United States
Environmental Protection
Agency
Office of Water (4203)
Washington, D.C. 20460
www.epa.gov/npdes
EPA833-R-01-003
December 2001
Report to Congress
Implementation and Enforcement
of the Combined Sewer Overflow
Control Policy

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                        Table  of  Contents
Executive Summary—	ES-1
Chapter 1—Introduction  	1-1

1.1 Brief History of Combined Sewers and CSOs   	1-1
1.2 Organization of the Report	1-4


Chapter 2—Regulatory and Environmental Background for the CSO Control Policy  	2-1

2.1 Description of Combined Sewer Systems and CSOs 	2-1
2.2 Environmental and Public Health Impacts of CSOs 	2-3
2.3 Initial Efforts to Control CSOs 	2-6
   2.3.1 1965 to 1989	2-6
   2.3.2 National Municipal Policy  	2-6
   2.3.3 1989 National CSO Control Strategy	2-9
   2.3.4 Office of Water Management Advisory Group (MAG)   	2-9
2.4 The CSO Control Policy 	2-11
   2.4.1 Purpose, Objectives and Key Principles of the CSO Control Policy	2-11
   2.4.2 Objectives for CSO Communities  	2-12
   2.4.3 Expectations for Permitting Authorities 	2-14
   2.4.4 Coordination with Water Quality Standards: Development, Review, and Approval 	2-14
   2.4.5 Enforcement and Compliance	2-14
2.5 Summary 	2-15


Chapter 3—Methodology for Development of the CSO Report to Congress  	3-1

3.1 Overview of Study Objectives and Approaches  	3-1
3.2 Data Sources 	3-3
   3.2.1 National Data Sources 	3-3
   3.2.2 NPDES Authorities and Other State Program Files  	3-3
   3.2.3 Community-level Data Sources	3-4
   3.2.4 External Sources	3-4
3.3 Data Collection 	3-4
   3.3.1 Assessment of EPA Efforts  	3-5
   3.3.2 Assessment of Efforts by NPDES Authorities and Other State Programs  	3-5
   3.3.3 Assessment of Community Efforts  	3-6
   3.3.4 CSO Surveys from AMSA and  the CSO Partnership	3-7
3.4 Stakeholder Involvement  	3-7
3.5 Data Considerations 	3-8
3.6 Quality Control and Quality Assurance 	3-9
3.7 Summary 	3-9

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Chapter 4—CSO Control Policy Status: EPA	4-1

4.1  General Activities to Support CSO Control Policy Implementation  	4-1
4.2  NPDES Permitting  	4-3
    4.2.1 EPA Headquarters Responsibilities and Activities	4-3
    4.2.2 EPA Regional Office Responsibilities and Activities 	4-4
4.3  Water Quality Standards 	4-4
    4.3.1 Section 303 (d) and the Total Maximum Daily Load Program	4-5
    4.3.2 Section 305 (b) and the National Water Quality Inventory Report to Congress	4-6
4.4  Compliance and Enforcement  	4-6
    4.4.1 General NPDES Compliance and Enforcement Process	4-7
    4.4.2 National Compliance and Enforcement Priorities  	4-7
    4.4.3 NPDES Compliance and Enforcement Activities  	4-7
4.5  Guidance, Training, and Compliance and Technical Assistance  	4-12
    4.5.1 Guidance	4-13
    4.5.2 Training	4-15
    4.5.3 Compliance and Technical Assistance  	4-16
    4.5.4 Wet Weather Flow Research Plan	4-17
4.6  Communication and Coordination  	4-17
    4.6.1 Outreach to State and Regional CSO Coordinators 	4-17
    4.6.2 CSO Awards Program	4-18
    4.6.3 Listening Sessions on Implementing the Water Quality-Based Provisions of the CSO Control Policy	4-18
4.7  Information Management   	4-19
    4.7.1 Clean Water Needs Survey (CWNS) 	4-19
    4.7.2 Government Performance and Results Act (GPRA) 	4-20
    4.7.3 Permit Compliance System (PCS)  	4-21
    4.7.4 Statistically Valid Non-Compliance Rate Project  	4-21
    4.7.5 Other Information Management Activities	4-22
4.8  Financial Assistance  	4-22
    4.8.1 The Clean Water SRF Program 	4-22
    4.8.2 Section 104(b) (3) Water Quality Cooperative Agreements	4-24
    4.8.3 Section 106 Water Pollution Control Program Support Grants	4-24
    4.8.4 Specific Line Items in EPA's Budget	4-25
4.9  Performance Measures   	4-26
    4.9.1 Specific Efforts to Track Benefits Resulting from CSO Control Policy Implementation	4-26
    4.9.2 Other Agency Initiatives to Document Environmental Results Related to CSO Control  	4-28
    4.9.3 Promoting the Use of Watershed Approach  	4-30
4.10 Findings  	4-30


Chapter 5—CSO Control Policy Status: NPDES Authorities and Other State Programs	5-1

5.1  Policy Development and Support  	5-4
    5.1.1 Efforts to Adhere to the 1989 National CSO Control Strategy	5-4
    5.1.2 Efforts to Adhere to the 1994 CSO  Control Policy 	5-7
5.2  NPDES Permitting  	5-12
    5.2.1 Permit Requirements for NMC 	5-13
    5.2.2 Permit Requirements for LTCP 	5-16

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5.3  Water Quality Standards  	5-20
    5.3.1 Integrating Water Quality Standards Review with LTCP Development and Implementation	5-21
    5.3.2 State Approaches for Reviewing Water Quality Standards for CSO Receiving Waters	5-21
    5.3.3 State Water Quality Assessment Reports  	5-24
5.4  Compliance and Enforcement  	5-24
    5.4.1 Policy	5-24
    5.4.2 State Inspections	5-26
5.5  Guidance, Training and Compliance and Technical Assistance 	5-29
    5.5.1 Guidance	5-29
    5.5.2 Training	5-30
    5.5.3 Compliance and Technical Assistance  	5-30
5.6  Communication and Coordination 	5-32
    5.6.1 Communication	5-32
    5.6.2 Coordination  	5-32
5.7  Financial Assistance   	5-33
5.8  Performance Measures 	5-36
5.9  Findings 	5-37


Chapter 6—CSO Control  Policy Status: Communities  	6-1
6.1  National CSO Demographics  	6-2
    6.1.1 CSO Permits and Types of Systems	6-2
    6.1.2 CSO Size	6-3
    6.1.3 Small System Considerations	6-4
    6.1.4 CSO Receiving Waters  	6-5
6.2  Implementation of CSO Controls  	6-6
    6.2.1 Assessment of Control Implementation  	6-6
    6.2.2 Documented Implementation of CSO Controls	6-7
6.3  Implementation of the NMC  	6-7
    6.3.1 NMC Implementation Status	6-8
    6.3.2 Specific CSO Control Measures Implemented for the NMC  	6-8
6.4  Implementation of the LTCP  	6-17
    6.4.1 Status of Documented Implementation of the LTCP 	6-18
    6.4.2 Selected LTCP Approach  	6-18
    6.4.3 Specific CSO Control Measures for LTCPs  	6-18
    6.4.4 Minimum Elements of an LTCP 	6-20
6.5  Financial Considerations  	6-28
    6.5.1 Funding  Options  	6-28
6.6  Obstacles and Challenges  	6-29
    6.6.1 Resources  	6-30
    6.6.2 Water Quality Standards  	6-31
    6.6.3 Uncertainty	6-32
    6.6.4 The Watershed Approach	6-34
6.7  Performance Measures and Environmental Benefits  	6-35
    6.7.1 CSO Performance Measures for CSO Communities  	6-35
    6.7.2 Loading Reduction and Environmental Benefits	6-35
    6.7.3 Data, Findings and  Examples  	6-36
6.8  Findings 	6-42

