Guidelines for the Preparation of Facilities Plans and Environmental Reports for Community Wastewater Projects

Financed by: The State of Oregon: Oregon Department of Environmental Qualitys (ODEQ) Clean Water State Revolving Fund Oregon Economic and Community Development Departments (OECDD) Community Development Block Grant (CDBG), Water\Wastewater Financing Program (WW) and Special Public Works Fund Program (SPWF) The Federal Government: U.S.D.A - Rural Utilities Services (RUS), Water and Waste Loan and Grant Program Non-Profit: Rural Community Assistance Corporation (RCAC) This document was prepared as a cooperative effort between: n n n n n n ODEQ Department of Land Conservation and Development (DLCD) Oregon Water Resources Department (OWRD) OECDD U.S.D.A. - RUS and RCAC November 12, 1999

Authority
This guidance document was developed in a cooperative process and is executed as an official document of each of the following funding agencies: Oregon Department of Environmental Quality, Water Quality Program staff and managers Oregon Economic and Community Development Departments Block Water/Wastewater and Special Public Works Fund Program staff and managers U.S.D.A. - Rural Utilities Services program staff and management Rural Community Assistance Corporation staff Grant,

This document has been publicly reviewed through the ODEQs Clean Water State Revolving Fund, OECDDs Block Grant, Water/Wastewater and Special Public Works Fund programs and RUS programs as it is incorporated into the Procedures Manual of those programs.

Oregon Department of Environmental Quality Name and Title

Date

Oregon Economic and Community Development Department Name and Title

Date

Rural Utilities Services Name and Title

Date

Rural Community Assistance Corporation Name and Title

Date

Table of Contents

Page Introduction ......................................................................................................................... 1 Review Responsibility ........................................................................................................ 2 Consistency with Comprehensive Land Use Plans ............................................................ 2 When is a Facilities Plan and Environmental Documentation Required? ........................ 3 Benefits of the Facilities Planning Process ........................................................................ 4 Determining What Level of Facilities Plan is Needed ....................................................... 4 Guidelines for Planning Simple Projects ........................................................................... 5 Guidelines for Planning Complex Projects ........................................................................ 5 A Nine-Point Scope of Work ............................................................................................. 5 Water Quality Regulations for Facilities Planning ............................................................ 8 Review Process for Wastewater Facilities Plans ............................................................... 9 Updating Facilities Plans .................................................................................................... 9 Phased and Incremental Projects ........................................................................................ 9 Definitions......................................................................................................................... 10 Appendices Appendix A - DEQ Regional Water Quality Engineers and Compliance Staff,Clean Water State Revolving Loan Fund Project Officers and DLCD staff ........................................... 11 Appendix B - State and Federal Funding Staff .......................................................... 13 Appendix C - Facilities Plan Outline ......................................................................... 15 Appendix D - Financial Information Guideline ......................................................... 19 Appendix E - Environmental Documentation Outline .............................................. 21 Appendix F - OWRD Registration and Staff ............................................................. 25

Guidelines for the Preparation of Facilities Plans and Environmental Reports for Community Wastewater Projects

Introduction Oregons cities and public wastewater utility districts often need financial help in the form of grants and loans to upgrade and maintain services. Publicly owned wastewater utilities in Oregon have four sources of public funds for grants and loans available to them for the planning, design and construction of wastewater systems. This document is intended to assist you in the preparation of facilities plans and environmental reports that meet the requirements of these potential funding and regulatory agencies. The funding agencies are the ODEQ, OECDD, USDA-RUS, and the RCAC. The DEQ administers the Clean Water State Revolving Fund (CWSRF) providing low interest loans to public agencies for planning and environmental studies, design and construction of wastewater facilities; and for non-point source and estuary water pollution control projects. The OECDD administers both the Federal Housing and Urban Development Community Development Block Grant program (grant) and the Oregon Lottery funded Water/Wastewater Financing and Special Public Works Fund programs (grant/loan). These programs can finance planning and environmental studies, design and construction of public wastewater systems. The RUS administers several loan and grant programs focused on constructing and upgrading needed public and private non-profit utility systems, including wastewater systems in small rural communities of less than 10,000 in population. The RCAC is a Community Development Financial Institution (CDFI) designated by the U.S. Department of Treasury to provide low interest loan for projects, and provides technical assistance with USDA Rural Utilities Services and US Environmental Protection Agency (EPA).

Each of these agencies have similar documentation requirements for facilities planning and environmental analysis. All programs that use federal funds are required to comply with the National Environmental Policy Act (NEPA). Environmental documentation on projects funded with federal funds is required. All funding agencies require both planning and engineering reports of various types, including facilities plans. These reports must be reviewed and approved by the DEQ and participating agencies before engineering design and construction grant and loan funding from any agency will proceed. These guidelines are intended to provide the community with a set of instructions that, when followed, will result in a facilities plan and the associated environmental documentation that meet all funding agencies administrative requirements. The development and approval of a facilities plan and the associated environmental documentation are the first steps of a process to complete a wastewater project.

