Planning Requirements

(1) Introduction. 310 CMR 44.09 addresses requirements related to planning. 310 CMR 44.09 requires a Local Governmental Unit to demonstrate that its proposed SRF project is consistent with existing state, regional and local water resource and wastewater planning requirements. The Department's Guide to Water Resource Management Planning identifies three levels of planning (Project Evaluation or Engineering Reports, CWMPs and Integrated Water Resource Management Plans) which may be used to evaluate different types of SRF projects. Unless determined otherwise by the Department, Comprehensive Wastewater Management Plans or Integrated Water Resource Management Plans are required only for controversial or complex wastewater projects. Unless otherwise determined by the Department, a less comprehensive report, the Project Evaluation Report or Engineering Report, is required for all other wastewater projects eligible for financial assistance from the SRF. (2) Consistency of SRF Projects with Water Resource and Wastewater Planning Requirements. (a) As provided in M.G.L. c. 21, § 27A(d), a Local Governmental Unit applying for assistance from the Trust must demonstrate that its project is consistent with existing state, regional and local water resource and wastewater planning requirements, including but not limited to: 1. river basin water quality plans pursuant to § 303(e) of the CWA, 33 U.S.C. § 1313; 2. nonpoint source management plans pursuant to § 319 of the CWA, 33 U.S.C. § 1329; 3. estuaries management plans pursuant to § 320 of the CWA, 33 U.S.C. § 1330; 4. local water resource management plans pursuant to policies of the Water Resources Commission; 5. water emergency planning pursuant to M.G.L. c. 21G; and 6. areawide waste treatment management plans approved by EPA pursuant to § 208 of the CWA, 33 U.S.C. § 1288. (b) Applicants shall also certify that land use and other controls in place (e.g., zoning bylaws) are consistent with the wastewater system service populations projected in any CWMP of the applicant. An applicant's certification shall include a description of all such land use and other controls in place as supporting documentation for its certification. (3) Planning Required for SRF Projects. (a) Comprehensive Wastewater and Integrated Water Resource Management Planning. Unless otherwise determined by the Department, major, complicated or controversial wastewater projects shall be the result of a CWMP or an Integrated Water Resource Management Plan that systematically: 1. assesses the need for the project; 2. examines alternatives to the project; 3. proposes a plan and schedule for the project; 4. evaluates all the environmental impacts of the project including without limitation secondary growth impacts and impacts of the overall water balance in the watershed or subwatershed; 5. identifies means of mitigating those impacts; 6. demonstrates that the project is not only environmentally appropriate and cost-effective, but also implementable from a legal, institutional, financial and management standpoint. The Department will determine the scope of work for any CWMP or Integrated Water Resource Management Plan used to fulfill the requirements in accordance with the Department's Guide to Water Resource Management Planning. The Scope of Work for all CWMPs and Integrated Water Resource Management Plans must provide for a public participation program that includes at a minimum one public meeting to discuss the alternatives to the project and their environmental impacts and a public hearing on the environmental impacts, plan, and schedule of the project. (b) Project Evaluation or Engineering Report. Unless otherwise determined by the Department, planning for projects other than the project categories identified in 310 CMR 44.09(3)(a) shall be limited to the development of a Project Evaluation or Engineering Report. Based on the nature and duration of the proposed project, the Department will determine the required scope of the Project Evaluation or Engineering Report in accordance with the Guide to Water Resource Management Planning. Unless otherwise determined by the Department, a complete Project Evaluation or Engineering Report for a wastewater project shall include: 1. A description of the proposed project; 2. An analysis of the cost-effectiveness of the project and the alternatives considered; 3. For the selected alternative, a concise description at an appropriate level of detail, of at least the following: a. the relevant design parameters for the project; b. the estimated capital construction and operation and maintenance costs of the project; c. the cost impacts on system users and non-users, or where the project is not user-based, cost impacts on the Local Governmental Unit budget; and d. the institutional, financial, legal and management arrangements necessary for successful implementation of the project. 4. A public participation program that includes, at a minimum, one public meeting on the proposed project. (c) Targeted Watershed Management Plans. Notwithstanding 310 CMR 44.09(3)(a), an applicant may submit to the Department for approval a targeted watershed management plan that is consistent with a 208 Plan, as determined by the designated areawide planning agency under § 208 of the CWA, in lieu of a CWMP or an Integrated Water Resource Management Plan for projects that will be carried out under a watershed-based permit issued by the Department. (d) Fiscal Sustainability Plan. Starting October 1, 2015 the Department will require all applicants to submit a FSP for projects that involve the repair, replacement, or expansion of a treatment works. 310 CMR 44.09(3)(d) does not apply to a loan if, prior to this date, the project was listed on a CWSRF Intended Use Plan or the loan recipient has submitted an application for CWSRF funding assistance. (e) Cost Effectiveness Study. Starting October 1, 2015, the Department will require all applicants to certify that they have studied and evaluated the cost and effectiveness of the processes, materials, techniques, and technologies for the funded project and that they have selected, to the maximum extent practicable, a project that maximizes the potential for efficient water and energy conservation, taking into consideration capital cost, operation and maintenance, and replacement cost. 310 CMR 44.09(3)(e) does not apply to a loan if, prior to October 1, 2015, the project was listed on a CWSRF Intended Use Plan or the loan recipient submitted an application for CWSRF funding assistance. Prior to October 1, 2015, the Department will be finalizing the cost and effectiveness analysis requirements and guidance and will post them on the Department's CWSRF website at www.mass.gov/eea/agencies/massdep/water/grants/clean-water-state-revolving-fund.html.