CLEAN WATER STATE REVOLVING FUND PROJECT FACILITY PLAN GUIDANCE

Water Protection Program fact sheet	06/2019
Division of Environmental Quality Director: Ed Galbraith	PUB2418

This document provides engineering consultants a comprehensive guide of the Department’s recommendations and requirements for an approvable facility plan for Clean Water State Revolving Fund (SRF) projects. Requirements are followed by the appropriate regulatory citation.

The facility plan must include sufficient detail to demonstrate that the proposed project meets applicable criteria. The data presented in the facility plan form the basis for the detailed design of the construction plans and specifications.

Facility plans must be approved by the Department prior to the submittal of plans and specifications, a construction permit application and associated fee(s). See 10 CSR 20-8.110(2)(A).

The following is a sample format for the required facility plan content:

Title Page (10 CSR 20-8.110(2).)
Include the following:

• Project Name.
• System Owner.
• Contact information.
• Submittal Date.
• Missouri registered professional engineer seal, signature and date.

Table of Contents
Identify the headers, figures, tables and appendices locations.

Introduction (10 CSR 20-8.110(4)(B))
Include the following:

• State the purpose for the project.
• Describe the existing system.
• Include an evaluation of the existing conditions and problems needing correction.
• Provide a summary of existing and previous local and regional wastewater facility planning documents, if applicable.
• Include any schedules of compliance, enforcement administrative orders or agreements.

Planning and Service Area (10 CSR 20-8.110(5)(A))
Provide a map or sketch that includes:

• The planning area.
• The existing and potential future service area.
• The site of the project.
• The anticipated location and alignment of proposed facilities.

Population Projection and Planning Period (10 CSR 208.110(5)(B))

• Base the present and predicted population on a 20-year planning period.
• Phased construction of wastewater facilities shall be considered in rapid-growth areas.
• Sewers and other facilities with a design life in excess of 20 years shall be designed for the extended period.

Existing Facilities Evaluation
Existing Collection System – Include:

• A brief inventory of the collection system (e.g., the approximate miles of gravity sewers and force mains, the number of pumping stations and related pumping station capacity).
• Inventory not required if the project is for a wastewater treatment facility only.
• For large collection systems, only discuss the collection system in the project’s drainage basin.
• Present the findings and recommendations of any inflow/infiltration (I/I) studies that have been conducted.
• Include a plan for the reduction and/or elimination of any sanitary sewer overflows (SSOs) occurring in the community.

Existing Wastewater Treatment Facility – Include:

• A detailed description of the existing wastewater treatment facility.
• An estimate of the hydraulic and organic loading capacity for the whole facility and each process unit.
• The age and condition of each process unit.
• Any problems at the current wastewater treatment facility and recommended solutions.
• A sketch or process diagram of the wastewater treatment facility.
• A copy of the current Missouri State Operating Permit, or MSOP.

Hydraulic Capacity Determination (10 CSR 20-8.110(3))
Use the following flow definitions as a basis for the design of sewers, pumping stations, wastewater treatment facilities, treatment units and other wastewater handling facilities:

• Design average flow –The average of the daily volumes to be received for a continuous 12-month period expressed as a volume per unit time. However, the design average flow for facilities having critical seasonal high hydraulic loading periods (e.g., recreational areas, campuses and industrial facilities) shall be based on the daily average flow during the seasonal period.
• Design peak hourly flow – The largest volume of flow to be received during a one-hour period expressed as a volume per unit time.

Existing Systems – Wastewater Design Flows: (10 CSR 20-8.110(3)(A))

• Use actual flow data to the extent possible.
• Evaluate accuracy of data and flow projections.
• Base projection on at least one year of flow data.
• Evaluate flow decreases due to I/I reduction
• Evaluate flow increases due to elimination of Sanitary Sewer Overflows and basement backups.
• Include graphical displays of critical wet weather flow data where applicable.
• Include one year of influent flow data for wastewater lagoon facilities.
  