Guidelines for the Preparation of Facilities Plans and Environmental Reports 11/12/99

Page 1

Review Responsibility DEQ is responsible for final review and approval of all facilities plans and engineering documents. Each participating agency will review and approve those portions of the facilities plans specific to their needs. However, prior to commencing construction on any waste collection, treatment, disposal, or discharge facilities for which a permit is required by OAR 340-045-0015, detailed plans and specifications must be submitted to and approved in writing by the DEQ as required by ORS 468B.055 and OAR, Division 052, Review of Plans and Specifications. A Wastewater Facilities Plan is a comprehensive document that examines the existing system, identifies all problems and describes viable alternatives. It evaluates all viable alternatives and describes the selected alternative for implementation. It addresses the entire wastewater system from collection to discharge. The DEQ relies on these documents to write wastewater facilities permits, and to review proposed sewage works engineering designs. Simple projects may require as little as a pre-design report or feasibility study and may require little time to complete. Complex projects will require a comprehensive facilities plan with several engineering evaluations and may take a year or longer to complete. When the source of construction funding is federal, an environmental report is required. A list of applicable regulations and a description of the DEQs review process is included following the facility planning guidelines. It is recommended that any local community considering a wastewater project contact the DEQ regional office CWSRF staff and potential funding agencies during the initial steps of project identification to determine what level of study will be appropriate for the project. Appendix A lists the DEQ engineering, compliance and Clean Water State Revolving Fund staff and their phone numbers. Refer to Appendix A and B for lists of agency contact persons. Consistency with Comprehensive Land Use Plans Facilities plans and decisions to fund projects must be consistent with locally adopted comprehensive land use plans and development regulations in compliance with State wide planning goals acknowledged by the Oregon DLCD. Urban levels of wastewater collection and treatment services are permitted within the following areas: Urban growth boundaries, Urban unincorporated community boundaries, Areas for which an exception to Statewide Planning Goal 11 has been taken, and Areas with a documented health hazard which require urban services.

Also, wastewater treatment and transmission facilities may be allowed outside of these areas if they do not allow service connections to adjacent properties (see OAR 660-033-0130(16)). When more than one provider exists in an area, plans will include a policy or an intergovernmental agreement which designates the service area of each provider.

Page 2

Guidelines for the Preparation of Facilities Plans and Environmental Reports

For areas within urban growth boundaries or unincorporated community boundaries with a population greater than 2,500, comprehensive land use plans include a list of significant public facility projects. For large projects such as treatment plant expansions or primary sewer lines which are not on the adopted list in the comprehensive land use plan, the comprehensive land use plan, should be amended before the new project can be approved (see OAR 660-011-0045). In addition, local plans include 20-year forecasts of population, housing and employment. These forecasts are the fundamental assumptions for projecting future development and the need for public facilities. Updates to the 20-year forecasts must be coordinated with the applicable city, county and state agencies. Please contact DLCD Regional Representatives (listed in Appendix A) for more information about consistency with local comprehensive plans and compliance with the Statewide Planning Goals. When is a Facilities Plan and the Associated Environmental Documentation Required? Projects that are financed through state or federal agencies may require a facilities plan and environmental report as a condition of the funding. The complexity of a project will affect the level of facilities plan and environmental analysis necessary. A project for a major upgrade to the wastewater treatment plant should always include a facilities plan. Minor modifications may only need an engineering pre-design report. Each financing agency requires specific elements in the planning and environmental documents. Appendices A and B list many of the state and federal funding agencies with the contact persons who can provide information on the specific requirements of that program. In some instances, a facilities plan may also be required as a condition in a wastewater discharge permit, a Mutual Agreement and Order (MAO) or a similar regulatory document between the community and DEQ. Whenever a public wastewater facility is built, enlarged, repaired or changed the DEQ needs to issue a new or modified pollution discharge permit for that facility if it results in an increased discharge of waste or changes the character of the waste being discharged. When discharge permits are revised or new discharge permits issued, the documentation necessary for DEQ to review the design and determine how the wastewater facilities permit should be modified usually comes from the wastewater facilities plan.

