TD743
.U582
CONSTRUCTION GRANTS PROGRAM
INFORMATION
OOOR76016
INDUSTRIAL COST
RECOVERY SYSTEMS
NOVEMBER 1976
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF WATER PROGRAM OPERATIONS
MUNICIPAL CONSTRUCTION DIVISION
WASHINGTON, D.C. 20460
MCD-44
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NOTE:
This document is not a replacement of the Act, the
Regulations, the Guidelines, or official EPA policy state-
ments. It contains supplemental information to explain
these statutory and regulatory requirements and provides
examples of industrial cost recovery requirements, inter-
pretations, and procedures. Any clarifications and spe-
cific conditions applicable to a local area should be dis-
cussed with the appropriate EPA Regional Office.
To order this publication, MCD-44, Construction
Grants Program Information Industrial Cost Recovery
Systems, write to:
General Services Administration (8 FSS)
Centralized Mailing List Services
Bldg. 41, Denver Federal Center
Denver, Colorado 80225
Please indicate the MCD number and title of publication.
This publication should be placed in Part III, Guidelines
of the Municipal Wastewater Treatment Works Construc-
tion Grants Program manual of references.
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CONSTRUCTION GRANTS PROGRAM
INFORMATION -
INDUSTRIAL COST RECOVERY SYSTEMS
United States
Environmental Protection Agency
Office of Water Program Operations
Municipal Construction Division
Washington, D.C. 20460
November 1976
R>xj-ior. V, Library
2~0 Souch fraarjorn Street
Chicago, Illinois 6060H
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PREFACE
Section 204(b)(1)(B) of the Federal Water Pollution Control Act Amendments of 1972 (PL 92-500) requires that
industrial users of the treatment works make payments for "that portion of the cost of construction of such treat-
ment works (as determined by the Administrator) which is allocable to the treatment of such industrial wastes."
In carrying out the provisions of this section, EPA has published:
in Title 40 of the Code of Federal Regulations, Part 35, State and Local Assistance,
Subpart E, Grants for Construction of Treatment Works. (40 C.F.R. ง35.900 et seq.)
This document focuses attention on sections 35.903(k);
35.905-6, -7, and -8; 35.920-3(b)(3) and -3(c); 35.925-12(a)
and -17; 35.928-1 and -2; 35.935-13(a)(c)(d)(e); 35.940;
and35.945(b).
Federal Guidelines Industrial Cost Recovery Systems, February 1976.
The purpose of this document is to supplement the "Federal Guidelines Industrial Cost Recovery Systems,"
to provide additional details for assistance in implementation and review of the grantees' Industrial Cost Recovery
(ICR) systems, and to outline a general implementation process which is in compliance with Federal requirements.
eputy Assistant Administrator
Water Program Operations
Washington, D.C.
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ACKNOWLEDGMENT
This document of Supplemental Information was prepared by the Municipal Construction Division, Water Program
Operations, Office of Water and Hazardous Materials.
The initial drafts of this document were prepared, under contract, by Peat, Marwick, Mitchell & Co., Washington,
D.C. This document was reviewed and edited by the staff of the Municipal Construction Division to validate its accu-
racy and ensure that it properly and effectively conveyed Agency policies and procedures after meetings with the con-
tractor's project manager, Ben King Duffy. Further review and editing of this document was performed by representa-
tives of each of the ten EPA Regions, the Office of General Counsel, the Office of Audit, the Grants Administration
Division, and the Financial Management Division. John T. Pai, Chief Sanitary Engineer, Construction Operations
Branch, served as Project Officer for the supervision of this contract.
j
X
Other members of the Peat, Marwick, Mitchell & Co. staff assisting in the preparation were John A. Wander,
C. Alan Phillips, and Lawrence J. Scully.
Document Advisory Staff: Harold P. Cahill, Charles Sutfin and Jack Washburn, Director, Deputy Director and
Chief, Construction Operations Branch of the Municipal Construction Division respectively.
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TABLE OF CONTENTS
Page
PREFACE ii
ACKNOWLEDGMENT Hi
INTRODUCTION 1
ICR SYSTEM REQUIREMENTS
Industrial Cost Recovery and User Charges 2
Industrial Cost Recovery System 4
ICR System Legal Requirements 6
Roles and Responsibilities 8
Grants - Projects - Amendments 10
DEVELOPING THE ICR SYSTEM 12
Identifying Industrial Users 14
Developing the Industrial Data Base 16
Classifying User Groups - Quantifying Flows and Loadings 18
Determining the ICR Cost Base 20
Determining ICR Payments 22
Billing 26
FUNDS MANAGEMENT 28
Cash Control 28
Investment 30
Disbursement 32
ICR DESIGN CHECKLIST 34
40% Grant Payment ICR Checklist 36
60% Grant Payment ICR Checklist 38
FIGURES
Figure 1: Relationship Between ICR and User Charges 3
Figure 2: Industrial Cost Recovery System 5
Figure 3: ICR Legal Requirements 7
Figure 4: Primary Roles and Responsibilities in Developing and Implementing ICR 9
FigureS: Assignment of EPA Grant Identification Numbers by the States 11
Figure 6: Developing the ICR System 13
Figure 7: Example of SIC Classifications 15
FigureS: Illustrative Survey Approaches for Design Requirements 17
Figure 9: Classifying and Quantifying Users 19
Figure. 10: Example of Calculations Required to Determine ICR Unit Costs 21
Figure 11: Determination of Annual ICR Unit Cost Rates 22
Figure 12: Calculation of Annual and Total ICR Payments Requirements 23
Figure 13: Expansion/Upgrading Payments Calculations 25
Figure 14: Sample Billing Format 27
Figure 15: Example of Cash Record 29
Figure 16: Example of ICR Investment Record 31
Figure 17: Disbursement Summary and Check/Format 33
Figure 18: ICR Design Checklist 35
Figure 19: 40% Grant Payment ICR Checklist Example 37
Figure 20: 60% Grant Payment ICR Checklist Example 39
APPENDICES
Appendix A: WWT Construction Grant Identification A-1
Appendix B: Short SIC Titles B-1
Appendix C: Glossary C-1
Appendix D: EPA Regional Offices D-1
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INTRODUCTION
This document of supplemental information is intended to describe the essential requirements of the "Federal
Guidelines Industrial Cost Recovery Systems" Industrial Cost Recovery (ICR) Guidelines and other related require-
ments in a format which will assist the grantees in the design, installation and implementation cf their own systems.
Industry, municipal, county, and state officials will all be involved, either directly or indirectly. In addition,
EPA regional authorities and headquarters are responsible to oversee the implementation of a system designed to
recover that portion of the Federal grant attributable to the cost of construction of treatment works allocable to the
treatment of industrial wastes. The ICR Guidelines contains examples of the Federal requirements for determining
industrial contributions. This document contains illustrative materials for guidance during the design and review
steps. Accordingly, it provides a progressive discussion of the logical sequence most grantees will follow.
Major requirements are referenced in the first section, following a schematic presentation of the relationship of
the Industrial Cost Recovery (ICR) and User Charge systems. The second portion of this document describes the
process of the technical classification of industry, and then the integration of the technical and financial data in order
to arrive at appropriate values. The examples contained in the ICR Guidelines were used as the basis for input to the
examples in this document, so that the grantees and others in the industry and the government can have an explicit
set of examples to use as a reference in discussing their own unique situations.
In the third major portion of this document, the components of the "Funds Management" systems are intro-
duced. The functions and components of the funds management process are discussed; however, no new policies or
outlines of local financial procedures for the grantees are included.
The fourth section contains an ICR design checklist to aid grantees in completing the system requirements in
the necessary timeframe.
It is recognized that available data, existing systems, and local policies will all influence the specific approaches
worked out by the various grantees. For example, a small treatment facility operator with only one class of industry
and one or two industrial users will not view his ICR situation in the same manner as will the management group of
a major urban-industrial waste treatment system. Because of this diversity in actual situations, it is expected that
the general guidance and information provided in this document will allow for local determination of the optimum
approaches to be utilized in each grantee's system.
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ICR SYSTEM REQUIREMENTS
INDUSTRIAL COST RECOVERY AND USER CHARGES
The requirements for establishing the volume and characteristics of industrial wastes, including the conduct of
surveys and quantification of flows, are similar for both ICR and user charges. However, user charges apply to all
recipients of waste treatment services of the grantee and are utilized to recover the operation and maintenance ex-
penses of all the treatment works of the grantee, whereas ICR payments are required from industrial users only to
recover that portion of the Federal grant attributable to the costs of construction of the treatment works allocable
to the treatment of industrial wastes.
The chart on the facing page indicates that, in addition to fiscal mechanisms, the institutional and substantial
legal mechanisms are also related for both ICR and User Charges. However, the ICR Capital Cost Recovery Program
and the User Charge Operating and Maintenance Program have different specific objectives and scope of accounting
applications but relate to one basic system. This manual focuses on the unique requirements of implementing and
operating the ICR portion of the system. User charge criteria are outlined further under 40 C.F.R. 35.935-13 and
Appendix B of the Regulations.
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SECTION 201
GRANT
REQUIREMENTS
LOCAL REQUIREMENTS
Engineering
Legal
Institutional
Section 204(b)(1)(C)
INDUSTRIAL COST RECOVERY SYSTEM
Construction Grant Funds
5040-10% Accounting Cash Flow
ICR Formula Based on
Engineering Input
Accounting Reports
Section 204(b) (1MB)
(expanded on Page 5)
USER CHARGE SYSTEM FOR OPERATING]:
AND MAINTENANCE COSTS
All Waste Treatment Services
Strength and Flow Characteristics
Industrial and Non-Industrial Costs
User Charge Formula Based on
Engineering Input
Section 204(b)(1)(A)
ACCOUNTING AND FINANCIAL
MANAGEMENT SYSTEMS
WATER QUALITY MANAGEMENT
SUB-SYSTEM
Improve Systems
Support Rates
Expand Accounts
Payrolls
Inventory
.v.v.v.v.'
IILLING
YSTEMS
'Sf
::
2
^^V-I'V'X'X'X
no CDC
i
FIGURE 1: RELATIONSHIP BETWEEN ICR AND USER CHARGES
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I INDUSTRIAL COST RECOVERY SYSTEM |
The close interface between engineering and accounting in an ICR system is illustrated in Figure 2 on the facing
page which indicates the flow of engineering data which, when related to appropriate grant cost data, is translated into
ICR annual costs.
This figure is an expansion of the ICR "box" in Figure 1 on page 3. It indicates the sequential activities which
must occur in the design, implementation and operation of an ICR system.
The responsibilities of the grantee, EPA, and industrial users which occur prior to and during the development
and implementation of an ICR system are outlined in the following pages.
The importance of industry's role in the ICR system is often minimized or ignored. The joint treatment of
municipal and industrial wastewaters can prove beneficial to both the community and to the industrial establishments
participating.
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PROJECT IS FUNDED
ACCOUNTING
ENGINEERING
1. PRIOR TO PAYMENT
OF MORE THAN 80S
OF STEP 3 GRANT,
ACCUMULATE 75% FEDERAL
CONTRIBUTION + STATE/
LOCAL CONTRIBUTIONS
BY PROJECT
DETERMINE INDUSTRIAL
USERS' REQUIREMENTS
IVOLUME AND LOADINGS!
- ANNUAL BASIS
O/D, BOO/0, SS/D,...
ASSIMILATE ALL PROJECT
COSTS INTO FIXED ASSET
ACCOUNTING SYSTEM ISI
SEGREGATE FEDERAL
GRANT AMOUNTS FOR
ICR PURPOSE IS}
DETERMINE FEDERAL
GRANT COSTS FOR EACH
INDUSTRIAL USER
S/Q/D, S/BOO/D. S/SS/D, .
INDUSTRIAL USERS'
ANNUAL ICR COSTS
ARE DETERMINED.
2. CONSTRUCTION
PROJECT IS
COMPLETED.
FACILITY IS
OPERATING.
3. INDUSTRIAL USERS
BILLED AND
RECEIPTS RECORDED.
4. RECEIPTS ALLOCATED
AS SPECIFIED AND
INVESTED.
DETERMINE ICR SYSTEM
UNIT COST RATES
S/Q/D/Y. S/BOD/D/Y, S/SS/D/Y, ...
&n
DETERMINE FACILITY
USEFUL LIFE (Y) FOR ICR
PURPOSE BASED UPON
LESSER OF 30 YEARS OR
USEFUL LIFE
CALCULATE ANNUAL ICR
PAYMENTS
S/Y " S/Q/D/Y X OJD t
S/BOD/0/Y X BOD/D*
I/SS/D/Y X SS/D ป
DETERMINE INDUSTRIAL
USER ESTIMATED AND
ACTUAL DAILY FLOWS F.:'-.: 3
AND LOADS
O/D, BOO/0, SS/D,...
BILLING AND COLLECTION
ANNUAL/MONTHLY/
QUARTERLY
RECEIPTS ARE INVESTED
AS REQUIRED
'
INVESTMENT EARNINGS
RECORDED AND ALLOCATED
5. GRANTEE'S ANNUAL
ACCOUNTING
PERIOD FOR ICR
PURPOSES
8. DISBURSEMENT
MADE WITHIN
4 MONTHS
50% PAID
TO EPA
ANNUALLY |
40K i
RETAINED
REINVESTED i
RESTRICTED
USAGE
10% RETAINED
8ROAD USAGE
FIGURE 2: INDUSTRIAL COST RECOVERY SYSTEM
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[ ICR SYSTEM LEGAL REQUIREMENTS |
The grantee has primary responsibilities in the design, implementation, and operation of ICR and User Charge
systems. The Congressional intent in PL 92-500, the Act itself, EPA's implementing regulations, and the ICR Guide-
lines address these major responsibilities.
REPORT OF ICR INTENTIONS
The Congressional intent of ICR is contained in the United States House of Representatives' Committee on
Public Works report of March 11,1972:1
In connection with industrial users of publicly owned systems, the Committee desired to estab-
lish within the user charge system an arrangement whereby industrial users would pay charges sufficient
to bear their fair portion of all costs including the share of Federal contributions for cap ital construc-
tion attributable to that part of the cost of constructed facilities attributable to use by industrial sources.