 New Systems – Wastewater Design Flows: (10 CSR 20-8.110(3)(B)1) (10 CSR 20-8.110(3)(A)2)

• State the basis of flow estimates for the new system.
• Include flow from industrial, major institutional and commercial facilities.
• Flow estimates may be based on water use data when other sources of data are absent.
• Peaking factor is determined by Equation 110-1 in 10 CSR 20-8.110(3)(B)1.B.
• Peaking factor multiplied by the design average flow gives you the design peak hourly flow.
• Normal I/I for modern collection systems is included in the peaking factor.
• Evaluate I/I contributions from existing service lines when a new collection system will serve an existing development.
• Provide sufficient additional capacity for stormwater flows in interceptors serving combined sewers.
  

Organic Capacity Determination (10 CSR 20-8.110((5)(C))
Use the following organic load definitions as a basis for the design of wastewater treatment facilities:

• Biochemical Oxygen Demand – The five-day Biochemical Oxygen Demand (BOD₅) is defined as the amount of oxygen required to stabilize biodegradable organic matter under aerobic conditions within a five-day period.
• Total Five-Day Biochemical Oxygen Demand (TBOD₅) – Equivalent to BOD₅ and is sometimes used to differentiate carbonaceous plus nitrogenous oxygen demand from strictly carbonaceous oxygen demand.
• Carbonaceous Five-Day Biochemical Oxygen Demand (CBOD₅) – BOD₅ less the nitrogenous oxygen demand of the wastewater.
• Design Average BOD₅ – Generally the average of the organic load received for a continuous 12- month period for the design year, expressed as weight per day. However, the design average BOD₅ for facilities having critical seasonal high loading periods (e.g., recreational areas, campuses and industrial facilities) shall be based on the daily average BOD₅ during the seasonal period.
• Design Maximum Day BOD₅ – The largest amount of organic load to be received during a continuous 24-hour period, expressed as weight per day.
• Design Peak Hourly BOD₅ – The largest amount of organic load to be received during a one-hour period, expressed as weight per day.

Existing Systems – Organic Loading: (10 CSR 20-8.110(3)(A)3.)

• Make organic load projections from actual wasteload data when possible.
• Evaluate the accuracy of wasteload data projections.
• Document impacts of industrial waste load sources.

New Systems – Organic Loading: (10 CSR 20-8.110(3)(B)2)

• Identify all contributing parameters to the organic wasteload (e.g., BOD_5, etc.).
• Document the impacts of industrial sources.

Project Alternative Analysis (10 CSR 20-4.040(9)(A)1) & (10-CSR 20-8.110(5))

• Evaluate the most reasonable, environmentally sound and implementable wastewater management alternatives.
• Evaluation of three or more alternatives recommended.
• Include an evaluation of a no-discharge alternative.
• Evaluate a regionalization alternative.
• Consider centralized management of on-site wastewater systems in unsewered communities.
• Consider water and energy efficient alternatives.
• Include all alternatives considered, including no action.
• Provide a 20-year present worth cost analysis of capital and operation and maintenance costs for each alternative.
• Indicate the recommended alternative and give the reasoning for the selection.
• Include current user charge information.
• Include estimated future user charge needed to fund the proposed project and the basis for the estimate.
• Include an assessment of the environmental conditions and environmental impact of the proposed project.  

Detailed Alternative Evaluation: (10-CSR 20-8.110 (5)) & 10 CSR 20-8.110(6))