Guidelines for the Preparation of Facilities Plans and Environmental Reports 11/12/99

Page 3

Benefits of the Facilities Planning Process A Facilities Plan . . . Serves as an educational tool for the public, community decision makers, state and federal funding and regulatory agencies. Demonstrates how the proposed project is a cost effective and environmentally sound alternative. Can serve as the National Environmental Policy Act (NEPA)-like decision document to meet environmental review requirements. Documents, investigates and addresses environmental and regulatory issues associated with the specific project. Serves as a guide for the design engineer by presenting engineering design criteria, process type and extent, potential site locations, and budget. Provides the research, data collection, and analysis necessary for DEQ to develop the necessary NPDES/WPCF permit. Shows how the cost of facility improvements, maintenance and operations will be paid, examines current user rates for adequacy, and projects when and where rate increases are necessary. A Facilities Plan Is Not . . . A guide for sizing the gross hydraulic capacity of sewers and pump stations in relation to zoning and ultimate land use density build out, as would be found in a wastewater management master plan portion of the jurisdictions comprehensive land use plan. A wastewater management master plan, defining organizational arrangements or the division of jurisdictions or responsibilities among various wastewater systems or agencies. An operations and maintenance manual (O&M) for the system. Part of a master plan, as may be prepared for identifying, prioritizing and scheduling the communities infrastructure needs. A term generally used for non-wastewater facilities. Determining What Level of Facilities Plan Is Needed Guidance concerning the degree of detail in preparation of a Wastewater Facilities plan should, in all cases, be obtained from the proposed funding agencies and DEQ prior to beginning preparation of the document. To assist with this process, a joint meeting at the project site involving the

Page 4

Guidelines for the Preparation of Facilities Plans and Environmental Reports

applicant, the proposed funding agencies and DEQ is highly recommended.

Guidelines for the Preparation of Facilities Plans and Environmental Reports 11/12/99

Page 5

Guidelines for Planning Simple Projects Projects of extremely limited scope do not need facilities planning and generally qualify for a Categorical Exclusion under the National Environmental Policy Act (NEPA). Projects having no significant impact on the environment, either individually, cumulatively over time, or in conjunction with other actions; and would generate no change on the upstream or downstream function of the wastewater treatment facilities or the receiving waters can be defined as categorically excluded from NEPA review. These projects include minor rehabilitation of existing facilities, replacement of equipment, and construction of related facilities that do not affect the degree of treatment or the capacity of the system. Some examples are: changing from chlorine gas disinfection to hypochlorite solution; adding de-chlorination, odor controls, a sludge thickener, and inflow and infiltration correction. You should consult with funding agency staff to make this determination. A reduced level of planning is adequate in most of these situations to analyze the permitting issues and for technical review of the design. A copy of the engineers feasibility study or pre-design report, along with a photocopy of rough calculations and equipment cut-sheets, will usually suffice to provide information for DEQs review. Guidelines for Planning Complex Projects Complex projects for new or significantly expanded or modified wastewater facilities require a comprehensive facilities plan whether they are completed in a single step or phased over several years. A community wastewater facilities plan (usually called a facilities plan or engineering evaluation) is defined in the Oregon Administrative Rules (OAR Division 52) as a systematic evaluation of environmental factors, engineering alternatives and financial considerations affecting a proposed project area. Details of a comprehensive facilities plan are described in the next section. See the section on Phased and Incremental Projects for additional requirements if a complex project will be built in phases. The Facilities Plan and Environmental Documentation - A Nine-Point Scope of Work A basic nine-point scope of work for development of a comprehensive wastewater facilities plan is described in this section. If all nine points are adequately addressed, the funding agencies will be able to endorse the plan. A sample outline of a comprehensive wastewater facilities plan is provided in Appendix C. Within the facilities plan, use a consistent format in order to provide ease in locating the information and to assure that all of the minimum requirements are included. 1. A statement of purpose, background, and need for the wastewater facilities planning being undertaken. Also demonstration of consistency with the applicable city and/or county comprehensive land use plan. 2. A definition of the planning study area. The study area should include the entire service area, such as an urban growth boundary or service district boundary.

Page 6

Guidelines for the Preparation of Facilities Plans and Environmental Reports

3. A technical description and evaluation of all wastewater collection, treatment and disposal facilities in the study area. This section should identify all known problems in the system along with the data, research and analysis techniques used to identify the extent, location and type of problem. This inventory of problems may include many items that are unrelated to the proposed project. Completing this inventory may require studies and tests and may take a considerable period of time to complete depending upon the type of problems identified, and the operation and maintenance records available. With respect to pump stations and treatment works, descriptions and evaluations should be sufficiently detailed to meet current DEQ guidelines for design reports. Contact the DEQ Regional Staff for assistance or to obtain these guidelines. With respect to effluent discharges to surface waters, a computer model is often necessary to document dilution and toxicity impacts downstream from the outfall. Supporting information and analysis on the receiving stream should be included to insure that the selected alternative can be permitted. A complete analysis with diagrams and selected photographs may be warranted. Accurate flow data must be collected and included in sufficient detail to support an informed choice of alternatives, and to provide enough data for the development of a discharge permit. A discussion of overflows must be detailed. Flow meters should be calibrated and all flows to and from the plant and from overflow points should be monitored for a minimum of one year.

