35 ILLINOIS ADMINISTRATIVE CODE

CH. II, SEC. 366

SUBTITLE

TITLE 35: ENVIRONMENTAL PROTECTION

SUBTITLE C: WATER POLLUTION

CHAPTER II: ENVIRONMENTAL PROTECTION AGENCY

PART 366

PROCEDURES AND REQUIREMENTS FOR

DETERMINING LOAN PRIORITIES FOR MUNICIPAL

WASTEWATER TREATMENT WORKS

SUBPART A: INTRODUCTION

Section

366.101 Purpose

366.102 Definitions

366.103 Incorporations by Reference

366.104 Priority System and Project Priority List

366.105 Funding Allocations

366.106 Pre-applications

366.107 Facility Planning

SUBPART B: PROCEDURE FOR CALCULATING THE LOAN PRIORITY

INDEX OF SERVICE CONTINUATION PROJECTS

Section

366.201 Formula for Computing the Loan Priority Index for Service Continuation Projects

366.202 A1 Factor (Financial Impact)

366.203 A2 Factor (Water Quality)

366.204 A3 Factor (Organic Load)

366.205 A4 Factor (Assessment of Existing Facilities)

366.206 A5 Factor (Operational Excellence)

SUBPART C: PROCEDURE FOR CALCULATING THE LOAN

PRIORITY INDEX OF SERVICE EXPANSION PROJECTS

Section

366.301 Formula for Computing the Loan Priority Index for Service Expansion Projects

366.302 B1 Factor (Financial Impact)

366.303 B2 Factor (Water Quality)

366.304 B3 Factor (Economic Benefit)

366.305 B4 Factor (Existing Utilization)

366.306 B5 Factor (Operational Excellence)

366.307 B6 Factor (Health Hazard)

35 ILLINOIS ADMINISTRATIVE CODE

CH. II, SEC. 366

SUBTITLE

SUBPART D: PROCEDURE FOR CALCULATING THE LOAN

PRIORITY INDEX FOR NEW SERVICE PROJECTS

Section

366.401 Formula for Computing the Loan Priority Index for New Service Projects

366.402 C1 Factor (Financial Impact)

366.403 C2 Factor (Water Quality)

366.404 C3 Factor (Organic Load)

366.405 C4 Factor (Health Hazard)

366.406 C5 Factor (Enforceable Schedule)

SUBPART E: PROCEDURE FOR CALCULATING THE LOAN

PRIORITY INDEX FOR COMBINED SEWER SERVICE PROJECTS

Section

366.501 Formula for Computing the Loan Priority Index for Combined Sewer Projects

366.502 D1 Factor (Financial Impact)

366.503 D2 Factor (Drainage Area)

366.504 D3 Factor (Flooding Frequency)

366.505 D4 Factor (Basement Backups)

366.506 D5 Factor (Percentage of Basements Affected)

SUBPART F: PROCEDURE FOR APPLICATION OF SCORING CONVENTIONS

Section

366.601 Scoring Conventions

366.APPENDIX A Waterbody Specific Information

366.APPENDIX B Service Continuation A4 Factor Scoring Review Sheet

366.APPENDIX C Excellence of Operation Scoring Review Sheet for Local

Government Units That Own Wastewater Treatment Facilities

366.APPENDIX D Excellence of Operation Scoring Review Sheet for Local

Government Units That Own Only Wastewater Collection

Facilities

AUTHORITY: Implementing and authorized by Sections 19.1 through 19.8 of the

Environmental Protection Act [415 ILCS 5/19.1-19.8]

SOURCE: Adopted at 14 Ill. Reg. 8121, effective May 14, 1990; amended at 20 Ill. Reg. 15598,

effective November 26, 1996; amended at 27 Ill. Reg. 13430, effective July 25, 2003.

SUBPART A: INTRODUCTION

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.101

SUBTITLE

Section 366.101 Purpose

This Part sets forth the procedures and requirements established by the Illinois Environmental

Protection Agency (IEPA) for determining priorities in awarding financial assistance for the

construction of municipal wastewater treatment works under Sections 19.1 through 19.9 of the

Environmental Protection Act (the Act) [415 ILCS 5/19.1-19.9] and Title VI of the Federal

Clean Water Act (33 U.S.C. 1281 et seq.).

(Source: Amended at 20 Ill. Reg. 15598, effective November 26, 1996)

Section 366.102 Definitions

a) Unless specified otherwise, all terms shall have the meanings set forth in the

Environmental Protection Act [415 ILCS 5], the Federal Clean Water Act (33

USC 1281 et seq.) and regulations adopted under these Acts, including 35 Ill.

Adm. Code 365.

b) For purposes of these rules, the following definitions apply:

"Agency" – Illinois Environmental Protection Agency.

"Combined Sewer Service Projects" – Projects constructed in a combined

sewer service area which are intended to reduce or eliminate street, area

and basement flooding.

“Enforceable Schedule” – A Court or Illinois Pollution Control Board

order requiring wastewater collection and treatment by date certain, or a

Compliance Commitment Agreement entered into by a community and the

Agency pursuant to Section 31 of the Environmental Protection Act [415

ILCS 5/31].

"Fund" – The Water Pollution Control Revolving Fund as authorized by

P.A. 85-1135, effective September 1, 1988.

"Intended Use Plan" – A plan which includes a description of the short

and long term goals and objectives of the Fund, project categories,

discharge requirements, terms of financial assistance and the communities

to be served.

"Monitoring Reports" – Reports submitted in response to permits issued

under the authority of the Federal Clean Water Act (33 USC 1281 et seq.),

the Environmental Protection Act [415 ILCS 5], and regulations adopted

under these Acts, including discharge (NPDES) permits and State

operating permits.