• Discuss proposed revisions to the existing or proposed collection system.
• Include discussion of the adequacy collection system areas not being changed by the project.
• Discuss wet weather flow capacity of proposed wastewater treatment facilities and collection systems.
• Include appropriate site evaluation information.
• Discuss the compatibility of the treatment process with the present and planned future land use.
• Include potential noise, odors, and air quality issues. Wastewater treatment facilities should be separate from habitation or any area likely to be built up within a reasonable future period.
• Identify zoning and other land use restrictions.
• Include an evaluation of the site’s accessibility and topography. Identify areas for future wastewater treatment facility expansions. Discuss flood protection. The facility should remain operational and accessible during a 25-year flood. Facility structures, electrical and mechanical equipment shall be protected from damage during a 100-year flood.
• Include geologic information - depth to bedrock, karst features and other geologic considerations of significance to the project
• Include a copy of Missouri Geological Survey (MGS) geological site evaluations for:
• New wastewater treatment facilities to indicate stream determinations (gaining or losing).
• Earthen basin structures to provide the geological site collapse and overall potential rating.
• Demonstrate adequate protection of groundwater.
• Identify public and private wells in the project area.
• Address the allowable setback distances between the wastewater facilities and drinking water sources.
• Determine soil type and suitability for construction and depth to normal and seasonal high groundwater.
• Submit a soil morphology analysis conducted by a qualified soil scientist for all subsurface soil dispersal systems.
• Identify the location, depth and discharge point of any field tile in the immediate area of the site.
• Include the present and known future effluent quality and monitoring requirements.
• Discuss access to the receiving stream for the wastewater treatment facility outfall.
• Include a preliminary assessment of site availability. (10 CSR 20-8.110(5)(E)6.N.)
• Discuss unit operation and preliminary unit process sizing and basis.
• Include a location drawing.
• Identify the project site.
• Include anticipated location and alignment of proposed facilities.
• Provide a preliminary flow diagram of treatment facilities, including all recycle flows.
• Discuss removal efficiencies.
• Provide estimated loadings to and removal efficiencies through each unit operation.
• Include total removal efficiencies and effluent quality (both concentrations and mass) for the facility.
• Discuss emergency operation requirements. (10 CSR 20-8.140(7)(A)).
• Identify any innovative or new technology used in the project.
• Discuss nutrient removal capabilities.
• Include the footprint available for expansion or treatment facility modifications necessary for future nutrient removal for each alternative.
• Provide a discussion of biosolids handling, and disposal or reuse.
• Include biosolids handling costs in the facility operations and maintenance costs.
• Discuss compliance with 10 CSR 20-8.170 and Special Conditions Part II of the applicants’ Missouri State Operating Permit.
• Include a plan for the method and level of treatment to be achieved during construction. This plan must be approved by the Department and included in the plans and specifications.
• Identify the expected water quality effluent limits the proposed facility will have to meet.as determined by the Department (10 CSR 20-7.015) (10 CSR 20-7.031) and (10 CSR 20-4.040(9)(A)1)).
• Include copies of any Antidegradation Review Reports (10 CSR 20-7.031(3)), Water Quality Antidegradation Review determinations by the Department and any special water quality studies completed by or on behalf of the applicant. More information concerning the antidegradation review process is available online at www.dnr.mo.gov/env/wpp/permits/antideg-implementation.htm.

Recommended Project Alternative Summary and Justification
Summarize the recommended alternative.

Provide the following project costs with an estimation of how long these costs are applicable for the recommended project:

• Construction.
• Engineering.
• Land.
• Legal.
• Administrative costs.
• Operation and maintenance.

Provide a discussion of the proposed project funding methods.

Environmental Review
The environmental review ensures that the proposed project complies with applicable local, state and federal environmental laws and rules. No financial assistance will be provided until a final environmental determination is made.

The proposed project can demonstrate a need for a categorical exclusion (CE or CATEX), or a finding of no significant impact (FONSI) environmental assessment. Environmental information must be supplied to the Department in order for the environmental determination to be made.

CATEX
For projects seeking a Categorical Exclusion – the following documentation is to be submitted to the Department:

• A brief complete description of the proposed project and its costs.
• A statement indicating that the project is cost-effective and the applicant is financially capable of constructing, operating and maintaining the facilities. (10 CSR 20-4.050(4)(A)2.)
• A plan map(s) of the proposed project showing:

• The location of all construction areas.
• The planning area boundaries.
• Any known environmentally sensitive areas. (10 CSR 20-4.050(4)(A)3).

FONSI
Projects which do not meet the criteria for a CATEX must submit an environmental information document (EID) to the Department. The EID will be used to make a FONSI environmental determination. (10 CSR 20-4.050(4)(B)). At a minimum, the EID shall contain the following:

• Purpose and need for the project.
• Information describing the current environmental setting of the project and the future. environmental setting without the project.
• The alternatives to the project as proposed.
• A description of the proposed project.
• The potential environmental impacts of the project as proposed, including those which cannot be avoided.
• The relationship between the short-term uses of the environment and the maintenance and enhancement of long-term productivity.
• Any irreversible and irretrievable commitments of resources to the proposed project.
• Proposed mitigation measures to minimize the environmental impacts of the project.
• A description of public participation activities conducted, issues raised, and changes to the project which may be made as a result of the public participation process.
• Documentation of coordination with appropriate governmental agencies.