It is the Committee's view that it is inappropriate in a large Federal grant program providing a high per-
centage of construction funds to subsidize industrial users from funds provided by the taxpayers at
large. Accordingly, the bill imposes an obligation on the part of publicly owned systems to incorporate
into their user charge schedule a component to recover, without interest, that proportion of the total
Federal grant to the community for construction purposes attributable to industrial users. The Com-
mittee recognizes that there will be some administrative difficulties involved in establishing classes of
industrial users and has left to the local system the obligation to set up an effective and equitable sys-
tem, subject to the approval of the Administrator, inasmuch as the establishment of such a system is
a precondition to Federal grants.
PUBLIC LAW 92-500
Public Law 92-500, enacted October 18,1972, under "Title II Grants for Construction of Treatment Works"
requires in Section 204(b)(1)(B) that the grantee applicant "has made provision for the payment to such applicant
by the industrial users of the treatment works of that portion of the cost of construction" attributable to the Federal
grant (75 percent of total grant eligible costs).
IMPLEMENTING REGULATIONS
40C.F.R. ง 35.903(k);
35.905-6;
35.905-7;
35.905-8;
35.920-3(b)(3)and-3(c);
35.925-12(a);
35.925-17;
35.928;
35.928-1;
35.928-2;
35.935-13(a)(c)(d)(e);
35.940; and
35.945(b).
FEDERAL GUIDELINES - INDUSTRIAL COST RECOVERY SYSTEMS, MCD-45
Available from:
General Services Administration (8FFS)
Centralized Mailing List Services
Building 41, Denver Federal Center
Denver, Colorado 80225
Federal Water Pollution Control Act Amendments of 1972, Report of the Committee on Public Works, U.S.
House of Representatives, 92d Congress, 2d Session, House Report No. 92-911, March 11,1972, pp. 91-92.
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IZd Cufroa. 2d Scuioi Hooซ. lUport Ho, 91-911
FEDERAL WATER POLLUTION CONTROL
ACT AMENDMENTS OF 1972
REPORT
or no
COMMITTEE ON PUBLIC WORKS
UNITED STATES HOUSE OF REPRESENTATIVES
Public Law 92-500
92nd Congress, S. 2770
October 18, 1972
2n 3rt
96 5TAT. 616
To amemt the Federal Water 1'oltutton Control Aif.
Be it enacted by the Senate and Haute of ItejtrtwHtatiwt of the
United States of America in L ongit** itMWHibled. TImt this Act may be red*rB.l ซa.tซr
cited iis the "Federal \Vater Pollution Control Act Amendments of Pol-i--J-=n Con-
l$~ฃ"t -PO! Act Anend'
SEC. 2. The Federal Water Pollution Control Act is amended to read l^n^aฐf J^?"
33 use iisi
-TITLE IRKSEARCH AND REL.VTKD PROGRA^IS not..
"DBCt.\EATIOS Or GOALS \NO PtปLK'Y
**Sic. 101. (a) The objecti\e of r)us Act is to rvstore and m.untuiu
the chemical, pliyait-aJ. and bioloirit-.il integrity ot tlie X.ition'a waters.
FEDERAL REGULATIONS
Subpart EGrants for Construction of
Treatment Works-Federal Water Pollu-
tion Control Act Amendments of 1972
ง 35.903 Summary of construction grant
program.
Pursuant to section 204 (b) of the
Act, the grantee must comply with ap-
plicable user charge and industrial cost
recovery requirements, see 5535925-11.
35 925-12. 35 928. 35 935-13, and Ap-
pendix B of this subpart.
FEDERAL GUIDELINES
INDUSTRIAL COST
RECOVERY SYSTEMS
MUNICIPAL WASTEVATER TREATMENT WORKS
CONSTRUCTION GRANTS PROGRAM
FIGURE 3: ICR LEGAL REQUIREMENTS
7
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IROLES AND RESPONSIBILITIES |
EPA
Reviews grantee's intent to install ICR (prior to approving a Step 2 grant);
Reviews grantee's planned schedule of implementation for complying with ICR (prior
to approving a Step 2 or Step 3 grant);
Reviews evidence submitted by the grantee that an Industrial Cost Recovery System is
being developed (prior to the payment of more than 50% of the Step 3 grant);
Approves the grantee's ICR system and plans (prior to the payment of more than 80%
of the Step 3 grant); and
Audits grantee's records for compliance.
GRANTEE
Prior to Step 2, submits satisfactory evidence of intent to comply with ICR requirements;
Requests letters of intent from significant users;
Executes reserve capacity contracts with those industrial users who desire to reserve
capacity;
Shows satisfactory evidence of ICR system development prior to the payment of more
than 50% of the Step 3 grant;
Completes ICR system design and obtains EPA approval prior to the payment of more
than 80% of the Step 3 grant;
Implements and maintains the approved ICR system when Step 3 construction is com-
pleted or when service is provided to the first industrial user;
Reevaluates and updates the allocations of capacity to industrial users in conjunction
with an annual review of ICR; and
Adjusts the ICR shares proportionately when an expansion, upgrading of treatment or
change in waste loadings occurs.
INDUSTRY
Significant (10%+) industrial users must submit letters of intent to the grantee (prior to
approval of Step 2 grant);
Users requiring or desiring reserve capacity must contract for their needs;
Industrial users must report any substantial changes in their wastewater characteristics; and
Industrial users must make initial payments to the grantee within the first 12 months after
initiation of service and at least annually thereafter.
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ROLES AND RESPONSIBILITIES
INDUSTRIAL COST RECOVERY MILESTONES
(1) Grantee submits evidence of agreement to
implement ICR.
Significant users (10%+) submit letters of intent
to grantee who submits to EPA.
(2) Grantee submits evidence to EPA that he is
developing ICR system.
(3) Grantee submits completed ICR system design,
including opinion of adequacy, to EPA and
obtains approval.
(4) Grantee implements approved system.
(5) Grantee bills industry and receives initial
annual payment.
(6) Grantee makes initial annual payment to EPA.
(7) Grantee re-evaluates and updates ICR
charges periodically.
Prior to Steps 2 or 3,
depending on grant.
A
A
Prior to EPA paying more
than 50 percent of Step 3 grant.
3 \ Prior to EPA paying more
than 80 percent of Step 3 grant.
A
Operational waste treatment
works begins service.
Within one calendar year after
initiation of service.
Within four months after end
of grantee's fiscal year.
In conjunction with annual
review of ICR.
FIGURE 4: PRIMARY ROLES AND RESPONSIBILITIES
IN DEVELOPING AND IMPLEMENTING ICR
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I GRANTS -PROJECTS- AMENDMENTS \
In order to establish a nationally uniform basis for determining what a Federal grant is under PL 92-500, it is
necessary that grant designations and grant eligible costs be consistently defined by all regional administrators, states,
and grantees.
Although treatment works' grants under PL 92-500 normally follow a three-step grant process, circumstances
may vary with each grantee and among the various grants. However, the Wastewater Treatment (WWT) Construction
Grant Identification document published by the Grants Administration Division of EPA applies to all grants. Figure
5 summarizes the grant assignment procedure, and the entire WWT document is reproduced in Appendix A. Any
questions concerning the definition of total construction amounts to be incorporated into ICR calculations should be
referred to the appropriate Regional Administrator.
Each new grant requires a separate consideration of industrial cost recovery, since each payment period relates
to the year following the start-up of operations for which that grant was awarded. Billing and collection of each ICR
share must occur on or prior to the calendar anniversary related to the specific grant for the first year. However, the
grantee may adjust and accumulate payments from users under different grants and repay the Federal portion under
its annual fiscal cycle or other appropriate annual period.
10
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Program Code - Construction Grants for
Wastewater Treatment
Works
Sena)
Number
Sequence Number (Project within Grant)
Amendment Designator
011999 06
State Grant
Code Objective
0
ASSIGNMENT OF EPA GRANT IDENTIFICATION NUMBERS BY THE STATES1
WAS
THIS
PROJECT PRE
CEDED BY AN EPA
FUNDED PROJECT FOR PREP
ARATtON OF CONSTRUCTION
DRAWINGS AND SPECIF
CATIONS (STEP 2)
UNDER
P L 92-500?
IS THIS PROJECT
FOR THE BUILDING
AND ERECTION OF A
TREATMENT WORKS
(CONSTRUCTION
STEP 3) 7
ASSI
NUMBER THAT WAS ASSIGNED THE
STEP 2 PROJECT ASSIGN THE NEXT
SEQUENTIAL 2-DIGIT SEQUENCE
NUMBER
IS THE
APPLICANT
MUNICIPALITY THE
SAME MUNICIPALITY WHlC
UNDED THE FACILITIES
PLANNING (STEP 1)?
STHIS
PROJECT FOR
THE PREPARATION OF
CONSTRUCTION DRAWINGS
AND SPECIFICATIONS
(STEP 2)7
DIDT
PROJECT RESULT
FROM AN EPA FUNDED
FACILITIES PLAN
NING PROJECT
(STEP II UNDER
,L 92-6007
ASSIGN THE SAME 6-D1GIT SERIAL
NUMBER AS ASSIGNED THE STEP 1
PROJECT ASSIGN THE NEXT
SEQUENTIAL 2-DIGIT SEQUENCE
NUMBER
ASSIGN THE NEXT UNUSED 6-DIGIT
SERIAL NUMBER ASSIGN THE FIRST I
2-DEGIT SEQUENCE NUMBER
ASSIGN THE NEXT UNUSED 6-DIGIT 1
SERIAL NUMBER ASSIGN THE FIRST 1
2-DIGIT SEQUENCE NUMBER 1
ASSIGN THE SAME 6-DIGIT SERIAL
NUMBER AS ASSIGNED THE STEP 2
PROJECT ASSIGN THE NEXT
SEQUENTIAL 2 DIGIT SEQUENCE
NUMBER
ASSIGN THE NEXT UNUSED 6 DIGIT
J. SERIAL NUMBER ASSIGN THE FIRST
I UNUSED 2-DIGIT SEQUENCE NUMBER
Adapted from U S Environmental Protection Agency
Gu.de OctobBr1976.fปflซ4
NOTE SJB Page A-4 for pertinent nolw and
FIGURE 5: ASSIGNMENT OF EPA GRANT IDENTIFICATION NUMBERS BY THE STATES
11
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I DEVELOPING THE ICR SYSTEM j
ICR payments are to be made:
only on that part of a treatment works (as defined in Section 212 of the Act and 40 C.F.R. ง 35.905-4, -23)
for which a Federal grant is made; and
only by those industrial users served by the treatment works constructed under the grant.
The steps illustrated in Figure 6 are involved in designing the ICR system:
identify the industrial users in accordance with EPA's regulations and the iCR Guidelines (seepage 14);
survey the industrial users to determine volume and loading (waste flow characteristics) and develop the
industrial data base (see page 16);
identify and describe the design requirements and costs of construction required to provide waste treat-
ment service to industrial users (see pages 16 and 18);
if required, classify industrial users into appropriate groups (significant, major, minor seepage 18) and
identify waste characteristics by design parameter (seepage 18);
quantify total industrial waste volume and loading (including reserved capacity) in proportion to the
total capacity of the treatment works (see page 18);
determine costs of construction of the treatment works for ICR purposes (seepage 20);
calculate applicable capacity for ICR purposes, applicable grant eligible amounts, for ICR purposes, and
ICR unit costs (seepage 20);
calculate ICR unit cost rates based upon the ICR recovery period (seepage 22);
compute ICR payments for each industrial user (seepage 23);
develop a billing procedure (seepage 26);
establish funds management covering cash control, investment and disbursement (seepages28 to 31); and
document and provide EPA with details of the ICR system and plans in accordance with the ICR Guidelines
(see pages 34 to 39).
12
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IDENTIFY
INDUSTRIAL USERS
Page 14
DEVELOP THE INDUSTRIAL
DATA BASE
Page 16
CLASSIFY USER GROUPS
QUANTIFY FLOWS
AND LOADS
(BY USER OR USER GROUPS)
Page 18
DETERMINE THE
ICR COST BASE
Page 20
DETERMINE THE
ICR PAYMENTS
Page 22
DEVELOPICR
BILLING PROCEDURE
Page 26
ESTABLISH FUNDS
MANAGEMENT
Page 28
SUBMIT ICR SYSTEM
DESIGN TO EPA
FOR APPROVAL
Page 34
FIGURE 6: DEVELOPING THE ICR SYSTEM
(Page numbers indicate detailed discussions)
13
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IIDENTIFYING INDUSTRIAL USERS]
An industrial user is defined in 40 C.F.R. ง35.905-8as any nongovernmental user of publicly owned treatment
works identified in the following divisions of the Standard Industrial Classification Manual (SIC), 1972:
Division A Agriculture, Forestry, and Fishing
Division B Mining
Division D Manufacturing
Division E Transportation, Communications, Electric, Gas,
and Sanitary Services
Division I Services
Figure 7 illustrates the subdivision of the SIC system to the four-digit level. Appendix B contains a list of short
SIC titles and four-digit industry classification numbers for these divisions.
The grantee has the option to exclude from ICR payments an industrial user in any of the above divisions pro-
vided the following conditions are met:
the industrial user discharges only non-process segregated domestic wastes or wastes
from sanitary conveniences; and
the industrial user is not a significant user as defined in 40 C.F.R. ง35.925-12
(10 percent + loading).
In the event the grantee exercises this option, he must exclude every industrial user meeting the above require-
ments and he must also deduct the estimated sanitary wastes from all other industrial users who discharge both pro-
cess and sanitary wastes prior to computing their ICR payments.
Diversified companies or establishments need to be defined in terms of specific products or services and result-
ing wastewaters generated within each SIC Division.
14
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Division D
Manufacturing
The Division as a Whole
The manufacturing division includes establishments engaged in the mechanical
or chemical transformation of materials or substances into new products. These estab-
lishments are usually described as plants, factories, or mills and characteristically use
power driven machines and materials handling equipment. Establishments engaged
in assembling component parts of manufactured products are also considered manu-
facturing if the new product is neither a structure nor other fixed improvement. Also
included is the blending of materials such as lubricating oils, plastics, resins, or liquors.