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.102

SUBTITLE

"New Service Project" – Projects which will provide wastewater

collection, transportation or treatment for an unsewered local government

unit.

"P.E. BOD" – A term used to evaluate the impact of industrial or other

waste on a treatment works or streams in terms of five day biochemical

oxygen demand. One P.E. BOD equals 0.17 pounds (77g).

"Permits" – National Pollutant Discharge Elimination System (NPDES)

permits and State operating permits as described in 35 Ill. Adm. Code 309.

"Priority System" – A methodology used to rank projects for inclusion on

the project priority list.

"Project Priority List" – An ordered listing of projects which the Agency

has determined are eligible to receive financial assistance from the Fund.

"Service Continuation Project" – Projects for the improvement, upgrade,

rehabilitation, renovation, and/or replacement of wastewater treatment

works.

"Service Expansion Project" – Projects to expand capacity of existing

wastewater treatment works.

"Title VI" – Title VI of the Federal Clean Water Act (33 USC 1281 et

seq.).

"USEPA Reach File" – Hydrologic Nomenclature System developed by

USEPA to identify and locate specific waterbodies.

(Source: Amended at 27 Ill. Reg. 13430, effective July 25, 2003)

Section 366.103 Incorporations by Reference

U.S. Department of Commerce, Economics and Statistics Administration, Bureau of the Census:

2000 Census of Population and Housing: Profile of Selected Economic Characteristics, Illinois,

Table DP-3, 2000, available at http://censtats.census.gov/pub/Profiles.shtml (no later editions or

amendments).

(Source: Amended at 27 Ill. Reg. 13430, effective July 25, 2003)

Section 366.104 Priority System and Project Priority List

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.104

SUBTITLE

a) Financial assistance will be provided from the Fund only to projects which are

identified on the project priority list.

b) This Part sets forth a priority system to be used to rank projects for inclusion on

the project priority list. The ranking of a project is as calculated under Subparts

B, C, D and E of this Part.

c) The project priority list shall be published annually in the preliminary Water

Pollution Control Program Plan developed in accordance with Section 106 of the

Federal Clean Water Act (33 U.S.C. 1256). After the public hearing is held to

discuss the Program Plan, the Agency shall evaluate and consider any public

comments received concerning the project priority list. The final project priority

lists shall be published in the final Water Pollution Control Program Plan.

d) The Agency will develop a priority list with four (4) separate classes of projects:

1) Service Continuation Projects

2) Service Expansion Projects

3) New Service Projects

4) Combined Sewer Service Projects

e) Data provided in the applicant's pre-application will determine the appropriate

class for each project for which assistance is requested from the Fund.

(Source: Section 366.104 renumbered from Section 366.103 and amended at 20 Ill. Reg.

15598, effective November 26, 1996)

Section 366.105 Funding Allocations

a) In the development of its priority list, the Agency will allocate available loan

funds to the four major classes of projects in proportion to the relative needs of

the State for each project class, subject to the limitations of Section 602(b)(6) of

the Clean Water Act (33 U.S.C. 1382(b)(6)).

b) Annual allocations of available loan funds to each class shall initially be made on

the basis of State wastewater needs as identified in the pre-applications for

projects that qualify for inclusion on the Intended Use Plan for that fiscal year in

accordance with the requirements of 35 Ill. Adm. Code 365.410(c).

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.105

SUBTITLE

c) After January 1 of each fiscal year, the Agency may adjust its allocations of

available funds among project classes in the Intended Use Plan (see 35 Ill. Adm.

Code 365.420) to reflect the relative needs contained in completed loan

applications, subject to the overall availability of loan funds for that fiscal year.

d) Loan funds available from State and federal appropriations during the

capitalization period authorized by Section 607 of the Clean Water Act to

capitalize the Water Pollution Control Revolving Fund will be subject to an equal

division between the service area of the Metropolitan Water Reclamation District

of Greater Chicago and the area which is comprised of the geographical balance

of the State, to the extent that projects in either area in any fiscal year have

qualified to receive loan assistance and are ready to proceed in accordance with

the criteria for loan award (see 35 Ill. Adm. Code 365.430).

e) If sufficient projects in either area are not able to complete a loan application in

any fiscal year to permit an equal division of the above funds, loans will be made

to those projects which are able to complete a loan application to the extent that

the appropriated funds are available.

f) Any imbalance in the division of the total loan funds appropriated during the

capitalization period authorized by the Clean Water Act to capitalize the Water

Pollution Control Revolving Fund shall be carried forward from year to year and

shall be applied as projects are able to complete a loan application to achieve an

accumulatively equal distribution subject to the constraints of Section 366.106 of

this Part.

(Source: Section 366.105 renumbered from Section 366.104 and amended at 20 Ill. Reg.

15598, effective November 26, 1996)

Section 366.106 Pre-applications

a) A local government unit may submit a pre-application at any time. The pre-

application must identify the class of the project, the discharge location point, the

scope of the project, the population tributary to the project, a cost estimate and

schedule for completion of the project.

b) An applicant is required to renew its pre-application annually.

c) Pre-applications must be received by March 31st of the preceding fiscal year to be

included on the Intended Use Plan.

d) A project with approved facility planning may be added to the priority list at any

time by the submission of a pre-application.

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.106

SUBTITLE

(Source: Section 366.106 renumbered from Section 366.105 at 20 Ill. Reg. 15598,

effective November 26, 1996)

Section 366.107 Facility Planning

a) A project's priority will be adjusted to reflect completed and approved facility

planning (see 35 Ill. Adm. Code 365: Subpart E).

b) Projects may be split into more than one project, deleted or modified at the option

of the applicant on the priority list as a result of the approval of the facility

planning.