The clearance letters from the following agencies are required for a FONSI. If any of these clearance letters are deemed unnecessary, provide justification.

Historic Preservation:
Missouri Department of Natural Resources State Historic Preservation Program
P.O. Box 176 Jefferson City, MO 65102 800-361-4827
www.dnr.mo.gov/shpo/index.html

Missouri Federal Assistance Clearinghouse:
Office of Administration Missouri State Capital Building, Room 125
P.O. Box 809 Jefferson City, MO 65101 573-751-0337
content.oa.mo.gov/commissioners-office/federal-assistance-clearinghouse

Division of State Parks:
Missouri Department of Natural Resources Division of State Parks
P.O. Box 176 Jefferson City, MO 65102 800-334-6946
www.mostateparks.com

Missouri Geological Survey:
Missouri Department of Natural Resources Geological Survey
P.O. Box 250 Rolla, MO 65401 800-361-4827
www.dnr.mo.gov/geology/index.html

Missouri Department of Conservation:
P.O. Box 180 Jefferson City, MO 65102 573-522-4115
mdc.mo.gov

U.S. Fish and Wildlife Service:
Missouri Ecological Services Office 101 Park DeVille Drive Suite A
Columbia, MO 65203 573-234-2132
www.fws.gov

Corps of Engineers District Office:
The State of Missouri is divided between three different U.S. Army Corps of Engineers Districts: the Omaha District, the Kansas City District, and the Little Rock District. The district boundaries and addresses for the appropriate district office can be found online at www.swt.usace.army.mil/locations.aspx.

Public Participation
Projects seeking SRF funding must conduct public participation to allow the public an opportunity to provide input during the project development. A public hearing to discuss the estimated user charge rate is required. An environmental impact public hearing or meeting is required for projects receiving a FNSI determination from the Department.

Most recipients elect to hold the public meeting and public hearings on the same date for ease of coordination. Note that the public meeting and hearings are separate events and must be opened and closed in an official manner. If a recipient elects to advertise the public meeting and hearings together, each must be addressed separately with specific beginning times.

Estimated User Charge Rate Public Hearing
(10 CSR 20-4.040(14)(B)) Conduct a public hearing to discuss the proposed user charge rates and how they were derived. This public hearing shall be publicized with a public notice at least 30 days prior to the hearing date. Provide documentation of the public notice. The applicant shall prepare a transcript, recording or other complete record of the public hearing for Department review.

At a minimum, the following information should be presented during the public hearing:

• Outline how the applicant will finance the costs of the recommended project.
• Discuss what additional costs will result from the project.
• Discuss the estimated user charge rates that will be necessary to fund the project.
• Discuss when any increases will go into effect.

Environmental Impact Public Hearing or Meeting (10 CSR 20-4.050(4)(B)2)
Conduct a public hearing or meeting to discuss the environmental impacts of the proposed project. This public hearing or meeting shall be advertised in a local newspaper of general circulation at least 30 days prior to the hearing date. Provide the publisher’s affidavit as documentation of the public notice. A meeting record of the public hearing or meeting must be provided for Department review. Any written or verbal testimony and the recipient’s responses to the issues raised must be recorded in the meeting record. Include with the meeting record, a list of all attendees with addresses. This meeting must be conducted prior to the FONSI determination and facility plan approval.

At a minimum, the following information should be presented during the public hearing:

• Discuss how the project will impact wetlands, floodplains, threatened or endangered species, cultural resources, prime farmland, public lands and parks.
• Discuss how the proposed project may impact the development pattern of the area.
• Discuss the environmental clearances requested from coordinating agencies.
• Discuss the impact on personal property such as driveways, trees and easements.
• Discuss the impact on water quality and air quality.