed project will likely result in substantial
impacts. To m2ke this determination the Stateldischarger
will need to complete a five step analysis. As shown in
Figure 2-1 the first step in the process is to es in te the
cost of the pollution contml project and calculate the annual
cost of the proposed pollution control project. The second
step is to calculate the total annual pollution control cost
per household, which includes the cost of the project and
existing pollution control costs. In the third step, the
Municipal PreliminaTy Screener is ca1cI112t d, which
quickly identifies entities that clearly will not experience
substantial impacts due to the cost of the necessary
pollution control. If it is not clear whether there will be
substantial impacts, entities should proceed to the fourth
step, which is the calculation of the Secondary Test. In
this step public entities will need to provide financial and
socioeconomic information. For example, the ability of the
community to finance the project may depend on existing
financial conditions in the community such as debt per
capita and the community’s bond rating. The
socioeconomic health of the community prior to the
Economic Guidance for Water Quality Siandardr 2-2
-------
project’s constniction will also be an important indicator of
whether the pollution control would impose a substantial
impact on the community. The fifth and final step of
determining whether impacts are “substantial” is evaluating
where the community falls in the impacts matrix. This
matrix takes into consideration the Municipal Preliminary
Screener and the Secondary Test score. Later, in Chapter
4, estimated changes in socioeconomic health indicators
will be reviewed to evaluate the extent to which the impacts
can be considered widespread.
The remainder of this chapter is divined into five
sections that detail the essential steps of an evaluation of
substantial impacts for publicly financed projects. Figure
2-1 illustrates the steps and decision points in this process.
The five steps ale:
Verify Project Costs and Calculate the Annual
Cost of’ the Pollution Control Project - This
section discusses factors that should be considered
when selecting a pollution control project. It also
describes the type of general information about the
proposed project that should be provided. In
addition, it discusses how to annualize capital costs
of the project and calculate total annual costs of the
pollution control project.
• Calculate Total Annualized Pollution Control
Costs Per Household - This section outlines the
calculation of total annual pollution control costs
per household. The costs of the proposed project
and existing pollution control aie included.
• Calculate and Evaluate the Municipal
Prelimin2ry Screener Score - This section
explains the “screener” which identifies only those
communities that clearly will not face any
substantial impacts.
• Apply the Seonndary Test - This measurement
incorporates a chazacterization of the community’s
current financial and socioeconomic well-being.
Economic Guidance for Wwer Quality Standards 2-3
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Figure 2 -1:
Measuring Substantial Impacts
(Public Entities)
D w
mumcap.lity will iceur
ibsungial impla bed an
the cast of polluflan
seal the chaiictcflzation of
munidpslitys asrrent
financial and wck ww c
well-being
No S’ ’
—I—
hi U
Use guidance in ChIr.r 3 if
cen-.esidatäsl costs see
anticipated so be substantial
ResidentiaL thdusMal.
Commesuial, Others
Residovioh Cons
I-
liii clear that municipality
will ant face w 1
economic imp tI ?
— —
— —
Pranced to analysis of
widespread impacts in
a 4
Economic Guidance for Water Quality Standards
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• Assess where the community falls in The
Substantial Impacts Matrix - This matrix
evaluates whether or not communities are expected
to incur substantial economic impacts due to the
implementation of the pollution control costs. If the
applicant cannot demonstrate substantial impacts,
then they will be required to meet existing water
quality standards. If impacts are expected to be
substantial, then the applicant goes on to
demonstrate whether they are also expected to be
widespread.
2.1 Verify Project Costs and Calculate the Annual
Cost of the Pollution Control Project.
Before the impact analysis can be performed, the project
costs should be verified and then annual costs calculated.
2.1.a Verify Project Costs
The first step of an economic analysis of a publicly
financed project is an evaluation of the proposed project.
Public entities should consider a broad range of discharge
management options including pollution prevention, end-of-
pipe treatment, and upgrades or additions to existing
treatment. Specific types of pollution prevention activities
that should be considered are:
• Public Education;
• Change in Raw Materials;
• Substitution of Process Chemicals;
• Change in Process;
• Water Recycling and Reuse; and
• Pretreatment Requirements.
Many of these approaches are particularly relevant to
industrial indirect discharges to the public system.
Whatever the approach, the applicant must demonstrate that
the proposed project is the most appropriate means of
meeting water quality standards and must document project
cost estimates. If at least one of the treatment alternatives
Economic Guidance for Wwer Quality Standards 2-S
-------
that meets water quality standards will not have a
substantial financial impact, then the community should not
proceed with the analysis presented in the rest of this
workbook. General information regarding the proposed
pollution control project and other projects considered
should be supplied in Worksheet A.
The most cost-effective approach to meeting water
quality standards should be considered. Submissions
should include assumptions about excess capacity,
population growth, and consideration of alternative
technologies where appropriate. The most accurate
estimate of project costs may be available from the
discharger’s design engineers. If site-specific engineering
cost estimates are not av2il2hle, prelimin project cost
estimates can be derived from a comparable project in the
State or from the judgement of experienced water pollution
control engineers. (See Appendix A for sources of
engineering cost information.) Capital, operation and
maintenance (O&M), and other project costs can be
summarized using Worksheet B. For comparative
purposes, cost estimates (e.g. capital, O&M, other project
costs) for each alternative being considered should be
presented in the same units (typically annnali,ed costs,
SIyr) and for the same year. The next section explains
how to annH2lz project costs.
For illustrative purposes, the example of a local
government upgrading their existing wastewater treatment
facility in order to meet water quality standards is used
throughout this chapter. Details of this example may differ
significantly from other projects undertaken to meet water
quality objectives. Other types of public-sector water
pollution control, however, would be analyzed in a imiI r
fashion using the worksheets included in this chapter.
2.1.b Calculate the Annual Costs of the Pollution
Control Project
Since capital costs typically will be paid over several
years, annu2li7 costs aze used in the evaluation of
economic burden to the community. The capital portion of
F.cononzic Guidance for Wwer Quality Srandard.c 2-6
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Worksheet A
Pollution Control Project Summpry Information
Current Capacity of the Pollution Control System
Design Capacity of the Pollution Control System
Current Excess Capacity
Expected Excess Capacity after Completion of Project
Projected Groundbreaking Date
Projected Daze of Completion
%
%
Please describe the pollution control project being proposed below. (Attach additional page if necessary).
Please describe the other pollution control options considered, expliining wbyeach option was rejected.
(Attach additional page if necessary).
-------
Worksheet B
Calculation of Total Annualized Project Costs
A. Capita) Costs
Capital Cost of Project
Other One-Time Costs of Project (Please List, if any):
Total Capital Costs (Sum a,lumn)
Portion of Capital Costs to be Paid for with Grant Monies
Capital Costs to be Financed [ Calculate: (1) - (2) J
Type of finanring (e.g., GO. bond, revenue bond, bank loan)
Interest Rate for Financing (expressed as decimal)
Time Period of Financing (in years)
Annualization Factor — _______ • i (or see Appendix B)
(1+1)11 —
Aunu.li’ed Capital Cost [ Calculate: (3) x (4)]
B. Operatii and Maintan ice Costs
Annual Costs of Operation and Mainranance (including but not limited to: monitoring, inspection,
permitting fees, waste disposal charges, repair, adminit ation and replac inent.) (Please list below)
C. Total Annual Cost of Pollution Control Project
Total Annual Cost of Pollution Control Project [ (5) + (6) J
S
S
S
S
S
(6)
Is
$
S
.‘
S
S
.
S
(I)
S
•
(2)
S.
(3)
.•
c )
(n)
(4)
•
(5)
$
Total Annual 0 & M Costs (Sum column)
-------
project costs is typically financed over approximately 20
years, by issuing a municipal debt instrument such as a
general obligation bond or a revenue bond. Local
governments may also finance capital costs using bank
loans, state infrastructure loans (revolving, funds), or
federally subsidized loans (such as those offered by the
Farmers’ Home Administration).
It should be noted that interest tales used to annualize
cpsts are dependent on the type of debt instrument used as
well as the recipient’s credit standing. For example,
v venue bonds typically are financed at a fightly higher
interest rate because of their dependence on revenues from
services as opposed to being guaranteed by the full faith
*nd credit of the jurisdiction. Because interest rates affect
the interest payment and thus the annnali7ed capital cost of
the project, it is important that the interest rate used, on
Worksheet B reflects the debt instrument (i.e. municipal
bond, commercial bank loan, state revolving fund loan, or
other instrument) likely to be used by the municipality.
The calculation of total annualized cost of the project is
presented in Worksheet B. First, capital costs are summed
and the portion of costs to be paid for with grant monies
are deducted, as these costs will not need to be financed.
Next, the annuali tion factor is calculated using the
formula supplied on Worksheet B, or the annuali ation
factor is found in Appendix B. Annuali,!ed capital cost is
then calculated by multiplying the total capital costs to be
financed by the annualization factor.
Next, annual operating and maintenance costs are
summed, and the total is 2MM to the annualized capital
cost. These costs should include the costs of monitoring,
inspection, permitting fees, waste disposal cha ges, repair;
administration, replacement, and any other recurring costs.
All recurring costs should be stated in terms of dollars per
year. The sum of the ‘aflnnali7ed capital’ cost and total
annual operating and maintenance costs is the total annual
cost of the project. In the next section, the annualizrid
costs paid by households in the community are calculated.
&o omic Guidance for Woier Qualiry Standards 2-9
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2.2 Calculate Total Annualized Pollution Control
Costs Per Household
in order to assess the burden that total pollution control
costs are expected to have on households, an average
annualized pollution control cost per household should be
calculated for all households in the community that would
bear project costs. In order to evaluate substantial impacts,
therefore, the analysis must establish which households will
actually pay for pollution control as well as what
proportion of the costs will be borne by hcu holds. These
apportioned project costs are .then added to existing
pollution control costs paid by households.
It is important to first define the affected community.
The community’ is the governmental jurisdiction
responsible for paying compliance costs. In practice,
pollution control projects may serve several communities or
just portions of a community, In the case of a sewage
agency serving several communities, once project costs are
allocated to each community served, the economic analysis
is conducted on a community by community bask . In the
case of a community in which only a portion of the
community is served, the affected community is defined as
those who will pay the compliance costs. In such cases , it
may be difficult to obtain socioeconomic data for just part
of the community and data for the cuthe community may
be used instead. The area that is affected may not be the
same as the area that is paying, therefore it may be
appropriate to evaluate widespread impacts, described in
Chapter 4, over a community that is defined differently
than the paying community.
If project costs were estimated for some prior year,
these costs should be adjusted upward to reflect current
year prices using the average annual national Consumer
Price index (CPI) inflation rate for the period. The CN
inflation rate is available from the Bureau of Labor
St2tktics. An additional source i ,oning the CPI inflation
rate is the CPI Detailed Report, which is published monthly
by the U.S. Department of Labor, Bureau of Labor
Statistics.
Economic Guidance for Water Quality Standards 2-10
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The ratio of the current CPI to the CPI for the year of
the cost estimates indicates how much costs have increased
over the period. This ratio can be applied to the cost
estimates to “bring them up to current year costs.”
Likewise, there are engineering cost indices that can be
used for this purpose.
If project costs are not distributed simply according to
wastewater flow or tax revenues, then consideration should
be given to separately analyzing the impacts on users who
pay a disproportionate share of the costs. This situation
can arise, for example, where industrial disithargers to a
sewer system are assessed pollutant surcharges to pay for
their share of the cost of advanced treatment necessitated
by the presence of their pollutants. Remaining costs would
then be split among households according to wastewater
flow or tax revenues, whichever is appropriate. The total
amount of the pollution control project to be recouped by
surcharges should, therefore, be removed from the total
project cost before costs are allocated according to
wastewater flow or tax revenues.
In calculating the total annual cost of pollution control
per household, current costs of pollution control must. be
considered along with the projected annual costs of the
proposed pollution control project. The existing cost per
household usually can be obtained from the most recent
municipal records. For example, it can be found in the
sewer enterprise fund accounts for communities that
maintain a separate enterprise fund. It is not necessary, in
such cases , to sum all the cost components. Instead, use
the most recent operating revenues, divided by the number
of households served. In cases where the community does
not maintain a separate enterprise fund for sewers, the cost
elements can be pimmed from the consolidated statement
for the community. If the portion of proposed project costs
that households are expected to pay is b’own or is expected
to remain unchanged, then use Worksheet C to calculate
the total annual cost of pollution contsol per household. If
the portion paid by households is based on flow, then
should refer to Worksheet C: Option A as well.
Economic Guidance for Woier Qualiry SsandartLc 2-11
-------
Worksheet C
S
$
Calculation of Total Annual Pollution Control Costs
Per Household
A. Current Pollution Control Costs:
Total Annual Cost of Existing Pollution Control
Amount of Existing Costs Paid By Households
Percent of Existing Costs Paid By Households
Number of Households
Annual Cost Per Household [ Calculate: (2)/(4) 1
Do not use number of hook-ups.
