1. (1) Unless otherwise permitted by these rules and regulations, the design, construction, or operation of a wastewater treatment plant is prohibited where such design, construction, or operation causes a discharge, or storage which is reasonably likely to lead to a discharge, of sewage or sewage effluent into the environment (including into groundwater), and which is reasonably likely to cause degradation of surface water quality or of the water supply. It shall be an affirmative defense under this subsection that such discharge, or storage likely to lead to a discharge, is either permitted or not prohibited under Federal law, and is either permitted or not prohibited under State law.
2. (2) The design of new wastewater treatment plants, and the plans and specifications resulting from that design, require the review and approval of the department. The construction of new wastewater treatment plants shall be in conformance with the plans and specifications approved by the department.
3. (3) The design for an expansion or an alteration or modification of new or existing wastewater treatment plants, and the plans and specifications resulting from that design, require the review and approval of the department. The construction of the expansion or alteration or modification shall be in accordance with the plans and specifications approved by the department.
4. (4) The owner or operator of a new or existing wastewater treatment plant shall operate and maintain the wastewater treatment plant in accordance with the operations and maintenance manual for the plant. Such manual shall be prepared by the owner and approved by the department.
5. (5) No new wastewater treatment plants with a surface discharge, or expansion or alteration or modification of new or existing wastewater treatment plants, shall cause a contravention of the water quality standards set forth in Subpart 128-4 of this Part or the phosphorus water quality values set forth in the New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.1.1, Ambient Water Quality Standards and Guidance Values (October 22, 1993).
6. (6) No part of any seepage unit or absorption field for a subsurface discharge from a wastewater treatment plant shall be located within the limiting distance of 100 feet of a watercourse or wetland or within the limiting distance of 500 feet of a reservoir, reservoir stem, or controlled lake.
7. (7) Wastewater treatment plants with surface discharges into the watershed shall be capable of achieving 99.9 percent removal and/or inactivation of Giardia lamblia cysts and 99.99 percent removal and/or inactivation of enteric viruses.

8. (8) Wastewater treatment plants with either surface or subsurface discharges within the watershed shall provide phosphorus removal using the best treatment technology so that the wastewater treatment plant is designed to be operated and maintained to meet the following requirements:

   SPDES Permitted	Total
   Total Flow	Phosphorus Limit
   (gallons/day)	(mg/l)
   ≤50,000	1.0
   >50,000 and <500,000	0.5
   ≥500,000	0.2

9. (9) Wastewater treatment plants with surface discharges to intermittent streams in the watershed shall be operated and maintained to meet the intermittent stream effluent limits set forth in the New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.3.1, Total Maximum Daily Loads and Water Quality-Based Effluent Limits (July 8, 1996) and New York State Department of Environmental Conservation Technical and Operational Guidance Series (TOGS) 1.3.1B, Total Maximum Daily Loads and Water Quality-Based Effluent Limits, Amendments-Low and Intermittent Stream Standards (July 8, 1996), provided however, that the effluent limit for a discharge of a pollutant to an intermittent stream shall in no case be less stringent than the effluent limit which would apply to the same discharge of the pollutant to the first downstream perennial stream.
10. (10) Within one year of the effective date of these rules and regulations, the owners of all existing wastewater treatment plants shall submit to the department for review and approval an operations and maintenance plan and a schedule setting forth a plan for bringing the wastewater treatment plant into compliance with all of the requirements of this section. Any such plan that is disapproved by the department shall be revised and resubmitted to the department for review and approval within 90 days after the initial disapproval. Owners of existing wastewater treatment plants must secure final department approval of such operation and maintenance plans and such a schedule setting forth a plan for bringing the plant into compliance by no later than 18 months from the effective date of these rules and regulations, and must complete all work in order for such plants to be brought into compliance with the requirements of this section by no later than five years from the effective date of these rules and regulations or any extended period of time approved by the department upon good cause shown.
11. (11) Existing wastewater treatment plants with surface discharges are prohibited from expanding if they are located in an area where new wastewater treatment plants with surface discharges are prohibited by these rules and regulations. This paragraph shall not apply to existing wastewater treatment plants which discharge subsurface or the expansion of existing wastewater treatment plants where the expanded portion discharges subsurface.
12. (12) Existing wastewater treatment plants with surface discharges may expand if they are located in an area where new wastewater treatment plants with surface discharges are allowed by these rules and regulations. The plans submitted to expand the wastewater treatment plant shall meet all of the requirements of this section.
13. (13) Existing wastewater treatment plants with subsurface discharges may expand. The expanded portion of such wastewater treatment plants shall meet all of the design standards and other requirements of this section.
14. (14) Any approval of a new or expanded wastewater treatment plant issued by the department shall expire and thereafter be null and void unless construction is completed within five years of the date of issuance of such approval or any extended period of time approved by the department upon good cause shown. Following expiration of the approval, the plans for the wastewater treatment plants may be resubmitted to the department for consideration for a new approval.
15. (b) Requirements for wastewater treatment plants located within phosphorus restricted basins. No new wastewater treatment plants with surface discharges, or expansions of existing wastewater treatment plants with surface discharges, shall be allowed in a phosphorus restricted basin. A variance from this provision may be sought in accordance with the requirements set forth in section 128-6.1(d) of this Part.