MANUFACTURING
Major Group 30.RUBBER AND MISCELLANEOUS PLASTICS
PRODUCTS
The Major Group as a Whole
This major group includes establishments manufacturing from natural, synthetic, or reclaimed
rubber, gutta percha, balata, or gutta siak, rubber products such as tires, rubber footwear, mechanical
rubber goods, heels and soles, flooring, and rubber sundries. This group also includes establishments
primarily manufacturing tires, but establishments primarily recapping and retreading automobile
tires are classified in Industry 7534. This group also includes establishments engaged in molding
primary plastics for the trade, and manufacturing miscellaneous finished plastics products. The
manufacture of elastic webbing is classified in Major Group 22; products made of elastic webbing and
garments made from rubberized fabrics in Major Group 23; and synthetic rubber in Industry 2822.
Group Industry
No. No.
301 TIRES AND INNER TUBES
3011 Tires and Inner Tubes
Establishments primarily engaged in manufacturing pneumatic casings, inner tubes,
and solid and cushion tires for all types of vehicles, airplanes, farm equipment, and
children's vehicles; tiring; and camelback, and tire repair and retreading materials.
Establishments primarily engaged in retreading tires are classified in Industry 7534.
Camelback for tire retreading Tires, cushion or solid rubber
Inner tubes: airplane, automobile, bi- Tiring, continuous lengths: rubber,
cycle, motorcycle, and tractor with or without metal core
Pneumatic casings (rubber tirea)
Tire sundries and tire repair materials,
rubber
302 RUBBER AND PLASTICS FOOTWEAR
3021 Rubber and Plastics Footwear
Establishments primarily engaged in manufacturing all rubber and plastics footwear,
waterproof fabric upper footwear, and other fabric upper footwear having rubber or
plastic soles vulcanized to the uppers. Establishments primarily engaged in manufactur-
ing rubber, composition, and fiber heels, soles, soling strips, and related shoe making
and repairing materials are classified in Industry 3069; plastic soles and soling strips
in Industry 3079.
Arctics, rubber or rubber soled fabric Overshoes, rubber or rubber soled fab-
Boots, plastics nc
Boots, rubber or rubber soled fabric Pacs : rubber or rubber soled fabric
Canvas shoes, rubber soled Sandals, rubber
Footholds, rubber Shoes, plastics soles molded to fabric
Footwear, rubber or rubber soled fabric uppers
Gaiters, rubber or rubber soled fabric Shoes, rubber or rubber soled fabric
Galoshes, plastics uppers
Galoshes, rubber or rubber soled fabric Shower sandals or slippers, rubber
Overshoes, plastics
Source: Standard Industrial Classification Manual: 1972. Executive Office of the President,
Office of Management and Budget, pp. 57,129. For sale by the Superintendent of
Documents, U.S. Government Printing Office, Washington, D.C. 20402, Stock No.
4101-0066.
FIGURE 7: EXAMPLE OF SIC CLASSIFICATIONS
15
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DEVELOPING THE INDUSTRIAL DATA BASE
The grantee or his consulting engineer must confirm the existence of industrial dischargers and define
their SIC codes. He then must determine or confirm existing and projected wastewater loads and character-
istics for each industrial user. This data base will later permit classification of industrial users into appro-
priate groups for the determination of ICR payments. The data base will also provide analytical input to
aid in the determination of:
a continuing comparison of wastewater compatibility with existing and projected
treatment works and the degree of pretreatment required (initially included as a
facility plan consideration);
the desirability of exercising the exclusion option from ICR payments for "dry"
industries contributing segregated domestic wastewaters only; and
consideration of the significance of the volume of nonprocess sanitary or segre-
gated domestic wastewater received from "wet" industries to aid the grantee in
determining if he wishes to apply the credit to users' total loads by subtracting
this fraction before computing ICR since the exclusion consideration must be
applied equitably to both "wet" and "dry" industries.
Figure 8 illustrates four survey approaches which may be utilized to aid classification. Refinements,
sometimes initially unavailable because of record inadequacy and limits in the confidence of projections,
can be incorporated during each year's annual review. Appropriate adjustments in ICR allocations can then
be applied. The best available information should be utilized in projecting design flows and loadings (waste
flow characteristics).
The grantee must reevaluate and update, no less frequently than annually, flows and loadings of all
industrial users for ICR purposes.
16
-------
(1) SAMPLE ANALYSIS
Bouncy Baby Shoe Co. SIC 3021 - 1940 Broad Street
Flow Average gpd
Nitrogen mg/1
Total Phosphorus mg/1
BOD mg/1
Suspended Solids mg/1
COD mg/1
Dissolved Oxygen mg/1
Note - Pretreated Effluent
DATES
8/1/75
68,000
350
580
9/10/75
72,000
340
600
11/6/75
70,000
360
590
Design
70,000
350
590
(2) NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM1
GENERAL INSTRUCTIONS, SHORT FORMS, STANDARD FORMS, AND A
DISCHARGE MONITORING REPORT FOR APPLICATIONS FOR PERMIT DISCHARGES
UNDER THE NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM
NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM
APPLICATION FOR PERMIT TO DISCHARGE - SHORT FORM C
To be filed only by persons engaged in manufacturing and mining
FOR
AGENCY
USE
APPLICATION NUMBER
I i I
DATE
I I
I I
RECEIVED
I I
i
YEAR
MO.
DAY
FORM APPROVED
OMB No. 158-R0100
STANDARD FORM A-MUNICIPAL
SECTION W. INDUSTRIAL WASTE CONTRIBUTION TO MUNICIPAL SYSTEM
FOR AGENCY USE
(3) TREATMENT PLANT RECORDS
1972 Bouncy Baby Shoe Co.
1971 Bouncy Baby Shoe Co.
Daily Averages/Month for Design Purposes
January
February
March
65,000
68,000
300
320
570
560
(4) COMPANY OR PLANT DATA OR ESTIMATE OF REQUIREMENT
The Bouncy Baby Shoe Company
For 1978, it is estimated that our waste
discharge should not exceed 70,000 gpd and
Can be obtained from U.S. Environmental Protection Agency
Regional Office (See Appendix D).
FIGURE 8: ILLUSTRATIVE SURVEY APPROACHES FOR DESIGN REQUIREMENTS
17
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I CLASSIFYING USER GROUPS I
QUANTIFYING FLOWS AND LOADINGS |
The classification of industrial establishments by waste generation characteristics is necessary for the grantee
to determine:
the extent, frequency, and types of monitoring required to refine the data base in order
to assure proportionality of ICR and user charges, to enforce pretreatment commitments,
and to detect violators;
the feasibility of establishing a group of establishments whose low volume and strength
discharges appear to be too small to justify more than infrequent monitoring and which can
be mathematically averaged and assessed equal segments of the ICR group total.
Following the definition and identification of industrial users, together with their wastewater discharges, the
classification by appropriate groups then permits quantifying flows and contaminant loadings to determine the
volume and loading of wastes introduced by industrial users in proportion to the total design treatment plant
volume and loading (both present and reserved) of the total wastewater treatment plant load as illustrated in
Figure 9.
It should be noted that the design committed ICR flows and loadings can, and probably will, be different
from the aggregate of actual annual operating flows and loadings which form the basis for that year's user charges
as well as the following year's allocations for ICR.
18
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THE LOST RIVER SANITARY DISTRICT
1.9 MGD DESIGN CAPACITY NEW SECONDARY PLANT
INDUSTRIAL1
A. Significant (+10%)
Sometime Oil Co.
(Unused Reserve)
Subtotal
B. Major (5-10%)
Average Ice Cream, Ltd.
C. Minor (1-5%)
Bouncy Baby Shoe Co.
D. Minor Group (-1%)
Daily Egg Co.
Hot Fire Clay Co.
Reliable Gas Co.
Long Wire, Inc.
Subtotal
E. Dry-Sanitary Only3
Accountable Data, Inc.
(Can beexcluded-ICR)
Total Industrial
COMMERCIAL2
Miscellaneous
RESIDENTIAL2
Total Designated Capacity
Unreserved Excess Capacity
Total Design Capacity
Nonexcessive I/I Allowance
Design Capacity for ICR
/ DESIGN/COMMITTED
/No. of
/Accounts
1
1
1
1
1
1
1
1
4
1
8
10
3,000
SIC
Code
2911
2911
2024
3021
0252
1453
4925
3315
7374
-
-
No. of
Employees
150
50
200
200
300
50
Varies
25
20
Variable
500
-
-
Type
of Waste
Process
Process
Process
Pretreat
Process
Process
Process
Process
Sanitary
Sanitary
Sanitary
Flow
GPD
100,000
100,000
200,000
150,000
70,000
4,000
3,500
5,500
2,000
15,000
15,000
450,000
50,000
1,000,000
1,500,000
400,000
1,900,000
(100,000)
1,800,000
BOD
No. PD
600
600
1,200
600
350
30
28
32
30
120
30
2,300
150
1,700
4,150
850
5,000
0
5,000
S.S.
No.PD
500
500
1,000
1,000
590
50
45
40
45
180
30
2,800
200
2,000
5,000
1,000
8,000
0
6,000
NOTES:
"Federal Guidelines-Industrial Cost Recovery Systems," February, 1976,
Environmental Protection Agency. Page 10, Table 3.
2 Ibid. Page 9, Table 2.
Ibid. Page 5, para. 8, B(1) and Page 13, para. 9, A. If "dry" industries
are excluded, appropriate credits for domestic waste should be applied
to "wet" industries
FIGURE 9: CLASSIFYING AND QUANTIFYING USERS
19
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I DETERMINING THE ICR COST BASEJ
The user classification and quantification summary (see Figure 9) provides total flows and strengths illustrative
of the situation at the time of ICR development. The grantee must then determine the flows and strengths subject to
ICR by subtracting exclusions and exemptions. These totals can then be translated into capital costs per unit of treat-
ment from grant cost data, as illustrated in Figure 10.
The industrial cost recovery share of grant assistance is limited (1) to that portion representative of industry's
use or (2) to reserve capacity firmly committed to it [40 C.F.R. ง35.928-1(g)].
Exemptions from ICR systems include grant projects or portions of projects for:
correction or treatment of excessive I/I;
corrections of combined sewer overflows;
collection or treatment of stormwater; and
those grantees who will not initially provide service to industry.
Typical exclusions from design flows and strengths for capital cost calculation purposes include:
at the grantee's option, the deduction of segregated domestic wastewater or wastewater
from sanitary conveniences from total flows; and
in the case of expansion only, those establishments not requiring any of the expanded
capacity if they have reserved a portion of an existing treatment works by a written
contract or agreement effective March 1, 1973 or earlier.
Industrial users are not charged for unreserved excess capacity. In calculating design flows, grantees are per-
mitted to deduct from total design capacity those flows directly attributable to "nonexcessive" infiltration and inflow
(I/I) to arrive at design capacity for ICR purposes.
20
-------
THE LOST RIVER SANITARY DISTRICT
1.9 MGD DESIGN CAPACITY NEW SECONDARY PLANT
CALCULATION OF APPLICABLE CAPACITY
Total Design Capacity
Less Deductions:
Nonexcessive I/I
Total Capacity for 1C R
Purposes
CALCULATION OF APPLICABLE COSTS1
Step 1 Costs
Step 2 Costs
Step 3 Costs
Total Grant Eligible Costs
Less Step 2 Nonexcessive I/I Costs
Less Step 3 Nonexcessive I/I Costs
Less Step 3 Sewer Rehabilitation Costs
Total of All Costs for ICR Purposes
75% Federal Grant Portion Equals
Total Grant Amounts for ICR Purposes
Total Grant Amounts for ICR Purposes
Divided by Total Capacity for ICR Purposes
Equals ICR Unit Costs of Construction for the
Useful Life of the Treatment Works2
Flow-G/D BOO Lbs./D
1,900,000 5,000
(100,000) 0
1,800,000 5,000
Flow
Related
$ 33,000
99,000
1,217,000
$1,349,000
(5,200)
(64,000)
(10,000)
$1,269,800
$952,350
$952,350
1,800,000
$529 .OS/
1,OOOG/D
BOD
Related
$ 12,000
36,000
453,000
$501,000
0
0
0
$501,000
$375,750
$375,750
5,000
$75.1 5/
lbs./D
S.S. Lbs./D
6,000
0
6,000
S.S.
Related
$ 5,000
15,000
185,000
$205,000
0
0
0
$205,000
$153,750
$153,750
6,000
S25.62/
lbs./D
TOTAL
COSTS
$ 50,000
150,000
1,855,000
$2,055,000
(5,200)
(64,000)
(10,000)
$1,975,800
$1,481,850
"Federal Guidelines Industrial Cost Recovery Systems," February 1976,
Environmental Protection Agency. Page 8, Table 1. Ibid. Page 7, "Grantees
may allocate costs associated with flow, BOO, suspended solids, etc., to
the treatment facility as a whole, without resorting to the component-by-
component analysis shown in Table 1."
Ibid. Page 9, Table 2.
FIGURE 10: EXAMPLE OF CALCULATIONS REQUIRED TO DETERMINE ICR UNIT COSTS
21
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{ DETERMINING ICR PAYMENTS \
Federal grant amounts subject to ICR are to be recovered from the industrial users over a period of time equal to
30 years or the useful life of the treatment works. The lesser time period is to be utilized [40 G.F.R. ง35.928-1 (b)].
Assuming that the ICR period has been established as 30 years, to determine
capital costs per year, total capital cost rates from p. 21, bottom line, become:
Flow
BOD
S.S. =
$529.08
30
$ 75.1 S
30
$ 25.62
30
= $17.636/1,000 G/D/Year
= $ 2.505/Lbs./D/Year
= $ 0.854/Lbs7D/Year
FIGURE 11: DETERMINATION OF ANNUAL ICR UNIT COST RATES
Multiplying the ICR annual unit cost rates by the industrial users' annual measured or estimated flows and con-
taminant loadings results in annual ICR payment determinations shown in the example in Figure 12 which also illus-
trates the distribution of payment requirements by users within groups based upon factors such as strength, volume,
and delivery flow rate characteristics [40 C.F.R. ง35.928-1 (d)].