B. New Pollution Control Costs
(1)
(2)
%(3)
(4)
S (5)
Are households expected to provide rcvcnu for the new pollution control project in the same proportion
that they support existing pollution control? (Check a, b or c and continue as directed.)
percent.(6a)
percent.(6b)
o a) Yes (fill in percent from (3)]
o b) No. they arc expected to pay
o C) No, they are expected to pay based on flow. (Continue on Worksheet C, Option A)
Total Annual Cost of Pollution Control Project [ Line (7), Worksheet B) $
Proportion of Costs Households Are Expected to Pay [ (6a) or (6b)]
Amount to Be Paid By Households [ Calculate: (7) a (8)]
Annual Cost per Household (Calculate: (9)1(4) 1
S
(7)
(8)
(9)
S (10)
C. Total Annual Pollution Control Cost Per Household
Total Annual Cost of Pollution Control Per Household (5) + (10) s
(ll)j
-------
Worksheet C: Option A
Calculation of Total Annual Pollution Control Costs Per Household
Based on Flow
A. Calculating Project Costs Incurred By Households Based on Flow
Expected Total Usage of Project (eg. MCD for Wastewater Treaunent) ( 1 )
Usage due to Household Use (MCD of Household Wastewater) ( 2 )
Percent of Usage due to Household Use lcalculate: (2) /(1)) %(3 )
Total Annual Cost of Pollution Control Project
Industrial Surcharges, if any
Costs to be Allocated [ Calculate: (4) - (5) 1
Amount to Be Paid By Households [ Calculate: (3) x (6)]
Annuai Project Cost per Household [ Calculate: (7)/Worksheet C, (4)]
C. Total Annual Pollution Control Cost Per Household
Annual Existing Costs Per Household [ Worksheet C, (5)]
S
(4)
S
(5)
S
(6)
S
(7)
5
(8)
S
(9)
Total Annual Cost of Pollution Control Per Household [ (8) + (9))
-------
The cost per household as a percent of median
household income is used in Section 2.3 as a screener to
quickly identify those communities that clearly will not face
substantial impacts due to pollution control. For guidance
in estimating impacts on non-household users (e.g.,
industrial, commercial), refer to Chapter 3.
2.3 Calculate and Evaluate The Municipal
Prelimin nj Screener Value
Whether or not the community is expected to incur
‘substantial” economic impacts-due to the pdtlution control
project is determined by jointly considering theresults of
two tests. The first test is a ‘screener’ to establish whether
the community can clearly pay for the project without
incurring any substantial impacts. The Municipal
PleliminMy Screener estimates the total annual pollution
control costs per household (existing costs plus those
attributable to the proposed project) as a percentage of
median household income. The screener is written as
follows:
Mumapasrreuminarv3creener
Average Total PollutE on ConirolCos:perHousehold
Median Household income
Median household income information for many
municipalities is available from the 1990 Census of
Population. If median household income is not av ilihle
for the current year, it should be estimated for the current
year by using the CPI inflation rate for the period between
the year that median household income is available and the
current year. To calculate the inflation rate over the
relevant period, use the ‘percent change from the previous
annual average’ (annual inflation rate) presented in the CPI
Detailed Report. For example, if the current year is 1993,
1990 is the most recent year that median household income
is available, and the percentage changes for the 1990,
1991, and 1992 annual averages respectively are: 5.2, 4.1
and 2.9, the adjustment factor equals:
Economic Guidance for Wwer Quality Standards
-------
Adjustment Factor = 1.052 1.041 * 1.029 = 1.13
Adjusted Median Household Income =
Median Household Income * Adjustment Factor
Depending on the results of the screener, the community
is expected to incur little, mid-range, or large economic
impacts due to the proposed project (see Workshe D).
If the total annual cost per household (existing annual cost
per household plus the incremental cost bted to the
proposed project) is less than .1.0 percent of median
household income, it is assumed that the project is not
expected to impose a substantial economic hardship on
households. The screener is therefore set at 1.0 percent of
median household income. Communities with screener
results of less than 1.0 but still fairly close to 1.0,
however, may still want to proceed to the Secondary Test.
Communities arc expected to incur mid-range impacts
when the ratio of total annual compliance costs to median
household income is between 1.0 and 2.0 percent. If the
average annual cost per household exceeds 2.0 percent of
median household income, then the project may place an
unreasonable financial burden on many of the households
within the community. In either usc, communities move
on to the Secondary affordability Test to demonstrate
substantial impacts. For example, assume that Community
XYZ has a screener of 2.3 percent. Although it appears
that the community faces large impacts, substantial impacts
have not necessarily been demonstrated and the community
must proceed to the next step and apply the Secondaiy
Test. Dischargers with screener values well below 1.0
percent are assumed to be able to pay for pollution control
without incurring any substantial economic impacts and aie
required to meet existing water quality standards. They do
not need to proceed to the Secondary Test (see Figure 2-1).
2.4. Apply Secendary Test
The Secondary Test is designed to build upon the
characterization of the financial burden identified in the
Economic Guidance for Wwer Quality Standards 2-li
-------
Worksheet D
Municipal Preliminary Screener
The Municipai Preliminary Screener indicates quickly whether a public entity will incur any
substantial economic impacts as a result of the proposed pollution control project. The formula is as
follows:
Total Annual Pollution Control Cost per Household
Median Household Income x 100
A. Calculation of The Municipal I 4 eliminary Screener
Total Annual Pollution Control Cost Per Household [ Worksheet C, (11) or $
Worksheet C, Option A (10)]
Median Household Income
Municipal Preliminary Screener (Calculate: [ (1)1(2)] x 100)
B. Evaluation of The Municipal Preliminary Screener
If the Municipal Preliminary Screener is clearly less than 1.0%, then it is assumed that the cost will not
impose an undue financial burden. In this case, it is not necessary to continue with the Secondary Test.
Otherwise, it is necessary to continue.
Benchmark Comparison:
blue Impact
Less than 1.0%
Indication of no
substantial
economic impacts
Mid-Range Impact Lai e Imp f
1.0%-2.0% Greaxerthan2 .0%
Proceed to Secondary Test
(1).
S
(2)
I
1990 Census adjusted by CPI inflation rate if necessary.
-------
Municipal Preliminary Screener. The Secondary Test
indicates the community’s ability to obtain financing and
describes the socioeconomic health of the community.
Indicators describe precompliancedebt, socioeconomic, and
financial management conditions in the community. Using
these indicators and the scoring system described below,
the impact of the cost of pollution control is esiim d .
Specifically, applicants are required to present the
following six indicators for the community:
Debt Indicators
• Bond Rating (if available) - a measure of credit
worthiness of the community;
• Overall Net Debt as a Percent of Full Market Value
of Taxable Property - a measure of debt burden on
residents within the community;
QnQ
• Unemployment Rate - a measure of the general
economic health of the community;
• Median Household Income - a measure of the
wealth of the community;
Financial M2n gement Indicators
• Property Tax Revenue as a Percent of Full Market
Value of Taxable Property - a m ure of the
funding capacity av2ilAhle to support debt based Qn
the wealth of the community; and
• Property Tax Collection Rate - a measure of how
well the local government is tlmiiiiiternd.
A more detailed description of the six mdicaton , as well
as alternative indicators for states with property tax
limitations, are presented below. Table 2-1 summarizes the
indicators and what is considered to be a strong, mid-
range, or weak rating.
&onomic Guidance for Wwer Qualiry Szandarth 2-17
-------
Debt Indicators
Bond Rating
Current ratings for the community summarize a bond
rating agency’s assessment of a community’s credit
capacity. The ratings generally reflect current financial
conditions. If security enhancements like bond insurance
have been used for the bond issue, however, the bond
rating on a particular issue may be higher than local
conditions justify. Only ratings for unin sumd bonds,
therefore, should be used.
Many small and medium sized communities have not
used debt financing for projects and, as a result, have no
bond rating. The absence of a bond rating does not
indicate strong or weak financial health. When a bond
rating is not available, this indicator should not be included
in the analysis of substantial impacts. When available, the
rating for the most recent general obligation bond should be
used. If a general obligation bond has not been issued
recently, the most recent raring for a sewer bond should be
used. Recent bond r tiiigs are included in municipal bond
reports from rating agencies (e.g., Macdy’s Bond Reco,d,
&anda,d and Pact’s Corporation).
Overall Net Debt as a Percent of Pull Market Value of
I ak 1
Overall Net Debt is debt repaid by prepeity taxes. It
excludes debt that is repaid by special user fees (e.g.
revenue debt). This indicator provides a re of debt
burden on residents within the community and measures the
ability of local government jurisdictions to issue additional
debt. It includes the debt issued directly by the local
jurisdiction and debt of overlapping entities, such as school
districts. It compares the level of debt owed by the
community with the full market value of real property used
to support that debt and serves as a measure of the
community’s wealth.
Economic Guidance for Water Quality &andwth 2-18
-------
Debt information is available from the financial
statement of each community. In most cases, recent
financial statements are on file with the State (e.g., State
Auditor’s Office). Overlapping debt may or may not be
provided in a community’s financial statements. The
property assessment data (assessment ratio) should be
readily available through the community or the State
Assessor’s Office. The boundary of the affected
community generally conforms to one or more community
boundaries. Therefore, prorating community data to reflect
specific service area boundaries is not normally necessary
for evaluating the general financial capability of the
affected community.
Socioeconomic indicators
Unemployment Rate
The unemployment late is defined as the percent of a
community’s labor force currently unemployed. If the
uüemployment raze in the service area is not available, the
encompassing county’s rate may be used as a substitute.
The Bureau of Labor Statistics (BLS) maintains current
unemployment rare figures for municipalities and counties.
National unemployment data is also needed for comparison
purposes. This information can be obtained fiui the BLS
are available by request at (202) 606-6392. A community’s
unemployment rare is considered to be below the national
average if it is more than 1 % below the national average.
Similaily, a community’s unemployment rate is considered
to be above the national average if it is more than 1 %
above the national unemployment rate. If the community’s
employment rate is equal to the national avenge
unemployment rate, plus or minus 1%, then the
community’s unemployment rate is assessed as being equal
to the national rate.
Median Household Income
Median household income (MRI) is defined as the
median of the total income dollara received per household
during a calendar year in a given area. It serves as an
&onomic Guidance for Wwer Quality Standards 2-19
-------
overall indicator of community spending capacity. Median
household income, which was also used in the screener
process, is available from the 1990 Census or through state
data centers. The state value is also needed for comparison
purposes. If a community’s median household income is
more than 10% below the state’s median household
income, then it is considered to be below the state’s
median. If a community’s median household income is
more than 10% above the state’s median, then it is
considered to be above the state med!an value. If,
however, the community’s median household income is
equal to the state median, plus or minus 10%, then the
coinniumty’s median household income is assessed as being
equal to the state’s median household income.
F nanclal Management Indicators
Property Tax Revenues as a Percent of Full Market
Value of Taxable Property
This indicator can be referred to as the pwpelty tax
burdcn since it indicates the funding capacity to support
new expenditures, based on the wealth of the community.
Some states and local jurisdictions may have estab1ish d
legal limits on the amount of property taxes that can be
levied as a percent of full market or assessed value of seal
property. Property assessment data should be re ñily
av2ilahle through the community or the State Assessor’s
Office. Property tax revenues are available in
communities’ annual financial statements.
Property Tax Revenue Collection Rate
This rate is an indicator of the efficiency of the tax
collection system and a measure of how well the local
goveniment is administered. It compares the actual amount
collected from property taxes to the amount levied.
Property taxes levied can be computed by multiplying the
assessed value of real propert , by the property tax rate,
both of which axe available from a community’s financial
statements or the State Assessor’s Oftice.
Economic Guidance for Water Quality Standardr 2-20
-------
Alternative Indicators for States with
Property Tax Limitations
Two of the indicators may not be appropriate
in states with statutory limits on property tax
collections and/or i Ies, or where data on full-
market value of taxable property are not
available.
The first of these indicators - The Overaji Net
Debt as Percent of Full MEket Value of
Taxable Property - can be replaced with:
Overall Nat Debt Per Capita
In calculating the Secondary Score, the
following istings for Overall Net Debt Per
Capita should be used:
Greater than $3,000 weak 1
$l,000-S3,000 = mid-range = 2
LessthanS l,000 iong = 3
The second of these indicators - Property Tax
Revenues as a Percent of Full-Market Value of
Taxable Property — has no appropriate
substitute in cases where property taxes are at
their limit OT where full-market value of
taxable property cannot be estimated . In such
cases, this indicator should be dropped and the
other five factors are assigned equal weights.
These six indicators are then used to form a composite
assessment of the community’s economic health and the
financial impact of the required project. Worlisheat E can
be used to record each indicator. For each of the six
indicators, the community is rated as weak, mid-range, or
strong, bas on the thresholds presented in Table 2-1.
Economic Guidance for Wwer Qualiry Swndards 2-21
-------
Worksheet E
Data Used in the Secondary Test
Please list the following values used in determining the Secondary Score. Potential sources of the data
are indicated.