4. A projection of the future wastewater flows and waste loads is required. The planning period is normally twenty (20) years from completion of construction. Flow projections need to include a probability analysis of peak flows based on DEQ flow-projection guidelines. Projections need to be consistent with applicable city and/or county comprehensive plans; if such plans are out of date they may need to be amended to incorporate the new information. 5. A discussion of the regulatory requirements that must be met by all viable alternatives is necessary. These include regulations pertaining to surface and storm water discharges, erosion control, effluent reuse, groundwater, sludge management, and wetland or waterway impacts. Specific regulations are cited below under Water Quality Regulations for Facilities Planning. Also, this discussion needs to include a determination of whether each alternative is permitted by the local comprehensive plan and development regulations (zoning) and what, if any conditions or limitations are required. 6. A general description of all viable alternatives and a description of the alternative selection process is key to the planning process. A description of the recommended alternative in detail is necessary. Effectiveness and reliability in meeting the regulatory requirements discussed in step five above needs to be documented. A detailed technical description and cost estimate needs to be included. If the recommended alternative is a significant project which is not included in the list of public facility projects in the applicable city and/or county comprehensive plan, an amendment to the comprehensive plan may be necessary. This requirement applies to

Guidelines for the Preparation of Facilities Plans and Environmental Reports 11/12/99

Page 7

urban growth boundaries or unincorporated communities with a population greater than 2,500.

Page 8

Guidelines for the Preparation of Facilities Plans and Environmental Reports

7. Technical descriptions in facilities plans should meet DEQ guidelines for pre-design engineering reports. Adequate details about individual components and processes must be presented for all proposed facilities. The level of detail must be sufficient for an engineer who was not involved in the report to produce plans and specifications for the construction of the same facility that was envisioned by the report writers, without changes to process sizing or arrangement Any major decisions on equipment, layout, sizing, or process that are being deferred to a separate pre-design report or which are being postponed until the preliminary design phase should be identified. 8. Analysis of financing options for the preferred alternative and competitive alternatives, and a viable financing plan for construction, long-term operations and maintenance, and replacement is a necessity. Operational financing plans should include a projection of sewer use charges for residential, commercial and industrial users of the system. DEQ relies on this information to verify adequacy of the financing plan. A guideline for the financing analysis is included in Appendix D. All projects with estimated costs in excess of ten (10) million dollars will be required to perform a value engineering study after engineering design and prior to starting construction. 9. Documentation of environmental concerns involves the identification of any factors of special significance at the construction site (particularly if it is undisturbed), including historic, cultural, archeological, socio-economic or biological factors. If the site is of special significance, the responsible agency should be identified, and any avoidance, mitigation or protection actions that have been planned or implemented should be discussed. This information is required to assure compliance with goals five, seven and eleven of Oregons Statewide Planning Goals and Guidelines of the DLCD, and is required to assure compliance with the National Environmental Policy Act (NEPA). An in-depth outline of an environmental report that will meet the requirements of all financing agencies is presented in Appendix E.

Guidelines for the Preparation of Facilities Plans and Environmental Reports 11/12/99

Page 9

Water Quality Regulations for Facilities Planning Wastewater facilities planning needs to be performed with reference to the following water quality regulations: Non-discharging alternatives (alternatives that do not discharge to waters of the state) have priority pursuant to OAR 340-41-026(5). If an existing surface water discharge is proposed to be expanded, or a new one is proposed, the facilities plan should demonstrate why nondischarging alternatives are unreasonable. New sources of wastewater discharge must meet specific criteria outlined in OAR 340-41026(3)(a). These criteria should be addressed in the facilities plan. The facilities plan advocating a new or expanded discharge must demonstrate that in-stream water quality standards will not be violated as a result of the proposed discharge. These standards have been established in OAR 340-41. Effluent quality must be consistent with the minimum design criteria listed in OAR 340-41 and the federal secondary treatment standards listed in 40 CFR, Part 133. Components of existing or proposed sewage works must be evaluated to determine their impacts on groundwater quality. Examples include sludge storage ponds, wastewater treatment lagoons, constructed wetlands, irrigation disposal systems, and drainfields. If the evaluation indicates that there is potential for adverse impact, a groundwater protection program is required by OAR 340-40. Re-use of treated effluents must conform with the reclaimed water standards presented in OAR 340-55. If re-use of treated effluent is anticipated for irrigation purposes an OWRD registration must be completed. A copy of the form is included in Appendix F. The community or District needs to contact the Oregon Water Resources Department about any additional requirements their Department may have. Staff contact names and telephone numbers are included in Appendix B. Biosolids management must comply with the provisions of OAR 340-50 and the current federal sludge management regulations.