Figure 12 also indicates that the total ICR billings over the 30-year period would recover slightly more than
$482,000, and that total ICR payments would be less than the total costs subject to ICR by the amounts not billed
to residential and institutional users and those commercial establishments not included in Division I. It should be
noted that, since each year's ICR billings will be a function of usage, there will probably be variations in the annual
amounts.
22
-------
THE LOST RIVER SANITARY DISTRICT
1.9 MGD NEW SECONDARY PLANT - 1977 START UP
USER
A. Significant (10% +)
Sometime Oil
B. Major (5-10%)
Average Ice Cream
C. Minor (1-5%)
Bouncy Baby Shoe
D. Minor Group (-1%)
Daily Egg -.
Hot Fireclay! Oesign
ReUaoleGas \ ฃ~
Long Wire J
E. Dry-Sanitary Only1
Accountable Data, Inc.
Design
Daily Flow
and Loadings
200,000 g flow
1,200lbs. BOD
1,OOOIbs.S.S.
1 50,000 g flow
600 Ibs. BOD
1 ,000 Ibs. S.S.
70,000 g flow
350 Ibs. BOO
590 Ibs. S.S.
3,750 g flow
30 Ibs. BOO
45 Ibs. S.S.
1 5,000 g flow
30 Ibs. SOD
30 Ibs. S.S.
$17.636
1,000 G/D/Year
Flow
$3,527.20
2,645.40
1 ,234.52
66.13
264.54
$2.505
Lbs./D/Year
BOO
$3,006.00
1,503.00
876.75
75.15
75.15
$0.854
Lbs./D/Year
S.S.
$854.00
854.00
503.86
38.43
4 X $179.71 =
25.62
TOTAL
$ 7,387.20
$ 5,002.40
$ 2,615.13
= $ 718.84
$ 365.31
Total ICR Per Year Payable for the First Year2 $ 16,088.88
Total ICR (1 977-2007): at a constant rate would be 30 years X $1 6,088.88 = $482,666.40
Grantee has chosen not to exempt sanitary wastes.
ICR is to be Devaluated and updated each year based
upon monitoring of industrial users.
FIGURE 12: CALCULATION OF ANNUAL AND TOTAL ICR PAYMENTS REQUIREMENTS
23
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DETERMINING ICR PAYMENTS (Continued) [
In addition to ICR determinations for proportional sharing of capital costs within one grant, subsequent grants
will require that the grantee again allocate costs in accordance with demand and anticipated usage by each establishment.
If there is an expansion or upgrading of the treatment works, each existing industrial user's share may be adjusted
accordingly [40 C.F.R. ง35.928-1 (f)]. One exception exists which is covered in the Industrial Cost Recovery Guide-
lines, pages 5-6, Section 8(B)(2). This case covers agreements for reserved capacity existing as of March 1,1973 with
industrial users who have paid a reasonable portion of capital costs associated with that expansion capacity.
Figure 13 covers the "reserved capacity" case under which the industrial user has been making payments for
actual flows and loadings and unused reserved flows and loadings since 1977 (Figures 9 and 12).
24
-------
ICR IS ADDITIVE OVER TIME FOR EXPANSIONS AND UPGRADING
Sometime Oil Co.'s projected program is that the firm will require 100,000 G/D flow and associated loading in
the new 1977 secondary plant and has signed an agreement to reserve equal capacity to permit doubling of its require-
ments in 1980. The company will require no additional capacity from the 1982 expansion. The treatment works is
to be upgraded to AWT in 1985. Sometime Oil's share will be in proportion to its reserved usage in terms of the
cost of upgrading, projected over an assumed 30 years. The AWT upgrading costs are assumed to be allocated 66
percent to flow; 24 percent to BOD; and 10 percent to suspended solids. The flow and loadings are assumed to be
4 MGD, 12,000 Ibs./D of BOO, and 14,000 Ibs./O of S.S. Sometime Oil Co.'s used and unused reserve capacities
are 200,000 G/D, 1,200 Ibs./D of BOD, and 1,000 Ibs./D of S.S.
SOMETIME OIL COMPANY
Upgrade Calculations for AWT
Flow
BOD
S.S. =
200,000 G/D
4,000,000 G/D
1,200 Ibs/D
12,000 Ibs/D
1,000 Ibs/D
14,000 Ibs/D
2,250,000 X .66
Total
$74,250.00 +
Per Year
30 = $2,475.00
X $2,250,000 X .24 = $54,000.00 * 30 = $1,800.00
1Q _ $16,071.41 ^ 3Q _ $535.71
"$144,321.41 ' ~ $4,810.71
Date
Grant
Sequence
1977 New
1982 Expansion
1985 Upgrade
Size Type
1.9 MGD Secondary
2.1 MGD Secondary
4.0 MGD AWT
Total Cost
for ICR
Purposes
$1,975,800
$2,500,000
$3,000,000
Total Grant
for ICR
Purposes
$1,481,850
51,875,000
$2,250,000
Total Share
$221,616.00
0.00
$144,321.40
Share
Per Year
$7,387.20
O.OO1
$4,810.71
ICR Is Additive
Sometime Oil's annual payments between 1977-1985 will be $ 7,387.20/year.
between 1985-2007 will be $12,197.91/year.
between 2007-2015 will be$ 4,81 0.71 /year.
If Sometime Oil Co. had not reserved capacity in 1977, this industrial user's additional payments,
over 1977 design flow and loading between 1982 and 1985, would be:
Total Share Share/Year
100,000
X $1,875,000 X .66 - $58,928.51 -i- 30 = $1,964.28
Flow =
BOD =
S.S. =
2,100,000
600
5,000
500
X $1,875,000 X .24 = $54,000.00 -i- 30 = $1,800.00
X $1,875,000 X .10
6,000 ' $128,553.50
In addition, the user would risk not being able to expand in 1980.
-;- 30 =
$4,285.11
FIGURE 13: EXPANSION/UPGRADING PAYMENTS CALCULATIONS
25
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The grantee must assure that billings shall be made to and payments received from industrial users at least an-
nually. The initial payment must be made by the date which coincides with the anniversary of the initiation of usage
of the treatment works or of the completion of an improvement such as an expansion or upgrading [40 C.F.R.
35.928-1 (c)].
Billing can be on an annual basis or can be more frequent. When grantees prepare ICR billings related to more
than one grant project, they can submit commingled billings to each industrial user. Such billings should:
indicate the amount owed relative to each grant; and
indicate the total amount owed.
Since one of the objectives of PL 92-500 [Section 204(b)(2)(B)] is to generate increased awareness of the cost
of treating sewage possessing strengths higher than normal residential flows, each ICR billing should also indicate, by
grant, the breakdown of charges by design parameter (flow, BOD, SS, et al.). Billing calculations are simply a multi-
plication of actual use or total reserved capacity (used and unused), times the calculated ICR rates for each component.
Figure 12 on page 23 illustrates the calculations for the industrial community.1
The example in Figure 14 illustrates a format of an annual ICR billing. An industrial user is billed both for
used and unused reserve capacity of Flow, BOD, and Suspended Solids. The respective unit cost rates shown in this
example are those derived in Figure 11 on page 22.
Each individual user's ICR billings may vary from year to year if usage increases. Total annual ICR payments to
the grantee may increase in accordance with total industrial usage.1
To aid bringing ICR payment receipts into cycle with the grantee's fiscal year, initial or later billing for a partial
year is permitted. Sequential billings and receipts can then conform to the grantee's accounting period throughout the
lifs of the ICR period (i.e., 29 years) with an adjusted partial billing in the final year.2
Federal Guidelines - Industrial Cost Recovery Systems, February 1976,
Environmental Protection Agency. Page 4, para 6(A) and para 7.
2 Ibid. Page 15, para 16(A).
26
-------
Sometime Oil Co.
1433 Expansion Way
Onetime, Ohio 32324
THE LOST RIVER SANITARY DISTRICT
14 GRANT AVENUE
ONETIME, OHIO 32323
February 1, 1978
TO THE LOST RIVER SANITARY DISTRICT DR.
Reference Grant No. C-39-1999
Industrial Cost Recovery payment for period March 1, 1977, through February 28, 1978.
Please arrange to have your payment in our office no later than February 28,1978.
Flow:
BOD:
Suspended
Solids:
TOTAL DUE:
100,000 g used reserve
100,000 g unused reserve
200,000 g @ $17.636/1,000 g/d/year
600 Ibs used reserve
600 Ibs unused reserve
1,200 Ibs @ $2.505/lb/d/year
5QO Ibs used reserve
500 Ibs unused reserve
1,000 Ibs @ $0.854/lb/d/year
Initial date of plant operation and service, March 1,1977.
$3,527
3,006
854
$7,387
20
00
00
20
FIGURE 14: SAMPLE BILLING FORMAT
27
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FUNDS MANAGEMENT
CASH CONTROL
Cash received by grantees as payments for amounts billed to industrial users for industrial cost recovery must
be promptly invested.
Since the grantee will record every Industrial Cost Recovery billing as an "accounts receivable Industrial Cost
Recovery," the grantee's normal accounting for payments on accounts receivable will provide control of the recording
of individual receipts.
However, in order to ensure prompt investment of ICR receipts, a supplementary record of cash received and
invested must be maintained. This record should consider both cash received as payments on accounts receivable as
well as cash received from investment income and from maturity of previous investments.
Figure 15 is an example of an appropriate system for controlling Industrial Cost Recovery cash and its invest-
ment. This format accomplishes the following requirements:
Daily receipts are added to any beginning balance to determine total cash available for investment.
Total daily receipts are considered, rather than individual receipts from specific industrial users.
The grantee's accounts receivable system will control individual receipts.
Investment principal and income receipts are both included.
The record is daily, in order to facilitate prompt investment of available cash.
Amounts invested are recorded, in order to determine an ending cash balance, which is in turn the
beginning cash balance for the following day.
The illustration assumes:
a beginning cash balance of $600;
that the February 24 cash receipts consisted solely of payment of the bill sent to Sometime Oil
Company on February 1, 1978 (page 27), and that February 25 receipts consisted of the remainder
of payments of ICR billings for the first year (see page 23); and
that $16,000 U.S. Treasury Notes were purchased at a price of $16,000.00 on February 25, 1978.
Subsequent entries in Figure 15 relate to the continuation of this example involving reinvestment as shown in
Figure 16. The ending balance is carried to Figure 17 as total income and is there apportioned to derive the amount
due to EPA and the amounts to be retained.
Investment guidelines are discussed in detail on page 30. As a general rule, no ICR balances in excess of a stated
minimum (e.g., $1,000) should remain uninvested longer than a stated period of time (e.g., five business days). Prompt
investment of available monies, so as to maximize investment income, is of paramount importance.
28
-------
INDUSTRIAL COST RECOVERY CASH CONTROL RECORD
Grant No.: C-39-1999
DATE
February 24, 1978
February 25, 1978
October 1,1978
Octobers, 1978
January 31, 1979
CASH RECEIVED
Beginning
Cash
Balance
(1)
$ 600.00
$ 7,987.20
$ 688.88
$17,248.88
$ 248.88
From
Payments On
Accounts
Receivable
(2)
$7,387.20
$8,701 .68
From
Investment
Principal
Or Income
(3)
$ 0.00
$ 0.00
$16,560.00
$17,368.00
Total
Cash
Available
(1+2 + 3)
$ 7,987.20
$16,688.88
$17,248.88
$17,248.88
$17,616.88
Cash
Invested
$16,000.00
$17,000.00
Ending
Balance
$ 7,987.20
$ 688.88
$17,248.88
$ 248.88
$17,616.88
FIGURE 15: EXAMPLE OF CASH RECORD
29
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IHMVESTMENTJ
40 C.F.R. ง 35.928-2 provides that 90 percent of the amounts recovered from industry must be temporarily
invested prior to either repayment to EPA or expenditure for other authorized purposes. The regulations specifically
state that the only permissible investments are:
obligations of the U.S. Government;
obligations guaranteed as to principal and interest by the U.S. Government or by an agency of the
U.S. Government; and
accounts fully collateralized by such obligations specified above.
Obligations of the U.S. Government
Direct obligations of the U.S. Government include:
Treasury bills, which generally mature in less than one year;
Treasury notes, which generally mature in one to five years; and
Treasury bonds, which generally mature in more than five years.
Such obligations can be purchased for very short periods of time (i.e., a few days), and grantees are encouraged to
invest cash that will be idle even for such short periods.
Obligations Guaranteed as to Principal and Interest by U.S. Government Agencies
There are two classes of investments that fall into this category. The first is that of savings accounts which are
guaranteed by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation.
These accounts are only insured up to 340,000. The second consists of those securities issued by instrumentalities
of the United States, including the Intermediate Credit Banks, Federal Home Loan Banks, Federal Land Banks, and
the Banks for Cooperatives.
Collateralized Accounts
Banks invest in the types of securities described above as a normal part of their business. They are frequently
willing to use such investment securities as collateral for both the principal and interest of certificates of deposit
issued by them. Grantees may invest amounts recovered from industry in bank certificates, of deposit only to the
extent that such collateral is provided.
To facilitate the control of actual investments of ICR receipts, the grantee should maintain a supplementary
ICR investment record. Some grantees may now utilize an investment record system which may be adapted to ICR
requirements, if not, a supplementary investment record should be adapted which will accommodate the following
investment details:
date of purchase;
cost;
description of the investment vehicle (U.S. Treasury Notes maturing September 30, 1978); and
amount available for reinvestment at maturity.
30
-------
Figure 16 (see below) is an example of a format for an investment record which will accomplish the foregoing
requirements. This example has recorded the purchase of Treasury Notes referred to previously.
It is important to note that, when cash is available for investment, the Cash Record notes the amount available
and the amount invested, while the Investment Record notes the details of the investment.
Correspondingly, when an investment has matured and funds are available for reinvestment, the Investment
Record notes in its final two columns (date and amount) that an investment has matured, while the Cash Record
incorporates the available funds in its determination of funds available for new investment.
To facilitate calculation of amounts to be disbursed to EPA (see page 33), it is recommended that all invest-
ments be scheduled to mature on, or immediately prior to, the end of the grantee's fiscal year, to simplify the calcu-
lation of the exact amount of investment income received during the fiscal year.