Potential Source
Community Financial Statements
Town, County or State Assessor’s Office
Community Financial St nients
Town, County or State Assesor’s Office $
Community Financial Statements
Town, County or State Assessor’s Office
Standard and Poors or Moody’s
a
1990 Census of Population
Regional Data Centers
Bureau of Labor Statistics
(202) 606.6392
1990 Census of Population
1990 Census of Population
Community Financial St ments
Town, County or State Assessor’s Office —
Community Financial Statements
Town, County or State Assessor’s Office $
S
S
Value
(I)
(2)
A. Data Collection
Data
Direct Net Debt
Overlapping Debt
Market Value of Property
Bond Rating
Community Unemployment
Rate
National Unemployment
Rate
Community Median
Household Income
State Median Household
Income
Property Tax Collection
Rate
Property Tax Revenues
(3)
(4)
%(5)
%(6)
(ST)
(8)
% 9 )
(10)
-------
Worksheet E, Continued
B. Calculation of Indicators
1. Ov i1l Net Debt s a Plrupit of FUll Market Value of Taxable Prupely
Overall Net Debt (Calculate: (1) + (2)) $ (11)
Overall Net Debt as a Percent of Full Market Value of ‘taxable
Property (Calculate: [ (11)1(3)] x 100)
E
2. Propety Tax Rev ve, as a east of FUll Market Value of Taxable Propely
Property Tax Revenues a Percent of Full Market Value of Taxable [ ]
Property (Calculate: ((10)1(3)] x 100)
-------
For example, if a community’s median household income
equals $15,000 and the state’s median household incomç
equals $17,000, the community would be considered weak’
on this measure. IS, however, the community’s median
household income were $19,000, jhen the. community
would be considered strong on this measure.
Next, a Secondary Score is calculated for the comiunity
by weighting each indicator equally and assigning a value
of I to each indicator judged to be weak, a 2 to each
indicator judged to be mid-range and a 3 tO each ‘stiong
indicator. A cumulative assessment score itarrived at by
summing the individual scores and dividing by the number
of factors used. Worksheet F, provided at the end of
Section 2.4, guides the applicant throughthis calculation..
The cumulative assessment score is evaluated as follows:
• less than 1.5 is considered weak
• between 1.5 and 2.5 is considered mid-range
• greater than 2.5 is considered strong
For example, consider a Community XYZ, which has:
• a weak ratio of overall net debt to full
market valueof taxableproperty = 1,
• aweakbondrating=1,
• a mid-range unemployment rate = 2,
• a mid-range median household income =2,
• a strong property tax collection rate = 3,
and
• a strong ratio of property tax revenues to
full market value of taxable property =3.
[ (1 + 1 + 2 + 2 + 3 + 3)16] = 2
The Secondary Score for Community XYZ, equal to 2,
falls into the mid-range category.
If the applicant is not able to develop one or more of the
six indicators, they must provide an explanation as to why
the indicator is not appropriate or not available. Since the
point of the analysis is to measure the overall burden to the
Economic Guidance for Wwer Quality S:andardr 224
-------
Worksheet F
Calculating The Secondal7 Score
Please check the appropriate box in each row, end record the corresponding score in the final column. Then, Slim the SCO1 ! and Compute the average.
Rewendier , if one of the debt or socioeconomic indicators is not available, average the two financial management indicators and use this averaged value as
a single indicator with the iemiiiii g indicators.
Secondary Indicatone
j jc
Weak
Mid-Range”
Strong’”
Bond Rating
Worsk,beet 5, (4)
.
Below BBB (S&P)
Below Baa (Moody’.)
0
BBB (S&P)
Baa (Moody’.)
0
Above DBB (S&P) or
Baa (Moody’.)
0
Overall Net Debt UI t
of Full Market Value of
Taxable Property
Worksheet E,(l2)
Above 5%
0
2%-5%
0
Below 2%
0
.
Unemployment
WorktheetE,(S)&(6)
Above National Average
0
National Average
0
Below National Average
0
Median household Income
Workthee tE,(7)&(8)
Below State Median
0
State Median
0
Above State Median
0
Pru,eily Tax Revenues as a
of Full Market
ValueofTanb le l’iuparty
Worksheet 5, (13)
Above 4%
0
2%-4%
0
.
Below 2%
0
Pnly Tax Collection
Rate
WorksireetE, 9)
<94%
0
94%-9 8%
0
>98%
0
‘MId-Range lsascorèof2polnt
Strong is a score of 3 points
AVERAGE
‘
Score
Weakisascoreofl point
I
-------
community, the debt and socioeconomic indicators a e
assumed to be better measures of burden than the financial
management indicators. Consequently, if one of the debt
or socioeconomiC indicators is not available, the
State/discharger should average the two financial
management indicators and use this averaged value as a
single indicator with the remaining indicators. ‘Ibis
averaging is necessary so that undue weight is not given to
the financial management indicators.
Economic Guidance for Wwer Qualily S:andard.r
-------
Table 2 -1
Secondary Indicators
Secondary Indicators
Indicator
Weak
Mid-Range
Strong
Bond Rating
Below EBB (S&P)
Below Baa
(Moody’s)
EBB (S&P)
Baa (Moody’s)
Above EBB (S&P)
or Baa (Moody’s)
Overall Net Debt
asPercentofFull
Market Value of
Taxable Property
•.
Above5%
2%-5%
Below2%
Unemployment
More than 1 %
above National
Average
National Average
Moie than I %
below National
Average
Median Household
Income
Moie than 10%
below State Median
State Median
More than 10%
above State Median
Property Tax
Revenues as a
PercentofFull
Market Value Of
Taxable Property
Abóve4%
2%-4%
Below2%
Property Tax
CollectionRate
<94%
94%-98%
>98%
Economic Guidance for Woier Quality standards
2-27
-------
2.5 Assess Where the Community Falls in The
Substantial Impacts Matrix
The results of the two tests are considered jointly in
detennining whether the community is expected to incur
substantial impacts due to the proposed pollution control
project.
In the following matrix, the cumulative assessment score
for the community is combined with the estimated
household burden. The combination of factors establishes
whether impacts can be expected.to be substantial. In the
example of Community XYZ, their screener equaled 2.3
percent and their cumulative assessment score equaled 2.
They are, therefore, in the middle cell in the far right
column and thus have a rating of in the matrix
presented below (Table 2-2).
In the matrix, X’ indicit s that the impact is likely to
be substantial. The closer the community is to the uwer
right hand corner of the matrix, the greater the impact.
Similarly, P indicates that the impact is not likely to be
substantial. The closer to the lower left hand corner of the
matrix, the smaller the impact. Finally, the ‘ indicates
that the impact is unclear.
Economic Guidance for Wwer Qualir Standards 2-28
-------
Table 2-2
Assessment of Substantial Impacts Matrix
Less than 1.0 Percent
Between 1.0 and
2.0 Percent
Greater than
2.0 Percent
?
X
X
/
.
7
X•
For communities that fall into the ? category, if the
results of both the Secondaiy Test and the Municipal
Preliminary Screener are borderline, then the community
should move into the category closest to it. Take, for
example, a community that falls into the center box, with
a cumulative assessment score of between 1.5 and 2.5 and
a percent of median household income (M l ii) between 1.0
and 2.0. If the cumulative score was 1.6 and the percent
of Ml i i was 1.8, then the community should be considered
to fall into one of the adjacent ‘X’ categories. If results
are not borderline, other factors such as the impact on low
or fixed income households, the presence of a f2iling local
industry, and other projects the community would have to
forgo in order to comply with water quality standards
should be considered. Relevant additional information
might include information coliected from interviews with
municipal financial officers, special reports on industry
trends that may affect local employers, and specific
financial and economic indicators. The State/discharger
should provide any additional information they feel is
relevant. This additional information will be critical where
the matrix results are not conclusive.
EPA will interpret a ‘I rating to mean that the
community is not expected to incur substantial impacts as
Secondary
Score
Municipal Preliminary Screener
Less than 1.5
Between 1.5 and
2.5
Greater than 2.5
/
/
9
Economic Guidance/or Wwer Qualiry Standard,
2-29
-------
a result of the pollution control project. Communities
falling into this category not be able to justify water quality
standards providing for less protection than the
fishable/swimmable goals of the Act, and will not be able
to justify degradation of high quality waters. If the
applicant State/discharger disagrees with the results of the
Secondary Test, they may present additional information to
the Regional EPA Administrator documenting the unique
circumstances of the community. Since the impacts are not
substantial, there is no need to demonstrate widespread
impacts. EPA will interpret a UXR rating lb mean that the
community will incur substanti l impacts. Before a water
quality st2ndard is modified or changed or a high quality
water (other than an ONRW) degraded, however,
communities falling into this category must demonstrate
that impacts are also widespread. For those communities
rated ‘?“, EPA’s interpretation will rely on the additional
information presented by the State/discharger. It should be
noted that, in this case, there is no correct set of
Information. It will be up to the applicant to collect
whatever information they feel is relevant in describing the
unique Circumstances affecting their community. For
example, the matrix may suggest that the community’s
financial condition is strong. At the same time, however,
a local industry may be failing. In such a case, it is
important to determine the importance of that industry to
the local economy (as measured by its contribution to area
employment, payroll, and tax revenues) and whether the
industry itself would be affected by the project.
Communities falling into either the X• or the ‘?category
should proceed to Chapter 4 to determine whether the
impacts are also expected to be widespread.
Economic Guidance for Wwer Quality S:andard.r 2-30
-------
3. EVALUATING SUBSTANTIAL Th(PACTS:
PRIVATE-SECTOR EN’IlTIES
For facilities owned by the private sector, measuring
substantial impacts requires estimating the financial impacts
on the entities that will pay for the pollution controls. For
example, compliance with water quality standards may
require that a particular facility, perhaps a factory, install
additional wastewater treatment. After esthn2ting the cost
of the additional wastewater treatment, the next step is to
measure the ability of the factory to pay for the additional
treatment. If the analysis shows that the ahtrty will not
incur any substantial impacts due to the cost of.pollution
control (e.g., there will be no significant changes in the
factory’s level of operations nor profit), then the analysis
is completed. If, on the other hand, the analysis shows that
there will be substantial impacts on the entity, then the
resulting impacts on the surrounding community must be
considered (e.g. the impact of lost employment on the
community’s employment base, or the impact on the
overall economy of the community). Impacts to the
surrounding community, referred to as widespread impacts,
are addressed in Chapter 4.
The following sections describe the steps involved in
evaluating whether impacts will be substantial. These steps
are outlined in Figure 3-1. This.chapter expl rn how to
adapt each of the steps to a range of data sowees and
provides worksheets to assist the discharger in working
through each step. The analytic approach preserved here
can be used for a variety of private-sector entities,
including commercial, industrial, residential and
recreational land uses, and for point and nonpoint sources
of pollution. The guidance provided in this chapter,
however, is not meant to be exhaustive. The State andlor
EPA may require additional information or tests in order to
evaluate whether substantial and widespread impacts will
occur. In addition, the applicant should feel free to include
any additional information they feel is relevant. The steps
described in further detail in the zest of the chapter are:
Economic Guidance for Wow Qualii y StandanLv
-------
Figure 3 -1:
Measuring Substantial Impacts
(Private Entities)
4
I
-— - -
Detamine wbethcr pdvete
tity will lacur eubstaulal
ln s based on pn y
aid swndaly meawies of
b s a lth
No
5..hf II I
- -
S’ ’ 1 iuIrs t
- ‘C.aidNbstli.i
Capital Cost. Aaiai
O&M Cost
fr•
—
Amtual Cat of PTupoaed
Polletlon P ”i i
— ed
Piu aed to anaJ)iii of
widesptced impacta an
chapter 4
Economic Guidance for Water Quality Standards
-------
• Verify Project Costs and Calculate the Annual
Cost of the Pollution Control Project - This
section discusses factors that should be considered
when verifying that the proposed pollution control
project is the most appropriate solution to the
pollution problem. It also describes the type of
general information that should be provided about
the proposed project. In addition, it discusses how
to annuAlize capital costs of the project and
calculate total annual costs of the pollution control
project.
• }inanclal impact Analysis - This sectiondescribes
the types of financial rests that should be applied to
measure the impact on the applicant. The primary
measure is profitability. The secondary measures
include indicators of liquidity, solvency, and
leverage.
Most of this chapter is written in terms of evaluAting
whether there will be a substantial impact on a particular
discharger. This type of analysis is necessary whenever
there is a request for a variance. These same tests,
however, can be used to analyze the impact on a group of
dischargers, as might be the case in a use att2in2bility
analysis. For example, there may be several facilities that
would confront imikr uj ementj to improve their waste
waler discharges in order to meet a higher water quality
standard under consideration. The same primary and
secondary tests would be used to measure substantial
impacts in the discbargen. The difference would be,
however, when the analysis moved to measuring
widespread impacts. Here the impacts on the total group
of dischargers (or all dischargcrs in the relevant reach)
would be used to measure whether or not the impacts are
considered widespread.
&onomic Guidance for Wwer Quality Standards 3-3
-------
3.1 Verify Project Costs and Calculate The Annual
Cost of the Pollution Control Project
Before the impact analysis can be performed, the project
costs should be verified and the annual costs calculated.
3.1.a Verify Project Costs
The first step in the financial impact analysis is an
evaluation of the proposed pollution control project.