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Chapter 7—Evaluation of the CSO Control Policy   	7-1
7.1  Implementation and Enforcement of the CSO Control Policy  	7-1
    7.1.1 Implementation of the CSO Control Policy  	7-2
    7.1.2 Compliance and Enforcement	7-3
7.2  Observations Related to the Four Key Guiding Principles of the CSO Control Policy	7-4
    7.2.1 Provide Clear Levels of Control to Meet Appropriate Health and Environmental Objectives  	7-5
    7.2.2 Provide Sufficient Flexibility to Municipalities to Consider the Site-Specific Nature of CSOs  	7-7
    7.2.3 Allowing a Phased Approach to Implementation of CSO Controls  	7-10
    7.2.4 Review and Revise, as Appropriate, Water Quality Standards When Developing CSO Control Plans 	7-12
7.3  Accomplishments Attributable to Implementation and Enforcement of the CSO Control Policy  	7-14
    7.3.1 National Estimates  of CSO Volume and Pollutant Loading Reductions  	7-14
    7.3.2 Accomplishments Attributable to Implementation and Enforcement of the CSO Control Policy 	7-16
7.4  Next Steps  	7-17
                                               List of Figures
Figure 1.1—Typical Combined Sewer Overflow Structure   	1-2
Figure 2.1—National Distribution of CSO Communities  	2-3
Figure 5.1—Distribution of CSO Permits by Region and State  	5-5
Figure 5.2—Distribution of CSO Outfalls by Region and State  	5-6
Figure 5.3—Status of NMC Requirements in CSO Permits  	5-13
Figure 5.4—CSO Permits With Requirements to Implement the NMC  	5-14
Figure 5.5—Mechanism Used to Require NMC Implementation  	5-15
Figure 5.6—Status of Facility Plan Requirements in CSO Permits  	5-17
Figure 5.7—Mechanism Used to Require LTCPs  	5-17
Figure 5.8—CSO Permits With Requirements to Develop and Implement an LTCP  	5-18
Figure 5.9—SRF Loans for CSO Projects, 1988—2000  	5-34
Figure 5.10—Distribution of SRF Loans for CSO Projects by State, 1988—2000  	5-35
Figure 6.1—Geographic Distribution of CSO Permits   	6-3
Figure 6.2—Types of CSO Facilities  	6-4
Figure 6.3—POTW Facility Size Classification 	6-5
Figure 6.4—Distribution of POTW Facility Sizes	6-5
Figure 6.5—Types of Waters Receiving CSO Discharges  	6-6
Figure 6.6—Distribution of CSO Control Measures Implemented as Part of an LTCP  	6-19
Figure 6.7—Cost-Benefit Analysis Using Knee-of-the-Curve 	6-26
Figure 6.8—New York Inner Harbor Water Quality Improvements Due to Pollution Controls  	6-39
Figure 6.9-Genesee River Water Quality Improvements Due to CSO Controls  	6-41
IV

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                                                List of Tables
Table 2.1—CSO Pollutants of Concern and Principle Consequences	2-5
Table 2.2—Typical Pollutant Concentrations Found in CSOs  	2-5
Table 2.3—CSOs as a Source of Water Quality Impairment	2-5
Table 4.1—Summary of 303(d) List Impaired Waters in States With CSOs  	4-5
Table 4.2—Extent of CSOs as a Source of Impairment	4-6
Table 4.3—EPA CSO Guidance Documents  	4-13
Table 4.4—Comparison of CSO and Total Needs  	4-20
Table 4.5—SRF Loans for CSO Projects 	4-23
Table 4.6—EPA 104(b) (3) Grant Cooperative Agreements for CSO Projects  	4-24
Table 4.7—Annual Section 106 Grant Totals  	4-25
Table 4.8—Annual EPA Budget Line Items for CSO Control Projects  	4-25
Table 4.9—Environmental Measurements  from 1997 Pilot GPRA Performance Plan  	4-27
Table 5.1—Roles and Responsibilities 	5-2
Table 5.2—States With CSO Permits	5-3
Table 5.3—States With No CSO Permits   	5-4
Table 5.4—Online Information Resources  	5-31
Table 6.1—Status of NMC Implementation Documentation  	6-9
Table 6.2—10 Most Frequently Implemented NMC Activities  	6-9
Table 6.3—10 Most Frequently Implemented LTCP Controls  	6-20
Table 6.4—Sensitive Areas Affected by CSO Discharges   	6-24
Table 6.5—MWRA Critical-Use Prioritization Program Results 	6-25
Table 6.6—Bacteriological Indicators Used By States 	6-32
Table 6.7—CSO Control Performance Measures  	6-36
Table 6.8—Pollutant Removal Capability of Retention Treatment Basins on the Saginaw River  	6-37
Table 6.9—Pollutant Removal Capability of Two CSO Treatment Facilities in Columbus, GA	6-40
Table 6.10—Benefits of CSO Controls in San Francisco Harbor 	6-42
Table 7.1—Implementation Schedule Based on Financial Capability  	7-12
Table 7.2—Pollutant Reduction Estimates  Based on Implementation of CSO Control Policy 	7-15

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                                          List of Appendices
Appendix A	Statutes, Policies, and Interpretative Memoranda
Appendix B 	Profiles of State CSO Programs
Appendix C  	CSO Community Case Studies
Appendix D  	List  of Current CSO Permits
Appendix E 	Summary of CSO-Related Civil Judicial Actions Taken By EPA Prior to Issuance of the CSO Control Policy
Appendix F 	Data Base Documentation
Appendix G  	AMSA and CSO Partnership CSO Survey Summary
Appendix H  	Forms Used to Guide Data Collection Effort
Appendix I	Stakeholder Meeting Summary, July 12-13, 2001, Chicago, Illinois
Appendix J	Summary of CSO-Related Enforcement Actions Initiated by EPA After Issuance of the CSO Control Policy
Appendix K	Summary of Planned Research by EPAs Office of Research and Development
Appendix L	List of Recipients of National Combined Sewer Overflow Control Policy Excellence Awards
Appendix M  	Summary of Outcomes of 104 (b) (3) Grants
Appendix N	Summary, by State, of CSO Impacted Water Body Segments from 303 (d) Lists
Appendix 0  	Summary of State Inspection Programs
Appendix P	Summary of CSO-Related Enforcement Actions Initiated By States After Issuance of the CSO Control Policy
Appendix Q	Sample State Information Management Systems Used to Track Requirements for CSO Control
Appendix R  	Summary of Controls Implemented by  CSO Communities
Appendix S	GPRACSO Model Documentation
VI

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               List  of Acronyms
6MM—Six Minimum Measures

AMSA—Association of Metropolitan
   Sewerage Authorities

AO—Administrative Order

APWA—American Public Works
   Association

BAT—Best Available Technology
   Economically Achievable

BCT—Best Conventional Pollutant
   Control Technology

BEACH Program—Beaches
   Environmental Assessment,
   Closure and Health Program

BMP—Best Management Practice

BPJ—Best Professional Judgement

CAPD—Compliance Assistance
   Planning Database

CIP—Capital Improvement Plan

CMC—Center for Marine
   Conservation

CSO—Combined Sewer Overflow

CSS—Combined Sewer Systems

CWA—Clean Water Act

CWNS—Clean Water Needs Survey
DEM—Department of
   Environmental Management

DEP—Department of Environmental
   Protection

EBPS—Environmental Benefit Permit
   Strategy

EPA—Environmental Protection
   Agency

ERPs—Regional Enforcement
   Response Plans

FOIA—Freedom of Information Act

GPRA—Government Performance
   and Results Act

IEPA—Illinois Environmental
   Protection Agency

LGEAN—Local Government
   Environmental Assistance
   Network

LTCP—Long-Term Control Plan

MAG—Office of Water Management
   Advisory Group

mgd—Million Gallons per Day

MHI—Median Household Income

MOA—Memorandum of Agreement

MS4s—Municipal Separate Storm
   Sewer Systems
MSD—Metropolitan Sewer District

MWRA—Massachusetts Water
   Resources Authority

MWRD—Metropolitan Water
   Reclamation District

NEORSD—Northeast Ohio Regional
   Sewer District

NEPPS—National Environmental
   Performance Partnership System

NMC—Nine Minimum  Controls

NMP—National Municipal Policy

NOAA—National Oceanic and
   Atmospheric Administration

NOV—Notices of Violation

NPDES—National Pollutant
   Discharge Elimination System

NRDC—Natural Resources Defense
   Council

NYCDEP—New York City's
   Department of Environmental
   Protection

O & M—Operation and Maintenance

OECA—Office of Enforcement and
   Compliance Assurance

OGWDW—Office of Ground Water
   and Drinking Water
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
ORD—Office of Research and
    Development

OW—Office of Water

OWM—Office of Wastewater
    Management

OWOW—Office of Wetlands, Oceans
    and Watersheds

PCS—Permit Compliance System

POTW—Publicly Owned Treatment
    Works

PPA—Performance Partnership
    Agreement

RCATS—Reporting Compliance
    Assistance System

SCSs—Satellite Collection Systems

SEA—Senate Enrolled Act

SRF—State Revolving Fund

SSES—Sewer System Evaluation
    Study

SSO—Sanitary Sewer Overflow

SWAP—Source Water Assessment
    Program

TARP—Tunnel and Reservoir Plan

TMDL—Total Maximum Daily Loads

TOGS—Technical and Operational
    Guidance Series

UAA—Use Attainability Analysis

USDA—United States Department of
    Agriculture
WEE—Water Environment
    Federation

WPD—Water Permits Division

WWTP—Wastewater Treatment
    Plants
ACR-2

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                                  Glossary
    This glossary includes a collection of the terms used in this manual and an
    explanation of each term. To the extent that definitions and explanations
    provided in this glossary differ from those in EPA regulations or other official
    documents, they are intended for use in understanding this manual only.
               A
Anti-backsliding—A provision in the
    Federal Regulations [CWA
    §303 (d) (4); CWA §402 (c); CFR
    §122.44(1)] that requires a
    reissued permit to be as stringent
    as the previous permit with some
    exceptions.