INDUSTRIAL COST RECOVERY INVESTMENT RECORD
Grant No.: C-39-1999
Date of
Purchase
2-25-78
10-3-78
Cost
$16,000.00
$17,000.00
Description of
Investment Vehicle
$1 6,000 U.S. Treasury 6%
Notes Due 9-30-78
$17,000 U.S. Treasury 6'/2%
Notes Due 1-31-79
Date
Available for
Reinvestment
10-1-78
2-1-79
Amount
Available for
Reinvestment
or Disbursement
$16,560.00
$17,368.00
FIGURE 16: EXAMPLE OF ICR INVESTMENT RECORD
31
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DISBURSEMENT
Ten percent of the original ICR payments can be invested or spent by the grantee, subject to two limitations.
They may not be used for industrial pretreatment facilities or as rebates to industrial users.
Fifty percent of the original amount, together with 50 percent of the accumulated interest, is to be paid by
check to the U.S. Environmental Protection Agency and forwarded to the Financial Management Office of the
Regional Administrator. The closing date for making such payments has been established as no later than four
months after the end of the grantee's annual accounting period.
The remaining 40 percent of the original amount is to continue to be invested in appropriate accounts (together
with the optional 10 percent if desired) until its use is required by the grantee for expansion or reconstruction of the
treatment works. Eligible costs are defined in 40 C.F.R. ง 35.940. The written approval of the Regional Administra-
tor is required prior to commitment of any of this 40 percent [40 C.F.R. ง 35.928-2(b)i. Approval is not considered
a grant, since these funds are considered to belong to the grantee.
Immediately following the close of the grantee's fiscal year, the grantee should determine, by grant:
total ICR payments received during the year; and
total investment income attributable to the year's ICR receipts (as noted on page 33). This
calculation will be facilitated if all investments are scheduled to mature on, or immediately
prior to, the close of the fiscal year.)
Of the total ICR payments received plus investment income earned, by grant:
50% must be scheduled for remittance to EPA no later than four (4) months after the close
of the grantee's fiscal year (together with 50% of any investment income earned during the
period between the fiscal year end and the remittance date). The check illustration, Figure
17, presents the format required to properly remit funds to EPA.
40% must be identified as a separate fund, appropriately invested, and retained until its
use is approved.
10% may be used at the grantee's discretion, subject to the two limitations noted on page 32.
The grantee's accounts receivable system should be structured so as to quickly summarize the year's total ICR
payments received.
In determining the year's investment income, it is recommended that all investment income during the year
attributable to the year's ICR payments received, be credited to a specific revenue account. This revenue account
should not reflect investment income from any other source.
32
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RECEIPTS AND DISBURSEMENTS SUMMARY
INCOME
Cash Balance
ICR Payment
Interest Income
Total
$ 600.00
16,088.88
928.00
$17,616.88
DISBURSEMENTS
50% Due EPA
40% Retained, reinvested
10% Retained, flexible usage
Total
$ 8,808.44
7,046.75
1,761.69
$17,616.88
CHECK
The Lost River Sanitary District
14 Grant Avenue
Onetime, Ohio 32323
Pay to U.S. Environmental Protection Agency
Eight Thousand Eight Hundred Eight and 44/100
Date February 20,1979
$ 8,808.44
Dollars
Signed_
Submission of ICR Receipts
Grant C-39-1999
Employer
Identification
Number
NOTE: Make check out to U.S. E.P.A. and address to appropriate Regional Financial
Management Office of EPA (see Appendix D). EPA, in turn, will deposit
collections to a specific Treasury Department receipt symbol.
FIGURE 17: DISBURSEMENT SUMMARY AND CHECK/FORMAT
33
-------
ICR DESIGN CHECKLIST
A checklist has been developed for periodic review of the progress in planning and designing the major compo-
nents of an ICR system. It is anticipated that this checklist will aid the grantee and his consultants in assessing progress
against major milestones, in highlighting any specific components which may be causing difficulties, and in reviewing
the grantee's compliance with Steps 2 and 3 requirements.
The checklist identifies major systems' activities in a typical sequence. It is expected that each grantee's ICR
effort will vary to some degree. A completed ICR system checklist accompanied by a brief narrative report can be of
assistance to the grantee in measuring his own progress toward satisfying and completing each activity required for
approval at, or prior to, the review points established by EPA. An example of such a checklist is shown in Figure 18.
It lists the activities that must be completed prior to the 50% and 80% grant payment. Activity A must have been
completed prior to approval of the grant Step 2 or 3 application. Activity B must be completed prior to payment of
the 50% grant. Activity C, including all items, must be completed prior to payment of the 80% grant.
The format of the checklist allows the grantee and his consultants to monitor the progress of each activity
through the preliminary, intermediate, and final stages leading to completion. The four stages are broad divisions of
the work program. The preliminary stage is indicated as, for example, from 0-30% completion; the intermediate stage
from 30-60%; the final stage from 60-90%; and the completed stage as 100%. This four-stage progression to comple-
tion allows the grantee to more closely define and control the progress of each activity of thu ICR system design.
Each grantee may establish different stages of completion for monitoring progress of each activity (i.e., 25-50-75-100%).
Although the checklist allows the grantee to monitor the progress of each activity against major milestones, it
does not provide a basis for evaluating the satisfactory progress of the ICR system at different points in the construc-
tion program. Two illustrative examples follow, Figure 19, 40% Grant Payment, and Figure 20, 60% Grant Payment to
aid comparison of progress and to show the usage of the checklist.
34
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allocation of proportionate capital costs?
descriptions of proposed billing procedures?
establishment of the legal basis for the ICR sy
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disbursement systems?
description of appeals procedure?
methodologies for ICR system review and rev
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35
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|40% GRANT PAYMENT ICR CHECKLIST]
This exhibit. Figure 19, illustrates a suggested status for an ICR system when the construction program has
reached the 40% point. Activities A.1 and A.2 should have been completed earlier. Activities B.1 and B.2 should be
in the final stage. Activity C.1 can be initiated as soon as the staff is identified and a completion schedule has been
developed. To evaluate the progress of this system, the grantee should:
assign a start date and a projected completion date for each activity;
indicate with a "J " the actual status of each activity in the grantee's ICR system design;
compare the progress indicated by the "v/" with the planned progress indicated by the
"Xs"; and
yse the remarks column to note the activities which are lagging and direct the efforts of
the ICR staff to concentrate on these activities to avoid delay in obtaining approval 10
permit obtaining the 50% payment on time.
The grantee and others can use this ICR status checklist to evaluate the progress of the design, pinpoint slow
moving activities, and plan staff assignments accordingly.
36
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|60% GRANT PAYMENT ICR CHECKLIST|
To avoid delay of payment beyond 80% of the grant, the grantee should anticipate requirements and target
completion of the ICR system design when the program reaches the 60% grant payment stage to permit EPA review
and approval by the 70% completion point. This time allowance anticipates incorporating some late changes in the
system, plus a second EPA review, and final approval prior to the 80% point.
The exhibit contains a suggested "Xs" status for an ICR system design at the 60% point. It is important to
note that activities C.1 (a-j) should be completed and activities C.2 and C.3 should be in the final stage of completion
to allow sufficient time for submittal of the ICR system design to EPA.
The exhibit also contains an example of a grantee's current status (represented by "v/"). The example indi-
cates that the grantee's ICR design is not progressing satisfactorily and activities C.1 (g) and C.1 (h) need immediate
attention. The grantee can use the suggested status checklist to evaluate the progress of his ICR system and to plan
the work assignments of the ICR staff.
38
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APPENDIX A
r| U.S. ENVIRONMENTAL PROTECTION AGENCY
f WasKngton, D.C. 20460
GRANTS ADMINISTRATION DIVISION
GRANTS INFORMATION GUIDE
I WWT CONSTRUCTION GRANT IDENTIFICATION
The construction of treatment works under Public Law 92-500 normally follows
a three-step grant process:
Step 1 - Facilities Planning;
Step 2 Preparation of construction drawings anc. specifications; and
Step 3 Building and erection of the treatment works.
An EPA grant includes all the EPA supported projects of a single municipality
required to plan, design and build a treatment works (see definition on page 4). It
follows that the typical EPA funded W\VT Construction grant will, upon completion,
usually consist of one project for each Step. A grant can include only one Step I
project and one grantee municipality. However, under some circumstances, a grant
may consist of a Step 1 project followed by more than one Step 2 and/or Step 3 projects.
P. L. 92-500 GRANT
STATE ASSIGNED GRANT SERIAL NUMBER
+ SEQUENCE NUMBERS AS REQUIRED
STEP FACILITIES
1 PLANNING
PROJECT
SEQUENCE 01
STEP DRAWINGS AND
2 SPECIFICATIONS
PROJECT(S)
STEP CONSTRUCTION
3 PROJECT(S)
SEQUENCE 02, ETC.
Under other circumstances, EPA financial assistance may not be requested until a
municipality has reached the Step 2 or Step 3 stage and the grant might then involve
only one or two projects.
r
APPLICANT-FUNDED
FACILITIES PLAN
P. L. 92-500 GRANT
STATE ASSIGNED GRANT SERIAL NUMBER
+ SEQUENCE NUMBERS AS REQUIRED
STEP DRAWINGS AND
2 SPECIFICATIONS
PROJECT(S)
STEP CONSTRUCTION
3 PROJECT(S)
SEQUENCE 01, ETC.
A-1
-------
APPENDIX A (CouLiaued)
in still other circumstances, a Step 1 Facilities Plannirg grant to one municipality
may result in Ste-: 2 and/or Step 3 grants to other municipalities within the area
covered by the Facilities Plan.
MUNICIPALITY "A"
P.L. 92-500 GRANT
STA TE ASSIGNED GRANT SERIAL NUMBER
+ SEQUENCE NUMBERS AS REQUIRED
STEP FACILITIES
1 PLANNING
PROJECT
SEQUENCE 01
STEP DRAWINGS AND
2 SPECIFICATIONS
PROJECT
STEP CONSTRUCTION
3 PRCJECT(S)
SEQUENCE 02, ETC.
STEP DRAWINGS AND
2 SPECIFICATIONS
PROJECT
STEP CONSTRUCTION
3 PROJECT(S)
NEXT AVAILABLE SEQUENCE NUMBERS
MUNICIPALITY "B"
P.L. 92-500 GRANT
STATE ASSIGNED GRANT SERIAL NUMBER
+ SEQUENCE NUMBERS AS REQUIRED
STEP DRAWINGS AND
2 SPECIFICATIONS
PROJECT
SEQUENCE 01
STEP CONSTRUCTION
3 PROJECT(S)
SEQUENCE 02, ETC.
Whatever the circumstances, each grant consists of and includes all the EPA funded
projects for a grantee municipality to complete the specific job without regard to
the time phasing of the projects.
The State assigns an EPA Grant Identification Number to each proposed grant and
its component proj"Cts to identify the scope of work which the municipality is
expected to carry out. The scope of work will be officially spelled out in the Grant
Agreement signed by the municipality and EPA when the first project is funded and by
Grant Amendments issued to fund any subsequent related projects (See CFR Title 40,
Chapter 1, Part 35, Introduction).
A-2
-------
APPENDIX A (Continued)
The EPA Grant Identification Number consists of:
Program Code The letter "C" identifies the WWT Construction Grant Program.
Serial Number - Six digit numbers from 010000 - 789999 are reserved
for Construction Grants for Wastewater Treatment Works -
the first 2 digits serve to identify the State; the last
4 digits identify the need and/or grant objective which
the proposed grant will satisfy.
In accordance with Section 35.903(e) of the Final
Construction Grant Regulations (Feaeral Register, Vol.
39, No. 29, February II, 1974, p. 5254), this 6-digit
Serial Number identifies the basic grant application and award,
and any awards to the same grantee municipality for
subsequent related projects. This 6-digit Serial Number
will, therefore, be carried forward to all related projects
of the municipality meeting the same grant objective,
regardless of the fiscal year in which the project may be
submitted to EPA. The grant objective is defined by the
approved Facilities Plan.
The 6-digit Serial Number is assigned by the State
not later than the time the first component project
within the grant is included in the State's Project
Priority List.
Sequence Number - A two-digit number (01, 02, etc.) assigned sequentially
by the State to identify the first and each succeeding
project planned as a part of the grant to the municipality
to meet the identified grant objective, i.e. the work spelled
out in the approved Facilities Plan. These are assigned
sequentially, beginning with "01", without reference to the
fiscal year in which the project may be included in the
State Project Priority List or in which the application for
funding is submitted. Sequence Numbers are normally
assigned not later than the time the project is included
in the State's Project Priority List. Note that the
Sequence Number does not indicate the Project Step.
Amendment Designator - A one-digit number assigned sequentially by the
appropriate EPA regional office to identify each admin-
istrative revision executed on a funded project within a
WWT Construction Grant. A zero will be entered for the
original project application; amendments thereto will be
numbered sequentially "1" - "9", followed by "A" - "Z".