16. (c) Requirements for wastewater treatment plants local coliform restricted basins. No new wastewater treatment plants with surface discharges, or expansions of existing wastewater treatment plants with surface discharges, shall be allowed in a coliform restricted basin. A variance from this provision may be sought in accordance with the requirements set forth in section 128-6.1(d)(1) of this Part.

    1. (1) The map indicating the demarcation line for the watershed areas that are located within the 60-day travel time to intake appears in section 128-10.1 of this Part. Large detailed maps of such areas are available to be reviewed by the public during business hours at the regional offices listed in section 128-1.5 of this Part.

    2. (2) Within the 60-day travel time to the intake the following requirements are applicable:

       1. (i) new wastewater treatment plants with surface discharges, or expansions of existing wastewater treatment plants with surface discharges, are prohibited;
       2. (ii) existing wastewater treatment plants with SPDES permitted surface discharges may continue to operate provided the treated effluent is also subject to sand filtration, disinfection, phosphorus removal, and microfiltration or a department-approved equivalent technology to microfiltration, as required by these rules and regulations;

       3. (iii) new and existing wastewater treatment plants with subsurface discharges may commence or continue to operate provided that the treated effluent is also subject to sand filtration and phosphorus removal, and for SPDES permitted discharges greater than 30,000 gallons per day (gpd), disinfection, as required by these rules and regulations.

          (e) Treatment requirements for wastewater treatment plants located in the watershed and beyond the 60-day travel time to intake.

    3. (1) The map indicating the demarcation line for the watershed areas that are located beyond the 60-day travel time to intake appears in section 128-10.1 of this Part. Large detailed maps of such areas are available to be reviewed by the public during business hours at the regional offices listed in section 128-1.5 of this Part.

    4. (2) Beyond the 60-day travel time to the intake the following requirements are applicable:

       1. (i) new wastewater treatment plants with surface discharges into a reservoir, reservoir stem, controlled lake, or wetland are prohibited;
       2. (ii) all new surface discharges into a watercourse, and any existing wastewater treatment plants with SPDES permitted surface discharges may commence or continue to operate, provided that the treated effluent is also subject to sand filtration, disinfection, phosphorus removal, and microfiltration or a department-approved equivalent technology to microfiltration, as required by these rules and regulations;

       3. (iii) new and existing wastewater treatment plants with subsurface discharges may commence or continue to operate, provided that the treated effluent is also subject to sand filtration, phosphorus removal, and for SPDES permitted discharges greater than 30,000 gallons per day (gpd), disinfection, as required by these rules and regulations.

          (f) Design, operation and maintenance requirements.

    5. (1) This subdivision shall apply to new and existing wastewater treatment plants.

    6. (2) The criteria used by the department to approve the design for any new wastewater treatment plant or the portion of any new or existing wastewater treatment plant which is being expanded or altered or modified shall be all applicable requirements of law, including the standards set forth in the following documents:

       1. (i) “Design Standards for Wastewater Treatment Works, Intermediate Sized Sewerage Facilities,” New York State Department of Environmental Conservation (1988); and
       2. (ii) “Recommended Standards for Wastewater Facilities,” Great Lakes—Upper Mississippi River Board of State Public Health and Environmental Managers (1990).