Page 10

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Review Process for Wastewater Facilities Plans A draft facilities plan should be submitted for review and comment by DEQ and participating funding agencies. Allow 30-90 days for comment. Ongoing agency involvement and review throughout the process greatly expedites subsequent approval of project plans and specifications, so this is not lost time. Past experience in the review of facilities plans and engineering reports in draft form indicates project completion is not usually delayed as a result of these reviews. Depending on the number of agencies involved and the complexity of the project 3 to 15 copies of the documentation may be needed for concurrent review. For ease in reviewing and amending the document and to conserve resources, use of a three ring binder system with printing on both sides is adviseable. Updating Facilities Plans Facilities plans should be updated every fifteen to twenty years as a community grows and treatment equipment wears out or reaches design capacity. Updates need not re-examine or reanalyze collection system facility planning that was approved by DEQ within the previous five years unless there have been sewer overflows. However, an update is necessary if the storm severity causing summer-time overflows is less than a five-year storm, or if the severity causing winter-time overflows is less than a ten-year storm. The update should include pump station inflow and infiltration aspects. Inflow should be distinguished from infiltration and separately quantified. The study phase of all treatment plant expansion projects should involve some re-evaluation of pump station and interceptor reliability and conveyance capacity, with particular attention to updating overflows and alarms upstream from the plant headworks. Phased and Incremental Projects Projects that are completed as a series of incremental wastewater treatment system expansion projects, shall be described in a wastewater facilities plan. A phased facilities plan will address the wastewater needs of the larger community area over a 20 or more year planning period, and describe a implementation program to meet those needs as they develop. DEQs review of phased or incremental projects attempts to verify consistency with the approved facilities plan; and adequacy, effectiveness, reliability, and operational aspects with reference to the overall plan and the existing facilities. Such reviews generally require no more than a copy of the relevant parts of the overall plan, an engineering report on the project, and an updated description of existing facilities, particularly with respect to design data. Proposed projects that are not within the scope of the original or amended phased facilities plan, will require the development of an amendment to the plan and associated environmental documentation.

Guidelines for the Preparation of Facilities Plans and Environmental Reports 11/12/99

Page 11

Definitions CDFI - Community Development Financial Institution CWSRF - Clean Water State Revolving Fund ODEQ - Oregon Department of Environmental Quality DLCD - Department of Land Conservation and Development EA - Environmental Assessment EDU - Equivalent Dwelling Unit ER - Environmental Report EPA - Environmental Protection Agency NEPA - National Environmental Protect Act NPDES - National Pollutant Discharge Elimination System Permits OAR - Oregon Administrative Rule OECDD - Oregon Economic and Community Development Department O&M - Operation and Maintenance OMR - Operation, Maintenance and Replacement ORS - Oregon Revised Statutes OWRD - Oregon Water Resources Department RCAC - Rural Community Assistance Corporation RUS - Rural Utilities Service STP - Sewage Treatment Plant USDA - United States Department of Agriculture WPCF - Water Pollution Control Facility permit

Page 12

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix A

DEQ Regional Water Quality Engineers and Compliance Staff and Clean Water State Revolving Fund Project Officers and Engineers Eastern Region Hood River LakeCounty County Jefferson Malheur County County Klamath Morrow County County

BakerCounty CrookCounty Deschutes County

Gilliam County GrantCounty Harney County

Sherman Wallowa County County Umatilla WascoCounty County UnionCounty Wheeler County

Water Quality Engineer CWSRF Staff: Project Officer Project Engineer

Walt West..................... (541) 388-6146 ext. 232 Al Murrey ..................... (541) 889-7553 ext. 267 Walt West..................... (541) 388-6146 ext. 232

Clackamas County

Clatsop County

Northwest Region Columbia Multnomah County County

Tillamook County

Washington County

Water Quality Sr. Engineer WQ Compliance Staff CWSRF Staff Project Officer Project Engineer

David Mann.................. (503) 229-5310 Lyle Christensen........... (503) 229-5295 Ron Chaitoff................. (503) 229-6041 Richard Santner ............ (503) 229-5219 Garry Sage .................... (503) 229-5690 Western Region Jackson LaneCounty County Josephine Lincoln County County

Benton County CoosCounty

CurryCounty Douglas County

LinnCounty Marion County

PolkCounty Yamhill County

Water Quality Sr. Engineer WQ Compliance Staff

Tim McFetridge ........... (503) 378-8240 ext. 235 Julie Berndt .................. (541) 686-7838 ext. 234 Robert Dicksa ............... (503) 378-8240 ext. 246 Mark Hamlin ................ (503) 378-8240 ext. 239 Paul Kennedy ............... (541) 440-3338 ext. 228 Nick McKibbin ............ (541) 440-3338 ext. 229 Joseph Edney................ (541) 686-7838 ext. 237

CWSRF Staff Project Officer

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 13

Appendix A

Project Officer Project Engineer Project Engineer

Jaime Isaza ................... (541) 686-7838 ext. 233 Francis Dzata................ (541) 686-7838 ext. 238 Jon Gasik ...................... (541) 776-6010 ext. 230

Page 14

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix A

DLCD Field Offices and Regional Representatives Portland Meg Fernekees ...........................................................(503) 731-4065

Bend Laren Woolley (Urban areas) .....................................(541) 388-6424 Jon Jinings (Rural areas) ............................................(541) 388-6424