Program Code - Construction Grants for
Wastewater Treatment
Works
Sequence Number (Project within Grant)
Serial I
Number Amendment Designator
U119991 06 0
State Grant
Code Objective
A-3
-------
APPENDIX A (Continued)
ASSIGNMENT OF EPA GRANT IDENTIFICATION NUMBERS TO WWT CONSTRUCTION PROJECTS BY THK M ATKS
AM AmtOVf D FACILITY *.AN OR OTHERWISE Mf KT STEF 1 REQUIRE
UfNTIfUCMAf INFIlTAATIONllNfLOW ANALVtll FLINGING OF SUCH
WORK WILL NORMALLY BE IV AMI NOME NT OF THE ITEป 1 PROJECT
THAT moOUCf D THE FACILITY FLAF,
HQTt PKOJtCTSONCC INCLUOiDOMAtTATE FHOJECT MIOftlTr LIST
AMOUMHOUf MTLT WITHOHAMN EITHER BEfOKE OH AFTEH
noutnccNUHMH AMYSUBMOUENTMOJICTIFQH THE
UMC CNAMT OWECTIVf SHOULD AUlfiWEO THE NEXT
MOUfMCt NUNMN AVAILABLE
SEOUfMCE MUMCHI WILL IMRMALCV U AUlQMEO IN ซOUtH
TIALODDCH HOMfVtlt WHEN AMUNICWALITV IFACILITVrLAN
WILLCCNI MATE A NUMM* OHTH PHOJtrtTtWWICH IN TURN
MAY EACH atNENATE A NtMHM Of STlf J MICUtCTt THE ITATE
TBIATMENT WORKS
(JBWS-'SPflOIECr
IHl SCOซ Of HOHX FOB WHICH FEDE
4SJISTANCE IS AWARDED BY A GRANT [
HtOf ISEE I IS ซ0&-ป
JfMTIALLV FOLLOWING
INCLUDING INTEI
EQUtFMCNT Aซซ) TMEUt AFFURTENANCf t
* DO'T IONS AND ALTERATIONS TMEBtOF
ELEMENT! EISEMTIAL TO PROVIDE A tt-
FROCEH OH IS USED >OH ULTIMATE DIS-
POSAL Oft BESIOHEt KCIULTING FOOD* SUtl
THEATMf NT OR ANV OTHER METHOD OR
SvlTfM FOR FHE VENTING ABATING RE-
DUCING STORINC TREATIM
-------
APPENDIX B
SHORT SIC TITLES1
A. AGRICULTURE, FORESTRY, AND FISHING
Cade
01
Oil
0111
0112
0115
0116
0119
013
0131
0132
0133
0134
0139
016
0161
017
0171
0172
0173
0174
0175
0179
018
0131
0182
0189
019
0191
021
0211
0212
0213
0214
0219
024
0241
025
0251
D2S2
0253
0254
0259
027
0271
10
101
1011
102
1021
103
1031
104
1041
Short Title
AGRICULTURAL PRODUCTION-
CROPS
Cash Grains
Wheat
Rice
Corn
Soybeans
Cash, grains, nee
Field Crops, Except Cash Grains
Cotton
Tobacco
Sugar crops
Irish potatoes
Field crops, except cash grains, nee
Vegetables and Melons
.Vegetables and melons
Fruits and Tree Nuts
Berry crops
Grapes
Tree nnts
Citrus fruits
Deciduous tree fruits
Fruits and tree nuts, nee
Horticultural Specialties
Ornamental nursery products
Food crops grown under cover
Horticultural specialties, nee
General Farms, Primarily Crop
General farms, primarily crop
AGRICULTURAL PRODUCTION-
LIVESTOCK
Livestock, exc. Dairy, Poultry, etc.
Beef cattle feedlocs
Beef cattle, except f eedlots
Hogs
Sheep and goats
General livestock, nee
Dairy Farms
Dairy farms
Poultry and Eggs
Broiler, fryer, and roaster chickens
Chicken eggs
Turkeys and turkey eggs
Poultry hatcheries
Poultry and eggs, aec
Animal Specialties
Fur-bearing animals and rabbits
Coda Short Title
0272 Horses and other equines
0279 Animal specialties, nee
029 General Farms, Primarily Livestock
0291 General farms, primarily livestock
07 AGRICULTURAL SERVICES
071 Soil Preparation Services
0711 Soil preparation services
072 Crop Services
0721 Crop planting and protection
0722 Crop harvesting
0723 Crop preparation services for market
0724 Cotton ginning
0729 General crop services
074 Veterinary Services
0741 Veterinary services, farm livestock
0742 Veterinary services, specialties
075 Animal Services, Except Veterinary
0751 Livestock services, exc. specialties
0752 Animal specialty services
076 Farm Labor and Management Services
0761 Farm labor contractors
0762 Farm management services
078 Landscape and Horticultural Services
0781 Landscape counseling and planning
0782 Lawn and garden services
0783 Ornamental shrnb and tree services
08 FORESTRY
081 Timber Tracts
0811 Timber tracts
082 Forest Nurseries and Seed Gathering
0821 Forest nurseries and seed gathering
084 Gathering of Misc. Forest Products
0843 Extraction of pine gum
0849 Gathering of forest products, nee
085 Forestry Services
0851 Forestry services
09 FISHING, HUNTING, AND TRAPPING
091 Commercial Fishing
0912 Finnsh
0913 Shellfish
0919 Miscellaneous marine products
092 Fish Hatcheries and Preserves
0921 Fish hatcheries and preserves
097 Hunting, Trapping, Game Propagation
0971 Hunting, trapping, game propagation
B. MINING
METAL MINING
Iron Ores
Iron ores
Copper Ores
Copper ores
Lead and Zinc Ores
Lead and zinc ores
Gold and Silver Ores
Gold ores
1044 Silver ores
105 Bauxite and Other Aluminum Ores
1051 Bauxite and other aluminum ores
106 Ferroalloy Ores, Except Vanadium
1061 Ferroalloy ores, except vanadium
108 Metal Mining Services
1081 Metal mining services
109 Miscellaneous Metal Ores
1092 Mercury ores
Standard Industrial Classification Manual: 1972, Executive Office of
the President, Office of Management and Budget, Washington, D.C.
B-1
-------
APPENDIX B (Continued)
Code Short Title
1094 Uranium-radium-vanadium ores
1099 Ifetal ores, aec
11 ANTHRACITE MINING
111 Anthracite Mining
1111 Anthracite
1112 Anthracite mining services
12 BITUMINOUS COAL AND LIGNITE
MINING
121 Bituminous Coal and Lignite Mining
1211 Bituminous coal and lignite
1213 Bituminous & lignite mining services
13 OIL AND GAS EXTRACTION
131 Crude Petroleum and Natural Gas
1311 Crude petroleum and natural gas
132 Natural Gas Liquids
1321 Natural gas liquids
138 Oil and Gas Field Services
1381 Drilling oil and gas wells
1382 Oil and gas exploration services
1389 Oil and gas field services, nee
14 NONMETALLIC MINERALS, EXCEPT
FUELS
141 Dimension Stone
1411 Dimension stone
Code Short Title
142 Crushed and Broken Stone
1422 Crushed and broken limestone
1423 Crushed and broken granite
1429 Crushed and broken stone, nee
144 Sand and Gravel
1442 Construction sand and gravel
1446 Industrial sand
145 Clay and Related Minerals
1452 Bentonite
1453 Fire clay
1454 Fuller's earth
1455 Kaolin and ball clay
1459 Clay and related minerals, nee
147 Chemical and Fertilizer Minerals
1472 Barite
1473 Fluorspar
1474 Potash, soda, and borate minerals
1475 Phosphate rock
1476 Rock salt
1477 Sulfur
1479 Chemical and fertilizer mining, nee
148 Xonmetallic Minerals Services
1481 Nonmetallic minerals services
149 Miscellaneous Nonmetallic Minerals
1492 Gypsum
1496 Tale, soapstone, and pyrophyllite
1499 Nonmetallic minerals, nee
D. MANUFACTURING
Coat Short Title
20 FOOD AND KINDRED PRODUCTS
201 Meat Products
2011 Meat packing- plants
2013 Sausages and other prepared meats
2016 Poultry dressing plants
2017 Poultry and egg processing
202 Dairy Products
2021 Creamery butter
2022 Cheese, natural and processed
2023 Condensed and evaporated milk
2024 Ice cream and frozen desserts
2028 Fluid milk
203 Preserved Fruits and Vegetables
2032 Canned specialties
2033 Canned fruits and vegetables
2034 Dehydrated fruits, vegetables, soups
2035 Pickles, sauces, and salad dressings
2037 Frozen fruits and vegetables
2038 Frozen specialties
204 Grain Mill Products
2041 Flour and other grain mill products
2043 Cereal breakfast foods
2044 Rice milling
2045 Blended and prepared 3our
2046 Wet corn milling
2047 Dog, cat, and other pet food
Code Short Title
2048 Prepared feeds, aec
205 Bakery Products
2051 Bread, cake, and related products
2052 Cookies and crackers
206 Sugar and Confectionery Products
2061 Raw eane sugar
2062 Cane sugar refining
2063 Beet sugar
2065 Confectionery products
2066 Chocolate and cocoa products
2067 Chewing gum
207 Fats and Oils
2074 Cottonseed oil mills
2075 Soybean oil mills
2076 Vegetable oil mills, nee
2077 Animal and marine fats and oils
2079 Shortening and cooking oils
208 Beverages
2082 Malt beverages
2083 Malt
2084 Wines, brandy, and brandy spirits
2085 Distilled liquor. except brandy
2086 Bottled and canned soft drinks
2087 Flavoring extracts ana sirups, nee
209 Misc. Foods and Kindred Products
2091 Canned and cured seafoods
8-2
-------
APPENDIX B (Continued)