Private entities should consider a broad rad e of discharge
management options including pbllution prevention, end-of-
pipe treatment, and upgrades or additions to existing
treatment. Specific types of pollution prevention activities
to be considered include:
• Change in Raw Materials;
• Substitute Process Chemicals;
• Change in Process;
• Water Recycling and Reuse; and
• Pretreatment Reauirements.
Wbatever the approach, the discharger must demonstrate
that the proposed project is the most appropriate means of
meeting water quality standards and must document project
cost estimates. If at least one of the treatment alternatives
that allows the applicant to meet water quality standards
would not impose substantial impacts, then they are not
able to demonstrate substantial impacts and should not
proceed with the analysis presented in the remainder of this
workbook.
Since the most cost-effective approach to meeting the
fishable/swimmable goals of the Act and avoiding
degradation of high quality waters should be considered,
submissions should list their assumptions about excess
capacity, future facility expansion, and alternative
technologies. The most accurate estimate of project costs
may be available from the discharger’s design engineers.
These estimates can be compared to estimates available
from EPA.
Economic Guida, ce for Wojer Quality Standards I 3-4
-------
3.1.b Calculate the Annual Costs of the Pollution
Control Project
In order to perform the economic tests, the cost of the
pollution control needed to meet the fishable/swimmable
goals of the Act and avoid degrading high quality waters
must be calculated and converted to an annualized cost.
Initially, pollution control costs are expressed in two parts:
(I) the capital costs of purchasing and installing the
equipment and (2) the yearly operating and maintenance
(O&M) costs. Both the capital and O&! cost estimates
should be provided by the discharger requesting relief. To
assess whether the costs represent the most cost effective
ieans of meeting the water quality standards, they should
be compared to costs at comparable entities that meet the
same standards. For dischargers covered by effluent
guidelines, compliance costs have been calculated by the
Agency and are available for comparative purposes. (See
Appendix A.) Costs for nonpoint sources are less readily
available.
Instead of assuming that the total capital costs will be
paid in the first year of operation, these costs are usually
annualized. By assuming that costs are spread out over
several years, an imalization calculates the amount that will
be paid each year, including the financing costs. In order
to allow for comparisons across cases , the analysis should
assume that the applicant will borrow the capital for the
pollution control equipment and repay the loan in even
annual installments over a 10 year period. The assumption
of ten years is based on the likely life of the equipment.
The assumption of even annual installments is made for
convenience. The interest rate on the loan should be
equivalent to the rate the applicant pays when it borrows
money. If it borrows from the parent firm, the interest
charge should be equivalent to the interest charged by the
parent firm. If the parent firm would lend the entity
money without interest, then the interest payments should
be equivalent to the interest rate the applicant would pay to
borrow fromabankoronitslineofcledit. Ifitis
impossible to determii’ the appropriate interest rate, the
analysis should assume an interest rate equal to the prime
rate plus one percent.
Economic Guidance for Woier Quality Standards
-------
The financial tests discussed below compare the costs of
compliance to other costs and revenues of the applicant.
Compliance costs and other costs and revenues must,
therefore, be comparable. In other words, they should be
calculated for the sante year. If compliance costs are
estimated assuming construction several years in the future,
they should be deflated back to the year of the financial
data. This can be done by assuming that the inflation rate
over the last five years will continue into the future. See
discussion in Section 2.2, and Appendix A for references
to inflation/deflation indices. Likewise, If costs were
estimated for an earlier year, they should be inflated to
cunent year costs. The Annualized Cost of Pollution
Control can be calculated using Worksheet G.
3.2 FInancial Impact Analysis
The purpose of the financial impact analysis is to assess
the extent to which existing or planned activities and/or
employment will be reduced as a result of meeting the
water quality standards. The tests described in this
Workbook are not designed to determine the exact impact
of pollution control costs on an entity. They merely
provide indicators of whether pollution control costs would
result in a substantial impact.
Four general categories of financial tests are presented
in the following sections. As indicated below, the four
categories are divided into a primary measure of financial
impacts and three secondary measures of financial impacts:
Primary Measure
• Profit - bow much will profits decline due to
pollution control expenditures?
Secondary Measures
• Liquidity -- bow easily can an entity pay its short-
term bills?
• Solvency — bow easily can an entity pay its fixed
and long-term bills’
F.cononuc Guidance for Water Quality Standard, 34
-------
Worksheet 0
Calculation of Total Annualized Project Costs
Capital Costs to be financed (Supplied b applicant)
Interest Rate for Financing (Expressed as a decimal) 0 )
Time Period of Financing (Assume 10 years 1 )
Annualization Factor — _______ • I
(l.i)’° — I
Annualized Capital Cost (Calculate: (1) x (2)1
Annual Cost of Operation and Maintenance
(including but not limited to monitoring, inspection, permitting fees, waste
disposal charges, repair, administration and replac meln)
Total Annual Cost of Pollution Control Proj t ((3) + (4)1
years
.
(2)
S
(3)
S
(4)
• While actual payback schedules may differ across projects and companies, assume equal annual
paymei ts over a 10-year period for consistency in comparing projects.
Or see Appendix B for calculated annualization factors
For recurring costs that occur less frequently than once a year, pro rate the cost over the relevant
number of years (e.g., for pumps replaced once every three years, include one-third of the cost in
each year).
(1)
-------
• Leverage -- how much money can the entity
borrow?
Profit and solvency ratios axe calculated both with and
without the additional compliance costs (taking into
consideration the entity’s ability, if any, to increase its
prices to cover part or all of the costs). Comparing these
ratios to each other and to industry benchmarks provides a
measure of the impact on the entity.
For all of the tests, it is important to losk beyond the
individual test results and evaluate the total situation of the
entity. While each test addresses a single aspect of
financial health, the results of the four tests should be
considered jointly to obtain an overall picture of the
economic health of the applicant and the impact of the
water quality standards requirement on the applicant’s
health. The results should be compared with the ratios for
other entities in the same industry or activity. In addition,
the ratios and tests should be calculated for several years of
operations. This will allow long-term trends to be
differentiated from short-term conditions.
The structure, size, and financial health of the parent
firm should also be considered. An important factor,
which may not be reflected in the preceding measures, is
the value of an applicant’s product or operations to its
parent firm. For example, if, a facility produces an
important input used by other facilities owned by the firm,
the firm may be likely to support the facility even if it
appears to have only borderline profitability. The results
of these tests and other relevant factors, can be used to
make a judgement as to the likely actions of the applicant
(e.g. shut down entirely, close one or more product/service
lines, shift to other products/services, not proceed with an
expansion, continue operations at current levels) faced with
the pollution control investment.
Each type of rest measures a different aspect of a
discharger’s financial health. The primary measure
evaluates the extent to which an applicant’s profit rate will
change, and compares the profit level to typical profits in
&ononuc Guidance for Water Quailry Standards I 3-8
-------
that industiy. The secondary measures provide additional
information about specific impacts that the discharger
would bear if required to meet water quality standards. In
some cases, the tests might indicate that the discharger
would remain profitable (Profit) after investing in pollution
control, but would have trouble borrowing the needed
capital (Leverage). This situation would indicate a need to
work with the discharger in choosing the technology and
schedule used to meet the regulations. In other cases the
tests might show that the discharger has a short-term
problem with meeting the financial obligation imposed by
the standards, but could handle it in the long-i n (Liquidity
vs. Solvency). This is important information when
considering whether or not to grant a variance so as to
allow more time for compliance.
Since it is the discharger that will have to pay for the
wastewaler treatment, the financial tests presented in this
Workbook use data about the discharger’s operations. This
data, however, may not be r Ilily available for the
discharger itself, and if available, the discharger may
consider the information to be confidential. It is EPA
policy, however, that applications based on economic
considerations must be accompanied by data that
demonstrate the impacts.
If the infonnation is not available at the discharger
level, it can be estimatP4J from the balance sheets or income
sta’ ments of the firm that owns or controls the discharger.
Estiniat s can be m 4 in a variety of ways.. One
commonly used approach is to compare the discharger’s
sales or revenues to the firm’s sales or revenues and apply
this ratio to other financial factors. For example, if the
discharger is responsible for 20 percent of its firm’s
revenues, than it is assigned 20 percent of the firm’s
current assets and cursent liabilities. In some cases ,
particularly with manufacturing facilities, the discharger
may not sell its production directly, but may ship it to
another facility owned by the same firm. In this case, the
discharger’s share of sales should be calculated by
determining the market value of the goods produced by the
Economic Guidance for Water Quality Swndaids I 3-9
-------
discharger, using market prices for the year being
The primary and secondary measures are described
below, along with an example of specific tests to be used.
While there are several ratios that could be used for each
test, to simplify the presentation only one ratio per test is
described in detail . All four primary and secondary
measures, however, should be used in the analysis.
In most cases, interpreting the results requhes
comparisons with typical values for the industry, Among
the sources that provide comparative infonnation are:
Robert Morris Associates’ Annual Staeme’u SudIes,
Moody’s Industr ial Manual, Dun and Bradstrcet’s Dun’s
1nds rry Norms, and Standard & Poor’s Industry Suiwys.
The Annual Statemetu SmdMs, Dun’s Industry Norms , and
Standard & Poor’s Industry Sur,eys provide composite
statistics for finns grouped into various manufacturing and
service industries. The Moody’s Indusn al Manual
provides detailed financial information on individual firms
that can be used for comparison purposes. Although
benchmarks are available for most financial tests, EPA
cmph t’es that the discharger should consider these
benchmarks as indicators of financial health and not as
definitive measures.
3.2.a Primary Measure: Profitability
The Profit Test measures what will happen to the
discharger’s earnings if additional pollution control is
required. If the discharger is making a profit now but
would lose money with the pollution contz l , then the
possibility of a total shutdown or the closing of a
production line must be considered. Greatly reduced, but
still positive, profits are also of concern. Likewise in the
case of a proposed facility or proposed expansion; if
estimated profits would drop considerably with pollution
control, then the development might not take place.
Two pieces of information are nreded for the Profit
Test. The first piece is the total annual cost of the required
Economic Guidance for Water Qualsry Standards I 3-10
-------
pollution control from Worksbeet G. The second piece is
the earnings information from the entity’s income statement
(Worksheet H).
Profit Test - Earnings Before Taxes
Revenues
The Profit Test should be calculated with and without
the cost of pollution control. In the former case, the
annIi2li ed cost of pollution control (including O&M) is
subtracted from the discharger’4 earnings before taxes
(revenues minus costs excluding income taxes) for the most
recently completed fiscal year. Profits before pollution
control investments have been made should be examined to
determine whether the discharger was already in trouble
(either not profitable or profits far below industry norms)
before pollution control investments were matla . If the
discharger is already not profitable, it may not claim that
substantial impacts would occur due to compliance with
water quality standards.
The Profit Test can be calculated using Worksheets H,
and I. Earnings before taxes ( T) should be calculated
for at least the three previous fiscal years in order to
identify any trends or atypical years. Earnings with
pollution control costs should be calculated for the latest
year with complete financial information. Arguably, as
long as the applicant maint2in positive earnings, it can
afford to pay for the pollution control. Over the long rim,
however, the owner is likely to shift operations to more
profitable facilities, if possible. The workbook, th ore ,
guides the applicant through a more thorough analysis,
which compares the ET, with and without pollution
control, to total revenues to yield a profit rate and change
in the profit rate due to pollution control. (Use Worksheet
I.) These profit rates should be compared to those for
facilities in 5 imihr lines of business. As with other tests,
it may not be possible to compare the discharger’s rate
directly with the rates of aimihr facilities. In such cases
the discharger’s profit rate should be compared with that of
firms that concentrate in similar businesses, using data in
Economic Guidwice for Water Quality Standards I 3-il
-------
Worksheet H
Calculation of Earnings Before Taxes
With and Without Pollution Control Project Costs
Earnings Before Taxes •
Revenues
Cost of Goods Sold (including the cost of materials, direct labor, indirect
Labor, rent and heat)
Portion of Corporate Overhead Assigned to the Discharger (selling,
general,administrative, interest, R&D expenses, and depreciation on
common property)
Considerations: Have earnings before taxes changed over the three year period? If so, what would a
typical” year’s EDT be? Please explain below.
A. Earnings Without Pollution Control Project Costs
EBT = R-CGSCO
Where: EDT =
CGS=
Co=
R
CGS
CO
EBT [ (1)-(2)-(3))
19
Three Most Recently Completed Fiscal Yearo
S
19
$
19
$
S
S
S
S
S
S
(1)
(2)
(3)
(4)
-------
Worksheet H, Continued
B. Earnings With Pollution Control Project Costs
EWPR = EBT - ACPR
Where: EWPR = Earnings with Pollution Control Project Costs
EBT = Earnings Before Taxes44)
ACPR = Total Annual Costs of Pollution Control Project [ Worksheet C, (5)]
19
EBT(4) S (5 )
ACPR [ Worksheet C, (5)) 5
EWPR [ (5)-(6)]
The most recently completed fiscal year
Conaiderationa: Is the discharger expected to have positive earnings after paying the annual cost of
pollution control? 0 Yes 0 No
Additional Comments:
-------
Worksheet I
Calculation of Profit Rates
With and Without Pollution Control Project Costs
A. Profit Rate Without Project Costs
PRT=EBT—R
Three Most P ufly Completed Fiscal Yams
19
EBT [ Worksh etH,(4)] ___________ ___________ __________ (1)
R [ Workiheet H, (I)) _____________ ______________ (2)
PRT — Calculate: [ (1)1(2)]
(3)
a
How have profit rates eh nged over the three years?
lsthemtyeltypicalofthethreey ? DYes 0 No
(If not, you might want to use an earlier year or years for the analysis)
How do these profit razes compare with the profit rates for this line of busies?? Please discuss
below.