Antidegradation—Policies which
    ensure protection of water quality
    for a particular water body where
    the water quality exceeds levels
    necessary to protect fish and
    wildlife propagation and
    recreation on and in the water.
    This also includes special
    protection of waters designated as
    outstanding natural resource
    waters. Antidegradation plans are
    adopted by each state to minimize
    adverse effects on water.

Authorized Program or Authorized
    State—A state, territorial, tribal,
    or interstate NPDES program
    which has been approved  or
    authorized by EPA under  40 CFR
    Part 123.
Average Number of Overflow Events
    Per Year—The total number of
    combined sewer overflow events
    that occurred during the term of
    the permit divided by the permit
    term in years.
               B
Best Available Technology
    Economically Achievable
    (BAT) —Technology-based
    standard established by the Clean
    Water Act (CWA) as the most
    appropriate means available on a
    national basis for controlling the
    direct discharge of toxic and
    nonconventional pollutants to
    navigable waters. BAT effluent
    limitations guidelines, in general,
    represent the best existing
    performance of treatment
    technologies that are
    economically achievable within
    an industrial point source
    category or subcategory.

Best Conventional Pollutant Control
    Technology (BCT)—Technology-
    based standard for the discharge
    from existing industrial point
    sources of conventional pollutants
    including BOD, TSS, fecal
    coliform, pH, oil and grease. The
    BCT is established in light of a
    two-part "cost reasonableness"
    test which compares the cost for
    an industry to reduce its pollutant
    discharge with the cost to a
    POTW for similar levels of
    reduction of a pollutant loading.
    The second test examines the
    cost-effectiveness of additional
    industrial treatment beyond BPT
    EPA must find limits which are
    reasonable under both tests before
    establishing them as BCT.

Best Management Practice (BMP) —
    Permit condition used in place of
    or in conjunction with effluent
    limitations to prevent or control
    the discharge of pollutants. May
    include schedule of activities,
    prohibition of practices,
    maintenance procedure, or other
    management practice. BMPs may
    include, but are not limited to,
    treatment requirements, operating
    procedures, or practices to control
    plant site runoff, spillage, leaks,
    sludge or waste  disposal, or
    drainage from raw material
    storage.

Best Professional Judgment (BPJ) —
    The method used by permit
    writers to develop
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
    technology-based NPDES permit
    conditions on a case-by-case basis
    using all reasonably available and
    relevant data.

BODS—Five-day biochemical oxygen
    demand; a standard measure of
    the organic content of wastewater,
    expressed in mg/1.

Biochemical Oxygen Demand
    (BOD)—A measurement of the
    amount of oxygen utilized by the
    decomposition of organic
    material, over a specified time
    period (usually 5 days) in a
    wastewater sample; it is used as a
    measurement of the readily
    decomposable organic content of
    a wastewater.

Bypass—The intentional diversion of
    wastestreams from any portion of
    a treatment (or pretreatment)
    facility.
                c
Catch Basin—A chamber usually built
    at the curbline of a street, which
    admits surface water for discharge
    into a storm drain.

Clean Water Act (CWA)—The Clean
    Water Act is an act passed by the
    U.S. Congress to control water
    pollution. It was formerly referred
    to as the Federal Water Pollution
    Control Act of 1972 or Federal
    Water Pollution Control Act
    Amendments of 1972 (Public Law
    92-500), 33 U.S.C. 1251 et. seq., as
    amended by: Public Law 96-483;
    Public Law 97-117; Public Laws
    95-217, 97-117, 97-440, and
    100-04.

Code of Federal Regulations (CFR) —
    A codification of the final rules
    published daily in the Federal
    Register. Title 40 of the CFR
    contains the environmental
    regulations.

Collector Sewer—The first element of
    a wastewater collection system
    used to collect and carry
    wastewater from one or more
    building sewers to a main sewer.
    Also called a lateral sewer.

Combined Sewage—Wastewater and
    storm drainage carried in the
    same pipe.

Combined Sewer Overflow (CSO)—A
    discharge of untreated wastewater
    from a combined sewer system at
    a point prior to the headworks of
    a publicly owned treatment
    works. CSOs generally occur
    during wet weather (rainfall or
    snowmelt). During periods of wet
    weather, these systems become
    overloaded, bypass treatment
    works, and discharge directly to
    receiving waters.

Combined Sewer System (CSS)—A
    wastewater collection system
    which conveys sanitary
    wastewaters (domestic,
    commercial and industrial
    wastewaters) and storm water
    through a single pipe to a publicly
    owned treatment works for
    treatment prior to discharge to
    surface waters.

Compliance Schedule—A schedule of
    remedial measures included in a
    permit or an enforcement order,
    including a sequence of interim
    requirements (for example,
    actions, operations, or milestone
    events) that lead to compliance
    with the CWA and regulations.

Criteria—The numeric values and the
    narrative standards that represent
    contaminant concentrations that
    are not to be exceeded in the
    receiving environmental media
    (surface water, ground water,
    sediment) to protect beneficial
    uses.
               D
Designated use—Use specified in
    WQS for each water body or
    segment whether or not it is being
    attained.

Director—The Regional
    Administrator or State Director,
    as the context requires, or an
    authorized representative. When
    there is no approved state
    program, and there is an EPA
    administered program, Director
    means the Regional
    Administrator. When there is an
    approved state program,
    "Director" normally means the
    State Director.

Discharge Monitoring Report
    (DMR)—The form used
    (including any subsequent
    additions, revisions, or
    modifications) to report
    self-monitoring results by NPDES
    permittees. DMRs must be used
    by approved states as well as by
    EPA.
GL-2

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                                                                                                         Glossary
Draft Permit—A document prepared
    under 40CFR§124.6 indicating
    the Director's tentative decision to
    issue, deny, modify, revoke and
    reissue, terminate, or reissue a
    permit. A notice of intent to
    terminate a permit, and a notice
    of intent to deny a permit
    application, as discussed in 40
    CFR §124.5, are considered draft
    permits. A denial of a request for
    modification, revocation and
    reissuance, or termination, as
    discussed in 40 CFR §124.5, is not
    a draft permit.

Dry Weather Flow Conditions—
    Hydraulic flow conditions within
    the combined sewer system
    resulting from one or more of the
    following: flows of domestic
    sewage, ground water infiltration,
    commercial and industrial
    wastewaters, and any other non-
    precipitation event related flows
    (e.g., tidal infiltration under
    certain circumstances).  Other
    non-precipitation event related
    flows that are included in dry
    weather flow conditions will be
    decided  by the permit writer
    based on site-specific conditions.

Dry Weather Flow Overflow—A
    combined sewer overflow that
    occurs during dry weather flow
    conditions.
    sources into waters of the United
    states, the waters of the
    contiguous zone, or the ocean.
                E
Effluent Limitation—Any restriction
    imposed by the Director on
    quantities, discharge rates, and
    concentrations of pollutants
    which are discharged from point
               G
General Permit—An NPDES permit
    issued under 40 CFR §122.28 that
    authorizes a category of
    discharges under the CWA within
    a geographical area. A general
    permit is not specifically tailored
    for an individual discharger.

Indirect Discharge—The
    introduction of pollutants into a
    municipal sewage treatment
    system from any nondomestic
    source (i.e., any industrial or
    commercial facility) regulated
    under Section 307 (b), (c), or (d)
    of the CWA.

Infiltration—Water other that
    wastewater that enters a
    wastewater system and building
    sewers from the ground through
    such means as defective pipes,
    pipe joints, connections, or
    manholes. (Infiltration does not
    include inflow).

Infiltration/Inflow (I/I) —The total
    quantity of water from both
    infiltration and  inflow.

Inflow—Water other than wastewater
    that enters a wastewater system
    and building sewer from sources
    such as roof leaders, cellar drains,
    yard drains, area drains,
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                          foundation drains, drains from
                                          springs and swampy areas,
                                          manhole covers, cross
                                          connections between storm drains
                                          and sanitary sewers, catch basins,
                                          cooling towers, stormwaters,
                                          surface runoff, street wash waters,
                                          or drainage. (Inflow does not
                                          include infiltration).

                                      Interceptor Sewer—A sewer without
                                          building sewer connections which
                                          is used to collect and carry flows
                                          from main and trunk sewers to a
                                          central point for treatment and
                                          discharge.
                                                      L
                                      Load Allocation (LA) —The portion
                                          of a receiving water's loading
                                          capacity that is attributed to one
                                          of its existing or future nonpoint
                                          sources of pollution, or to natural
                                          background sources.
                                                     M
                                      Major Facility—Any NPDES facility
                                          or activity classified as such by the
                                          Regional Administrator, or in the
                                          case of approved state programs,
                                          the Regional Administrator in
                                          conjunction with the State
                                          Director. Major municipal
                                          dischargers include all facilities
                                          with design flows of greater than
                                          one million gallons per day and
                                          facilities with EPA/state approved
                                          industrial pretreatment programs.
                                          Major industrial facilities are
                                          determined based on specific
    ratings criteria developed by
    EPA/state.