Salem Dale Jordan (North Coast) ......................................... (503) 373-0050 ext. 262 Dave Perry (South Coast) .......................................... (503) 373-0050 ext. 267 Mel Lucas (Willamette Valley rural areas) ................ (503) 373-0050 ext. 256 Mark Radabaugh (Willamette Valley urban areas) ... (503) 373-0050 ext. 224

Medford Jeff Griffin .................................................................(541) 858-3152

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 15

Appendix B State and Federal Funding Staff

Oregon Economic and Community Development Department Community Development Block Grant Program Water/Wastewater Financing Program Special Public Works Fund Program and Oregon Bond Bank Northwest Region Clackamas County Clatsop County Columbia County Hood River Multnomah County County Tillamook County Washington County

Janet Hillock ............................................................. (503) 229-5625 ext. 226 David Kim ................................................................. (503) 229-5625 ext. 229

Valley/Mid-Coast Region Benton County LaneCounty LinnCounty Marion County PolkCounty Yamhill County

Mary Baker................................................................ (503) 986-0132 LincolnCounty Mike Shadbolt ........................................................... (503) 986-0191 Southwest Region CoosCounty CurryCounty DouglasCounty JacksonCounty JosephineCounty Ed Wait ..................................................................... (503) 986-0242 Central Region Crook Deschutes Klamath County County County Lake County Jefferson County Gilliam Sherman Wasco County County County Wheeler County

Laird Bryan ............................................................... (503) 986-0138 Eastern Region Baker County Grant County Harney County Malheur County Morrow County Umatilla County Union County Wallowa County

Page 16

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix B State and Federal Funding Staff

Del Little ................................................................... (503) 986-0133 Vicki Goodman ......................................................... (503) 986-0261

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 17

Appendix B State and Federal Funding Staff

USDA - Rural Utilities Service, Water and Waste Loan and Grant Program Portland Office Clatsop County Columbia County Hood River County Sherman County Tillamook County Washington County Wasco County

David Force ............................................................... (503) 414-3327 Suzanne Fitzgerald .................................................... (503) 414-3330

Pendleton Office Baker County Grant County Gilliam County Harney County Malheur County Morrow Umatilla County County Union County Wallowa County

Paul Kershisnik ......................................................... (541) 278-8049 Collen Hewes ............................................................ (541) 278-8049

Salem Office Marion County Clackamas County Multnomah County PolkCounty Lincoln County Yamhill County

Forrest Peck............................................................... (503) 399-5751

Eugene Office Lane County Linn County Benton County Crook County Deschutes County Klamath County Lake County

Ken Durrell ............................................................... (541) 465-6850 Pamela Swires ........................................................... (541) 465-6850

Roseburg Office CoosCounty CurryCounty DouglasCount JacksonCount y y Jefferson County JosephineCou nty

Clem Singer............................................................... (541) 673-0136

Page 18

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix C Facilities Plan Outline

Wastewater Facilities Plan Outline 1. Executive Summary 2. Introduction, Purpose and Need 3. Study Area Characteristics (Incorporation of Appendix E Environmental Document Outline will meet the requirements of all financial assistance programs for funding) 3.1 Study Area 3.2 Physical Environment 0.1 Climate 0.2 Soils 0.3 Geologic Hazards 0.4 Public Health Hazards 0.5 Energy Production and Consumption 0.6 Water Resources 0.7 Flora and Fauna 0.8 Air Quality and Noise 0.9 Environmentally Sensitive Areas 0.10 Land Use Issues 3.3 Socio-Economic Environment 0.1 Economic Conditions and Trends 0.2 Population 0.3 Population growth projections 3.4 Land Use Regulations 0.1 City or County Comprehensive Plan 0.2 City or County Zoning Ordinance 0.3 Intergovernmental Agreements 4. Existing Wastewater Facilities 4.1 Wastewater Conveyance System 0.1 Wastewater Plant, Influent Pump Station 0.2 Conveyance System Pump Stations or Lift Stations 0.3 Status of Conveyance System 4.2 Wastewater Treatment Plant 0.1 Plant History 0.2 Plant Design 0.3 Plant Operations 0.4 Unit Performance and Deficiencies

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 19

Appendix C Facilities Plan Outline

5. Wastewater Characteristics 5.1 Wastewater Volume 0.1 Dry Weather Flow 0.2 Wet Weather Flow 0.3 Infiltration and Inflow 0.4 Summary of Existing Flows 5.2 Wastewater Composition 0.1 Analysis of Plant Records 5.3 Unit Design Factors 0.1 Wastewater Flows 0.2 Wastewater Composition 5.4 Projected Wastewater Characteristics 6. Basis of Planning 6.1 Basis for Design 0.1 Regulatory Requirements 0.2 Effluent Quality 0.3 Treatment Effectiveness 0.4 Plant Reliability Criteria 0.5 Design Concepts and Constraints 6.2 Basis for Cost Estimate 0.1 Construction Costs 0.2 Contingencies 0.3 Engineering 0.4 Legal and Administrative 6.3 Water Quality Impact 0.1 Background Data on the receiving stream 6.4 Water Balance Analysis of any Wastewater Treatment Impoundments 6.5 Design Capacity of Conveyance System and Wastewater Treatment Plant 0.1 Conveyance System 0.2 Wastewater Treatment Plant Facilities 0.3 Seasonal Land Irrigation