Where:
PRT —
EBT —
Profit Rate Before Taxes
Earnings Before Taxes
Revencus
-------
Worksheet I, Continued
B. Profit Rate With Pollution Control Costs
Where:
PRPR = EWPR ÷ R
PRPR = Profit Rate With Pollution Control Costs
EWPR = Before-Tax Earnings With Pollution Control Costs
R Reveneus
The Most Recently
Completed
Piscel Year
19_
EWPR [ Worksheet H, (7)]
R [ Worksheet H, (1)]
PRPR (Calculate: (4)1(5)]
S (4)
S (5)
E )
Considerations:
What is the percentage change in the profit rate due to pollution control costs? Calculate as follows:
(PRPR - PR)/PR x 100
How does the profit rate with pollution control compare to the profit rate of this line of business?
-------
Mooty ‘s lndustnal Manual, Dun & Bradsreet ‘s Industry
Noimc and Key Business Rados, Standard & Poor’s
Industry Surveys, or Robert Morris’s Annual Stweme?U
Studies. If the discharger’s ratio compareS favorably with
the median or upper quartile ratio for similar businesses,
the discharger is considered to be financially healthy. A
typical income statement, like those found in Moody’s
Industnal Manual, has been included in Exhibit 3-1. The
appropriate data have been underlined.
Although complicated, the analysis should consider
whether the discharger or finn would be a5lc to raise its
prices in order to cover some or all of the pollution control
costs. In such a case, revenues increase and earnings fall
by an amount less than the costs of pollution control. The
degree to which the discharger is able to raise prices is
difficult to predict, and depends on many factors.
Considerations should include the level of competition in
the industry, the likelihood of competitors’ facilities facing
similar project costs, and the willingness of consumers to
pay more for the product.
3.2.b Secondary Measures
The following secondary measures provide additional
important information about the financial health of the
discharger. All primary and secondary measures will be
included in the analysis. It is not sufficient to conclude
that the discharger will be unprofitable after pollution
control investments. In addition, the applicant should feel
free to include any additional information about the
discharger’s financial health that they feel is relevant.
Uquidity
Liquidity is a measure of how easily a discharger can
pay its short-tern’ bills. One measure of liquidity is the
Curient Ratio, which compares current assets with current
liabilities. Current assets include cash and other assets that
are or could reasonably be converted into cash during the
current year. The following items are considered to be
current assets:
Econonuc Guidance for Water Quality Standardr 3-16
-------
Exhibit 3-1
To6
b s dXYZb.gp*_t 10,
1N$ 1187,
. .a . ( àlh , 11s 1 d is ., I pu sd
10,INL1l —--
— .-,.
V. Lf I ._.._..._ wto . —.L
1 . ws —
- — •I— -
—. - - — __________
— ____ . ‘ _ -
- kby
_____ -.
V. k — — , . i . a “ - I
- —
r 0
30,191 11
j ,,,r
DELOWTI MA I$ I 1111.1
1 . -
XYZ, INC.
CONSOLIDATED
STATEMENTS OF
INCOME AND
RETAINED EARNINGS
(DEFICIT)
FOR 771E )‘LIRS ENDED SEP7EWDER 30.1988,1987,1986
1
1987
1986
.
P N
Cod of sales
$C 3SUS7
88$ 962
26.405930
3U6$
24.972.115
(i’ni profit
6,408,594
6,889,032
5,738,583
Selliog, geeseal sad _thm’ ve sap...v.
. 3.987.771
3.576.206
3124.226
Iacoe fr o opu a o
2,450.823
3,012,826
1,934,357
..--- ( )
I I
441,191
347,613
362,295
Iaia m a j eese
(10,983)
(22,513)
(46,467)
Other iave od in ome ‘
134,690
M .
98.
p.
93.
Totol other income (Am .i ).
373.760
544.172
L LJ met me
3316P116
Provilon for ioco toiss
1.130.111
1.620.012
L150.949
Nd inoo,..c
1,797,677
1,766,574
1,327,580
R ”d earmags, bsgi ag of year
1,157.52$
1,726.292
1,983,007
Stock thvidead
(2,610,888)
(1,952,645)
(1,363,590)
Cath vidssd (8.11 per thus, 198$; S /A p.
these, 1987; 8.06 per there, 1986)
(891,988)
(800,693)
(218,798)
Co’u-”n dock accused sad ,iiit.4
p.501 1
82.O00
P ’— ’d s.rànp ( ‘ ‘), sad of year
$ 0.234
S 1.157.525
5 1.726.292
Welgbe”d avuage nu er of thu. oe a ng
3.637.798
Earning. per oo —- these
8.50
1.49
- 1.36
5..
INDEPENDENT
AUDITORS’
REPORT
-------
• Inventories -- futished products products in the
process of being manufactured, i w materials,
supplies, fuels, etc.;
• Prepaid expenses -- expenses paid in advance of
use such as prepaid rent;
• Short-term inveetmentS — savings accounts,
certificates of deposit;
• A unts receivable;
• Marketable securities; and
•C&sh.
Likewise, current liabilities are items that must be paid
within the current year. The following items are
considered to be current liabilities:
• Accounts payable — purvliases of goods for resale
and services received in the normal course of
business;
• Wages payable;
• Short-term notes payable - any debt initially
incurred and due in the cuu It year;
• Accrued expenses - expenses that have been
incurred but have not yet bear paid at the end of
the accounting period;
• Taxes; and
• Current portion of any long-term debt.
A more sthngent test is the Quick Ratio, also brown as the
Acid Test, which compares current assets without
inventories to current liabilities. It does not include
inventories since they may take time to convert to cash and
Economic Guidrrnce for Woier Qualiry Srandardr 3-18
-------
may be valued on the discharger’s books for more than
they could be sold.
The Current Ratio should be calculated for each of the
last three full fiscal years for which there are data.
Companng ratios for three years will identify any trends
that axe developing and will ensure that the most recent
year is not an unusual year that might distort the results of
the analysis.
The Current Ratio is calculated by diyiding current
assets by current liabilities.
Currera Ratio Cwwu Assets
Cwwu Liabilities
The Current Ratio can be calculated using Worksheet 1.
The general nile is that if the Current Ratio is greater than
2, the entity should be able to cover its short-term
obligations. Frequently, lenders require this level of
liquidity as a prerequisite for lending. While a Current
Ratio of greater than 2 indicates that the entity can
probably cover its short-term obligations, the impact of a
major capital investment such as the pollution control
project must be judged in conjunction with the other three
financial tests described in this guidance.
In addition, this nile (Current Ratio> 2) may not be
appropriate for all types of private entities covered by
Water Quality Standards. The Current Ratio of the
discharger in question should be compared with ratios for
other dischargers in the same line of business. It may not
be possible, however, to compare the discharger’s ratio
directly with other $inhihT discbargers because this
information frequently is unavailable at the facility level or
is considered confidential. In cases where a direct
comparison cannot be made , the discharger’s Current Ratio
should be compared with the ratio for firms that
concentrate in imi1 r businesses. If the discharger’s ratio
compares favorably with the median or upper quartile ratio
for similar businesses, it should be able to cover it’s short
Economic Guidance for Water Quality &anda,th 3-19
-------
Worksheet J
Calculation of The Current Ratio
CR = CA + CL
Where: CR = Current Ratio
CA = Current Assets (the sum of inventories, prepaid expenses, and accounts
receivable)
CL = Current Liabilities (the sum of accounts payable, accrued expenses, taxes, and
the current portion of long-term debt)
Three Most Reomily Completed Fiscal Years
19_ 19_ 19_
CA $ $ $ (1)
CL $ $ $ (2)
CR [ Calculate: (1)1(2)] 1 I I
Considerations:
Is the most recent yeartypicalofthethreeyears? DYes 0 No
(If not, you might want to use an earlier year or years for the analysis)
Is the Current Ratio (3) greater than 2.0? ‘0 Yes 0 No
How does the Current Ratio (3) compare with the Current Ratios for other firms in this line of business?
-------
term obligations. Among the sources that provide
comparison information axe: Robert Morris Associates’
Annual Statemera Studies, Moody ‘s Industrial Manual, and
Dun and Bradstreet’s Dun ‘s indusny Norms. The Annual
Swieme’u Studies and Dun ‘s indusny Norms provide
composite statistics for finns grouped by different
manufacturing and service industries. The Moody’s
Industrial Manual provides detailed financial information
on individual firms. Pages from both of these sources axe
displayed in Exhibits 3-2 and 3-3, with the appropriate data
indicated.
Solvency
Solvency is a measure of an entity’s ability to meet its
fixed and long-term obligations. These obligations are bills
and debts that are owed on a regular basis for periods
longer than one year. Solvency tests are commonly used
to predict financial problems that could lead to b nk uptcy
within the next few years. Since any single year of data
can easily be distorted by unusually high or low net income
or by the timing of debt, solvency tests must be considered
over at least three years of data in order to reveal long-
term trends.
As with liquidity, there axe several possible tests for
solvency. One commonly used solvency test (called Times
Interest Earned) compares income before interest and taxes
to interest expenses. Mother solvency test, the Beaver’s
Ratio, compares cash flow to total debt. This test has been
shown to be a good indicator of the likelihood of
banknxptcy.
Beaw.r”s Ratio Cash Flow
Total Debt
The Beaver’s Ratio can be calculated using Worksheet
K. C h Flow is a measure of the cash the entity has
available to it in a given year. Since depreciation is an
accounting cost — a cost that does not use any currently
Economic Guükznce for Water Quality Standards I 3-21
-------
Exhibit 3-2
Pi. _ tI _ .iai* S..i .flus
Typ. sf 6311511.00
c.II.
t_ I,’•
0e
4
I 3 7 10
3 I 3
2 I 2
17 1s 1 1 14 1)0 53 1
0.1 l. !rl $ .
S S
I,
MAt4UFACT • GAMU. TOY$ & CMI3 d$ VBICLU; C ’T DOt.LI & UCYCtEI. S OS
_____ Cim’SO Dii. 6usd bY 6u.s
CsnpSOvs H.gI4..s Dii.
IS
21
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20
4 1S1
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3?3 I I I I
AU
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24
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IS
4 )1112
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— — A 0V00
5 22
U 110l1113.3131 1 1$)
S.1
17
— -
71 IS 72
370 306 31 5
311 304 313
21 IS 17
001 721 711
171 117
42 37 31
I I 07 41
1000 1000 1000
—— JI_u ..
44417$
C4$AIIi#.11
f41sI u usViiI
A300Ci i’SO
T,SCIIW i
F 11 I
I . NI ’1. (
7.1 1
-— — ——
S S 5 5
74 133 15
241 330 3 10
474 310 35.3
S 3.2 37
71.1 751 727
I II 144 17.2
I I 2.3 14
23 4.4 47
1000 1000 1000
154 125 140
34 2.3 30
117 131 141
7 . S
I I SO Ill
403 3*0 433
132 134 122
1.2 5 4
2.3 6.3 3.1
424 42.5 40 5
1000 1000 100Q
u,a 00
P1,00 .S1.l.T11 ) 1i
Cui 4Jf4O
T. i is
b.51ST1.•
AS0* 1 .C rU
T. IICI .’ S O
i T.” ’
D . , iIT
SIOS1. Clt!U
sWs0l
h . 11U11110.lN11Wu”
13.4 2.3 III
. 41 30 7
141 120 U.S
6 1 7
II 0.6 11.4
US 21.2 417
III 54 1 . 3
I .6 .1
33 21 1.7
434 44.6 44.3
1000 1000 100.0
1000 1000 1000
316 372 350
211 21.3 303
55 7.3 IS
3.3 1.1 1.2
3 7 5.1 43
: :— DATA
S I.
s WI%
0.u.usL .a
*.0e(..— —— l
11iIl
1000 100.0 100.0
365 33.1 31.4
25.4 253 71.0
1.7 5 .3 7.2
I I .4 1.5
4.4 5.3
5 S
.
LI 3.5 3 . 6
s .7 ia
1 3 1.3
t
4.1 1.1
&$ ‘1.6 Il
6 1 13 1.2.