Million Gallons per Day (mgd)—A
    unit of flow commonly used for
    wastewater discharges. One mgd
    is equivalent to 1.547 cubic feet
    per second.

Mixing Zone—An area where an
    effluent discharge undergoes
    initial dilution and is extended to
    cover the secondary mixing in the
    ambient water body. A mixing
    zone is an allocated impact zone
    where water quality criteria can
    be exceeded as long as acutely
    toxic conditions are prevented.
               N
National Pollutant Discharge
    Elimination System (NPDES)—
    The national program for issuing,
    modifying, revoking and
    reissuing, terminating,
    monitoring and enforcing
    permits, and imposing and
    enforcing pretreatment
    requirements, under Sections 307,
    318, 402, and 405 of CWA.

National Pretreatment Standard or
    Pretreatment Standard—Any
    regulation promulgated by the
    EPA in accordance with Sections
    307 (b) and (c) of the CWA that
    applies to a specific category of
    industrial users and provides
    limitations on the introduction of
    pollutants into publicly owned
    treatment works. This term
    includes the prohibited discharge
    standards under 40 CFR §403.5,
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                                                                                                          Glossary
    including local limits [40 CFR
    §403.30)].
               0
Overflow Rate—Detention basin
    release rate divided by the surface
    area of the basin.  It can be
    thought of as an average flow rate
    through the basin. Generally
    expressed as gallons per day per
    sq. ft.  (gpd/sq.ft.).
                P
Peak Flow—The maximum flow that
    occurs over a specific length of
    time (e.g., daily, hourly,
    instantaneous).

Point Source—Any discernible,
    confined, and discrete
    conveyance, including but not
    limited to any pipe, ditch,
    channel, tunnel, conduit, well,
    discrete fixture, container, rolling
    stock, concentrated animal
    feeding operation, landfill
    leachate collection system, vessel,
    or other floating craft from which
    pollutants are or may be
    discharged.

Pollutant—Dredged spoil, solid waste,
    incinerator residue, filter
    backwash, sewage, garbage,
    sewage sludge, munitions,
    chemical wastes,  biological
    materials, radioactive materials
    (except those regulated under the
    Atomic Energy Act of 1954, as
    amended (42 U.S.C. 201 let
    seq.)), heat, wrecked or discarded
    equipment, rock, sand, cellar dirt
    and industrial, municipal, and
    agricultural waste discharged into
    water.

Precipitation Event—An occurrence
    of rain, snow, sleet, hail, or other
    form of precipitation.
    Precipitation events are generally
    characterized by parameters of
    duration and intensity (inches or
    millimeters per unit of time).
    This definition will be highly site-
    specific.  For example, a
    precipitation event could be
    defined as 0.25 inches or more of
    precipitation in the form of rain
    or 3 inches or more of
    precipitation in the form of sleet
    or snow, reported during the
    preceding 24-hour period at a
    specific gaging station. A
    precipitation event could also be
    defined by a minimum time
    interval  between measurable
    amounts of precipitation (e.g., 6
    hours between the end of rainfall
    and the beginning of the next
    rainfall).

Pretreatment—The reduction of the
    amount of pollutants, the
    elimination of pollutants, or the
    alteration of the nature of
    pollutant properties in
    wastewater prior to or in lieu of
    discharging or otherwise
    introducing such pollutants into
    a publicly owned treatment
    works [40 CFR §403.3(q)].

Primary Clarification  or Equivalent—
    The level of treatment that would
    typically be provided by one or
    more treatment technologies
    under peak wet weather flow
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                          conditions. Options for defining
                                          primary clarification include a
                                          design standard (e.g., side wall
                                          depth and maximum overflow
                                          rate), a performance standard
                                          (e.g., percent removal), or an
                                          effluent standard (e.g.,
                                          concentration of pollutants).
                                          "Equivalent to primary
                                          clarification" is site-specific and
                                          includes any single technology or
                                          combination of technologies
                                          shown by the permittee to achieve
                                          primary clarification under the
                                          presumption approach. The
                                          permittee is responsible for
                                          showing equivalency to primary
                                          treatment as part of the
                                          evaluation of CSO control
                                          alternatives during LTCP
                                          development. Primary
                                          clarification is discussed in more
                                          detail in the Combined Sewer
                                          Overflows-Guidance for Long-
                                          Term Control Plan (EPA, 1995a).

                                      Primary Treatment—The practice of
                                          removing some portion of the
                                          suspended solids and organic
                                          matter in a wastewater through
                                          sedimentation. Common usage of
                                          this term also includes
                                          preliminary treatment to remove
                                          wastewater constituents that may
                                          cause maintenance or operational
                                          problems in the system (i.e., grit
                                          removal, screening for rags and
                                          debris, oil and grease removal,
                                          etc.).

                                      Publicly Owned Treatment Works
                                          (POTW)—A treatment works, as
                                          defined by Section 212 of the
                                          CWA, that is owned by the state
                                          or municipality. This definition
                                          includes any devices and systems
    used in the storage, treatment,
    recycling, and reclamation of
    municipal sewage or industrial
    wastes of a liquid nature. It also
    includes sewers, pipes, and other
    conveyances only if they convey
    wastewater to a POTW treatment
    plant [40 CFR §403.3].
                R
Rainfall Duration—The length of
    time of a rainfall event.

Rainfall Intensity—The amount of
    rainfall occurring in a unit of
    time, usually expressed in inches
    per hour.

Regulator—A device in combined
    sewer systems for diverting wet
    weather flows which exceed
    downstream capacity  to an
    overflow.
                s
Sanitary Sewer—A pipe or conduit
    (sewer) intended to carry
    wastewater or water-borne wastes
    from homes, businesses, and
    industries to the POTW.

Sanitary Sewer Overflows (SSO) —
    Untreated or partially treated
    sewage overflows from a sanitary
    sewer collection system.

Secondary Treatment—
    Technology-based requirements
    for direct discharging municipal
    sewage treatment facilities.
    Standard is based on a
    combination of physical and
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                                                                                                        Glossary
    biological processes typical for the
    treatment of pollutants in
    municipal sewage. Standards are
    expressed as a minimum level of
    effluent quality in terms of:BOD5,
    suspended solids (SS), and pH
    (except as provided for special
    considerations and treatment
    equivalent to secondary
    treatment).

Sensitive Areas—Areas of particular
    environmental significance or
    sensitivity that could be adversely
    affected by a combined sewer
    overflow, including Outstanding
    National  Resource Waters,
    National  Marine Sanctuaries,
    water with threatened or
    endangered species, waters with
    primary contact recreation, public
    drinking  water intakes, shellfish
    beds, and other areas identified by
    the permittee or National
    Pollutant Discharge Elimination
    System permitting authority, in
    coordination with the appropriate
    state or federal agencies.

Solid and Floatable Materials—Solid
    or semi-solid materials should be
    defined on a case-by-case basis
    determined by the control
    technologies proposed by the
    permittee to control these
    materials. The term generally
    includes materials that might
    impair the aesthetics of the
    receiving water body.

State Revolving Fund Program—A
    federal program created by the
    Clean Water Act Amendments in
    1987 that offers low interest loans
    for wastewater treatment projects.
STORET—EPAs computerized
    STOrage and RETrieval water
    quality database that includes
    physical, chemical, and biological
    data measured in waterbodies
    throughout the United States.

Storm Water—Storm water runoff,
    snow melt runoff, and surface
    runoff and drainage [40 CFR
    §122.26(b)(13)].
               T
Total Maximum Daily Load
    (TMDL)—The amount of
    pollutant, or property of a
    pollutant, from point, nonpoint,
    and natural background sources,
    that may be discharged to a water
    quality-limited receiving water.
    Any pollutant loading above the
    TMDL results in violation of
    applicable water quality
    standards.

Total Suspended Solids (TSS)—A
    measure of the filterable solids
    present in a sample, as
    determined by the method
    specified in 40 CFR Part 136.
               V
Variance—Any mechanism or
    provision under Sections 301 or
    316 of the CWA or under 40
    CWR Part 125, or in the
    applicable "effluent limitations
    guidelines" which allows
    modification to or waiver of the
    generally applicable effluent
    limitations requirements or time
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Report to Congress on Implementation and Enforcement of the CSO Control Policy


                                           deadlines of the CWA. This
                                           includes provisions, which allow
                                           the establishment of alternative
                                           limitations based on
                                           fundamentally different factors.
                                                     w
                                       Wasteload Allocation (WLA)—The
                                           proportion of a receiving water's
                                           total maximum daily load that is
                                           allocated to one of its existing or
                                           future point sources of pollution.