(Source: Section 366.107 renumbered from Section 366.106 at 20 Ill. Reg. 15598,

effective November 26, 1996)

SUBPART B: PROCEDURE FOR CALCULATING THE LOAN PRIORITY

INDEX OF SERVICE CONTINUATION PROJECTS

Section 366.201 Formula for Computing the Loan Priority Index for Service Continuation

Projects

The Loan Priority Index (LPI) is a number that is the product of five factors. The LPI is

calculated as follows: A1 x A2 x A3 x A4 x A5 = LPI.

Section 366.202 A1 Factor (Financial Impact)

A1 is a factor which evaluates the financial impact of wastewater improvements on the residents

of the municipality. The A1 factor is based on median household income for the smallest

governmental entity that encompasses the applicant's service area as presented in the 1990

Census of Population and Housing: Summary Social, Economic, and Housing Characteristics,

Illinois, Table 10, as published by the U.S. Department of Commerce, Economics and Statistics

Administration, Bureau of the Census, or the applicant will provide a determination of the mid-

point of the distribution of the annual incomes of at least 80% of the households in the project

service area (commonly known as median household income). The A1 factor is based on median

household income and is calculated as follows:

Greater than $0 but less than $15,000

1.10

$15,000 - $19,999

1.09

$20,000 - $24,999

1.08

$25,000 - $29,999

1.07

$30,000 - $34,999

1.06

$35,000 - $39,999

1.05

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.202

SUBTITLE

$40,000 - $44,999

1.04

$45,000 - $49,999

1.03

$50,000 - $54,999

1.02

$55,000 - $59,999

1.01

Greater than $59,999

1.00

(Source: Amended at 20 Ill. Reg. 15598, effective November 26, 1996)

Section 366.203 A2 Factor (Water Quality)

A2 is a factor that evaluates the water quality of the receiving waterbody or proposed receiving

waterbody. These water quality evaluations are based on current waterbody specific

information. A combination of biotic integrity information and abiotic data from three categories

are used in A2 calculations when available. These categories include the Index of Biotic

Integrity (IBI), the Predicted Index of Biotic Integrity (PIBI), and the Degree of Use Support

(DUS). As a result, those stream reaches resulting in the highest priority are those with the

highest quality and potential for improvement (see Appendix A). A2 calculations for stream

reaches (as defined by USEPA REACH file) are derived by:

A2 =

100

sum of the points from IBI, PIBI, DUS categories divided by

sum of the maximum possible points for each category

Section 366.204 A3 Factor (Organic Load)

A3 is a factor that evaluates the existing organic load that is tributary to the proposed project. It

is calculated as the square root of log10 of the tributary waste load in P.E. BOD. Where the

municipality has provided monitoring report data, it will be used for the previous calendar year.

In cases where the monitoring report data is not available for the previous calendar year, the

approved facilities planning will provide estimated existing organic load.

Section 366.205 A4 Factor (Assessment of Existing Facilities)

A4 is a factor that evaluates the need for the project in terms of its importance to the treatment

works. It is calculated as the product of three elements: (the objective assessment of the existing

facilities) x (the degree of utilization) x (frequency of permit violations) = A4.

a) The objective assessment will be completed based on the approved facility

planning and the Agency's verification of the facilities planning's finding in terms

of the adequacy, age, structural and/or mechanical reliability of the existing

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.205

SUBTITLE

treatment units. The objective assessment for the particular project will be

completed by the Agency prior to the completion of the facility planning. (See

Appendix B.)

b) The degree of utilization will be calculated as follows:

1) For wastewater treatment facilities, ratio of the existing load to the design

load will be calculated for both hydraulic and organic load as follows:

average organic load

3 months low flow average

organic design

hydraulic design

The larger of the two ratios will be used in the A4 calculation.

2) For wastewater transportation

facilities:

existing peak flow

design peak

3) Where relief sewer capacity is proposed, the degree of utilization will be

calculated at the point in the treatment works where the greatest reserve

capacity exists.

c) The permit exceedance element will be calculated as follows:

1) For wastewater treatment facilities, the permit exceedance element shall

be based on monitoring report data for the previous calendar year as

follows:

number of months with a permit exceedance event

number of months reported

Where:

A) BOD, suspended solids or phosphorus exceed the monthly limits

or;

B) Ammonia nitrogen, chlorine or toxics exceed the monthly or

maximum limit as specified in the permit.

The permit exceedance element shall be based on the single parameter that

is addressed by the project with the greatest ratio of permit exceedance; or

2) For sewer system improvements an alternate calculation will be utilized as

follows based on the information in the approved facility planning:

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.205

SUBTITLE

For overflow and/or bypass events, number of occurrences in last

year:

0-5 =

1.2;

6-10 =

1.4;

11-15 = 1.6;

16-20 = 1.8;

>20 =

2.0;

3) For basement back-ups the frequency and the number of affected

basements will be used (number x frequency).

A) Average number of basements affected per occurrence:

0-10 =

1.1;

11-20 =

1.2;

21-50 =

1.3;

51-100

= 1.4;

>100 =

1.5.

B) Annual frequency of occurrence of basement backups:

0-5 times

1.1;

6-10 times

1.2;

11-15 times

1.3;

16-20 times

1.4;

>20 times

1.5.

Section 366.206 A5 Factor (Operational Excellence)

A5 is a factor which evaluates the operation of the existing facilities and provides a bonus for

excellence of operation. For mechanical treatment and sewage collection facilities that have

exhibited excellence in operation and maintenance by receiving a score of 15 or greater out of a

possible composite score of 20, or lagoon treatment facilities that have exhibited excellence in

operation and maintenance by receiving a score of 13.5 or greater out of a possible composite

score of 20, 1.5 points will be awarded. All others will be 1.0. This factor will be calculated by

the Agency using the criteria in Appendix C or D.