1.7 2.0 1$
14 17 14
5 1.1 .5
— .1 .7 .1
Ii 100 11 III 34 10.3
IS SI 4 5 74 U SI
Ii 43 3 * 4.3 31 43
. 1 5 10
.1 .5 .7
25.2 31 11.1 N 0.6
Sufl J
14
27 10.0 00 0.6 73 I I
75 47 4.1 p. 17
45 41 I I 54
Ii IS 55 I I 33 5.5
36 00 4.3 3.5
g 5 21 lIZ 2.4 14$ ii
CI s11w3*rV
75
1 2$ 75 47 U 43
00 2.2 145 . I I I I 3.1
11 303 13.6
3 ’ 170 21 177 15 201
IS 134 27 133 10 13.3
10 7.3 47 75 SI SO
C51 .IS1L.. IL -
10 3*1
37 13.3 3* 144 71 0.4
40 01 3* 11.0 31 II
30 3.3
31 34 3.3
7 5 52 1.3
171 10.1 13J
2.6
4.4 5.5 1.1
140 11.1 16.0
53 14.6
71 101 50
15.4 24 II I ) 34 511 35
10 15 IS
U 1Th51
1$
II I) 1.5 1141 4.5 II 4.3
5 1.3 2 .5
I 5 134) 13.3 24) 13.1
33 26 3.3 2.3
I 1.5 L2
500 P Ii . 6u.. 0 . ..
M,i31. D . 1 . 1 .&ITS
.1 .1 3
2 .2 1
• 4 I
S S 10
i l
.4 .3 .4
1.2 .7 10
.7 .1 7
5 J 10
20 I I 1.5 031 0i
30 33 II
1.1 II 1.7
3.0 1.1 2.0
42.3 37.3
34 1 121 215
.41 IS 2 1511 2$ I (70) 225
- II 70 45
% 51131 S ss T . .sIf.
N
513
5.2 1151 27.4 II 37$
—25 32 17.2
311 5. 5 14.2
117 201 170 % SiII5.111UT lT5l
I I lOS 75
-‘ 1.5 1.1
2.3 5.4 5.3
—. I.. 1.3
427 hA
201 s4.3 315
55 II I 171 5 5. 00 MUSO
SI 73 74
04.4
315 ,S.I 11.2
II 7.3 7.2
2.6 2.1
21 21 35
5 30 20
33 1.1 1.6
SI&TiiI 00
3.0 II IS
1.7 1.1 1.4
.5 IA
I I .5 7 .4
35 21 III ) 1 7 1511 II % Os’. Os. ftisi. III) .5 23 2.S
— 25 33 15 15 2.1 33
5 24 27 %00 1 1.0.UuS S.
12 4.3 23) 41 130) 41 OsSOG3* 5S 1.
II 75
557500 1100700 1117700 1I4$5625
1537111.1 lS 17M 1 0 I 100 SIs I I I
10S 11 11115100 T. , s’. IS)
3 273000
10400 117171’ 727100 500700 5740000
U • 1 100 .W MU — S
s I Srs Il II 3w Si SI34 S W
m..si M IPS & __ . __ 1003
-------
•XYZ, V4C.
CONSOLIDATED
BALANCE
SHEETS
SEP7 MBER 30. j )S8AiVD 1987
ASSETS
Exhibit 3-3
LIAZILITIES AND
SHAREHOLDERS’
EQUITY
Currant Lleb es:
Curress posoco of loaj4ssm debt
Acceu s payable- uede
Accroed moome ze.
Acceved psyiell and ee 1ayes bmr
C— —
Other ssom
—
1988
1987
Current Auds:
Cub and cub equivalents
$ 2,944,964
S 1.459,475
Cub invesuneots
2,244,061
3,369,289
Trade receivables - less aUowu ice for doubdul
acccu : 1988, 585,352; 1987, 5135,353
5,025,964
4,171,421
Inventories
4,l09 ,264
3,335,251
prepaid 02p1e.S$ and other
‘1 1 ..icont sssa
725.964
15, .287
122.370
58 , 457 , 806
Property, Plant and Equipesent:
Land
356,217
296,217
BHI I6IIgI and Inçruv.r—’-’-
5,476,155
4,837,392
and equipeseet
2,160,671
1,546,476
Tran oe Oon eçi nt
.1.166.006
1,706,107
O ce furesnire and equipessat
463.750
483.769
Total
10,322,798
8,868,961
Less accu ”’ 1 dsprecia oa
4. .S10
4.207.598
- net
•
5,617,218
4,661,363
Other A
I . r.i gihlc ass - less .cv””d aesou on:
1988, $197,437; 1987, $239,281
226,721
252,884
Icoarance tsunt
1,122,796
1,066,964
Other
89.217
77.778
Total other asa
1,138.111
1.397,626
Total
818.516.795
$ 17,902
5,049,234
681,30
1
198.477
S 32,405
2,686,669
21,400
678,752
1,199,263
178.736
4.797325
-s
-
Losa-aerm debt
55,706
71,608
rnoom taxes
249,900
242,200
Sbareboldera’ Equby:
Cueie.”ii ntock - authoñzed 4,000,000 thares of 5.05
par value, lw ”: 1986. 3,592,673; 1987,
3,268,337
179, 14
163,417
Adth ooa1 paid-in capital
14,671,815
12,084,817
Rctain d ssrmngs (dobcit)
(50.234 1
1.157.528
Total sharabolders’ equity
14.101,285
13,405,762
Total
822.106.246
818.516.795
5 M _ ,.4 Ness to F—’ - ‘---- -
-------
available revenues -- it is added back to reported net
income after taxes to get cash flow - Total debt is equal to
the current debt for the current year plus the long term
debt, since current debt includes that part of long-term debt
that is due in the current year.
lithe Beaver’s Ratio is greater than 0.20 the discharger
is considered to be solvent (i.e., can pay its long-term
debts). If the ratio is less than 0.15 the discharger may be
insolvent (i.e., go banicrupt). If the ratio is between 0.15
and 0.20, then future solvency is uncertain. The
discharger’s Beaver’s Ratio should be comiTa ed with the
ratios of similar dischargers. However, as with other
ratios, it may not be possible to compare the discharger’s
ratio directly with other similar dischargers. In cases
where a direct comparison cannot be made , the
discharger’s Beaver’s Ratio should be compared with that
of firms that concentrate in similar businesses, using
information from income accounts and balance sheets in
Moody’s Industrial Manual. If the discharger’s ratio
compares favorably with similar businesses, it should be
able to meet its fixed and long term obligations. A typical
balance sheet and income statement have been included in
Exhibits 3-4 (for calculating total debt) and 3-5 (for
calculating cash flow). The appropriate data from them has
been underlined.
Leverage
Leverage tests measure the extent to which a firm
already has fixed financial obligations and thus indicate
how much more money a firm is capable of borrowing.
Finns that rely heavily on debt may find it difficult and
expensive to borrow additional funds. Most leverage tests
compare equity to some measure of debt or fixed assets .
The Debt to Equity Ratio is the most commonly used
method of measuring leverage. Unlike the ratios discussed
above, the debt to equity ratio cannot be easily calculated
for a single facility; it must be calculated for the fiim,
since it is usually the firm, not the facility, that borrows
money. The ratio measures how much the firm has
borrowed (debt) relative to the amount of capital which is
Economic Guidance for Wwer Qualiry Standards I 3-24
-------
Worksheet K
Calculation of Beaver’s Ratio
BR = CF TD
Where: BR = Beaver’s Ratio
CF Cash Flow
TD — Total Debt
Three Most P c nfly Completed FIscal Years
19_ 19_ 19_
Cosh Row:
NetlncomeAfterTaxes $ $ $ (1)
Depreciation $ $ $ (2)
CF [ Calculaze:(1)+(2)] $ $ $ (3)
Total Debt:
CurrentDebt $ $ $ (4)
Long-Term Debt $ $ $ (5)
TotalDebt $ $ $ (6)
Beaver’s Ratio:
BR [ (3)1(6)) ___________ E] d’)
Considerations:
Is the most recent year typical of the three years? 0 Yes 0 No
(If not, you might want to use an earlier year or years for the analysis)
Is the Beaver’s Ratio for this discharger greater than 0.2? 0 Yes 0 No
Is the Beaver’s Ratio for this discharger less than 0.15? 0 Yes 0 No
Is the Beaver’s Ratio for this discharger between 0.2 and 0.15? 0 Yes 0 No
How does this ratio compare with the Beaver’s Ratio for other firms in the , -‘ business?
-------
xyzI DIC.
CONSOLIDATED
BALANCE
SHEETS
SEP7ZMBER 30. 1988 AND 1987
ASSETS
T I
Exhibit 3-4
In,
1917
LIAJILITIES AND
SHAREHOLDERS’
EQUITY
Ao ps - lade
Accnasd — sad — —fi’
C l — —
Other
Toad cmiv
2,686,669
21.400
678,752
1,199,263
171.736
4,797,225
Ciursat Lusts:
Cs sad ca oquiv.1
$ 2,944,964
$ 1,459,475
Cub inv ” ’
2,214,061
3,369,219
Trade iaccivsbles• less .flowaace for douWul
w ou : 1918, $85,352; 1987, $l33 53
3,025,964
4,171,421
lavessoiles
4,109,264
3,335,251
prqisid eipuw’ sad other
Toad cw, us
15,050,217
12,457,806
I’r .perly, P at sad Equipusat
isad
356,217
296,217
Buikbnp sad Inçrov
3,476,155
4,837,392
Macbiassy sad ç4me
2,169.671
1,546,476
Tr.a ortsboo iq r--
1 , 966,009
463.750
1,705,107
413.769
Othos *n sna sod .ii ” ’
Toad
10,322,706
8,868,961
Less scc””’ deprscis oo
4. .5I0
4,661,363
Pr . 1 ,uty -
5,617,211
Other A
I . N1 - k . hd ’:
1911, $197,437; 1987, *239,211
226,721
252,884
Iuaacs turn
i,iu,m
Other
Tobi other us
1,401,111
5,049,234
1,154 , 5Th
7,001,335
La . e s
s1w
1 ØS
Ddwsd tszes
219,900
242,200
Sbaraboldera’ Equky:
. aa orir.ed 4,000,000 ues of $05
per value, i i#I: 1911,3,592,673; 1917,
3,268,337
Rr ’ d sai ap (ds6 M)
Tcss1 cbarabcldsr.’ equity
.
175,634
14,671,115
60 . 2M b
14,101,215
163,417
12,084,817
1.157.528
13,405,762
Totsi
_ S1,.s16.
sss _,_ NessuP iI -
-------
Exhibit 3-5
_________ - 30,
1 5SI IW, . ct s
. . ( Is . .d I1 i f s d is ,uui pui 4
- ,‘—. -J0.l8 . T st - - ‘ Ss
i _ L _____ ___ -
— -
Wi — __ & _ 4 .l _
es..à,d. . 1 ..Aad . ,u t. vs p pufa,. __ -
— us ft. vJ
— M — —
____ ____ — ‘
: : p... .,L usi I’u by
N V N 05U1 f
Wi kbuvs
f’ J — p’u
,. NlalN.,.I$li, SF . . --- ‘ — I-’—.- -
30, 98$ 1W, of á c
I uf d .yiss p.iid .dmd ‘30, l9U
— a, —
DELO TT! IfA3 1 4S I 8ELL$
a— ia.
r- __ 3198$
xYz, INC.
CONSOLIDATED
STATEMENTS OF
INCOME AND
RETAINED EARNINGS
(DEFICII
FOR 77ff YEARS ENDED SEPIEMBER 30. 1982. 1987. 1986
im
1937
1986
N sales
$42,389,957
$33,294,962
$30,730,763
Corn of a i i m .
33J$1J63
26.405.930
24.972.185
Gioss prufit
Selling, geacral sod . abve ç .iea
6,403,594
3J!7.771
6,889,032
3876.206
5,758,583
J.124 .226
lace.. fros operabos.
2450,123
3,012,826
1,934,357
Other ui ( Om.)
441,891
347,613
362,295
Irn eipe.e
00 , 9*5)
(22,513)
(46,467)
Other iaveu mo -
134,690
M
40.
93.
Tood other w”mr ( iaboai)-
373.760
544.172
Income bcfo 8$zes
2 , 934,795
3,336,586
2,473,529
Provimea for mcome zes
I .139 11!
1.620.012
IASO.949
Nrn
1. %&S74
* , 5V,S$0
R i”.4 earngi. bsgie.ag of year
1,157,338
1,726,292
1,933,007
Stock vadead
(2,410,888)
(1,952,445)
(1,365,590)
Cath ávidead (8.11 per there, 1936; 8.08 par
there, 1987; 1.06 per there, 1986)
(391,940)
P00,693)
(218,705)
Coiumou sock acçãsd and ranted
QA91 1
(82.0O0
ft i w 4 ear g, (ds6á), .sd of year
Weig t .i average NW*Ta of thee. es a ag
$ 1.157.528
3.630.652
$ 1.726.292
3.637.798
Earmag. per oo wwu there
1.50
8.49
8.36 —
3 Ne. N —
.
.
‘b’nr—sN
AUDITORS’
REPORT
to of XYZ, .:
-------
owned by its stockholders (equity). Since values for the
Debt to Equity Ratio vary widely by the type of enterprise,
the ratio should be compared with the ratio for firms in
similar li.ies of business. The ratio also should be
calculated with at least three years of data.
The Debt to Equity Ratio is equal to Long-Term
Liabilities (long-term debt such as bonds, debentures, and
bank debt, and all other noncurrent liabilities like deferred
income taxes) divided by Owners’ Equity. Owner’s Equity
is the difference between total assets and total liabilities,
including contributed or paid in capital ‘thid retained
earnings. For publicly held firms, use Net Stockholders
Equity (which is the equivalent of Total Stockholder Equity
minus any Treasury Stock).
