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​Wastewater Municipal Planning (WMP) is part of the Municipal Planning Section (MPS) within the Water Infrastructure Branch of the Division of Water.  The responsibilities of the WMP include reviewing the facility plans, asset inventories, as well as the environmental information documents required by the Clean Water State Revolving Fund (CWSRF) and the Drinking Water State Revolving Fund (DWSRF) as well as conducting the Clean Watersheds Needs Survey.  WMP also tracks and reviews requests for line extension bans.  Defined below are all the responsibilities required by the WMP section.  The ultimate goal of the section is to help the municipalities look for efficiency through regionalization and application of the best available technology with the primary focus on preventing municipal water pollution.

The WMP is responsible for the planning of municipal wastewater collection and treatment systems, with emphasis on project implement ability, environmental soundness and cost effectiveness by reviewing the 20-year facility plans required by 401 KAR 5:006 to meet the wastewater planning requirements for regional planning agencies.

401 KAR 5:006 requires a regional planning agency to submit a regional facility plan, if one of the following parameters is triggered:

  1. “A new wastewater treatment facility is proposed for construction within the planning area,
  2. An existing regional planning agency proposes to expand the average daily design capacity of an existing wastewater treatment facility by more than thirty (30) percent, or
  3. The equivalent population served by an existing wastewater collection system or a system with a Kentucky Inter-System Operating Permit is proposed for expansion by more than thirty (30) percent of the population served in the previously approved regional facility plan.”

If none of these parameters has been triggered then an asset inventory report must be completed every ten years. 
Facility plans prepared by the municipalities or sewer districts and an engineering consultant meet with the WMP in a preplanning meeting to discuss the elements of the plan, project scope and timing, feasibility, alternatives and conceptual planning.  When the plan is received, the plan is reviewed for compliance with regulation 401 KAR 5:006, the wastewater planning requirements for regional planning agencies.  The project proponent is responsible for seeking comments from the U.S. Department of Fish and Wildlife (USFWS), U.S. Army Corps of Engineers (USACE), USDA Natural Resource Conservation Service (NRCS), Kentucky Heritage Council (KHC), and Kentucky Department of Fish and Wildlife Resources (KDFWR).  The facility plan reviewer then drafts a State Planning and Environmental Assessment Report (SPEAR) and a Finding of No Significant Impact (FONSI) determination, which is sent to the Director of the Kentucky Division of Water for approval.  Once approved the SPEAR and FONSI are sent to eClearinghouse for review and placed on the Energy and Environment Cabinet’s Public Notice webpage for a 30-day public comment period.  All comments received during the public comment period will be addressed before final approval.  On receiving comments from eClearinghouse, the response is included in the final approval package.  The final approval includes the FONSI, SPEAR, eClearinghouse response, the municipality’s environmental mitigation commitment letter, and responses to any public comment received during the 30-day public comment period.


The applicant is required to give public notice of the facility plan in the local area and invite public comment.  For convenience, municipalities, the public, and consultants may use the Public Hearing Template [8 KB].

The WMP prepares a priority list, ranking the order of wastewater construction projects eligible to borrow money at a low interest rate from the Clean Water State Revolving Fund (CWSRF).  Please view the CWSRF Funding webpage for further information.

In addition, WMP reviews the environmental information documents from applicants who apply for funding through the Drinking Water State Revolving Fund (DWSRF) or the Clean Water State Revolving Fund (CWSRF).  The Kentucky SRF environmental review process follows a National Environmental Policy Act (NEPA)-like process as set forth in Kentucky’s State Environmental Review Process (SERP) document.  The Division of Water (DOW) reviews all SRF projects to assure compliance with the SERP and other environmental laws and regulations.
There are two types of environmental reviews: Categorical Exclusion and Finding of No Significant Impact determinations.

  1. Categorical Exclusion Determination (CED) - Categorical Exclusions (CEs) are identified categories of actions, which are not considered to have a significant effect on the quality of the environment.  The DOW, following the review of a project narrative, will determine eligibility for a CE.  A list of criteria for a CE is found in the SRF Borrower’s Handbook included under GUIDANCE located at the top right of this page.  For all projects that are not eligible for a CE, each applicant must complete an Environmental Information Document (EID) as outlined in the SERP.
  2. Finding of No Significant Impact Determination (FONSI) – The applicant or project proponent prepares the EID for review.  The EID describes and evaluates the environmental impacts to the feasible alternatives, including the “No Action” alternative.  The scope of the EID should be commensurate with the size and significance of the proposed project.  Public Participation is also a requirement for projects requiring a FONSI review; a public meeting held at a location and time that is most convenient for the customers of the public utility to attend and proved them an opportunity to voice any concerns are ask questions pertaining to the project.  Besides the public participation component, participation from several federal and state agencies is also required.  Scoping letters that describes the project and environmental impact along with a detailed location map is sent to the USFWS, USACE, NRCS, and the KHC.  These request letters and responses are included in the EID.  All items required are listed in the EID Guidance document [704 KB] located under GUIDANCE and the public meeting notification template [8 KB]is also included.  Once the EID has been reviewed by the WMP, a FONSI and Environmental Assessment (EA) are drafted and sent for the Director’s approval.  The approved FONSI and EA are included on the Energy and Environment Cabinet’s (EEC) public notice webpage for a 30-day public comment period.  If comments are received, they will be addressed before the FONSI and EA are approved by the Division.  All comments and responses are included with the approved FONSI and EA as well as the Clearinghouse comments sent to the applicant.

The completed EID or the CE request can be submitted as a pdf through the eForms electronic submittal process or by email or by US mail.

The WMP also issues bans on line extensions on those wastewater treatment plants that are at or above 90 Percent or 95 percent of their Hydraulic and/or organic capacity.  This Municipal Water Pollution Prevention Program was devised to help municipalities avoid possible violations and fines by beginning planning on a timely basis to meet the community’s economic and population growth.  See the “Facilities Line Extension Ban List” for a list of facilities currently under a line extension ban).  You may also access the “Line Extension Ban Exemption Request Form” to request an exemption to the line extension ban. 

The WMP also estimates the funds public wastewater systems need to meet Clean Water Act by completing the Clean Watersheds Needs Survey (CWNS).  The U.S. Environmental Protection Agency reviews and approves the submission.  The CWNS provides information on the condition and the capital funds needed to protect the environment and public health under the Clean Water Act.

​Mr. Russell Neal - Environmental Control Supervisor
​502-782-7026

Lori Dials- Environmental Scientist​
​Facility Plans, Asset Inventories, and Environmental Reviews for CWSRF and DWSRF
​502-782-6937 

Chris Luffy – Environmental Scientist
Facilities Line Extension Ban List and Line Extension Ban Exemptions
​502-782-6129

Brittany Ditmer– Environmental Scientist                   
Asset Inventories and Environmental Reviews
​502-782-0158