Page 20

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix C Facilities Plan Outline

7. Development and Evaluation of Alternatives 7.1 Conveyance System Alternatives 0.1 Basic Alternatives 0.2 Selection 7.2 Wastewater Treatment Plant Liquid Stream Treatment Alternatives 0.1 Basic Alternatives 0.2 Selection 7.3 Disinfection Alternatives 0.1 Basic Alternatives 0.2 Selection 7.4 Effluent Disposal Alternatives 0.1 Wet Season Alternatives 0.2 Selection 0.3 Dry Season Alternatives 0.4 Selection 7.5 Biosolids Management 0.1 Biosolids Stabilization Alternatives 0.2 Selection 0.3 Ultimate Use and Disposal Alternatives 0.4 Selection 7.6 Development and Evaluation of Complete Alternatives 0.1 Common Parameters 0.2 Development of at least three complete alternatives 0.3 Matrix Evaluation 8. Rate Study (Incorporation of Appendix D, entitled Financial Information Guideline will meet the requirements of the funding agencies) 8.1 Estimated annual Operation, Maintenance and Replacement Costs of the proposed system 8.2 Evaluation of Local Funding Resources (municipal bonds, tax base, user fees, etc.) 8.3 Evaluation of Federal and State Funding Resources (grants, loans, state bond pool, etc) 8.4 Recommended Rate Structure and Financing Strategy 9. Recommended Plan 9.1 Introduction 0.1 Project Selection 0.2 Projected Design Flows 0.3 Project Cost Summary 9.2 Financing Strategy 9.3 Implementation Schedule

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 21

Appendix C Facilities Plan Outline

10. Environmental Report - A stand-alone environmental report may be included as the final chapter. Refer to Appendix E for information concerning this report.

Page 22

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix C Facilities Plan Outline

Financial Information Guideline

1. Calculate the total number of Equivalent Dwelling Units (EDUs) in the system and identify the number of which are residential, commercial and industrial. 2. Identify the number of residential, commercial and industrial connections in the system. 3. Prepare an annual budget for the Operation, Maintenance (OM) costs and the capitol long term system Replacement (R) funds for all the preferred alternatives (OMR). Also calculate what the user rate needs to be per EDU to adequately cover the proposed annual OMR. 4. Prepare a table that compares the monthly OMR costs per EDU for each alternative. 5. Show the current monthly residential user rate structure. 6. Identify any existing debt service that is being paid for the system whether through property taxes or user rates and when it will be paid off. 7. Calculate the monthly rate per EDU for the chosen alternative using the estimated OMR budget, and assuming the project is funded entirely with a loan. 8. Propose a rate structure for the community. 9. Propose a rate implementation schedule and identify what steps the community needs to undertake to adopt and implement a new rate structure.

Page 24

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix E Environmental Documentation Outline

Environmental Report Outline/Format The USDA, Rural Utilities Service (RUS), has developed a comprehensive environmental report guidance document (RUS Bulletin 1974A-602, Guide for Preparing the Environmental Report For Water and Waste Projects.) This document can be obtained by calling your agency contact and be used in preparing the Environmental Report required for a proposed project. An environmental report should include: 1) a summary of findings of the environmental conditions, 2) an analysis of a no action alternative, in addition to other alternatives considered, 3) a description of any additional studies that were performed, and 4) any mitigation measures needed to minimize the impact of the proposed project on the natural and human environments.

E.1 Example of the Table of Contents for an Environmental Report

(For a more detailed description of the Table of Contents of an ER see paragraph E.2)

1.0

Purpose and Need of Project 1.1 1.2 Project Description (Proposed Action or Proposed Project) Purpose and Need of Project

2.0 3.0

Alternatives to the Proposed Action Affected Environment/Environmental Consequences 3.1 Land Use/Important Farmland/Formally Classified Lands 3.1.1 Affected Environment * 3.1.2 Environmental Consequences * 3.1.3 Mitigation * 3.2 Floodplains 3.3 Wetlands 3.4 Cultural Resources 3.5 Biological Resources 3.6 Water Quality Issues 3.7 Coastal Resources 3.8 Socio-Economic/Environmental Justice Issues 3.9 Miscellaneous Issues

* Repeated through all Section 3.0 subsections. 4.0 5.0 Summary of Mitigation Correspondence

Page 26

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix E Environmental Documentation Outline