    7. (3) The department shall not approve a wastewater treatment plant, or any proposed expansion of a wastewater treatment plant, which discharges within the watershed, if there is inflow or infiltration into a sewerage system connected to such wastewater treatment plant which causes either:

       1. (i) the State authorized flow limit of the wastewater treatment plant to be exceeded; or
       2. (ii) the strength of the sewage influent to the wastewater treatment plant to be diluted to a level that adversely affects the efficacy of the State permitted and department approved treatment process.
    8. (4) The department shall not approve a wastewater treatment plant, or any proposed expansion of a wastewater treatment plant, if there is an indication of exfiltration from a sewerage system connected to such wastewater treatment plant.

    9. (5) All wastewater treatment plants shall meet the following requirements to insure uninterrupted reliable operation:

       1. (i) all wastewater treatment plants shall provide standby power units sufficient to run the entire plant in order to ensure uninterrupted reliable operation in the event of utility power failure and these units shall be equipped with an alarm and automatic start-up capability;
       2. (ii) all vital plant structures, mechanical and electrical equipment of new or existing wastewater treatment plants located or designed within the 100-year flood plain shall be protected from damage from a 100-year flood that may affect or disrupt its function or general performance. Such structures and equipment shall remain fully operational in a 25-year flood.
       3. (iii) the disinfection system shall be provided with backup units, an alarm and equipment that will insure processing of the plant flow without interruption and the backup electrical and/or mechanical equipment shall be equipped with automatic start-up capability.
       4. (iv) in wastewater treatment plants with a SPDES permitted surface discharge of 50,000 gpd or less, there shall be a minimum of two sand filters, each rated to handle the full plant flow. In wastewater treatment plants with a SPDES permitted surface discharge greater than 50,000 gpd, there shall be a minimum of three sand filters, each rated to handle one-half of the full plant flow;
       5. (v) all wastewater treatment plants must be equipped with a flow meter that includes a recording device; and
       6. (vi) all alarm systems shall require telemetering to a central location with around the clock operator presence or, in the alternative, to an operator's residence so that a response shall be initiated immediately.

    10. (6) The following requirements shall apply to all wastewater treatment plants with subsurface discharges or absorption fields located in the watershed:

        1. (i) the loading rate to the absorption trench may be 25 percent greater than that required under the design standards listed in paragraph (2) of this subdivision;
        2. (ii) an additional area of at least 50 percent of the absorption field area shall be set aside as a reserve field area;
        3. (iii) at a minimum, one percolation and one deep hole test shall be performed in both the primary absorption field area and in the reserve absorption field area. An applicant shall notify the department in writing at least seven business days prior to performance of such tests, and specify the location and the time of the tests. At the option of the department, a department representative may witness these tests; and

        4. (iv) the use of pumping, mechanical dosing or other mechanical devices requires a pump chamber equipped with an alarm to indicate malfunction, a backup pump, and any other safety features required by the department to prevent overflow.

           (7)

        5. (i) All owners or operators of department approved wastewater treatment plants in the watershed shall, prior to commencement of construction of such wastewater treatment plants, deposit with the department a performance bond for the completion of the construction of the wastewater treatment plant and an additional bond or other guaranty for the payment of labor and material furnished in the course of such construction. Upon completion of construction and payment of labor and materials, such bonds or other guaranties shall be released. Additionally, prior to commencement of operation of the approved wastewater treatment plant, the owners or operators of the approved wastewater treatment plant shall provide a surety bond, or a reasonable guaranty, that they shall continue to maintain and operate the system for a period of five years. The surety bond or guaranty shall be in an amount sufficient to insure the full and faithful performance by the owners or operators of the wastewater treatment plants, and their successors and assigns, with regard to their obligation to properly maintain and operate the wastewater treatment plants in accordance with all requirements of law and according to the conditions set by the department in its approval; provided, however, that such surety bond or guaranty shall not be required by the department where the owners or operators of the wastewater treatment plant have provided a surety bond or guaranty for the maintenance and operation of the wastewater treatment plant to the local governing body, in an amount necessary to insure the full and faithful performance of the operation and maintenance of the wastewater treatment plant; provided further, that such surety bond or guaranty shall not be required where the owner or operator of the wastewater treatment plant is a village, town, county or city. The commissioner may, at his or her discretion, increase the amount of such surety bond or guaranty, but not to exceed an amount necessary to insure the full and faithful performance of the operation of the wastewater treatment plant. All such bonds shall be prepared on the forms of bonds authorized by the City of New York and shall have as a surety such company or companies that shall be approved by the City of New York and are authorized to do business in the State of New York.
        6. (ii) The commissioner may authorize the provision of other security, including cash, if the commissioner finds that compliance with the bond requirement is not reasonably possible and the public interest would be served by such authorization. The alternative security shall be deposited with the Comptroller of the City of New York.
        7. (iii) Whenever an owner or operator of a wastewater treatment plant deposits securities or other obligations with the City of New York, in lieu of a performance bond, it shall be with the understanding that the Comptroller of the City of New York, or his or her successors, may sell and use the proceeds thereof for any purpose for which the principal or surety on such bond would be liable under the terms of the approval. If money is deposited with the comptroller, the owner or operator of the wastewater treatment plant shall not be entitled to receive interest on such money from the City of New York.