                                       Water Quality Criteria—Comprised
                                           of numeric and narrative criteria.
                                           Numeric criteria are scientifically
                                           derived ambient concentrations
                                           developed by EPA or states for
                                           various pollutants of concern to
                                           protect human health and aquatic
                                           life. Narrative criteria are
                                           statements that describe the
                                           desired water quality goal.

                                       Water Quality Standard (WQS)—A
                                           law or regulation that consists of
                                           the beneficial use or uses of a
                                           waterbody, the numeric and
                                           narrative water quality  criteria
                                           that are necessary to protect the
                                           use or uses of that particular
                                           waterbody, and an
                                           antidegradation statement.

                                       Waters of the United States-All waters
                                           that are currently used, were used
                                           in the past, or may be susceptible
                                           to use in interstate  or foreign
                                           commerce, including all waters
                                           subject to the ebb and flow of the
                                           tide. Waters of the United States
                                           include but are not limited to all
                                           interstate waters and intrastate
                                           lakes, rivers, streams  (including
    intermittent streams), mudflats,
    sand flats, wetlands, sloughs,
    prairie potholes, wet meadows,
    play lakes, or natural ponds. [See
    40 CFR §122.2 for the complete
    definition.]

Wet Weather Flow—Dry weather flow
    combined with stormwater
    introduced into a combined
    sewer, and dry weather flow
    combined with inflow in a
    separate sewer.

Wet Weather Flow Conditions—
    Hydraulic flow conditions within
    the combined sewer system
    resulting from a precipitation
    event.  Since the definition of
    precipitation event is site-specific,
    the permit writer should evaluate
    and define certain site-specific
    weather conditions that typically
    contribute to wet weather flow.
    EPA encourages permit writers to
    include snowmelt as a condition
    that typically contributes to wet
    weather flow.
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         Executive Summary
                         Report to Congress on
     Implementation and  Enforcement of the Combined
                   Sewer Overflow Control Policy
     The U.S. Environmental
     Protection Agency (EPA or "the
     Agency") is transmitting this
Report to Congress on the progress
made by EPA, states, and
municipalities in implementing and
enforcing the Combined Sewer
Overflow (CSO) Control Policy signed
by the Administrator on April 11,
1994. This report is required by
Section 402 (q) (3) of the Clean Water
Act(CWA).
Overview and Background

Why is EPA preparing this report?
   In the Consolidated Appropriations
   Act for Fiscal Year 2001, PL. 106-
   554 (or "2000 amendments to the
CWA") Congress made several changes
to the CWA regarding CSOs,
including:

   Section 402(q) Combined Sewer
   Overflows

   (3) Report-Not later than
   September I, 2001, the
   Administrator shall transmit to
   Congress a report on the progress
   made by EPA, states and
   municipalities in implementing
   and enforcing the CSO Control
   Policy.

This Executive Summary provides an
overview of this report and highlights
report findings, key program
challenges, and EPA actions and next
steps to ensure effective
implementation and enforcement of
the CSO Control Policy.

What are CSOs, and why are they a
problem?
As defined in the CSO Control Policy,
a combined sewer system (CSS) is:

   A wastewater collection system
   owned by a state or municipality
   (as defined by Section 502(4) of
   the CWA) which conveys sanitary
   wastewaters (domestic, commercial
   and industrial wastewaters) and
   storm water through a single-pipe
   system to a publicly owned
   treatment works (POTW)...

Further, a CSO is defined as:
In this chapter:
Overview and Background

Report Findings
Key Program Challenges

EPA Actions and Next Steps
                                                                              ES-1

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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                         The discharge from a CSS at a
                                         point prior to the POTW...

                                     CSSs were among the earliest sewers
                                     built in the United States and
                                     continued to be built until the middle
                                     of the twentieth century. During
                                     precipitation events (e.g.,rainfall or
                                     snowmelt), the volume of sanitary
                                     wastewater and storm water runoff
                                     entering CSSs often exceeds
                                     conveyance capacity. Combined sewer
                                     systems are designed to overflow
                                     directly to surface waters when their
                                     design capacity is exceeded. Some
                                     CSOs occur infrequently; others, with
                                     every precipitation  event. Because
                                     CSOs contain raw sewage and
                                     contribute pathogens, solids, debris,
                                     and toxic pollutants to receiving
                                     waters, CSOs can create serious public
                                     health and water quality concerns.
                                     CSOs have caused or contributed to
                                     beach closures, shellfish bed closures,
                                     contamination of drinking water
                                     supplies, and other environmental and
                                     public health problems.

                                     What statutory and regulatory
                                     framework applies to CSOs?
                                     The CWA establishes national goals
                                     and requirements for maintaining and
                                     restoring the nation's waters. As point
                                     sources, CSOs are subject to the
                                     technology- and water quality-based
                                     requirements of the CWA. They are
                                     not, however, subject to the secondary
                                     treatment standards that apply to
                                     POTWs.

                                     In 1989, EPA initiated action to clarify
                                     requirements for CSOs through the
                                     publication of the National CSO
                                     Control Strategy (54 FR 37370,
                                     September 8, 1989). As a result, states
                                     developed—and  EPA approved—state
CSO strategies. In 1992, a
management advisory group to EPA
recommended that the Agency begin a
dialogue with key stakeholders to
better define the CWA expectations
for controlling CSOs. A workgroup of
CSO stakeholders was assembled
during the summer of 1992. The
workgroup achieved a negotiated
dialogue that led to agreement on
many technical issues, but no
consensus on a policy framework.
Individuals from the workgroup
representing stakeholder groups met
in October 1992 and developed a
framework document for CSO control
that served as the basis for portions of
the draft CSO Control Policy issued
for public comment in January 1993.
With extensive and documented
stakeholder support, EPA issued the
final CSO Control Policy on April 19,
1994 (59 FR 18688). When the CSO
Control Policy was released, many
stakeholders, key members of
Congress, and EPA advocated that it
be endorsed in the CWA to ensure its
full implementation.

In the Consolidated Appropriations
Act for Fiscal Year 2001, PL. 106-554,
Congress also stated that:

    ...each permit, order or decree
   issued pursuant to this Act after
    the date of enactment of this
   subsection for a discharge from a
   municipal combined storm and
   sanitary sewer shall conform to the
    CSO Control Policy signed by the
   Administrator on April 11, 1994.

In addition, Congress required
preparation of a second report to
Congress by December 2003. The
second report will summarize the
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                                                                                              Executive Summary
extent of human health and
environmental impacts from CSOs
and sanitary sewer overflows (SSOs),
quantify and characterize resources
spent by municipalities to address
these impacts, and evaluate the
technologies used by municipalities to
control overflows. EPA collected data
during the preparation of this first
report in anticipation of preparing the
second report.

What is the CSO Control Policy?
The CSO Control Policy "represents a
comprehensive national strategy to
ensure that municipalities, permitting
authorities, water quality standards
authorities and the public engage in a
comprehensive and coordinated effort
to achieve cost effective CSO controls
that ultimately meet appropriate
health and environmental objectives."
In 1994, EPA estimated that the cost of
CSO control, consistent with the CSO
Control Policy, would be $40 billion.
In the 1996 Clean Water Needs Survey
Report to Congress (EPA, 1997b), EPA
estimated the cost to be $44.7 billion
(1996 dollars).

The CSO Control Policy established
four key principles to guide CSO
planning decisions by municipalities,
NPDES  authorities, and water quality
standards authorities:

1.   Providing clear levels of control
    that would be presumed to meet
    appropriate health and
    environmental objectives.

2.   Providing sufficient flexibility to
    municipalities, especially
    financially disadvantaged
    communities, to consider the site-
    specific nature of CSOs and to
    determine the most cost-effective
    means of reducing pollutants and
    meeting CWA objectives and
    requirements.

3.   Allowing a phased approach to
    implementation of CSO controls
    considering a community's
    financial capability.

4.   Reviewing and revising, as
    appropriate, water quality
    standards and their
    implementation procedures when
    developing CSO control plans to
    reflect the site-specific wet weather
    impacts of CSOs.

The CSO Control Policy expected that
NPDES permits or other enforceable
mechanisms would require CSO
communities to implement nine
minimum technology-based controls
(the "nine minimum controls" or
NMC) by January 1, 1997, and to
develop CSO long-term control plans
(LTCPs). The LTCP must assess a
range of control options, including
costs and benefits, and lead to
selection of an alternative that would
achieve appropriate water quality
objectives and compliance with the
CWA. Once the NPDES authority and
CSO community reached agreement
on an LTCP, the CSO community
would design and construct the CSO
controls as soon as practicable.