6.0

Exhibits/Maps

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 27

Appendix E Environmental Documentation Outline

E.2 Format of Environmental Report 1.0 Purpose and Need for Project

This section will succinctly describe the proposed project and establish the underlying purpose and need. This section has two subsections. 1.1 Project Description (Proposed Action or Proposed Project)

Provide a description of the proposed project summarizing all proposed facility improvements and construction activities. Commonly referred to in NEPA and the federal Council for Environmental Quality (CEQ) regulations as the proposed action. 1.2 Purpose and Need of Project

This subsection shall establish the underlying purpose of the proposed project and the need. Therefore it is necessary to clearly and definitively demonstrate the purpose and establish a need for the project. The information will also be used to determine what reasonable or practicable alternatives need to be evaluated in the ER. In addition this section should state what would be the consequences of not implementing the proposed project, which is referred to in NEPA as the No Action alternative. 2.0 Alternatives to the Proposed Action

In planning and developing a proposed project, applicants shall explore all reasonable alternatives that could satisfy and are consistent with the purpose and need of the project. Alternatives may include: Engineering design alternatives, Siting locations of facilities, System capacities, etc. As the engineering planning and design and environmental review is developed, various alternatives may be evaluated and ultimately determined to be unreasonable for various technical or financial reasons. In this section of the ER, outline the reasonable alternatives considered and present the evaluation factors considered in judging each alternatives ability to met the described purpose and need of the proposed project. All relevant factors that contribute to the decision making process shall be included, for example, technical and economic feasibility issues, environmental considerations, or mitigation measures. The evaluation and weighting criteria assigned in analyzing the proposed project and the alternatives considered should be summarized and presented in a comparative table.

Page 28

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix E Environmental Documentation Outline

3.0

Affected Environment/Environmental Consequences

This section of the ER will: Describe and document the environmental resources of the area to be affected by the proposed project and each alternative considered. Discuss the environmental consequences of each affected resource. Establish and discuss any mitigation measure(s) necessary to avoid or minimize any adverse impacts to a specific environmental resource. Only alternatives determined to be reasonable need to be analyzed in this section. The typical process to document and consider effects to environmental resources is: Describe the area(s) to be affected by the proposed project and each alternative considered. Affected areas may correspond to the service area of the proposed project. Alternatives may have different affected areas. Include maps outlining the affected area(s) showing the location of all proposed construction. Identify the environmental resources in the described affected area(s). Applicants, as necessary, will be required to consult with appropriate environmental regulatory agencies to identify the environmental resources in the affected areas and, in addition, to review any conclusions drawn from an analysis of the proposed projects potential effect to these resources. Agency contacts or websites where preliminary information can be found is discussed in Section 4.0 of RUS Bulletin 1794A-602. Discuss the environmental effects or consequences of the proposed project and each alternative considered. All direct, indirect and, if applicable, cumulative effects need to be identified and discussed. Some of the impacts may be viewed as adverse, while others may be viewed as beneficial. For some actions, data may be unavailable or insufficient to make a determination of an effect to an environmental resource. If so, clearly state the situation. Otherwise clearly describe all effects or consequences to all environmental resources whatever they may be. For specific guidance of the extent to which effects (direct, indirect and cumulative) need to be discussed, applicants should contact the Rural Development State Environmental Coordinator or Processing Office. Identify potential mitigation measures that may be necessary to avoid or minimize any adverse effects caused by the proposed project and each alternative considered. Any and all mitigation measures need to be developed with an applicable environmental regulatory agency and be developed so as to be enforceable.

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Page 29

Appendix E Environmental Documentation Outline

Section 3.0 of RUS Bulletin 1794A-602 provides more detail on the following environmental resources to be evaluated. Land Use/ Important Farmland/ Formally Classified Land Floodplains Wetlands Cultural Resources Biological Resources Water Quality Issues Coastal Resources Socio-Economic/ Environmental Justice Issues Miscellaneous Issues Each of the above environmental resources shall have its own subchapter in the ER listing the affected environment, environmental consequences and mitigation measures for each resource. For example: 3.1 Land Use/Important Farmland/Formally Classified Lands 3.1.1 Affected Environment 3.1.2 Environmental Consequences 3.1.3 Mitigation 4.0 Summary of Mitigation

This section of the ER shall summarize proposed mitigation measures described in Section 3.0 of RUS Bulletin 1794A-602. Describe implementing criteria of mitigation measures and how each measure will be enforced. A table format is useful in presenting the evaluation. 5.0 Correspondence and Coordination

As specified in Section 3.0 of RUS Bulletin 1794A-602, many of the environmental issues evaluated require coordination with State or Federal environmental regulatory agencies. All correspondence that is related to this coordination should be included in this section of the ER. 6.0 Exhibits

Attach supporting documents, maps, photographs, etc.

Page 30

Guidelines for the Preparation of Facilities Plans and Environmental Reports

Appendix F

Oregon Water Resources Registration of Reclaimed Municipal Water Use and Staff Contacts