Code
2092
2095
2097
2098
2099
21
211
2111
212
2121
213
2131
214
2141
22
221
2211
222
2221
223
2231
224
2241
225
2251
2252
2253
2254
2257
2258
2259
226
2261
2262
2269
227
2271
2272
2279
223
2281
2282
2283
2284
229
2291
2292
2293
2294
2295
2296
2297
2298
2299
23
Short Title
Fresh or frozen packaged &sh
Roasted coffee
Manufactured ice
Macaroni and spaghetti
Food preparations, nee
TOBACCO MANUFACTURES
Cigarettes
Cigarettes
Cigars
Cigars
Chewing and Smoking Tobacco
Chewing and smoking tobacco
Tobacco Stemming and Redrying
Tobacco stemming and redrying
TEXTILE MILL PRODUCTS
Weaving Mills, Cotton
Wearing mills, cotton
Weaving Mills, Synthetics
Weaving mills, synthetics
Weaving and Finishing Mills, Wool
Weaving and Snishing mills, wool
Narrow Fabric Mills
Narrow fabric mills
Knitting1 mills
Women's hosiery, except socks
Hosiery, nee
Knit outerwear mills
Knit underwear mills
Circular knit fabnc mills
Warp knit fabric mills
Knitting mills, nee
Textile Finishing, Except Wool
Finishing plants, cotton
Finishing plants, synthetics
Finishing plants, nee
Floor Covering Mills
Woven carpets and rugs
Tufted carpets and rugs
Carpets and nigs, nee
Yarn and Thread Mills
Yarn mills, except wool
Throwing and winding nulls
Wool yarn mills
Thread mills
Miscellaneous Textile Goods
Felt goods, exc. woven felts & hats
Lace goods
Paddings and upholstery ailing
Processed textile waste
Coated fabrics, not rubberized
Tire cord and fabric
N'onwoven fabrics
Cordage and twine
Textile goods, nee
APPAREL AND OTHER TEXTILE
PRODUCTS
231 Men's and Boys' Suits and Coats
2311 Men's and boys' suits and coats
Code Short Title
232 Men's and Boys' Furnishings
2321 Men's and boys' shirts and nighnvear
2322 Men's and boys' underwear
2323 Men's and boys' neckwear
2327 Men's and boys' separate trousers
2328 Men's and boys' work clothing
2329 Men's and boys' clothing, nee
233 Women's and Misses' Outerwear
2331 Women's & misses' blouses & waists
2335 Women's and misses' dresses
2337 Women's and misses' suits and coats
2339 Women's and misses' outerwear, nee
234 Women's and Children's Undergarments
2341 Women's and children's underwear
2342 Brassieres and allied garments
235 Hats, Caps, and Millinery.
2351 Millinery
2352 Hats and caps, except millinery
236 Children's Outerwear
2361 Children's dresses and blouses
2363 Children's coats and suits
2369 Children's outerwear, aec
237 Fur Goods
2371 Fur goods
238 Miscellaneous Apparel and Accessories
2381 Fabric dress and work gloves
2384 Robes and dressing gowns
2385 Waterproof outergarments
2386 Leather and sheep lined clothing
2387 Apparel belts
2389 Appa'rel and accessories, nee
239 Misc. Fabricated Textile Products
2391 Curtains and draperies
2392 House furnishings, aec
2393 Textile bags
2394 Canvas and related products
2395 Pleating and stitching
2396 Automotive and apparel trimmings
2397 Schiffli machine embroideries
2399 Fabricated textile products, nee
24 LUMBER AND WOOD PRODUCTS
241 Logging Camps & Logging Contractors
2411 Logging camps & logging contractors
242 Sawmills and Planing Mills
2421 Sawmills and planing mills, general
2426 Hardwood dimension and flooring
2429 Special product sawmills, aec
243 Millwork, Plywood & Structural Mem-
bers
2431 Millwork
2434 Wood kitchen cabinets
2435 Hardwood veneer and plywood
2436 Softwood veneer and plywood
2439 Structural wood members, nee
244 Wood Containers
2441 N'ailed wood boxes and shook
2448 Wood pallets and stdds
2449 Wood containers, nee
B-3
-------
APPENDIX B (Continued)
Coda Short Title
245 Wood Buildings and Mobile Homes
2451 Mobile homes
2452 Prefabricated wood buildings
249 Miscellaneous Wood Products
2491 Wood preserving
2492 Partlcleboard
2499 Wood products, nee
25 FURNITURE AND FIXTURES
251 Household Furniture
2511 Wood household furniture
2512 Upholstered household furniture
2514 Metal household furniture
2515 Mattresses and bedsprings
2517 Wood TV and radio cabinets
2519 Household furniture, nee
252 Office Furniture
2521 Wood office furniture
2522 Metal office furniture
253 Public Building & Related Furniture
2531 Public building & related furniture
254 Partitions and Fixtures
2541 Wood partitions and fixtures
2542 Metal partitions and fixtures
259 Miscellaneous Furniture and Fixtures
2591 Drapery hardware & blinds & shades
2599 Furniture and nxtures, nee
26 PAPER AND ALLIED PRODUCTS
261 Pulp Mills
2611 Pulp mills
262 Paper Mills, Except Building Paper
2621 Paper mills, except building paper
263 Paperboard Mills
2631 Paper-board mills
264 Misc. Converted Paper Products
2641 Paper coating and glazing
2642 Envelopes
2643 Bags, except textile bags
2645 Die-cut paper and board
2646 Pressed and molded pulp goods
2647 Sanitary paper products
2648 Stationery products
2649 Converted paper products, nee
265 Paperboard Containers and Boxes
2651 Folding paperboard boxes
2652 Sec-up paperboard boxes
2653 Corrugated and solid nber boxes
2654 Sanitary food concainers
2655 Fiber cans, drums & similar products
266 Building Paper and Board Mills
2661 Building paper and board mills
27 PRINTING AND PUBLISHING
271 Newspapers
2711 Newspapers
272 Periodicals
2721 Periodicals
273 Books
Code Short Title
2731 Boot publishing
2732 Book printing
274 Miscellaneous Publishing
2741 Miscellaneous publishing
275 Commercial Printing
2751 Commercial printing, letterpress
2752 Commercial printing, lithographic
2753 Engraving and plate printing
2754 Commercial printing, grarure
276 Manifold Business Forms
2761 Manifold business forms
277 Greeting Card Publishing
2771 Greeting card publishing
278 Blankbooks and Bookbinding
2782 Blankbooks and looseleaf binders
2789 Bookbinding and related work
279 Printing Trade Services
2791 Typesetting
2793 Photoengraving
2794 Electrotyping and stereotyping
2795 Lithographic platemaking services
28 CHEMICALS AND ALLIED PROD-
UCTS
281 Industrial Inorganic Chemicals
2812 Alkalies and chlorine
2S13 Industrial gases
2S16 Inorganic pigments
2819 Industrial inorganK: chemicals, nee
282 Plastics Materials and Synthetics
2821 Plastics materials and rssins
2822 Synthetic rubber
2S23 Cellulosic man-made abers
2824 Organic abers, noncellulosic
283 Drugs
2831 Biological products
2833 Medicmals and botanicals
2834 Pharmaceutical preparations
284 Soap, Cleaners, and Toilet Goods
2841 Soap and other detergents
2S42 Polishes and sanitation goods
2843 Surface active agents
2844 Toilet preparations
285 Paints and Allied P-oducts
2851 Paints and allied products
286 Industrial Organic Chemicals
2861 Gtun and wood chemicals
2865 Cyclic crudes and intermediates
2869 Industrial organic chemicals, nee
287 Agricultural Chemicals
2873 Nitrogenous fertilizers
2874 Phosphatie fertilizers
2875 Fertilizers, mixing only
2879 Agricultural enemies Is, nee
289 Miscellaneous Chemical Products
2891 Adhesives and sealatts
2892 Explosives
2893 Printing ink
2895 Carbon blade
2899 Chemical preparations, nee
84
-------
APPENDIX B (Continued)
Code
Short Title
29 PETROLEUM AND COAL PRODUCTS
291 Petroleum Refining
2911 Petroleum refining
295 Paving and Roofing Materials
2951 Paying mixtures and blocks
2952 Asphalt felts and coatings
299 Misc. Petroleum and Coal Products
2992 Lubricating oils and greases
2999 Petroleum and coal products, nee
30 RUBBER AND MISC. PLASTICS
PRODUCTS
301 Tires and Inner Tubes
3011 Tires and inner tubes
392 Rubber and Plastics Footwear
3021 Robber and plastics footwear
303 Reclaimed Rubber
3031 Reclaimed robber
304 Rubber and Plastics Hose and Belting
3041 Rubber and plastics hose and belting
366 Fabricated Rubber Products, nee
3069 Fabricated rubber products, nee
307 Miscellaneous Plastics Products
3079 Miscellaneous plastics products
31 LEATHER AND LEATHER PRODUCTS
311 Leather Tanning and Finishing
3111 Leather tanning and finishing
313 Boot and Shoe Cut Stock and Findings
3131 Boot and shoe cut stock and findings
314 Foot-wear, Except Rubber
3142 House slippers
3143 Men's footwear, except athletic
3144 Women's footwear, except athletic
3149 Footwear, except rubber, nee
315 Leather Gloves and Mittens
3151 Leather gioves and mittens
316 Luggage
3161 Luggage
317 Handbags and Personal Leather Goods
3171 Women's handbags and purses
3172 Personal leather goods, nee
319 Leather Goods, nee
3199 Leather goods, nee
32 STONE, CLAY, AND GLASS PROD-
UCTS
321 Flat Glass
3211 Flat glass
322 Glass and Glassware, Pressed or Blown
3221 Glass containers
3229 Pressed and blown glass, nee
323 Products of Purchased Glass
3231 Products of purchased glass
324 Cement, Hydraulic
3241 Cement, hydraulic
325 Structural Clay Products
Code
Short Title
3251 Brick and structural clay tile
3253 Ceramic wall and floor tile
3255 Clay refractories
3259 Structural clay products, nee
326 Pottery and Related Products
3261 Vitreous plumbing fixtures
3262 Vitreous china food utensils
3263 Fine earthenware food utensils
3264 Porcelain electrical supplies
3269 Pottery products, nee
327 Concrete, Gypsum, and Plaster Products
3271 (Concrete block and brick
3272 Concrete products, nee
3273 Ready-mixed concrete
3274 Lime
3275 Gypsum products
323 Cut Stone and Stone Products
3281 Cut stone and stone products
329 Misc. Nonmetallic Mineral Products
3291 Abrasive products
3292 Asbestos products
3293 Gaskets, packing and sealing devices
3295 Minerals, ground or treated
3296 Mineral wool
3297 Konciay refractories
3299 Nonmecallic mineral products, nee
33 PRIMARY METAL INDUSTRIES
331 Blast Furnace and Bask Steel Products
3312 Blast furnaces and steel mills
3313 Electrometallnrgical products
3315 Steel wire and related products
3316 Cold finishing of steel shapes
3317 Steel pipe and tubes
332 Iron and Steel Foundries
3321 Gray iron foundries
3322 Malleable iron foundries
3324 Steel investment foundries
3325 Steel foundries, nee
333 Primary Nonferrous Metals
3331 Primary copper
3332 Primary lead
3333 Primary zinc
3334 Primary aluminum
3339 Primary nonferrous metals, nee
334 Secondary Nonferrous Metals
3341 Secondary nonferrous metals
335 Nonferrous Rolling and Drawing
33S1 Copper rolling and drawing
3353 Aluminum sheet, plate, and foil
3354 Aluminum extruded products
3355 Aluminum rolling and drawing, nee
3356 Nooferrous rolling and drawing, nee
3357 Nonferrous wire drawing & insulating
336 Nonferrous Foundries
3361 Aluminum foundries
3362 Brass, bronze, and copper foundries
B-5
-------
APPENDIX B (Continued)
Coda Short Title
3369 Nonferrous foundries, nee
339 Miscellaneous Primary Metal Products
3398 Metal heat treating
3399 Primary metal products, nee
34 FABRICATED METAL PRODUCTS
341 Metal Cans and Shipping Containers
3411 Metal cans
3412 Metal barrels, drams, and pails
342 Cutlery, Hand Tools, and Hardware
3421 Cutlery
3423 Hand and edge tools, nee
3425 Hand saws and saw blades
3429 Hardware, nee
343 Plumbing and Heating, Except Electric
3431 Metal sanitary ware
3432 Plumbing fittings and brass goods
3433 Heating equipment, except electric
344 Fabricated Structural Metal Products
3441 Fabricated structural metal
3442 Metal doors, sash, and trim
3443 Fabricated plate work (boiler shops)
3444 Sheet metal work
3446 Architectural metal work
3448 Prefabricated metal buildings
3449 Miscellaneous metal work
345 Screw Machine Products, Bolts, etc.
3451 Screw machine products
3452 Bolts, nuts, rirets, and washers
346 Metal Forgings and Stampings
3462 TTOH and steel forcings
3463 Xonferroua forgings
3463 Automotive stampings
3466 Crowns and closures
3469 Metal stampings, nee
347 Metal Services, nee
3471 Plating and polishing
3479 Metal coating and allied services
348 Ordnance and Accessories, nee
3432 Small arms ammunition
3483 Ammunition, exc. lor small arms, nee
3484 Small arms
3489 Ordnance and accessories, nee
349 Misc. Fabricated Metal Products
3493 Steel springs, except wire
3494 Valves and pipe fittings
3495 Wire springs
3496 Mlac. fabricated wire products
3497 Metal foil and leal
3498 Fabricated pipe and attings
3499 Fabricated metal products, nee
35 MACHINERY, EXCEPT ELECTRICAL
351 Engines and Turbines
3511 Turbines and turbine generator sets
3519 Internal combustion engines, nee
352 Farm and Garden Machinery
3523 Farm machinery and equipment
3524 Lawn and garden equipment
Code SAort Title
353 Construction and Related Machinery
3531 Construction machinery
3532 Mining machinery
3533 Oil field machinery
3534 Elevators and moving stairways
3535 Conveyors and convey ng equipment
3536 Hoists, cranes, and monorails
3537 Industrial trucks and tractors
354 Metalworking Machinery
3541 Machine tools, metal cutting types
3542 Machine tools, metal forming types
3544 Special dies, tools, jig^ & fixtures
3545 Machine cool accessories
3546 Power driven hand tools
3547 Rolling mill machinery
3549 Metalworking machinery, nee
355 Special Industry Machinery
3551 Food products machinery
3552 Textile machinery
3553 Woodworking machinery
3554 Pa'per industries machinery
3555 Printing trades machinery
3559 Special industry machinery, nee
356 General Industrial Machinery
3561 Pumps and pumping equipment
3562 Ball and roller bearings
3563 Air and gas compressors
3564 Blowers and fans
3585 Industrial patterns
3566 Speed changers, drives, and gears
3567 Industrial furnaces and ovens
3568 Power transmission equipment, nee
3569 General industrial machinery, nee
357 Office and Computing Machines
3572 Typewriters
3573 Electronic computing equipment
3574 Calculating and accounting machines
3576 Scales and balances, exc. laboratory
3579 Office machines, nee
358 Refrigeration and Service Machinery
3581 Automatic merchandising machines
3582 Commercial laundry equipment
3585 Refrigeration and neating equipment
3586 Measuring and dispensing pumps
3589 Service industry machinery, nee
359 Misc. Machinery, Except Electrical
3592 Carburetors, pistons, rings, valves
3599 Machinery, except electrical, aec
36 ELECTRIC AND ELECTRONIC
EQUIPMENT
361 Electric Distributing Equipment
3612 Transformers
3613 Switchgear and switchboard apparatus
362 Electrical Industrial Apparatus
3821 Motors and generators
3622 Industrial controls
3623 Welding apparatus, electric
3824 Carbon and graphite products
B-6
-------
APPENDIX B (Continued)