Dth:/F4wty Long-Term Liabilities
O ner 1 Equity
The Debt to Equity Ratio can be calculated using
Worksheet L. Since there are no generally accepted
Debt/Equity Ratio values that apply to all types of
economic activity, the ratio should be compared with the
ratio of firms in imihr businesses. If the entity’s ratio
compares favorably with the median or upper quartile ratio
for 5 imihr businesses, it should be able to borrow
additional funds. These ratios can be lcu1 ted using data
in Robert Morris Associates’ Annual Statement Studies,
Moody’s Indusr, wi Mwwal, and Dun & Bradstzeet’s Dun’s
Indusny Norms. Pages from these sources have been
included in Exhibits 3-6 and 3-7, with the appropriate data
indicated.
For entities with special sources of funding, leverage is
not an appropriate measure of their ability to raise capital.
Examples are agriculture and affordable housing, where
special loan programs may be available. In these cases , an
analysis of the probability that the project would receive
this money is appropriate.
Economic Guidance/or Water Quality Standards I 3-28
-------
Worksheet L
Considerations:
DER = DebtlEquity Ratio
LU = Long-Term Liabilities (long-term debt such as bonds, debentures, and bank
debt, and all other noncurrent liabilities such as deferred income taxes)
OE = Owner Equity (the difference between total assets and total liabilities,
including conmbuted or paid Tn capital and retained earnings)
Is the most recent year typical of the three years? 0 Yes 0 No
(If not, you might want to use an earlier year or years for the analysis)
Debt to Equity Ratio
DER=LTL+OE
Where:
LU
OE
DER ((1)1(2))
Three Most Recently Completed Fiscal Years
19_
$
19_
S
19_
$
S
IF LI
S
IF
S
(1)
(2)
(3)
How does the Debt to Equity Ratio compare with the ratio for firms in the same business?
-------
4 1140
3I3I I
a,
4 1 1 13 1
3 1 )1 1 32
411132
3111133
ALL
‘I
ExhIbit 3-6
• P.i...L _ .. _ z 6 _ oft .
?yp. .1 St .aI, ..M
C., .pN
Y wvv
3
2
1 9
IS
21
24
a
14
17
20
IS
MANU AC1 • 3AMII . TOY$ a cNILD 1 VB4I LD: DOLL! & UCV D. 1309
Counp .Vv. II1.i.iL. Dill S W SS
3
09
4 4
3 7 10 2
S 3 I
I 2 I
17$lII . 11 0 0 1 32 ) N 11011403 1 1133)
O.1 1. uii I.1
I . I I I
II
I
2
S
lO- 2 & OWN
. 32
%
71 39 73
27 0 303 310
31.3 304 31.3
31 I I 17
NI 721 731
152 176 137
4.2 37 31
II 57 41
1000 1000 1000
MOlTS
T, j aI . t I
bws uiy
A 1 0 0wC .i,sl
T.s C ,rOW
P OilI
buN l i l)
Al00 N.iIC . 4,OW
T. l&
6. 6.
74 13.3 I a
246 32.0 300
47.4 31.0 23.3
I 2.2 3.7
73.0 796 72.7
I II 144 17.2
I, 22 1.4
2 .3 40 4.7
1000 1000 100.0
154 12 1 140
34 23 30
117 131 I II
7 .9 .4
SI SO III
403 350 43.2
i 4. 314
20 5.3 30
414 41! 30 2
i I
U S
N...P.4,N0131 1 .T.uII
Cr., M .S41Ti0
yp p .,_j_
fr TP3
330 Cr.a,vu
T Ciav. i
4303 Nn .Cr. ,wi
N Wei
T Uil .w . WuiSi
130 12.3 11.0
4.1 3.3
14.9 120 1 3 .5
.5 .1 .7
. IS 100 11.0
NJ 3 1 2 417
34 4 334
2.1 1.7
414 M I 443
133 l V
100.0 100.0 100.0
$1 37.2 35.9
295 29.3 333
SO 70 8 .5
3.3 I i 1.2
17 SI 42
— ‘ 1)’— DATA
Si.
.__
01—40. Si—
0 .Si O,
100.0 100.0 100.0
36.5 33.5
NJ 29.2 NO
1.7 1.3 7 2
1.1 .4 1.5
4.4 40 1.2
25 2.3 2 . 0
1.7 1.5 1.9
— 12 13 1 .3
14 1.7 1.4
.9 1.1 .5
— .3 .7 2
3 1 lOS 31 III $1 100
13 SI 45 74 N 5.1
SI 43 00 43 IS 4.3
5*1 100
Cui i.
4.5 2.3 2.0
2.3 . 9 10
1.6 1.3 11
Siil
1.7 2.0 1.9
.4 .5 1.0
.1 .5 .7
14 26.2 11 11.9 33 5 .8
37 10.0 II 5.5 72 1.1
79 4.7 33 41 00 3.7
S2 SO U I 5.5 40 50
l O S 3.1 33 4.3 33 3.5
45 2.1 152 2.4 141 2.5
C Si..jki,.U .iy
75 4.S 43 SI 00 54
133 2.0 2 1 47 IS 4.3
00 2.2 140 2.3 115 . 3.1
3 ’ 17.0 II 177 IS 201
19 124 27 13.3 00 12.3
60 73 47 79 II 5.9
C Si.%t -.
II 35.1 13 30.2 33 12.1
17 13.3 29 IS.4 00 5.4
40 SI 29 11.0 00 6.1
3 . 0 34 30
73 52 3.3
17.5 10.5 13.1
Si. JUl. C
2.5 • 2.0 3.3
4.4 SI 5.1
14.0 11.1 110
71 10.1 9.0
24 1551 3.4155) 3.5
10 16 1.5
TL ...__I
3.5 0.3 14.8
(131 1.0 (14) • 4.3 D l ) 4.3
.5 3 2.5
50 D I I 13.3 24) 13.1
23. 20 33 2.4
10 11
Sill . _
L13ui.M .Uf13
.
.3 3 .1
.5 .4 .1
• .4 10
Si l l
• .1 .2
.4 .3 . .3
1.2 7 1.0
.3 .4 là
20 II 1.9
3.0 3 3.3
Si t 3i
.7 .5 .7
1 .5 . 1.1 1. 7
3.0 5.1
34.5 52.3 33.9
.46. 15.2 (55) 251 (701 23.9
-11 70 41
I s T11.
II U r .
512 43.0 37.5
5.2 III) 17.4 DI) 37.9
—20 3.2 17.2
11 7 20.9 17.0
1.5 100 7.5
—.4 1.3 1.1
p,sr.5 .,TuulT
21.1 15.5 14.3
3.3 3 .
—J 1.1 30
301 44.3 31.3
SO 16.5 17.1
SI 7.3 7.1
5311411
33.3 43.7 21.4
NJ 15.1 11.3
I I 7.3 7.2
21 2.6 2.3
1.5 2.0 2.0
1.3 1.1 1.0
Si.lTi. u
20 2.4 . 2.1
3.0 1. 5 s
1.7 10 1.4
1.1 .s .7
351 2.1 (51) 1., 1511 1.5
— 5 33 3
. 5 24 3.7
112 4.3 23) 41 1501 4.9
5.7 5.5 70
4 .5 14
1111 .5 3.3 30
iS 2.5 3.2
%OMul. C..
.i• C.,slSd11
1 537 10 1N 1 3 3 3 1 37N 1 5—g a
I0S23 I 1 I
Ni S3 IS)
A IS)
N 2110312 152140 I 100740 1117740 ir ’
13340 137140 737 67M 525740 5741540
S 31i,N 1003
N v S01s • S11 1u 1
Si . I i. I I 11 . — D
-------
xYz. c.
CONSOLIDATED
BALANCE
SHEETS
SEPIEMRER 30. 1988 AND 1987
ASSETS
Exhibit 3-7
Curw t UibI i ’:
Cwi pinuco of Iong .sarm d t
Acco”om payable - vade
Accmed me m saw
Accsv.d payroll and employm b ’ fi’
Co n dqoasa
Other wcroale
Tomi cerresa babihoes
S 32,403
2,686,669
21,400
678.752
1.199,263
178.736
4,797.25
I
1987
Cuirreet Aums:
S 2.944,964
S 1.459.475
Caab and caih eqwvalain
2.244,061
3 ,369.289
Cub inveauiulema
Trade receivables- eu allowance for dmatvthd
4.171,421
accouMI: 1988. 585.352: 1987. 5135.353
4,109,264
3,335.251
I,wsiecncs
psepaLd eipana and other
15,050,217
122170
12,457,806
Teul cuireso aescu .•
FroyuIy, Pliot and Equipment:
356,217
296,217
Land
5476,155
4,137.392
Buil gs and Iu,v w ’
2,160,671
1,546,476
M ” sy and squçmens
1,166,006
1,705,107
Traisipom000
463.730
413.769
0(6cc 6uromue and equipment
10,322,790
8.165.961
Tomi
4.207391
Less accum” d deprecianon
5,617,211
4.661,363
Pr . ., .uiy - net
Other MiMI:
Ii g4 amen- lam accu d aa. W :
126,721
252,854
1918, $197,437: 1987. $239,211
1,122,7%
1,066.964
Inwince nuet
77M8
Other
1,438,111
1,397,626
Total other amen
LIAIILITIES AND
SHAREHOLDERS’
EQUITY
$ 17,002
5,049,234
601,369
1,064,373
19 14fl
7,001.355
Lens-tame d t
55,1%
71,608
D f,rru4 income saw
249,900
242,200
Sbaráoldes’ Equky:
of 5.05
Coesm”n etock - authocized 4,000.000 thues
par value. tap’vk 1988, 3.392,673; 1917.
170,634
163.417
3.265.337
14,671,185
12,014.817
Adth cail paid-ui capital
(501341
1.157328
R m ’ esimegs (delIct’)
14JSI
13,606,702
TMI I abuah—’ e ’
— w F -’’ -
-------
3.3 Interpreting the Reaults
The financial analysis should be used to determine if
there will be a substantial adverse impact on the applicant.
As indicated above, the Profit Test should be considered
first. The Profit Test measures what will happen to the
discharger’s earnings if additional pollution control is
required. If the discharger is mal ing a profit now but
would lose money with the pollutiofl control, then the
possibility of a total shutdown or the closing of a
production line must be considered. Likewise in the case
of a proposed facility; if it would make mon without the
pollution control but would make much less or even lose
money with it, then the development might not take place.
In either case, there is the chance that employment will be
lost and local purchases by the discharger reduced.
Whether or not these impacts will be considered
widespread is addressed in Chapter 4.
There are several more complicated scenarios that all
involve making a judgement as to the likely impacts on the
discharger, including questions of the timing of
compliance. For example, the Profit Test may inilk f that
the applicant will continue to maintain profit levels typical
for its industry after compliance, but the Debt/Equity Ratio
may indicate that they will have trouble raising the icquired
capital through debt. This problem may be solved by
giving them more time to meet the regulations (a variance),
so that they can resinicture their debt and/or find
alternative sources of funds. In another case, the applicant
might argue that while they will still make moiiey and be
able to raise the needed capital, they would alternatively
spend those fund c on an expansion which would have
resulted in increased employment and income for the
community. This is a more difficult to analyze,
and will depend on judgments about the relative importance
of water pollution control versus economic growth. These
issues are discussed in more detail in Chapter 4.
Another possible scenario is that the discharger may
shift to an alternative economic activity (e.g., manufacture
another product or produce a different crop). While the
Economic Guidance for Water Quality Standards I 3-32
-------
applicant will not have gone out of business, this shift may
result in reduced profits, employment, and purchases in the
local community that must be considered. In each case, it
is important to take the entire picture presented by the four
ratios into account in judging whether or not the discharger
will incur subs nthl impacts due to the cost of the
necessary pollution reductions.
Using the guidance presented in this chapter, applicants
that feel they have demonstrated substantiai, impacts should
proceed to Chapter 4: DeterminatiOn of Widespread
Impacts. If dischargers are not able to demonstrate
substantial impacts, the entity must will not be able to
justify water quality standards providing for less protection
than the fishable/swimfllable goals of the Act, and will not
be able to justify degradation of high quality waters. If a
group of dischargers within the community will experience
the substantial impacts resulting from meeting the
fishable/swimmable goals of the Act and avoiding
degradation of high quality waters, these impacts should be
considered jointly when assessing whether or not the
impacts will be widespread.
Economic Guidance for Wojer Quality Standards I 3-33
-------
4. DETERMINATION OF WII)ESPREAD IMPACTS
The financial impacts of undertaking pollution controls
could potentially cause far-reaching and serious
socioeconomic impacts. If the financial tests outlined in
Chapter 2 and 3 suggest that a discharger (public or
private) or group of dischargers will have difficulty paying
for pollution controls, then an additional analysis must be
performed to demonstrate that there will be widespread
adverse impacts on the community or surrounding area.
