DOW – 1.3.

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New York State Department of Environmental Conservation, Division of Water

Division of Water Technical and Operational

Guidance Series
Issuing Authority: Carol Lamb-Lafay Title: Phosphorus Removal for Wastewater
Director, Division of Water Discharges
Signature:______________________________
Date Issued: December 8, 1988 Latest Date Revised: DRAFT October,
2024

Originators: Jay Bloomfield (Revised by Ken Kosinski & Sara Latessa)

*** N O T I C E ***
This document has been developed to provide Department staff with guidance on how to ensure
compliance with the statutory and regulatory requirements, including case law interpretations,
and to provide consistent treatment of similar situations. This document may also be used by the
public to gain technical guidance and insight regarding how Department staff may analyze an
issue and factors in their consideration of particular facts and circumstances. This guidance
document is not a fixed rule under the State Administrative Procedures Act subsection
102(2)(a)(I). Furthermore, nothing set forth herein prevents staff from varying from this
guidance as the specific facts and circumstances may dictate, provided staff’s actions comply with
applicable statutory and regulatory requirements. This document does not create any enforceable
rights for the benefit of any party.

I. Summary:

The purpose of this document is to provide guidance for inclusion of total phosphorus (TP)
requirements in State Pollutant Discharge Elimination System (SPDES) permits for existing and
new facilities discharging sanitary wastewater to lakes, lake watersheds, and flowing waters of
New York State. Implementation of this guidance should result in decreased phosphorus loads
and subsequent improvements to water quality through attainment of the narrative nutrient water
quality standard.

II. Policy:

The Department derived guidance values (GVs), including TP concentrations and response
variable thresholds, found in TOGS 1.1.1 and its Addendums, represent the numeric
interpretation of New York State’s narrative water quality standard for phosphorus (6 NYCRR
703.2). The Department uses these GVs in the assessment of surface waters of the State for
impacts to, and impairment of, designated uses by excess phosphorus. The Division of Water’s

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(DOW) initial TOGS 1.3.6 (dated December 8, 1988) focused on limiting new phosphorus
loading to lakes and lake watersheds, resulting in maintaining the current phosphorus loading to
those ponded waters. This updated version of TOGS 1.3.6 expands the guidance to include
existing dischargers and flowing waters with limited dilution or confirmed as stressed or
impaired for phosphorus. This will reduce phosphorus loads to waters already impacted by
phosphorus and proactively reduce phosphorus loading to protect against impacts to at-risk
waters. Additionally, this TOGS updates the Division’s strategy outlined in TOGS 1.3.3 for
addressing phosphorus within the basins of Lake Ontario and Lake Erie by aligning the State’s
goals with those described in Annex 4 of the Great Lakes Water Quality Protocol of 2012.

The guidance provided herein is part of DOW’s broader adaptive management strategy to
address nutrient pollution. Implementation of this guidance will be tracked to evaluate progress
and its impact on ambient water quality. It may be adjusted over time based on new data,
information, and scientific understanding of treatment processes, nutrient cycling, or other
relevant information.

III. Purpose and Background:

This TOGS revision was necessary because water quality monitoring data has shown that the
strategy outlined in the 1988 TOGS 1.3.6, which required phosphorus limits on new and
expanded discharges while maintaining phosphorus loading from existing discharges to ponded
waters, was not sufficient to protect New York’s waters from impacts to their best uses. In
addition, a better understanding of nutrient cycling within ponded waters, the establishment of
new guidance values, which provide a new tool for assessing impacts to flowing waters, and
updates to the Great Lakes Water Quality Agreement informed the revisions to this TOGS.

Nutrients, including phosphorus, are necessary for a healthy ecosystem. However, an

overabundance of nutrients, when combined with other factors such as warm temperatures, can
result in excess plant growth that may impact the waterbody’s natural balance. In particular
phosphorus loading, affects waterbodies uniquely due to variations in the assimilative capacity of
aquatic environments and, when in excess, can contribute to various water quality problems,
including:

1. Low dissolved oxygen and high levels of reduced substances (ammonia, hydrogen
sulfide, methane, etc.) caused by oxygen demand from either bottom sediments or
sedimentation of dead algal cells from the overlying waters.

2. Development of harmful algal blooms through the production of cyanobacteria.

3. Excess growth of both exotic and native aquatic rooted plants.

4. Alteration of resident aquatic life.

5. Excess turbidity, caused by a combination of planktonic algae, dissolved organic matter,

suspended calcium carbonate particles and inorganic silt.