What methodology did EPA use for
this Report to Congress?
The basic study approach for this
report was to collect data and  report
on implementation and enforcement
activities across EPA headquarters and
the nine EPA regions and 32 states
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                     known to have CSO communities
                                     within their jurisdictions. This
                                     entailed:

                                        Reviewing existing information in
                                        state and EPA permit and
                                        enforcement files, and federal data
                                        bases.

                                     •  Performing a literature search on
                                        policy, technology, and
                                        environmental data.

                                        Using modeling projections in
                                        certain cases.

                                     •  Conducting site visits to five EPA
                                        Regions and 16 states in which
                                        more than 90 percent of the
                                        nation's CSSs are located.

                                     •  Developing 15 CSO community
                                        case studies.

                                     •  Reviewing data from surveys
                                        conducted by the Association of
                                        Metropolitan Sewerage Agencies
                                        (AMSA) and the CSO Partnership.

                                     •  Organizing a stakeholder
                                        discussion of the preliminary
                                        issues and findings from the
                                        report at a meeting in Chicago,
                                        Illinois on July 12 and 13, 2001.

                                     These efforts have allowed the Agency
                                     to compile a data base of all  CSO
                                     permits, prepare profiles of all state
                                     CSO  programs, and identify and
                                     document data gaps. The
                                     methodology for this Report to
                                     Congress recognizes that the Report to
                                     Congress required in 2003 will focus
                                     on the extent of environmental and
                                     human health impacts, resources
                                     spent, and an evaluation of
                                     technologies for CSO control.
Report Findings
What are the overall findings of this
Report to Congress?
      Progress has been made in
      implementing and enforcing
      CSO controls prior to, and as a
result of, the 1994 CSO Control Policy.
Cities that have made substantial
progress and investments in CSO
control are realizing public health and
water quality benefits. The CSO
Control Policy provides a sound
approach to assess and implement cost
effective CSO controls that meet
appropriate environmental goals and
objectives and achieve  CWA
compliance. It fosters and expects
significant involvement of the public
and the  NPDES and water quality
standards authorities.

Although federal, state, and municipal
officials are involved in a broad range
of activities to regulate and control
CSOs, CSOs continue to pose a
serious environmental and public
health threat. Much remains to be
done to fully realize the objectives of
the CSO Control Policy and the CWA.
The CSO Control Policy provides an
appropriate framework for
communities to control CSOs. EPA
believes the codification of the CSO
Control Policy through the 2000
amendments to the CWA will focus
greater attention on implementation
of the CSO Control Policy.

EPA believes a number of factors have
affected the degree of implementation
of the CSO Control Policy, including
the lack of any statutory or regulatory
endorsement of the CSO Control
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                                                                                               Executive Summary
Policy from 1994 until December
2000, and competing priorities at the
federal, state and local level.

Below, EPA presents a summary of the
key findings of this report, organized
along four central themes. These
themes are:

•  A description of the status of
    CSOs in the United States.

    An overview of progress in
    implementing and enforcing the
    CSO Control Policy, examining
    key programmatic
    accomplishments at the federal
    and state levels, as well as
    municipal actions to implement
    the technology- and water quality-
    based controls.

•  Early feedback on the nature and
    extent of environmental results
    stemming from CSO control.

    A review of remaining challenges
    in implementing and enforcing
    the CSO Control Policy.

What is the status of CSOs in the
United States?
Today,  there are 772 CSO
communities with a total of 9,471
CSOs that are  identified and regulated
by 859 NPDES permits. Key attributes
of the CSO universe include:

    CSSs are found in 32 states
    (including the District of
    Columbia) and nine EPA  Regions.
    They are regionally concentrated
    in older communities in the
    Northeast and Great Lakes regions
    as shown in Figure ES.l.
•  CSSs are diverse, varying in
    configuration, size, age, number
    and location of outfalls. For
    example:

        Prior to CSO control, San
        Francisco estimated that CSO
        discharges from 43 combined
        sewer outfalls  occurred
        approximately 58 times per
        year, with a total annual
        overflow volume of 7.5 billion
        gallons, discharging into Islais
        Creek, San Francisco Bay, and
        the Pacific Ocean.  As a result
        of its CSO control program,
        San Francisco has  eliminated
        seven outfalls  and  reduced
        total annual overflow volume
        by more than  80 percent.

    I   In Bremerton, WA, prior to
        initiation of CSO control, the
        average annual CSO volume
        was more than 120 million
        gallons from 16 CSOs
        discharging into Puget Sound.
        As part of its CSO control
        program, Bremerton has
        eliminated three outfalls and
        reduced total annual overflow
        volume by nearly 70 percent.

    Of the 772 CSO communities,
    approximately 30  percent have
    populations greater than 75,000,
    and approximately 30  percent are
    very small with total service
    populations of less than 10,000.

•  EPA estimated in 1978 that there
    were as many as 1,300  CSO
    communities. Differences with
    today's 772 CSO communities are
    primarily attributable  to the
    improved inventory of CSO
Since implementing CSO controls, San
Francisco has reduced the number of CSO
events and pollutant loads by an average of
            Photo: Photodisc
                                                                                                           ES-5

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Report to Congress on Implementation and Enforcement of the CSO Control Policy
   Figure ES.1
        Distribution of CSO
      Permits by Region and
               State
      CSOs are found throughout the
      U.S., but are most heavily
      concentrated in the Northeast and
      Great Lakes regions.
| Region 5
Total Permits: 859 107107



Region 1 0
1 1 Region 8
1 3 1




93 Region 2

52
:
74

31
: I
Region 1
44
23
15 -
1 • .
                      AK OR WA
                         CA
                     Region 9
SD
MN OH Wl
NJ NY
CT MA ME NH  Rl VT
                                                                                         155
                                                                                                58
   IA KS MO NE
    Region 7
      GA KY TN
     Region 4
      DC DE MD PA  VA WV
           Region 3
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                                                                                             Executive Summary
permits developed for this report,
completed sewer separation
projects, and better differentiation
between CSSs and separate sewer
systems.

National projections of annual
CSO discharges are estimated at
1,260 billion gallons per year.

Available data indicate the
following distribution in receiving
waters for CSOs: 43 percent to
rivers, 38 percent to streams, five
percent to oceans, estuaries and
bays, two percent to ponds/lakes,
and 12 percent to other waters
(ditches, canals, unclassified
waters).

Uncontrolled CSOs continue to
impair water quality in areas
served by CSSs:

    According to EPA's 1998
    National Water Quality
    Inventory, CSOs are a source
    of impairment for 12 percent
    of assessed estuaries  (in square
    miles) and two percent of
    assessed lakes  (in shore miles)
    (EPA, 2000a).

    According to a state-by-state
    report of impaired waters
    listed under CWA Section
    303 (d), less than one percent
    of the nearly 15,600 impaired
    water bodies in states with
    CSOs are impaired by CSOs.
    Further, approximately eight
    percent of the assessed water
    bodies are impaired by urban
    runoff (which may include
    CSOs). Appendix N provides a
    summary of the 303 (d) listed
    waters.
I   The Natural Resources
    Defense Council (NRDC)
    reported in its 2000 Testing the
    Waters report that sewage
    spills and overflows accounted
    for 2,230 beach closings and
    advisories in 2000. Sewage
    spills in the NRDC report
    include combined sewer
    overflows, sanitary sewer
    overflows, and breaks in sewer
    lines or septic systems
    (NRDC, 2001).

Localized impacts of uncontrolled
CSO discharges have been well
documented by some
communities. For example:

    New York City reported that
    prior to CSO control, CSOs
    caused or contributed to
    shellfishing restrictions for
    more than 30,000 acres of
    shellfish beds. In 1998, New
    York City reported that
    improvements to sewage
    treatment infrastructure and
    operations, including CSO
    control, led to the lifting of
    shell-fishing restrictions.

I   The State of New Jersey
    reported that prior to CSO
    floatables control, CSOs
    caused or contributed to
    hundreds of days of ocean
    beach closings each year. The
    control of floatables in CSOs
    and storm water discharges
    has reduced the average
    annual days of ocean beach
    closings by more than 95
    percent.
Fecal coliform concentrations in New York
Harbor have declined dramatically from the
early 1970s to the present. This
improvement is largely attributable to
abatement of raw sewage discharges
through the construction and expansion of
POTWs, elimination of illegal discharges, and
reduction of CSOs.

            Photo: Photodtsc
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                     What is the status of implementation
                                     and enforcement of the 1994 CSO
                                     Control Policy?
                                     There has been definitive progress
                                     implementing and enforcing CSO
                                     controls prior to, and as a result of, the
                                     CSO Control Policy, resulting in
                                     demonstrable environmental progress
                                     in some communities where CSO
                                     controls have been instituted. EPA,
                                     states, and municipalities all have
                                     played important roles in advancing
                                     the CSO Control Policy.