(Source: Amended at 20 Ill. Reg. 15598, effective November 26, 1996)

SUBPART C: PROCEDURE FOR CALCULATING THE

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.301

SUBTITLE

LOAN PRIORITY INDEX OF SERVICE EXPANSION PROJECTS

Section 366.301 Formula for Computing the Loan Priority Index for Service Expansion

Projects

The Loan Priority Index (LPI) is a number that is the product of six (6) factors. The LPI is

calculated as follows: B1 x B2 x B3 x B4 x B5 x B6 = LPI.

Section 366.302 B1 Factor (Financial Impact)

B1 is factor which addresses the financial ability of the community as in A1 above.

Section 366.303 B2 Factor (Water Quality)

B2 is a factor that evaluates the existing quality of the receiving stream in accordance with the

procedure outlined in A2, and modifies that ranking so as not to encourage additional waste load

to high quality streams. The B2 factor is calculated by multiplying the Water Quality Factor as

calculated in A2 by the high quality water factor for the stream class (see Appendix A):

0.60 for A streams (Unique Aquatic Resource);

0.75 for B streams (Highly Valued Aquatic Resource);

1.00 for C streams (Moderate Aquatic Resource);

1.00 for D Streams (Limited Aquatic Resource);

1.00 for E streams (Restricted Aquatic Resource).

Section 366.304 B3 Factor (Economic Benefit)

a) B3 is a factor that evaluates the potential for economic benefit. Additional points

will be awarded for having an annual unemployment percentage above the State

average as determined by the Department of Employment Security pursuant to

Section 43a.08 of the Civil Administrative Code of Illinois (Code) [20 ILCS

5/43a.08] and 20 CFR 634 (1989) (no subsequent dates or editions). Information

concerning a municipality's unemployment rate can be obtained from: Economic

Information and Analysis Section, Department of Employment Security, 555 S.

Pasfield, Floor 2, Springfield, Illinois 62704 (217) 785-4624.

b) B3 is calculated as (unemployment rate factor) + 1.

Where the applicant's unemployment rate is above the State average,

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.304

SUBTITLE

unemployment rate points will be awarded as follows:

less than 1% above the State average = 0.0

1-2.9% above the State average = 0.1

3.0-5% above the State average = 0.2

5% above State average = 0.3

(Source: Amended at 20 Ill. Reg. 15598, effective November 26, 1996)

Section 366.305 B4 Factor (Existing Utilization)

B4 is a factor representative of the existing loadings or the degree of utilization of the existing

capacities. This factor will be calculated for each type of project (i.e. wastewater treatment

expansion, collection system extension or additional sewer capacity) using different factors as

follows:

a) Wastewater Treatment Expansion

The wastewater treatment expansion factor will be based on the ratio of the

existing load to the design capability. The larger of the two ratios will be used as

follows:

average organic load

organic design

+ 1

3 months low flow average

hydraulic

design

+ 1

b) Collection System Extension

0-50 P.E. = 1.1; for each additional 50 P.E., 0.1 point will be added to a maximum

of 2.0.

c) Collection System Capacity Expansion

existing flow + outstanding state construction permits

permitted capacity

+ 1

Section 366.306 B5 Factor (Operational Excellence)

B5 is a factor that evaluates the operation of the existing facilities as in A5 above.

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.307

SUBTITLE

Section 366.307 B6 Factor (Health Hazard)

B6 is a health hazard factor for use with failing septic systems in unsewered areas to be served

by collection system extensions. Projects that are determined by the responsible public health

agency to be necessary to correct an existing public health hazard will be assigned a value of 1.1

and all others will be assigned a value of 1.0.

(Source: Amended at 20 Ill. Reg. 15598, effective November 26, 1996)

SUBPART D: PROCEDURE FOR CALCULATING THE LOAN

PRIORITY INDEX FOR NEW SERVICE PROJECTS

Section 366.401 Formula for Computing the Loan Priority Index for New Service Projects

The Loan Priority Index (LPI) for new service projects is a number that is the product of 5

factors. The LPI is calculated as follows: C1 x C2 x C3 x C4 x C5 = LPI.

(Source: Amended at 27 Ill. Reg. 13430, effective July 25, 2003)

Section 366.402 C1 Factor (Financial Impact)

C1 is a factor that adds points for applicants that have higher rates of unemployment (as provided

by the Illinois Department of Employment Security) and includes points for Median Household

Income and the Percentage of Persons in Poverty as determined by U.S. Census figures as

incorporated by reference in Section 366.103 of this Part. The financial hardship factor is

calculated by adding the sum of the three components from the following charts:

Percentage of Statewide Median

Household Income

Points

Below 80%

4.0

80% to 100%

3.0

Greater than 100% to 120%

2.0

Greater than 120%

1.0

The percentage of unemployment above the State’s average rate of unemployment:

Percentage above State Rate

Points

0.1 - 2.0

1.0

2.1 - 4.0

2.0

4.1 - 6.0

3.0

6.1 and above

4.0

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.402

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The Percentage of Persons in Poverty from the latest U.S. Census as incorporated by reference in

Section 366.103 of this Part:

Percentage above State Rate

Points

5.0 - 12.0

1.0

12.1 - 19.0

2.0

19.1 - 25.0

3.0

25.1 and above

4.0

(Source: Amended at 27 Ill. Reg. 13430, effective July 25, 2003)

Section 366.403 C2 Factor (Water Quality)

C2 is a factor representative of the existing receiving stream water quality as in Section 366.303

of this Part. For those projects that have demonstrated negative water quality impacts in the

approved facilities planning conducted pursuant to 35 Ill. Adm. Code 365, the calculation

procedure as in Section 366.203 of this Part will be used. In all others, the calculation as in

Section 366.303 of this Part will be used.