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 6. Formation of disinfection byproducts in chlorinated water supplies.

The GVs, including TP concentrations and response variable thresholds, found in TOGS 1.1.1
and its Addendums, account for the variation in the assimilative capacity of surface waters and
will be used as an interpretation of the narrative water quality standard for purposes of water
quality assessment and prioritization for water discharge permitting.

IV. Responsibility:
DOW Central Office, Bureau of Water Resource Management, administers this guidance in
coordination with DOW’s Bureaus of Water Assessment and Management and Water Permits.
DOW Central Office and Regional permit writing staff implement the guidance.

V. Procedure:
The Department will use the guidance values (GVs) to assess water quality in surface waters and
inform the Vision Approach to Implement the Clean Water Act 303(d) Program and Clean Water
Planning and other planning mechanisms which will identify priority watersheds where this
guidance will apply. This planning process will consider, among other things: those waterbody
specific assessments; available monitoring data; occurrence of documented harmful algal blooms
(HABS); and the overall estimated contribution of phosphorus by point sources. Facilities
identified within priority watersheds will be incorporated in the Environmental Benefit Permit
Strategy (EBPS) priority list for individual SPDES permits and published annually in accordance
with TOGS 1.2.2.

To reduce impacts from phosphorus loading to NYS surface waters, including at-risk 1 waters and
impacted waters, 2, the following phosphorus concentration effluent limitations are appropriate
for SPDES permitted sanitary discharges as described in Table 1:

• 0.2 mg/L for new (1) and expanded facilities (2);

• 0.5 mg/L for existing facilities with tertiary treatment within a priority watershed (3) or
sanitary discharges of >1 million gallons per day (MGD) within the basins of Lake Ontario
or Lake Erie (4); and
• 1.0 mg/L for existing facilities with secondary treatment within a priority watershed (3).
These effluent limitations are achievable using chemical addition for phosphorus removal at
existing facilities and a combination of chemical addition and filtration for phosphorus removal
at new and expanded facilities. SPDES permits should be given both concentration and mass
limitations. Mass limitations should be based on the concentration limitation applied per this
guidance and the facility design flow. Inclusion of mass limitations will allow the Department to

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Lakes; lake watersheds; flowing water segments with limited dilution (i.e., <40:1); or flowing water segments that
are confirmed as stressed due to phosphorus on Waterbody Inventory/Priority Waterbodies list (WI/PWL).
2
Water segments confirmed as impaired due to phosphorus on the WI/PWL.

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determine the overall point source phosphorus loading and understand an individual facility’s
phosphorus contribution within the context of the watershed. More stringent limitations may be
appropriate if required by a TMDL, or other existing requirement.

(1) New SPDES Sanitary Discharge:

For new sanitary discharges of less than <10,000 gallons per day (gpd), subsurface disposal with
monitor only is recommended pending a soil evaluation and site condition investigation to ensure
the appropriateness of the soil. A technical analysis should be conducted by the applicant to
determine availability of appropriate soils. If suitable soils are unavailable, surface water
discharges of <10,000 gpd may be allowed, provided the facility meets the treatment
specifications described in Table 1. Department staff should refer to the latest edition of the
DEC publication “New York State Design Standards for Intermediate Sized Wastewater
Treatment Systems” for additional guidance on soil evaluation, site condition investigation, and
proposed treatment processes (NYSDEC 2014), other relevant Department guidance, and with
consideration of advanced/innovative treatment systems capable of phosphorus removal.
New sanitary discharges of 10,000 gpd to <50,000 should be given an effluent limitation of
monitor only as summarized in Table 1. Phosphorus treatment involving chemical addition, as
proposed by this guidance, requires certified operator oversight which can be problematic for
these smaller systems and the costs associated are relatively high compared to the limited load
reductions achievable when compared to larger systems. The Department may assess these
facilities on a case-by-case basis to determine if phosphorus reductions are needed in the
receiving water in order to maintain that waters best use. Should phosphorus impacts be
determined, TP effluent limitations consistent with this guidance, would be appropriate.