                                     EPA Progress
                                        EPA issued guidance, supported
                                        communication and outreach, and
                                        provided compliance assistance
                                        and some financial support for
                                        CSO control.

                                     •  EPA issued guidance on
                                        coordinating CSO LTCPs with
                                        water quality standards in 2001.

                                        EPA issued extensive technical
                                        and policy guidance documents to
                                        foster implementation of CSO
                                        controls dealing with the NMC,
                                        monitoring and modeling,
                                        financial capability, LTCPs, and
                                        permit writing and water quality
                                        standards reviews. EPA has
                                        sponsored and conducted more
                                        than 15 workshops and seminars
                                        on various aspects of
                                        implementation of the CSO
                                        Control Policy as well as other
                                        compliance assistance activities.

                                     •  Administrative and civil judicial
                                        actions  have been used
                                        successfully together with
                                        permitting and compliance
                                        assistance activities to foster
                                        development and implementation
    of CSO controls. Many of the CSO
    communities that have made the
    most progress to date, including
    several of the largest
    municipalities in the United
    States, have done so as the result
    of enforcement actions.

•  EPA issued the Compliance and
    Enforcement Strategy for Combined
    Sewer Overflows and Sanitary
    Sewer Overflows in 2000.

State Progress
•  Most states have made efforts to
    regulate and control CSOs.
    NPDES authorities have done
    extensive work placing conditions
    for CSO control in permits. In
    total, 94 percent of CSO
    communities are required to
    control CSOs, either through a
    permit or an enforceable order.

    All 32 states with CSSs developed
    CSO strategies in response to the
    National CSO Control Strategy.
    Most states have adopted the key
    provisions of the CSO Control
    Policy:

       27 require implementation of
       the NMC or a suite of best
       management practices  (BMPs)
       that include or are analogous
       to the NMC.

       25 require development and
       implementation of LTCPs.

    Most CSO communities are
    required to implement BMP
    measures to mitigate CSO-related
    impacts:
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                                                                                          Executive Summary
I   94 percent of CSO permits
    require implementation of
    one or more BMPs.

    86 percent of CSO permits
    have requirements to
    implement the NMC or a set
    of BMPs that includes or is
    analogous to the NMC.

    6 percent of CSO permits do
    not require any BMPs.

Imposition of permit or other
enforceable requirements for more
capital intensive CSO facility
planning (e.g., sewer separation or
underground storage) is less
extensive:

    82 percent of CSO permits
    include enforceable
    requirements to develop and
    implement CSO facilities plan.

    65 percent of CSO permits
    contain requirements to
    develop and implement an
    LTCP.

    18 percent of CSO permits do
    not require CSO facilities
    planning.

Several states have addressed the
full range of programmatic
components (e.g.,guidance,
compliance assistance,
communications and information
management, among others).
Other states, principally those
with fewer CSO communities,
have dealt with CSOs on a site-
specific basis.

Many states have provided
compliance assistance and most
include compliance monitoring of
CSOs in their NPDES inspections
programs. Many state strategies
have been updated since issuance
of the CSO Control Policy in
1994. Yet, state programs vary
widely in the approaches used to
implement the CSO Control
Policy.

Most states have not developed
separate, specific procedures for
coordinating the review of water
quality standards with LTCP
development. Some states have
approaches for considering water
quality standards for CSO
receiving waters. For example:

    Indiana passed legislation
    providing a mechanism
    whereby CSO communities
    may apply for a temporary
    suspension of state water
    quality standards when certain
    criteria are met.

    Maine passed legislation
    codifying standard procedures
    for providing variances for
    CSO receiving waters during
    the implementation  of an
    approved LTCP.

    Massachusetts added a series
    of refined uses to its state
    water quality standards use
    classification system to
    address CSO-impacted waters.

    Illinois' water quality
    standards program framework
    presumes compliance with
    water quality standards upon
    the completed
    implementation of a CSO
    facility plan that meets the
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                            criteria for the state-derived
                                            presumption approach.

                                            Michigan rules allow the use
                                            of alternate design flows (i.e.,
                                            alternate to 7Q10 low flows or
                                            95-percent exceedance flows)
                                            when determining water
                                            quality based requirements for
                                            intermittent wet weather
                                            discharges such as treated
                                            CSOs.

                                            New Hampshire has
                                            developed a surface water
                                            partial-use designation. A
                                            partial-use designation is
                                            made only if the community
                                            planning process and
                                            watershed planning efforts
                                            demonstrate that the
                                            allowance of minor CSO
                                            discharges is the most
                                            environmentally protective
                                            and cost-effective option
                                            available.

                                        At least 16 states have brought
                                        enforcement actions that have
                                        included CSO violations. The
                                        enforcement actions have
                                        primarily been administrative
                                        actions, such as administrative
                                        compliance orders.

                                    Municipal Progress
                                        Most CSO communities have
                                        documented CSO control through
                                        some combination of the NMC
                                        and other best management
                                        practices.

                                        I   77 percent of CSO
                                            communities have submitted
                                            documentation of
                                            implementation of one or
    more of the NMC to their
    NPDES authority.

    32 percent have submitted
    documentation of
    implementation of all NMC.

A smaller number of CSO
communities have developed
LTCPs.

I   34 percent of CSO
    communities have submitted
    draft LTCPs to  their NPDES
    authority.

    19 percent have had their
    LTCPs approved.

    17 percent have initiated
    implementation of LTCPs or
    other CSO facility plans.

I   87 CSO communities have
    substantially completed
    implementation of their
    LTCPs or other CSO control
    programs.

CSO communities with LTCPs
developed or approved are
pursuing attainment of water
quality standards in roughly equal
measure under three approaches -
demonstration, presumption, and
a combination of the
demonstration and presumption
approaches.

LTCPs indicate that CSO
communities are relying on a wide
range of technologies to address
CSOs including storage
(e.g..tunnels), expanded treatment
capacity, sewer separation, and
improved conveyance. EPA will be
examining the  environmental
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                                                                                             Executive Summary
    benefits of various CSO control
    technologies, including sewer
    separation, in the second Report
    to Congress in 2003.

What is the nature and extent of
environmental accomplishments
from CSO control?
EPA has seen some examples of
demonstrable public health and
environmental improvements in
communities that have made
substantial  progress in controlling
CSOs. The second Report to Congress,
due in 2003, will focus on the
environmental and human health
impacts of CSOs and SSOs, the
resources spent by CSO communities
in controlling them, and an evaluation
of CSO technologies. However, some
early insights into the environmental
gains from  CSO controls are provided
so that Congress has some sense of the
return on federal, state and municipal
investments. The following
preliminary observations have been
made:

•  According to EPAs initial
    modeling estimates, CSO controls
    have resulted in an estimated 12
    percent reduction of untreated
    CSO volume and pollutant
    loadings since 1994. EPA
    developed a preliminary model,
    GPRACSO, which estimates that
    since 1994, annual CSO volumes
    have decreased by 170 billion
    gallons per year. It also estimates
    that loadings of biochemical
    oxygen demand (BOD) have
    decreased by 125 million pounds
    per year.

    The number of CSO communities
    documenting environmental
results from CSO control is
growing. EPA has identified a
number of notable CSO efforts in
which significant infrastructure
has been completed and
environmental improvements
noted. For example:

I   Prior to CSO control South
    Portland, Maine's 35 CSOs
    discharged approximately  100
    million gallons of combined
    sewer overflows each year to
    the Fore River and Casco Bay.
    As of 2001, South Portland
    has spent nearly $9 million on
    capital improvements in the
    CSS and invests another
    $350,000 annually on CSO-
    related operations  and
    maintenance activities. These
    expenditures have  resulted in
    the elimination of 25 of their
    35 CSOs, and an 80-percent
    reduction in the amount of
    untreated combined sewer
    overflows discharged from the
    CSS each year. The City of
    South Portland has been
    recognized by the Friends of
    Casco Bay for its efforts to
    control CSOs and the
    resulting positive impact on
    the Bay.

    Prior to CSO control,
    Saginaw, Michigan's 36 CSOs
    discharged nearly 3 billion
    gallons of combined sewage
    each year to the Saginaw
    River. As of 2001, Saginaw has
    spent nearly $100 million on
    capital improvements in the
    CSS. These expenditures have
    resulted in the elimination of
    20 of 36 CSOs, and a
The City of South Portland has been
recognized by the Friends of Casco Bay
(shown here) for its positive impact on the
Bay.
           Photo: Photodtsc
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                              75-percent reduction in the
                                              amount of combined sewage
                                              discharged from the CSS each
                                              year. The Saginaw River is
                                              now characterized by fishing
                                              periodicals as one of the top
                                              walleye fisheries in the
                                              country.
                                      Key Program Challenges

                                         In developing this Report to
                                         Congress, EPA identified several
                                         noteworthy challenges to CSO
                                      control in the United States. Each of
                                      these challenges, based on an overall
                                      synthesis of the report findings, is
                                      briefly described below.