    11. (8) The transfer of any approval or permit issued by the department for the construction and/or operation of any wastewater treatment plant shall require department approval. The department shall approve such transfer provided that the transferee demonstrates sufficient financial, technical, and professional capability to construct, operate and/or maintain the subject wastewater treatment plant in compliance with applicable laws, as cited in paragraph (a)(1) of this section, the provisions of these rules and regulations, and the terms and conditions of any approval or permit granted by the department.

        (g) Application requirements.

    12. (1) An application for review and approval of a new wastewater treatment plant shall include the following information:

        1. (i) a department application form and an environmental assessment form (EAF long form);
        2. (ii) a facility plan which shall include: a description of the project, flow and waste load estimations, site characteristics, evaluation of existing system, if applicable, and existing local or related facilities, including any related water quality problems, examination of the project service area, estimation of growth, examination of alternative solutions and explanation of why the proposed option was chosen, analysis of potential impacts, analysis of hydraulic and organic capacities (including waste assimilation capacity analysis), description of unit processes and explanation of sizing, operation under emergency conditions, and sludge processing, storage and disposal methods, estimation of costs, proposed financing methods and anticipated user fees, outline of operation and maintenance requirements (including cost projections), and regulatory review and permitting requirements;
        3. (iii) an engineering plan which shall include: location plan, site plan, schematic of plant hydraulic profile, piping schematic, location, dimension and elevations of plant process units and appurtenances, mechanical system layout, electrical system layout, and erosion and sediment control and stormwater management plan.
        4. (iv) construction specifications, including material and equipment specifications;
        5. (v) construction schedule;
        6. (vi) in cases where a draft environmental impact statement (“DEIS”) is to be prepared for an activity and the DEIS complies with the requirements of article 8 of the Environmental Conservation Law and the regulations promulgated thereunder, and includes the information required in this Part, the DEIS may constitute all or part of the application for review and approval under this Part. In such case the applicant will provide the department with notice and a copy of the DEIS; however, no approval shall be issued by the department prior to review of the FEIS and issuance of a finding to approve; and
        7. (vii) a copy of the draft SPDES permit, if any, and, when issued, a copy of the final SPDES permit. Copies of any revisions to the draft SPDES permit shall also be provided to the department as they become available to the applicant.

    13. (2) An application for review and approval of an expansion or of an alteration or modification of a new or existing wastewater treatment plant shall include all of the information required in paragraph (1) of this subdivision where applicable, and shall either:

        1. (i) certify that the wastewater treatment plant is in compliance with all of the requirements of this section, and all requirements of its SPDES permit; or
        2. (ii) certify that a schedule for the wastewater treatment plant to come into compliance with the requirements of this section and with the requirements of its SPDES permit has been submitted to the department for approval. A copy of such compliance schedule shall be attached to the application.
    14. (3) An application for review and approval of a plan for bringing an existing wastewater treatment plant into compliance with the requirements of this section shall include the operation and maintenance manual for the wastewater treatment plant.
    15. (4) All approvals for new or expansion of existing wastewater treatment plants are conditioned on the applicant's submission of record drawings and an operation and maintenance manual once construction is complete.

    (d) Treatment requirements for wastewater treatment plants located within the 60-day travel time to intake.

(a) Minimum requirements.