All new SPDES sanitary discharges of >50,000 gallons per day (gpd) should be given an effluent
limitation of 0.2 mg/L as summarized in Table 1. These new discharges should consider the
most efficient phosphorus treatment available at the time of design (i.e., enhanced biological
treatment) and should try to avoid relying solely on chemical addition. Additionally, new
SPDES sanitary discharges to lakes; lake watersheds; or flowing water segments confirmed as
stressed or impaired due to phosphorus on the WI/PWL, should be limited and consider the
following conditions:

• New SPDES sanitary discharges proposed to reduce or eliminate existing sources of

phosphorus should also demonstrate no mass loading increase. For example, some
communities may have existing failing and/or substandard septic systems contributing
significant amounts of phosphorus to an impacted waterbody. In such a situation, a
community wastewater collection and treatment facility may offer better environmental
protection and improvements to water quality. Another example may be redevelopment
of a pre-existing footprint that may not currently be discharging but had in the past. The
SPDES applicant should document the estimated phosphorus load contribution from
existing/pre-existing systems to the impacted waterbody, the basis for such estimate, and
demonstrate the estimated phosphorus load for the new discharge to be less than or equal
to the existing/pre-existing condition.

• New SPDES sanitary discharges, resulting from new development creating a new source
of phosphorus should be rare and should demonstrate economic and/or societal hardship,

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 and that all reasonable alternatives have been exhausted. Examples of reasonable
alternatives include re-locating the discharge out of the watershed of the at-risk or
impacted waterbody or connecting to an existing SPDES permitted sanitary facility with
available capacity. Where no reasonable alternatives can be demonstrated, the SPDES
applicant should either show no demonstrated mass increase or provide the Department
an approved feasible alternative. Examples of demonstration of no mass increase include
offsetting the phosphorus load from the proposed discharge at another existing
wastewater treatment facility in the same watershed or installing stormwater treatment
practices to offset the phosphorus load. Due to the variability in quantifying offsets for
new loads with a stormwater treatment practice, a minimum offset ratio of 2:1 is
necessary to ensure the additional phosphorus load from the proposed facility is
adequately mitigated. Documentation of all the alternatives considered should be
submitted to the Department with the permit application.

(2) Expanded 3 SPDES Sanitary Discharges: As summarized in Table 1, a 0.2 mg/L effluent limit
should apply to all expanded sanitary facilities which discharge to at-risk or impacted waters.
Additionally, expanded sanitary facilities should demonstrate no mass loading increase based on
their current permitted design flow. Existing sanitary facilities that are expanding to capture
existing failing and/or substandard septic systems, or a consolidation of smaller facilities that are
contributing significant amounts of phosphorus to an impacted waterbody, may demonstrate no
mass loading increase accounting for the current loading from the new area of connection.

(3) Existing SPDES Sanitary Discharges: The Department will periodically identify priority
watersheds as part of the Vision Approach to Implement the Clean Water Act 303(d) Program
and Clean Water Planning where phosphorus has been identified as a pollutant of priority
concern. Facilities within the priority watersheds, identified by the “Vision Approach” and other
mechanisms, will be incorporated in the EBPS priority list for individual SPDES permits and
published annually in accordance with TOGS 1.2.2. In these watersheds, this guidance should be
applied to all existing sanitary facilities with a design capacity ≥50,000 gpd. The Department
anticipates proposing modifications to these permits based on the existing treatment technology
employed by the facility with enhanced phosphorus removal achieved through chemical addition.
As summarized in Table 1, existing sanitary facilities discharging to at-risk or impacted waters,
should be given an effluent limitation of 1.0 mg/L for TP if they have secondary treatment and
0.5 mg/L for TP if they have tertiary treatment. Existing facilities undergoing significant
upgrades that are not otherwise triggered by this TOGS (i.e., are not expanding and are not
identified within a priority watershed), should consider the potential for future TP limitations in
their updated design. Additionally, these facilities will be assessed on a case-by-case basis to
determine if phosphorus reductions are needed in the receiving water in order to maintain that
waters best use. Should phosphorus impacts be determined, TP effluent limitations consistent
with this guidance, would be appropriate at the time of the upgrade.

(4) Sanitary discharges of >1 MGD within the basins of Lake Ontario and Lake Erie: All
sanitary SPDES permits for discharges >1 MGD within the basins of Lake Ontario and Lake Erie
should minimally be given an effluent limitation of 0.5 mg/L for TP, unless other provisions in
this guidance specify a more stringent limitation. This update replaces previously established

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Expanded means increased flow or increased phosphorus load to accommodate development activities.