(Source: Amended at 27 Ill. Reg. 13430, effective July 25, 2003)

Section 366.404 C3 Factor (Organic Load)

C3 is a factor that evaluates the existing organic load tributary to the proposed project and is

calculated as in A3 above.

Section 366.405 C4 Factor (Health Hazard)

C4 is a factor to denote an existing health hazard and is applied as in B6 above.

Section 366.406 C5 Factor (Enforceable Schedule)

C5 is a factor that denotes that an enforceable schedule is in effect to construct the proposed

project. The C5 factor is equal to 5.0.

(Source: Added at 27 Ill. Reg. 13430, effective July 25, 2003)

SUBPART E: PROCEDURE FOR CALCULATING

LOAN PRIORITY INDEX FOR

COMBINED SEWER SERVICE PROJECTS

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.501

SUBTITLE

Section 366.501 Formula for Computing the Loan Priority Index for Combined Sewer

Projects

The Loan Priority Index (LPI) number for Combined Sewer Service projects is the product of a 5

factors. The LPI is calculated as follows: D1 x D2 x D3 x D4 x D5 = LPI.

Section 366.502 D1 Factor (Financial Impact)

D1 is a factor that addresses the financial ability of the unit of local government as in A1 above.

Section 366.503 D2 Factor (Drainage Area)

D2 is a factor that represents the size of the drainage area tributary to the project. The factor will

be based on the size of the drainage area:

0 acres

1.00

> 0

≤

50 acres

1.01

> 50

≤

100 acres

1.02

> 100

≤

150 acres

1.03

> 150

≤

200 acres

1.04

> 200 acres

1.05

Section 366.504 D3 Factor (Flooding Frequency)

D3 is a factor that considers the frequency of street or area flooding caused by inadequate

combined sewer transport capacity. The factor will be based on the annual frequency of flooding

events as follows:

0 times per year

1.00

1-5 times per year

1.01

6-10 times per year

1.02

11-15 times per year

1.03

16-20 times per year

1.04

> 20 times per year

1.05

Section 366.505 D4 Factor (Basement Backups)

D4 is a factor that represents the frequency of basement flooding. D4 is calculated as follows:

(frequency of basement flooding) x (average number of basements affected) = D4.

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.505

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a) The frequency of basement flooding element will be calculated as follows:

0 times per year

1.00

1-5 times per year

1.01

6-10 times per year

1.02

11-15 times per year

1.03

16-20 times per year

1.04

> 20 times per year

1.05

b) The number of basements affected will be calculated as follows using the average

number of basements affected by storm events during the previous year:

0 basements

1.0

1-10 basements

1.1

11-25 basements

1.2

26-50 basements

1.3

51-100 basements

1.4

> 100 basements

1.5

Section 366.506 D5 Factor (Percentage of Basements Affected)

D5 is a factor that expresses the average number of basements affected in the project drainage

area as a percent of the basements in the project drainage area as follows:

average # of basements affected in drainage area

D5 =

100

# of basements in drainage area

SUBPART F: PROCEDURE FOR APPLICATION OF SCORING CONVENTIONS

Section 366.601 Scoring Conventions

a) For integrally related projects, such as an expansion of wastewater treatment

capacity and a project to add additional load to the treatment facilities (i.e. relief

interceptors, new interceptors, collection system extensions, new service regional

projects, etc.), the wastewater treatment facility expansion project will proceed at

the LPI of the expansion project or at the LPI of the project adding load,

whichever results in the more favorable priority ranking.

b) Projects for Inflow/Infiltration correction serving more than one municipality will

be scored for priority using the A2 and A4 factors for the receiving wastewater

treatment works. The A1, A3 and A5 factors will be determined based on the data

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.601

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for the municipality where the project is proposed.

c) At the time of facility planning approval, all projects will be rescored based on the

approved planning. As a result of this rescoring, projects may be split into a

number of projects, deleted or moved to an appropriate class.

d) For relief or replacement interceptor sewers that provide capacity in addition to

the relief capacity required for the existing service area, the Agency will assign

segments of the project different priority numbers or place segments in different

project classes based on the percent of capacity utilization for each segment as

determined during facility planning approval.

e) Where the project encompasses more than one area of review (i.e. wastewater

treatment plant and lift stations or wastewater collection system and lift stations),

the objective assessment portion of the A4 factor will be averaged for the areas of

review included in the project.

f) The loan applicant may provide monitoring data for a pending permit requirement

in order to allow the Agency to calculate a permit exceedance element as

identified in 366.205(c), provided that the Agency has formally notified the

applicant of a pending new permit requirement.

g) Where adequate data is not available to calculate any factor, a value of 1.0 will be

assigned to allow completion of the LPI calculation.

Section 366.APPENDIX A Waterbody Specific Information

The waterbody specific information used by the Agency for the priority system is contained in

the Agency's biennial reports required under Section 305(b) of the Clean Water Act (33 U.S.C.

1315(b)). The calculations for river reaches range on a possible scale of 0-100, where 100

indicates the most highly valued water quality resources and results in the highest priority for

protection or preservation. Calculations for lakes and reservoirs are based on the Degree of Use

Support Assessment (DUS) and expressed as the DUS points as a percentage of the maximum

DUS points. The component categories of IBI, PIBI, and DUS are determined based on the

following:

a) IBI – Index of Biotic Integrity

The Index of Biotic Integrity (IBI) is the priority metric of the Biological Stream

Characterization (BSC) stream classification system. IBI values ranging from 12

to 60 constitute the primary basis of the five stream classes as follows:

When quality stream fishery data are lacking for IBI determinations, BSC

ratings may be derived by a subjective evaluation of narrative fishery

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.a

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criteria. In the absence of fishery data, aquatic macroinvertebrate data

may be used for Limited or Restricted Use Aquatic Resource ratings

(Class C and D respectively) for stream segments five miles in length or

longer. The actual index is used in calculating A2. The maximum number

of points when IBI is used is 60.

b) PIBI - Predicted Index of Biotic Integrity

The Predicted Index of Biotic Integrity (PIBI) was developed to predict biotic

potential (as measured by IBI) from habitat metrics.