                                      Financial Challenges
                                      When the CSO Control Policy was
                                      issued, EPA estimated the nationwide
                                      financial need to control  CSOs,
                                      consistent with the CSO Control
                                      Policy, at $40 billion (in 1992 dollars).
                More recently, data from EPAs 1996
                Needs Survey sets national CSO needs
                at $44.7 billion (in 1996 dollars). CSO
                control costs will continue to be
                considerable, and EPA has received
                numerous requests from CSO
                communities for financial assistance,
                given mounting water and wastewater
                infrastructure costs and the resource-
                intensive nature of CSO controls. CSO
                LTCPs typically involve major
                infrastructure investments that must
                compete with other infrastructure
                needs. Respondents to the AMSA and
                CSO Partnership surveys reported that
                funding is the primary challenge in
                implementing LTCPs.

                CSO communities are using a
                combination of local funding sources,
                Clean Water State Revolving Fund
                (SRF) loans, state grants and loans,
                and, in special cases, line item
                congressional appropriations to fund
                CSO controls. EPA does not have data
                on the total extent of CSO spending.
    Figure ES.2
         SRF Loans for CSO
       Projects, 1988—2000

       SRF loans for CSO projects
       reached more than $245 million in
       1994 and began to rise again in
       1998, reaching more than $400
       million in 2000.This suggests that
       funding for the implementation of
       CSO controls lagged several years
       behind the issuances of the 1989
       Strategy and the 1994 Policy.
                                                                                                          $410.6m
                                       $272.8m
           $245.4m
$180.1m
                                                        $121.5m
                                              ,„_,   $14.6m
                                         $0   $4.7m
                                        1988   1989  1990
      $169.5m
                 $190.4m
                      $168.1m
                                 $157.8m
                            $139.6m
                                                         1991   1992  1993   1994  1995   1996  1997   1998  1999   2000
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                                                                                             Executive Summary
Use of SRF loans for CSO
infrastructure continues to climb.

•  State use of the SRF to fund CSO
    control projects has increased
    steadily since 1990. As shown in
    Figure ES.2, CSO loans in 2000
    were the highest ever, accounting
    for $411 million, or about 12
    percent, of total SRF assistance.
    SRF loans for CSO control totaled
    $2.08 billion from 1989 to 2000
    (about 5 percent of the total CSO
    need). States with the highest SRF
    spending levels for CSO control
    (typically driven by a few large
    projects) were Illinois, Michigan,
    New York, and California.

    Congress has appropriated specific
    CSO infrastructure grants totaling
    over $600 million for 32 CSO
    communities since FY 1992.

Congress has shown some support for
additional funding for CSO control.
The 2000 amendments to the CWA
authorize EPA to provide grants to
CSO communities, either directly or
through states, for planning, design,
and construction of CSO and sanitary
sewer overflow (SSO) treatment. The
amendments also require EPA to
provide technical assistance and grants
to POTWs for watershed-based
management of CSOs, SSOs, and
storm water discharges. The EPA
Administration requested $450  million
for this program in its FY 2002
budget. To date, however, Congress
has not appropriated funds for these
grant programs.
Water Quality Standards Review
The CSO Control Policy anticipated
that development of LTCPs would be
coordinated with the review and
revision, as appropriate, of water
quality standards. Many reasons,
including institutional barriers, exist
for the lack of coordination in the
LTCP development and water quality
standards review processes. States cite
public pressure to maintain their
water quality standards, EPA
requirements for development of a
"use attainability analysis"  (UAA)
prior to revising a state water quality
standard, and the lack of water quality
monitoring data that could be used to
justify water quality standards
revisions. During EPA-sponsored
listening sessions held in the  spring of
1999, designed to support
development of guidance for
coordinating CSO LTCPs and water
quality standards reviews, many
participants expressed concern about
the complexity of the process for
revising water quality standards.

Among the changes in the 2000
amendments to the  CWA, Congress
added Section 402 (q) to require
issuance of guidance to facilitate the
conduct of water quality and
designated use reviews for CSO
receiving waters by July 31, 2001. EPA
prepared a draft guidance for public
review and comment (66 FR 364,
January 3, 2001) and issued the final
guidance on August 2, 2001.

Information Management and
Performance Measurement
This Report to Congress relied
extensively on an assessment of CSO
information that resides in EPA and
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Report to Congress on Implementation and Enforcement of the CSO Control Policy
                                    state files. EPA believes that this
                                    additional information on progress in
                                    implementing CSO controls and
                                    derived water quality benefits exists at
                                    the community level. EPA was
                                    hindered by the lack of a national data
                                    system for comprehensively evaluating
                                    the implementation and effectiveness
                                    of the CSO program, and by the lack
                                    of clear, national performance
                                    measures in place to assess the
                                    effectiveness of CSO control efforts on
                                    a national basis.
                                    EPA Actions and Next Steps

                                    What actions will EPA take to
                                    improve implementation and
                                    enforcement of the CSO Control
                                    Policy?
                                            Despite significant efforts and
                                            progress by EPA, states, and
                                            CSO communities to
                                    implement CSO controls, more work
                                    remains to ensure that human health
                                    and the  environment are adequately
                                    protected from CSOs. The 1994 CSO
                                    Control Policy provides a sound and
                                    appropriate framework for developing
                                    and implementing cost-effective CSO
                                    controls. With the codification of the
                                    CSO Control Policy in the 2000
                                    amendments to the CWA, EPA will
                                    continue to work in partnership with
                                    the states to address remaining CSO
                                    issues. EPA will work aggressively with
                                    NPDES  authorities, water quality
                                    standards authorities, and CSO
                                    communities to implement and
                                    enforce the CSO Control Policy. Based
                                    on the findings of this Report to
                                    Congress, EPA will pursue a number
                                    of activities to ensure  the continued
effective implementation and
enforcement of the CSO Control
Policy.

Ensure That all CSOs are
Appropriately Controlled.
•  Implement the "shall conform"
    statutory mandate.

       Begin efforts to implement
       new CWA Section 402 (q) (1),
       which requires that future
       permits or other enforceable
       mechanisms for CSOs
       conform to the CSO Control
       Policy.

    Ensure all CSOs are covered by an
    NPDES permit or other
    enforceable mechanism.

    I   Follow up with NPDES
       authorities to ensure that
       NPDES permits or other
       enforceable mechanisms are
       issued as soon as possible for
       those CSO communities that
       have not yet been required to
       control CSOs. EPA will also
       work with the states to ensure
       that permits and enforcement
       actions (e.g..orders, decrees)
       conform with the CSO
       Control Policy, as required by
       the 2000 amendments to the
       CWA.

Improve Implementation of the CSO
Control Policy.
•  Advocate CSO control on a
    watershed basis.

       Continue efforts to focus
       protection of water quality on
       a watershed scale, and support
       development of LTCPs on a
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                                                                                          Executive Summary
    watershed basis. EPA will
    continue efforts to encourage
    integration of wet weather
    programs, including support
    to facilitate wet weather pilot
    projects as designated in the
    2000 CWA amendments.

Work with states to speed the
water quality standards review and
revision process.

    Continue to work with states,
    communities, and
    constituency groups on
    coordinating the review and
    revision of water quality
    standards with development
    of LTCPs. EPA will establish a
    tracking system for water
    quality standards reviews on
    CSO receiving waters. EPA
    will also assess the need for
    additional guidance and tools
    to facilitate the water quality
    standards review process for
    all sources, including CSOs.

Strengthen CSO information
management.

    Ensure that the Office of
    Water and the Office of
    Enforcement and Compliance
    Assurance coordinate
    information management and
    performance measurement
    activities to demonstrate the
    environmental outcomes and
    benefits of CSO control.

Improve compliance assistance
and enforcement.

    CSOs will continue to be a
    national compliance and
    enforcement priority in fiscal
       years 2002 and 2003. EPA will
       work closely with NPDES
       authorities to target
       enforcement actions, where
       appropriate, to ensure
       compliance with the CSO
       requirements in NPDES
       permits or other enforceable
       mechanisms. In addition, EPA
       will develop and promote
       compliance assistance tools.

Initiate Efforts for 2003 Report to
Congress.
    Initiate efforts to define the scope
    and methodology for the second
    Report to Congress on efforts
    related to CSO controls. By
    December 2003, EPA is required
    to summarize the extent of human
    health and environmental impacts
    caused by CSOs and SSOs, report
    on the resources spent by
    municipalities to address these
    impacts, and evaluate the
    technologies used, including
    whether sewer separation is
    environmentally preferred for all
    situations. EPA will build on CSO
    data collected for this report and
    develop a methodology for
    addressing the challenges of
    collecting and analyzing SSO data.
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