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phosphorus guidance for discharges within these basins outlined in TOGS 1.3.3 and is consistent
with Annex 4 of the Great Lakes Water Quality Protocol of 2012.

Following implementation of this guidance, and as part of DOW’s broader adaptive management
strategy to reduce phosphorus pollution, phosphorus concentrations in receiving waters and the
biological response variables will continue to be evaluated periodically, at minimum through the
Department’s monitoring programs, to determine the effectiveness of this strategy. DEC’s Vision
Approach to Implement the Clean Water Act 303(d) Program and Clean Water Planning will
evaluate waterbodies and determine if additional controls are needed. That effort may result in
development of a Clean Water Plan and, subsequently, the Department may propose a permit
modification with more stringent phosphorus effluent limitations than defined herein, achieved
through additional phosphorus treatment.

Industrial SPDES discharges which have phosphorus content in their wastewater, should include
monitoring for TP at a minimum. If an industrial SPDES permittee discharges to an at-risk or
impacted water, a facility specific effluent limitation for TP should be developed to address the
industrial effluent characteristics. The effluent limitation should be based on sufficient existing
effluent data (i.e., 10 or more datapoints), best professional judgement, and TOGS 1.2.1. A
Special Condition to prohibit the use of phosphorus-containing chemicals where alternative low-
phosphorus or no-phosphorus chemicals exist may be necessary. New industrial SPDES
discharges to at-risk or impacted waters, should also demonstrate a no mass loading increase to
the receiving water for TP.

This guidance does not preclude the Department from proposing additional phosphorus
monitoring and/or effluent limitations for any facility where analysis determines they are a
significant source of concern and/or contamination. Technical assistance is available through the
Bureau of Water Resource Management and the Bureau of Water Assessment and Management
on all matters referred to in this guidance.

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Table 1. Phosphorus concentration effluent limitations and monitoring guidance (please see narrative for additional details)
Location of Discharge
Step 1 Step 2 Step 3
Discharge into: Discharge into: Discharge into:
• a lake; • a receiving water with <40:1 dilution* • a receiving
Type of Discharge • a lake watershed; or and not captured by the evaluation of water not
• the watershed of a flowing Step 1 captured by
water segment confirmed as the evaluation
stressed or impaired due to of Step 1 and
phosphorus on the WI/PWL Step 2
New SPDES
Chemical addition and filtration for P
Sanitary
removal1 and no demonstrated mass Chemical addition and filtration for P Enhanced P
Discharge+ to
increase or approved feasible removal1 removal5
address new
alternative
development
New SPDES
Sanitary Chemical addition and filtration for P
Chemical addition and filtration for P Enhanced P
Discharge+ to removal1 and no demonstrated mass
removal1 removal5
address existing increase
sources
Chemical addition and filtration for P Chemical addition and filtration for P
Expanded SPDES
removal1 and removal1 and Monitor3
Sanitary Discharge
no demonstrated mass increase no demonstrated mass increase
Existing SPDES Tertiary
Chemical addition
Sanitary Discharge treatment Chemical addition for P removal2 Monitor3
for P removal2
within Priority facility
Watershed Secondary
Chemical addition
treatment Chemical addition for P removal2 Monitor3
for P removal2
facility
Other4 Monitor3 Monitor3 Monitor3
* Dilution is calculated in accordance with SPDES permit writers guidance and includes consideration of 7Q10.
+
Pending soil evaluation and site condition investigation to ensure the appropriateness of the soil is required for facilities <10,000 gpd
1
New and Expanded Treatment Facility Effluent Limit – 0.2 mg/L with chemical addition and filtration
2
Existing Treatment Facility Effluent Limits -
Secondary Treatment Facilities - 1.0 mg/L limit with chemical addition with rapid and flocculation mix and settling.

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 Tertiary Treatment Facilities/Treatment Facilities discharging within the basins of Lake Ontario or Lake Erie - 0.5 mg/L limit with chemical addition.
3
Discharge monitoring of phosphorus and flow should be required to quantify phosphorus load to the watershed.
4
Other discharges include septic tanks followed by open or covered intermittent sand filters and similar small systems with a design capacity of <50,000 gpd.
5
New Treatment Facility Effluent Limit – 0.2 mg/L with enhanced P removal treatment (i.e., enhanced biological treatment)

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VII. Related Reference:
NYSDEC, 2014. New York State Design Standards for Intermediate Sized Wastewater
Treatment Systems. Division of Water, Albany, NY p. 269.