There are no economic ratios per ic that evaluate
socioeconomic impacts. Instead , the ielative’!nagnitudes of
indicators such as increases in unemployment, losses to the
local economy, changes in household income, decreases in
tax revenues, indirect effects on other businesses, and
increases in sewer fees for rcm ining private entities should
be ? 2k.fl into account when deciding whether impacts could
be considered widespread. Since A does not have
standardized tests and benchmarks with which to m mIe
these impacts, the following guidance is provided as an
example of the types of information that should be
considered when reviewing impacts on the surrounding
conununity.
In certain circumstances, the information presented hero
may not adecpiat ly address all potential impacts. At a
minimum, however, the analysis must define the affected
community (the geographic area where project costs pass
through to the local economy), consider the bss”1in
economic health of the community, and finally evaluate
how the proposed project will affect the socioeconomic
well-being of the community. Applicants should feel free
to consider additional measures not mentioned here if they
judge them to be relevant, likewise, appli nt should not
view this guidance as a check list. In all cases ,
socioeconomic impacts should not be evaluated
incrementally, rather, their cumulative effect on the
community should be assessed. More detailed guidance on
the factors that should be considered when evalii ting the
socioeconomic impacts to communities of meeting water
quality standards is given below.
&onomic Guidance for Wwer Qualiry S:andardr
-------
4.1 Define Relevant Geographical Area
One important factor in determining the magnitude of
these impacts is defining the geographical area in which
they occur. In some cases, one community’s loss may be
another community’s gain, as in the case of a plant moving
to another community. In the case of municipal pollution
control projects, the affected community is most often the
immediate municipality. There are, however, exceptions
where the affected community includes individuals and
areas outside the immediate community. Far example, if
business activity in the region is concentrated in a nearby
community and not in the immediate community, then the
nearby community may also be affected by loss of income
in the immediate community and should be included in the
analysis. If business activity of the region is
in the immedi t community, then outlying communities
dependent upon the immediate municipality for
employment, goods, and services should also be included
in the analysis. Similarly, if a large number of workers
commute to an industrial facility that is significantly
affected by the costs, then the affected community should
include the home communities of commuters as well as the
immediate community.
The relevant geographic area for evaln tir g the
socioeconomic effects of compliance by private entities
vanes with each situation. For impacts hum actions by a
private entity, the area will typically be determined by.the
area in which the majority of its workers live and where
most of the businesses that depend on it are located . There
are no simple rules for defining the relevant area or
community; the decision is based on the judgement of the
discharger and state, subject to EPA review.
4.2 DetermIne Whether Impacts are Widespread:
Public-Sector Entitles
In demonstrating that impacts will be Iubst2ntial, the
applicant will have shown that compliance with water
quality standards would be burdensome to the communiry.
To demonstrate that impacts will also be widespread, the
..
Ecorsornic Guidance/or Wojer Quality Standanis
4-2
-------
applicant must examine the estimated change in
socioeconomic conditions that occur as a result of
compliance.
There are no explicit criteria by which to evaluate
widespread impacts. It is recommended, however, that
changes in the socioeconomic indicators listed below be
considered. For each indicator listed, the applicant should
estimate the potential change from precompliance
conditions if the community were to adopt pollution
controls.
• Median Household Income;
• Community Unemployment Rate;
• Overall Net Debt as a Percent of Full Market Value
of Taxable Property;
• Percent of Households Below Poverty Line;
• Impact on Community Development Potential; and
• Impact on Property Values.
Precompliance estimates of the first three indicators were
considered in Chapter 2 in the Secondary Test. Estini d
changes should be described qualitatively in Worksheet M.
Depending on the size and type of impacts on industrial
and commercial discharges, these estimated changes may
be relatively large or an 1l• In addition to changes in
income, unemployment, and debt, affected communities
may be faced with impaired development opportunities if
pretreatment requirements or significantly higher user fees
are imposed by the POTW. 1 municipality should
therefore assess the potential for the loss of future jobs and
personal income to the community if businesses would
chose not to locate in the affected community. The
potential for impaired development opportunities can be
judged, in part, by comparing post-compliance costs to
costs in neighboring communities. The cost of pollution
control may also have an adverse effect on property values.
Where property taxes are used to finance th project,
properly values may fall in response to higher taxes.
Simil tly, if the project will be financed through user fees,
demand for property in the community may fall, thus
decreasing the value of property in the community.
Economic Guidance for Water Quality Standards I 4-3
-------
Worksheet M
Qualitative Description of Estimated h2nge
in Socioeconomic Indicators
due to Pollution Control Costs
Estimated change
in Median
Household
Income (M I II)
EsttmAt d change
in the
unemployment
rate
Estitn d change
in overall net debt
as a percent of
full market value
of taxable
property
Estim td change
in of
households below
the poverty line
Impact on
commercial
development
potential
Impact on
Property Values
-------
The extent to which estimated changes can be
interpreted as significant, however, will depend on the
health of the community before compliance. It is therefore
not possible to identify acceptable or unacceptable
estimated changes for each indicator. For example, if
Community XYZ were determined to be in a weak
condition before compliance. As defined in Chapter 2, but
the evaluation of widespread impacts suggests that all of the
indicators listed above will remain virtually unchanged,
then widespread impacts have not been demonstreled.
Alternatively, if Community XYZ were ver healthy, the
estimat d change in the indicators listed above would have
to be very large in order for widespread impacts to occur.
In addition, there may be secondary impacts (not
captured by the primaz r and secondary tests) to the
community. Secondary impacts might include depressed
economic activity in a community resulting from loss of
purchasing power by persons losing their jobs due to
increased user fees. The next section describes secondary
impacts in greater detaiL
43 DatermIne Whsther Impacts are Widespread:
Piivate.Sector Entities
If the financial tests suggest that a private ity or
group of entities will have difficulty paying for pollution
controls, then an additional analysis must be performed to
demonstrate that there will be widespread adverse impacts
on the community or surrounding area. The current
economic condition of the affected community and the role
of the affected entities within the community should first be
considered when determining whether the affected
community will be able to absorb the impacts of reduced
business activity or closures. Through pruperty taxes and
employment, the entity(ics) may be a key contributor to the
economic base of the affected community. In this
situation, reductions in employment caused by compliance
with the water quality standards could be widespread if
workers have no other employment opportunities nearby.
Impacts may also be significant where the entity(ies) is a
Economic Guidance for Wwer Quality Swndards 4-S
-------
primary producer of a particular product or service upon
which other nearby businesses or the affected community
depend. The impacts of reduced business activities or
closure will be far greater in this case than if the products
are sold elsewhere. These two examples illustrate how the
interdependence between the affected cntity(ies) and the
affected community is a major factor in demonstrating that
the unpacts are not only substantial, but also widespread.
As important as the extent of SOCIOCC0000IC impacts is
the type of impacts that might occur. A work heet has
been provided to assist applicants in their evaluation of
socioeconomic impacts. Worksheet N is designed as a list
of the factors applicants should consider in determining
whether impacts are not only substantial but also
widespread. The worksheet is orrT 1 ed to follow the text
below. To make the most efficient use of this worksheet,
applicants should read the remainder of Section 4.3 and
then collect the data suggested in the worksheet.
Applicants should feel free, however, to use anecd l
information to describe any current community
characteristics or anticipated impacts that are not listed in
the worksheet.
Potentially, one of the most serious impacts on the
affected community’s economy is the loss of employment
caused by a reduction in business activity or closure. The
size of this impact is dependent on the number of jobs lost
relative to the total number of jobs in the community, and
to the job opportunities avail&’le in the community.
Typically, a decline in employment l& to a decline in
personal income in the affected community. The total
amount of income lost by the affected community will
depend, in part, on the future job prospects of those losing
their jobs. If employees leave the area in search of
opportunities, all of their income will be lost to the affected
community. Workers who are unable to market the full
range of their kilI to a new employer will receive lower
wages in subsequent jobs. If employees stay in the area
and find lower paying jobs or receive unemployment
benefits, the loss of income to the affected community
would be equal to the difference between existing and
&ononuc Guidance for Wwer Quality Standards I 4 .6
-------
Worksheet N
Factors to Consider In Making a Determination of Widespread Sodal and Economic Impacts
Define the affected community in this case; what areas are included.
Current unemployment rate In affected community (ii available).
Current national unemployment rate.
Additional number of persons expected to collect unemployment in affected
community due to compliance with water quality standards.
Expected unemployment rate In the affected community after compliance with
water quality standards (Current I of persons collecting unemployment
in affected community + (4)/labor force in affected community.
Median household income in affected community:
Total number of households In affected community.
Percent of population below the poverty line In affected community.
Current expenditures on social services in affected community.
Expected expenditures on social services due to Job losses In the affected
community.
Current total tax revenues In the affected community.
Tax revenues paid by the private entity to the affected community.
t
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)•
(9)
(10)
(II)
(12)
-------
Worksheet N, continued
Tax revenues paid by the private entity as a percentage of the affected (13)
community’s total tax revenues.’ ______________________________________________
Current statewide unemployment rates. ________________________________________________ (14)
Additional number of persons expected to collect unemployment in the State (15)
due to compliance with water quality standards. ______________________________________________
Expected statewide unemployment rate, after compliance with water quality (16)
standards (Current S of persons collecting unemployment in State +
(15)/labor force in State. ____________________________________________
Current expenditures on social services in State. _________________________________ (17)
Expected statewide expenditures on social servicas due to job losses. __________________________________________ (18)
• In some cases, the affected community will include more than just the municipality in which Inc private entity is located. If so, the analysis
should consider the private entity’s tax revenues as a percentage of the tax revenues for only the municipality in which the entity is located.
-------
future income; the cost of unemployment benefits is
calculated as a government expense or an expense borne
someplace else, whichever is appropriate to the situation.
To assess the net impact on employment in the affected
community, the existing raze of unemployment should be
considered as an indicator of worker mobility between jobs.
When the unemployment raze is very high in an affected
community, workers will have a difficult time finding other
jobs in that community. Where possible, comparisons
should be made between industry employment levels in the
community and the nation as a whole. xlLernployment
levels in the industry as a whole are falling, the industry
may be in decline regardless of the burden placed on them
by water quality standards regulations. If it is clear that a
private-sector entity will go cut of business regardless of
water quality standards, the impact of the pollution controls
should not be viewed as substantial. If the entity is in a
marginal position, however, the effect that meeting water
quality standards will have on the entity and the community
should be considered. Applicants should also consider
whether the lack of alternative employment opportunities
may lead to an increased need for social services in the
affected community. If the costs of increased social
services will be borne by the affected community, they
should be included in the assessment of widespread and
substantial impacts.
Socioeconomic impacts may also include effects on the
local government(s) such as loss of property tax revenues.
If the financial tests in Chapter 3 suggest that an entity or
group of entities will close, then the assessed value of
property and tax revenues will fall. If the entities are a
major source of revenue for the affected community, this
loss in tax revenue may be significant. One example might
be wazer quality standards that affect fanning practices in
an agricultural region. Compliance with these standards
might lower the profitability of many farms, even to the
point of forcing them to cease operations. To assess the
impact, the loss in property tax revenues should be
compared to total property tax revenues in the affected
community to determine the relative size of the loss. In
Economic Guidance for Waer Quality S:andanir 4-9
-------
general, a drop of 1 percent in property tax revenues would
be considered significant.
If compliance is evaluated in the context of a public
investment for which the private entity is paying a share
(e.g., a factory’s share of the cost to upgrade a municipal
treatment plant), then the analysis of widespread impacts is
more complicated. If the financial analysis shows that the
entity or group of entities cannot pay their share of the
cost, then the socioeconomic and public entity analysis
should include this additional burden onv other users.
Likewise, if the entity or group of entities are significant
users of the local utilities, then a reduction in business
activity or closure may lead to a lowered demand and
possible decreased efficiency for local utilities. For
example, a waler supply system may be designed with a
large industrial user in mind. 11 much of the demand is
eIimin t l , the system may become exccwvely expensive
for the remaining users.
Affected communities may also be faced with impaired
development opportunities if the need to comply with water
quality standards discourages other businesses froth loeitiflg
in the area. In situations where the affected facility has not
been built, additional expenditures on water pollution
controls may delay or cancel the constnjction. The
applicant should, therefore, consider not only the loss of
potential jobs and personal income to the community if the
entity is not built, but the future losses in jobs, personal
income and tax revenues from other businesses that would
choose not to locate in the affected community.
There may be some cases in which the socioeconomiC
impacts of implementing pollution controls are large
enough that they are felt at the stale level. For example’
the State may lose tax revenues from lost production and
lost income if a business closes. This will be of particular
importance if the business is a major employer in the Stale
and/or the Stale is experiencing a period of high
unemployment and fiscal distress. At the same time, the
State may encounter increased expenditures for
unemployment compensation and social services. In
Economic Guidance for Water Qualiry Standcjrdr 4-10
-------
reviewing state level impacts, the applicant should consider
the degree to which decreases in employment and personal
income in one area of the Stale are offset by increases in
employment and peisonal income in other parts of the
State. In most cases, impacts at the state level will be
relatively minor. If not, then impacts are widespread.
4.4 Estimate Multiplier Effect
The effects of increased unemployment, decreased
personal income, and reductions in local expenditures by
the entity or group of entities (public and p!ivate) will be
compounded as money moves through the local economy.
So |