The index is determined from the following relationships of four (4) stream

habitat variables:

1. Percent substrate as silt-mud

2. Percent substrate as claypan

3. Mean stream width

4. Percent pool

The following equation is utilized for prediction of biotic potential as defined by a

predicted IBI (PIBI) value:

Predicted IBI = 40.1 - (0.126 silt-mud) - (0.123 claypan) + (0.0424 pool) +

(0.0916 width)

For purposes of deriving A2 calculations, PIBI values are divided by one half.

The maximum number for the PIBI value is 30.

c) DUS - Degree of Use Support – Streams

Section 305(b) of the Federal Clean Water Act (33 U.S.C. 1315(b)) requires each

state to prepare a biennial report which addresses, among other items, the water

quality of its surface water resources and the extent to which these waters meet

objectives of the Act. Surface water resources are described in terms of the

degree to which they are attaining designated uses. The Degree of Use Support

(DUS) for Illinois streams is described in terms as follows:

Full

Fully supporting aquatic life uses

Partial/Minor

Partially supporting aquatic life uses with minor

impairment

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.a

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Partial/Moderate =

Partially supporting aquatic life uses with moderate

impairment

Nonsupport

Not supporting aquatic life uses

The DUS is reported at 2 assessment levels: monitored and evaluated. The

monitored assessment level is based on current water chemistry, sediment

chemistry, biological, and habitat data collected from various Agency monitoring

programs.

The evaluated assessment level is based primarily on historic data (5 years or

older) or similarity of the area to monitored waters within the same basins or

geographic region.

For purposes of A2 calculations, DUS assessments are incorporated as follows:

Full or Full/Threatened

Partial Minor, impact P greater than NP

Partial Moderate, impact P greater than NP

Nonsupport, impact P greater than NP

Partial Minor, impact P less than NP

Partial Moderate, impact P less than NP

Nonsupport, impact P less than NP

Partial Minor, impact NP only

Partial Moderate, impact NP only

Nonsupport, impact NP only

Note: P

= point source

nonpoint source

The maximum number of points is 50. Aquatic life use impairments resulting

primarily from point sources are given a higher priority. Full or Full/Threatened

and Partial Minor assessments which are based on an evaluated level of

assessment will be assigned 40 points.

For purposes of B2 and C2 calculations, the Stream Class A, B, C, D or E is

assigned from the Biological Stream Characterization Summary as follows:

Biological Stream Characterization (BSC) summary.

STREAM

CLASS

BSC CATEGORY

BIOTIC RESOURCE QUALITY DESCRIPTION

A Unique Aquatic

Resource

EXCELLENT. Comparable to the best situations

without human disturbance.

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.a

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B Highly Valued

Aquatic Resource

GOOD. Good fishery for important gamefish species

(sauger, walleye, northern pike, black bass, panfish

and catfish); species richness may be somewhat below

expectations for stream size or geographic region.

C Moderate Aquatic

Resource

FAIR. Fishery consists predominantly of bullheads

(Ictalurus spp.), sunfish (Lepomis spp.), and carp

(Cyprinus carpio). Species diversity and number of

intolerant fish reduced. Trophic structure skewed with

increased frequency of omnivores, green sunfish or

tolerant species.

D Limited Aquatic

Resource

POOR. Fishery predominantly for carp; fish

community dominated by omnivores and tolerant

forms. Intolerant macroinvertebrates rare or absent;

moderate, facultative and tolerant organisms dominate

benthic community. Species richness may notably

lower than expected for georgraphic area, stream size

or available habitat.

E Restricted Aquatic

Resource

VERY POOR. Few fish of any species present; no

sport fishery exists. Intolerant macroinvertebrates

absent; benthic community consists of essentially

tolerant forms or no aquatic life may be present.

Species richness may be restricted to a few oligochaete

or chironomid taxa.

d) US – Degrees of Use Support – Lakes & Reservoirs

Index of Biotic Integrity (IBI) and Predicted Index of Biotic Integrity (PIBI)

information is not applicable to lakes and reservoirs. The A2 factor will be

determined solely from the Degree of Use Support classification and point

allocation contained in paragraph (c) above.

Section 366.APPENDIX B Service Continuation A4 Factor Scoring Review Sheet

Scoring Elements:

A. WASTEWATER TREATMENT PLANTS:

NPDES Permit exceedance (if applicable)

BOD ...............

...............

Ammonia/Nitrogen

...............

Phosphorus

...............

Dechlorination/Toxics

...............

Overflows/Bypasses

...............

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.b

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Cause of exceedance

Work necessary to correct exceedance

Age of wastewater treatment facilities since last upgrade …. _____years. (0.5

point for each 5 years over 20 years old)..................................................................

Is plant concrete sound? Y

. Extensive spauling of concrete must be

evident to be classed unsound. (0.1 point for each 10% of the concrete thickness

that is gone.) .............................................................................................................

If yes, is the reinforcing steel exposed? Y

(1.0 point if steel is

exposed.)...................................................................................................................

Does the condition of the concrete pose a threat to the integrity of any unit

process, building, or mechanical equipment in the plant or pose a safety hazard

to operating personnel? Y

(If yes, 1.0 point.).........................................

Is the present condition of various plant concrete structures to or causing

effluent violations? Y

(If yes, 1.0 point.) ...............................................

Would a failure of any of the concrete structures which are in condition cause a

discharge to the waters of the state or an effluent violation? Y

(If yes,

1.0 point.)..................................................................................................................

Is corrosion of metal structures (bridges, walkways, control, valve vaults,

handrails, etc.) at the point where a potential threat exists to continued operation

of plant units or a safety threat exists for plant personnel? Y

(If yes,

1.0 point.)..................................................................................................................

Number of mechanical equipment failures during the past five years…._____.

Causes:

(0.1 point for each occurrence that resulted in one unit being out of service for at

least one day; maximum.).........................................................................................

Number of mechanical equipment failures during the past year _____. Causes:

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.b

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10.

Were the mechanical failures in any way related to improper maintenance? ..........

(If no, then 0.1 point for each event in which a unit process was out

of operation for at least one day; 2.0 points maximum.)..........................................

11.

Did any of the mechanical failures result in a raw or partially treated sewage

discharge to waters of the state?....Y

(If yes, 2.0 points.)........................

12.

Did any of these mechanical failures result in an actual or potential safety hazard

to plant personnel …. Y

(If yes, 1.0 point.).............................................

13.

Are there portions of the plant which are permanently out of service due to

mechanical failure or lack of availability of replacement parts due to equipment

age? (0.5 point for each tank or functional unit that is no longer operational, 4

points maximum.).....................................................................................................

14.

Were these mechanical failures due to equipment design or application

problems?.... Y

(If yes, subtract 1.0 point.).............................................

15.

Have all warrantees expired?.... Y

(If no, subtract 1 point for each

piece of equipment that is not operational for which the warranty is still in

effect.).......................................................................................................................

TOTAL SCORE, WASTE TREATMENT FACILITIES ..................................................

B. SEWER COLLECTION SYSTEMS:

Age of the original sewer system in years. …. _____ (1.0 point for each 10 years

or fraction thereof over 50 years old; 3.0 points maximum.)...................................

Material of construction: vitrified clay pipe (VCP)____; reinforced concrete

pipe (RCP) ____; brick ____; cast-in-place concrete ____ (brick = one point;

RCP = 0.5 point; cast-in-place = 0.5 point)..............................................................

If concrete, is there crown corrosion? Y

(If yes, 1.0.)............................

If yes, what percent of the pipe thickness at the crown is gone?....____ (1.0 point

for each 25% of pipe thickness lost.)........................................................................

If pipe is brick, percent of joint material remaining….____ (1.0 point for each

25% of joint material lost.).......................................................................................

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.b

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If pipe is reinforced concrete pipe or cast-in-place concrete, is the reinforcing

steel exposed? Y

(If steel is exposed, 1.0 point.) ...................................

Have there been any cave-ins on the system in the past five years? Y

(If yes, then 1.0 point for each cave-in event; 3.0 points maximum.)......................

Have there been any cave-ins in the past year? Y

(If yes, add one

additional point for each event; 3.0 points maximum.)............................................

Have there been any discharges to waters of the state or basement backups as a

result of any of these cave-ins? Y

(0.1 additional point for each

overflow or basement backup event caused by pipe failures; 3.0 points

maximum.)................................................................................................................

10.

Number of system overflows over the last 5 years due to dry weather

surcharging ____ (associated with a non-pipe failure event i.e. tree roots, pipe

settled with grit, etc.) (0.1 point for each overflow; 3.0 points maximum.).............

11.

Number of homes experience basement backups over the last 5 years due to dry

weather surcharging ____ (non-pipe failure event); (0.5 point for each 50 homes

or fraction thereof, 5.0 points maximum.)................................................................

12.

Percent of system that is combined sewers: ____% (For sewer separation

projects, 1.0 point for each 10% of the entire system or fraction thereof that will

be separated by the proposed project; 5.0 points maximum.) ..................................

TOTAL SCORE SEWER COLLECTION SYSTEMS......................................................

C. COLLECTION SYSTEM LIFT STATIONS

Percent of lift stations on the system that are over 20 years old _____ (1.0 point

for each 25% of the total stations or fraction thereof over 20 years old; 4.0

points maximum.).....................................................................................................

Are all stations equipped with alarms? Y

(No = 1.0 point.)...................

Number of homes experiencing backups over the lst 5 years due to lift station

failures or power outages ____ (1.0 point for each 50 homes or fraction thereof;

4.0 points maximum.)...............................................................................................

Number of homes experiencing backups over the last 5 years due to lift station

failures or power outages ____. (1.0 point for each overflow event; 4.0 points

maximum.)................................................................................................................

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.b

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Percent of total station pumping capacity that is out of service due to obsolete

equipment ____. (1.0 point for each 10% of total capacity that is out because of

inability to get replacement equipment; 2.0 points maximum.)...............................

Do all pumping stations have standby power or alternate means of pumping

during power failures as required? Y

(If no, 0.5 point for each station

not properly equipped that will be upgraded by this project; 2.0 points

maximum.)................................................................................................................

How many lift stations have equipment or structural deterioration problems

which contribute to operational problems or safety hazards to operating

personnel? ____. (0.5 point for each station that will have these problems

corrected by the proposed project; maximum 2.0 points.) .......................................

TOTAL SCORE FOR LIFT STATIONS...........................................................................

Reviewer

Date

Section 366.APPENDIX C Excellence of Operation Scoring Review Sheet For Local

Government Units That Own Wastewater Treatment Facilities

This scoring sheet will be used to rate those projects which have demonstrated excellence in the

maintenance and operation of existing wastewater treatment facilities. The scoring factors are as

follows:

A. PROCESS PERFORMANCE AND CONTROL:

Plant performance compared to permit limit requirements. (If both BOD/SS are

consistently 20% below permit limits, 2.0 points; if 40% or more below limits,

3.0 points.) ................................................................................................................

How long has the plant been producing an effluent no greater than 80% of its

permit limits? (If at least 5 years, 1.0 point; if 10 or more years, 2.0 points.) .........

Current plant loading as a percentage of the design capacity. (If the current

average daily load is 80 to 90% of design capacity, 0.5 point; if 90 to 100%; 2.0

points; if over 100%, 3.0 points.) .............................................................................

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.c

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Does the operator use laboratory data to make appropriate process control

adjustments? (If yes, 1.0 point.) ..............................................................................

Is the effluent quality consistent during the entire range of plant flows? (If it is

within permit limits at all flows, 1.0 point.) .............................................................

Is the sludge quality acceptable for land application? (If a land application

permit has been issued, 1.0 point.) ...........................................................................

Is the process subject to process upsets? (If there have been no process upsets

due to discharges into the sewer system I the last 5 years, 0.5 point.) .....................

For processes using the activated sludge process, is microscopic analysis used

for process monitoring? (If yes, 0.5 point.) .............................................................

TOTAL PROCESS PERFORMANCE AND CONTROL.................................................

B. MAINTENANCE:

How long have mechanical equipment and structures been in service without a

failure that affected plant performance? (Over 5 years, 0.5 point; over 10 years,

1.0 point; 20 or more years, 2.0 points.)...................................................................

Are the plant grounds, buildings and equipment well-maintained (grass cut,

equipment and buildings painted, etc.)? (If yes, 0.5 point.) ....................................

Does the plant have a routine preventative maintenance program? (If yes, 0.5

point.)........................................................................................................................

Does the plant have a spare parts inventory? (If yes, 0.5 point.).............................

TOTAL MAINTENANCE .................................................................................................

C. ADMINISTRATION:

Does the operating agency control industrial discharges into the sewer system

that may adversely affect the treatment process, sludge or effluent quality or

pose a safety hazard to system workers? (If a local ordinance exists, 0.5 point; if

there is an approved local pretreatment program, 1.0 point.)...................................

Are all self-monitored reports and other reports required by permit conditions

submitted on time? (If they are, 0.5 point.) .............................................................

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.c

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Are all financial reporting requirements submitted in accordance with permit

conditions? (If they are, 0.5 point.) .........................................................................

Does the chief operator have the proper level of certification required by Title

35, Subtitle C of the Illinois Pollution Control Board Regulations? (If yes, 0.5

point.)........................................................................................................................

Has the plant been issued an Agency safety certificate during the past year? (If

yes, 0.5 point.) ..........................................................................................................

Does the plant have an emergency plan to respond to hazardous material

emergencies? (If yes, 0.5 point.)..............................................................................

Does the plant manager prepare an annual report to the board or council on

annual facility performance which includes budget needs for the coming year?

(If yes, 0.5 point.) .....................................................................................................

Is revenue being accumulated for annual O & M needs and equipment

replacement? (If yes, 0.5 point.)..............................................................................

TOTAL ADMINISTRATION............................................................................................

TOTAL ALL CATEGORIES.............................................................................................

TOTAL

Reviewer

Date

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.d

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Section 366.APPENDIX D Excellence of Operation Scoring Review Sheet For Local

Government Units That Own Only Wastewater Collection Facilities

This scoring sheet will be used to rate those projects which have demonstrated excellence in the

maintenance and operation of existing wastewater treatment facilities. The scoring factors are as

follows:

A. COLLECTION SYSTEM PERFORMANCE AND CONTROL:

When was the original collection system installed?

(0.2 points will be awarded for each 10 years over 20 years old for the original

system to a maximum of 1.0 point.)..........................................................................

If there have been no basement backups reported in the last year, 1.0 point; in the

last five years, 2.0 points; in the last 10 years, 3.0 point. .........................................

If there have been no sewer system overflows to waters of the State, (i.e.; wet

well overflows at lift stations, manhole overflow, etc.) 0.4 point per year to a 4.0

point maximum. ........................................................................................................

If there are lift stations on the collection system, are they all equipped with a

standby generator or alternate means of pumping in case of a power outage? (If

yes, 1.0 point.)...........................................................................................................

If all lift station wet wells are equipped with high water alarms, 1.0 point..............

Do any portions of the collection system flow at full capacity during wet weather

periods? (If no, then 1.0 point.).................................................................................

TOTAL FOR COLLECTION SYSTEM PERFORMANCE .........................................

B. MAINTENANCE:

If there is a program for systematic inspection and cleaning of all sewer system

lines, 1.0 point. .........................................................................................................

Have there been any television inspections of the system during the past five

years? (If so, 1.0 point.)............................................................................................

If there is a systematic preventative maintenance program for all lift stations on

the system, 1.0 point.................................................................................................

If there is a spare parts inventory for all lift stations, 1.0 point................................

35 ILLINOIS ADMINISTRATIVE CODE CH. II, SEC. 366.App.d

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TOTAL FOR SYSTEM MAINTENANCE...................................................................

C. ADMINISTRATION:

Does the operating agency maintain a current sewer atlas? (If yes, 1.0 point.) .......

Does the operating agency have a program to prohibit downspouts, footing

drains, and other clean water connections to the sanitary sewer system? (If yes,

1.0 point.)..................................................................................................................

Is there a program for local inspection and enforcement of sewer use ordinances

to prohibit downspout and footing or area drain connections? (If yes, 1.0 point.)...

Does the operating agency have an ordinance to regulate the types of wastes

discharged into its collection system? (If yes, 1.0 point.) .........................................

Does the operating agency have a safety program for its collection system

maintenance crews? (If so, 1.0 point.)......................................................................

TOTAL FOR SYSTEM ADMINISTRATION .............................................................

TOTAL SCORE FOR ALL CATEGORIES .................................................................

Reviewer

Date