Code Short Title
3629 Electrical industrial apparatus, nee
363 Household Appliances
3631 Household cooking equipment
3632 Household refrigerators and freezers
3633 Household laundry equipment
3634 Electric house-wares and fans
3835 Household vacuum cleaners
3636 Sewing machines
3639 Household appliances, nee
364 Electric Lighting and Wiring Equipment
3841 Electric lamps
3643 Current-carrying wiring devices
3644 Noncurrent-carrying wiring devices
3645 Residential lighting -fixtures
3646 Commercial lighting fixtures
3647 Vehicular lighting equipment
3648 Lighting equipment, nee
365 Radio and TV Receiving Equipment
3651 Radio and TV receiving sets
3652 Phonograph records
366 Communication Equipment
3661 Telephone and telegraph apparatus
3662 Radio and TV communication equipment
367 Electronic Components and Accessories
3671 Electron tubes, receiving type
3672 Cathode ray television picture tubes
3673 Electron tubes, transmitting
3674 Semiconductors and related devices
3675 Electronic capacitors
3676 Electronic resistors
3677 Electronic coils and transformers
3678 Electronic connectors
3679 Electronic components, nee
369 Misc. Electrical Equipment & Supplies
3891 Storage batteries
3692 Primary batteries, dry and wet
3693 X-ray apparatus and tubes
3694 Engine electrical equipment
3699 Electrical equipment & supplies, nee
37 TRANSPORTATION EQUIPMENT
371 Motor Vehicles and Equipment
3711 Motor vehicles and car bodies
3713 Truck and bus bodies
3714 Motor vehicle parts and accessories
3715 Truck trailers
372 Aircraft and Parts
3721 Aircraft
3724 Aircraft engines and engine parts
3723 Aircraft equipment, nee
373 Ship and Boat Building and Repairing
3731 Ship building and repairing
3732 Boat building and repairing
374 Railroad Equipment
3743 Railroad equipment
373 Motorcycles, Bicycles, and Parts
3751 Motorcycles, bicycles, and parts
376 Guided Missiles, Space Vehicles. Parts
3761 Guided missiles and space vehicles
Code Short Title
3764 Space propulsion units and parts
3769 Space vehicle equipment, nee
379 Miscellaneous Transportation Equip-
ment
3792 Travel trailers and campers
3795 Tanks and tank components
3799 Transportation equipment, nee.
38 INSTRUMENTS AND RELATED
PRODUCTS
381 Engineering & Scientific Instruments
3811 Engineering & scientific instruments
382 Measuring and Controlling Devices
3822 Environmental controls
3823 Process control instruments
3824 Fluid meters and counting devices
3825 Instruments to measure electricity
3829 Measuring & controlling devices, nee
383 Optical Instruments and Lenses
3832 Optical instruments and lenses
384 Medical Instruments and Supplies
3841 Surgical and medical instruments
3842 Surgical appliances and supplies
3843 Dental equipment and supplies
385 Ophthalmic Goods
3851 Ophthalmic goods
386 Photographic Equipment and Supplies
3861 Photographic equipment and supplies
387 Watches, Clocks, and Watchcases
3873 Watches, clocks, and watchcases
39 MISCELLANEOUS MANUFACTURING
INDUSTRIES
391 Jewelry, Silverware, and Plated Ware
3911 Jewelry, precious metal
3914 Silverware and plated ware
3915 Jewelers' materials & lapidary work
393 Musical Instruments
3931 Musical instruments
394 Toys and Sporting Goods
3942 Dolls
3944 Games, toys, and children's vehicles
3949 Sporting and athletic goods, nee
395 Pens, Pencils, Office and Art Supplies
3951 Pens and mechanical pencils
3952 Lead pencils and art goods
3953 Marking devices
3955 Carbon paper and inked ribbons
396 Costume Jewelry and Notions
3961 Costume jewelry
3962 Artificial flowers
3963 Buttons
3964 Needles, pins, and fasteners
399 Miscellaneous Manufactures
3991 Brooms and brushes
3993 Signs and advertising displays
3995 Buna! caskets
3996 Hard surface floor coverings
3999 Manufacturing industries, nee
B-7
-------
APPENDIX B (Continued)
E. TRANSPORTATION AND PUBLIC UTILITIES
Codt Short Title
40 RAILROAD TRANSPORTATION
401 Railroads
4011 Railroads, line-haul operating
4013 Switching and terminal services
404 Railway Express Service
4041 Railway express service
41 LOCAL AND INTERURBAN PAS-
SENGER TRANSIT
411 Local and Suburban Transportation
4111 Local and suburban transit
4119 Local passenger transportation, nee
412 Taxicabs
4121 Taxicabs
413 Intercity Highway Transportation
4131 Intercity highway transportation
414 Transportation Charter Service
4141 Local passenger charter service
4142 Charter service, except local
415 School Buses
4151 School buses
417 Bus Terminal and Service Facilities
4171 Bus terminal facilities
4172 Bus service facilities
42 TRUCKING AND WAREHOUSING
421 Trucking, Local and Long Distance
4212 Local trucking, without storage
4213 Trucking, except local
4214 Local trucking and storage
422 Public Warehousing
4221 Farm product warehousing and storage
4222 Refrigerated warehousing
4224 Household goods warehousing
4225 General warehousing and storage
4226 Special warehousing and storage, nee
423 Trucking Terminal 'Facilities
4231 Trucking terminal facilities
43 U.S. POSTAL SERVICE
431 U.S. Postal Service
4311 0.3. Postal Service
44 WATER TRANSPORTATION
441 Deep Sea Foreign Transportation
4411 Deep sea foreign transportation
442 Deep Sea Domestic Transportation
4421 Noncontiguous area transportation
4422 Coastwise transportation
4423 Intercoastal transportation
443 Great Lakes Transportation
4431 Great Lakes transportation
444 Transportation on Rivers and Canals
4441 Transportation on rivers and cana-ls
445 Local Water Transportation
4452 Ferries
4453 Lighterage
Cade Short Title
4454 Towing and tugboat service
4459 Local water transportation, nee
446 Water Transportation Services
4463 Marine cargo handling
4464 Canal operation
4469 Water transportation services, nee
45 TRANSPORTATION BY AIR
451 Certificated Air Transportation
4511 Certificated air transportation
452 Noncertificated Air Transportation
4521 Noncertiflcated air transportation
458 Air Transportation Services
4582 Airports and flying fields
4583 Airport terminal services
46 PIPE LINES, EXCEPT' NATURAL GAS
461 Pipe Lines, Except Natural Gas
4612 Crude petroleum pipe lines
4613 Refined petroleum pipe lines
4619 Pipe lines, nee
47 TRANSPORTATION SERVICES
471 Freight Forwarding
4712 Freight forwarding
472 Arrangement of Transportation
4722 Passenger transportation arrangement
4723 Freight transportation arrangement
474 Rental of Railroad Cars;
4742 Railroad car rental with service
4743 Railroad car rental witiout service
478 Miscellaneous Transportation Services
4782 Inspection and weighing services
4783 Packing and crating
4784 Fixed facilities for veh,cles, nee
4789 Transportation services, nee
48 COMMUNICATION
481 Telephone Communication
4811 Telephone communication
482 Telegraph Communication
4821 Telegraph communication
483 Radio and Television Broadcasting
4832 Radio broadcasting
4833 Television broadcasting
489 Communication Services, nee
4899 Communication services, nee
49 ELECTRIC, GAS, AND SANITARY
SERVICES
491 Electric Services
4911 Electric services
492 Gas Production and Distribution
4922 Natural gas transmission
4923 Gas transmission and distribution
4924 Natural ?as distribution
B-8
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APPENDIX B (Continued)
Cade Short Title
4925 Gas production and/or distribution
493 Combination Utility Services
4931 Electric and other services combined
4932 Gas and other services combined
4939 Combination utility services, nee
494 Water Supply
4941 Water supply
495 Sanitary Services
Code Short Title
4952 Sewerage systems
4953 Refuse systems
4959 Sanitary services, nee
496 Steam Supply
4961 Steam supply
497 Irrigation Systems
4971 Irrigation systems
I. SERVICES
Coda Short Title
70 HOTELS AND OTHER LODGING
PLACES
701 Hotels, Motels, and Tourist Courts
7011 Hotels, motels, and tourist courts
702 Rooming and Boarding; Houses
7021 Rooming and boarding houses
703 Camps and Trailering Parks
7032 Sporting and recreational camps
7033 Trailering parka for transients
704 Membership-Basis Organization Hotels
7041 Membership-basis organization hotels
72 PERSONAL SERVICES
721 Laundry, Cleaning, & Garment Services
7211 Power laundries, family & commercial
7212 Garment pressing & cleaners' agents
7213 Linen supply
7214 Diaper service
7215 Coin-operated laundries and cleaning
7216 Dry cleaning plants, except rug
7217 Carpet and upholstery cleaning
7218 Industrial launderers
7219 Laundry and garment services, nee
722 Photographic Studios, Portrait
7221 Photographic studios, portrait
723 Beauty Shops
7231 Beauty shops
724 Barber Shops
7241 Barber shops
725 Shoe Repair and Hat Cleaning Shops
7251 Shoe repair and hat cleaning shops
726 Funeral Service and Crematories
7261 Funeral service and crematories
729 Miscellaneous Personal Services
7299 Miscellaneous personal services
73 BUSINESS SERVICES
731 Advertising
7311 Advertising agencies
7312 Outdoor advertising services
7313 Radio, TV, publisher representatives
7319 Advertising, nee
732 Credit Reporting and Collection
7321 Credit reporting and collection
733 Mailing, Reproduction, Stenographic
7331 Direct mail advertising services
7332 Blueprinting and photocopying
7333 Commercial photography and art
7339 Stenographic and reproduction, nee
734 Services to Buildings
Code Short Title
7341 Window cleaning
7342 Disinfecting and exterminating
7349. Building maintenance services, nee
735 News Syndicates
7351 News syndicates
736 Personnel Supply Services
7361 Employment agencies
7362 Temporary help supply services
7369 Personnel supply services, nee
737 Computer and Data Processing Services
7372 Computer programming and software
7374 Data processing services
7379 Computer related services, nee
739 Miscellaneous Business Services
7391 Research & development laboratories
7392 Management and public relations
7393 Detective and protective services
7394 Equipment rental and leasing
7395 Photofinishing laboratories
7396 Trading stamp services
7397 Commercial testing laboratories
7399 Business services, nee
75 AUTO REPAIR, SERVICES, AND
GARAGES
751 Automotive Rentals, Without Drivers
7512 Passenger car rental and leasing
7513 Truck rental and leasing
7519 Utility trailer rental
752 Automobile Parking
7523 Parking lots
7525 Parking structures
753 Automotive Repair Shops
7531 Top and body repair shops
7534 Tire retreading and repair shops
7535 Paint shops
7538 General automotive repair shops
7539 Automotive repair shops, nee
754 Automotive Services, Except Repair
7542 Car washes
7549 Automotive services, nee
76 MISCELLANEOUS REPAIR SERVICES
762 Electrical Repair Shops
7622 Radio and television repair
7623 Refrigeration service and repair
7629 Electrical repair shops, nee
763 Watch, Clock, and Jewelry Repair
7631 Watch, clock, and jewelry repair
B-9
-------
APPENDIX B (Continued)
Coda Short Title
764 Reupholstery and Furniture Repair
7641 Reupholstery and furniture repair
769 Miscellaneous Repair Shops
7692 Welding repair
7694 Armature rewinding shops
7699 Repair services, nee
78 MOTION PICTURES
781 Motion Picture Production & Services
7813 Motion picture production, except TV
7814 Motion picture production for TV
7819 Services allied to motion pictures
782 Motion Picture Distribution and Services
7823 Motion picture aim exchanges
7824 Film or tape distribution for TV
7829 Motion picture distribution services
783 Motion Picture Theaters
7832 Motion picture theaters, ex drive-in
7833 Drive-in motion picture theaters
79 AMUSEMENT & RECREATION SERV-
ICES
791 Dance Halls, Studios, and Schools
7911 Dance halls, studios, and schools
792 Producers, Orchestras, Entertainers
7922 Theatrical producers and services
7929 Entertainers & entertainment groups
793 Bowling and Billiard Establishments
7932 Billiard and pool establishments
7933 Bowling alleys
794 Commercial Sports
7941 Sports clubs and promoters
7948 Racing, including tracfe operation
799 Misc. Amusement, Recreational Services
7992 Public golf courses
7993 Coin-operated amusement devices
7996 Amusement parks
7997 Membership sports & recreation clubs
7999 Amusement and recreation, aee
SO HEALTH SERVICES
801 Offices of Physicians
SOU Offices of physicians
802 Offices of Dentists
8021 Offices of dentists
803 Offices of Osteopathic Physicians
8031 Offices of osteopath]c physicians
804 Offices of Other Health Practitioners
8041 Offices of chiropractors
3042 Offices of optometrists
8049 Offices of health practitioners, nee
805 Nursing and Personal Care Facilities
8051 Skilled nursing care facilities
8059 Nursing and personal care, nee
806 Hospitals
8062 General medical & surgical hospitals
8063 Psychiatric hospitals
8069 Specialty hospitals, esc. psychiatric
807 Medical and Dental Laboratories
8071 Medical laboratories
Cade Short Title
8072 Dental laboratories
808 Outpatient Care Facilities
8081 Outpatient care facilities
809 Health and Allied Services, nee
8091 Health and allied services, nee
81 LEGAL SERVICES
811 Legal Services
8111 Legal services
82 EDUCATIONAL SERVICES
821 Elementary and Secondary Schools
8211 Elementary and secondary schools
822 Colleges and Universities
8221 Colleges and universities, nee
8222 Junior colleges
823 Libraries and Information Centers
8231 Libraries and information centers
824 Correspondence and Vocational Schools
8241 Correspondence schools!
8243 Data processing schools
8244 Business and secretarial schools
8249 Vocational schools, nee
829 Schools & Educational Services, nee
8299 Schools & educational services, nee
83 SOCIAL SERVICES
332 Individual and Family Services
8321 Individual and family services
833 Job Training and Related Services
8331 Job training and related services
835 Child Day Care Services
8351 Child day care services
836 Residential Care
8361 Residential care
839 Social Services, nee
8399 Social services, nee
84 MUSEUMS, BOTANICAL, ZOOLOG-
ICAL GARDENS
841 Museums and Art Galleries
8411 Museums and art galleries
842 Botanical and Zoological Gardens
8421 Botanical and zoological gardens
36 MEMBERSHIP ORGANIZATIONS
861 Business Associations
8611 Business associations
862 Professional Organizations
8621 Professional organizations
863 Labor Organizations
8631 Labor organizations
864 Civic and Social Associations
8641 Civic and social associations
865 Political Organizations
8651 Political organizations
866 Religious Organizations
8661 Religious organizations
869 Membership Organizations, nee
8699 Membership organizations, nee
B-10
-------
Cade
APPENDIX B (Continued)
Short Title Co
-------
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ICR GLOSSARY
THE ACT1 - The Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.), as amended by the Federal Water
Pollution Control Act Amendments of 1972 (PL 92-500) and subsequent amendments.
BIOCHEMICAL OXYGEN DEMAND (BOD)2 - (1) The quantity of oxygen used in the biochemical oxidation of organic
matter in a specified time, at a specified temperature, and under specified conditions. (2) A standard test used
in assessing wastewater strength.
CASH FLOW3- The cash receipts and disbursements of any organization covering a particular period of time.
COLLATERAL - Security provided by banks for cash and securities in their custody.
COMBINED SEWER1 - A sewer intended to serve as a sanitary sewer and a storm sewer, or as an industrial sewer and
a storm sewer.
DISSOLVED OXYGEN (DO)2 - The oxygen dissolved in water, or other liquid, usually expressed in milligrams per liter,
parts per million, or percent of saturation.
DOMESTIC WASTEWATER2 - Wastewater derived principally from dwellings due to domestic activities. It may or
may not contain groundwater, surface water, or storm water.
GRANTEE1 - Any municipality which has been awarded a grant for construction of a treatment works pursuant to
this subpart. In addition, where appropriate in 40 C.F.R. ง 35.936 through 35.939, the designation grantee
may also refer to an applicant for such a grant.
INDUSTRIAL COST RECOVERY1 - Recovery by the grantee, from the industrial users of a treatment works, of the
grant amount allocable to the treatment of waste from such users pursuant to Section 204(b) of the Act.
INDUSTRIAL COST RECOVERY PERIOD1 - That period during which the grant amount allocable to the construction
of facilities for treatment of wastes from industrial users is recovered from the industrial users of such works.
INDUSTRIAL WASTES2 - The liquid wastes from industrial processes, as distinct from domestic or sanitary wastes.
INFILTRATION - The water entering a sewer system, including sewer service connections, from the ground, through
such means as, but not limited to, defective pipes, pipe joints, connections, or manhole walls. Infiltration does
not include, and is distinguished from, inflow.
INFILTRATION/INFLOW1 - The total quantity of water from both infiltration and inflow without distinguishing
the source.
INFLOW1 - The water discharged into a sewer system, including service connections from such sources as, but not
limited to, roof leaders, cellar, yard, and area drains, foundation drains, cooling water discharges, drains from
springs and swampy areas, manhole covers, cross connections from storm sewers and combined sewers, catch
basins, storm waters, surface run-off, street wash waters, or drainage. Inflow does not include, and is distin-
guished from, infiltration.
C-1
-------
GLOSSARY (Continued)
LETTER OF INTENT1 A written statement from an industrial user to a municipality of tha" user's intent to utilize a
specified portion of the publicly-owned waste treatment facility for a given length of time, (paraphrased)
MONITORING The measurement, sometimes continuous, of water quality.
PRIMARY TREATMENT2 The first major treatment in a wastewater treatment works, usually sedimentation.
PROCESS WATER2 Water that comes irr contact with an end product or with materials incorporated in an end product.
REPLACEMENT1 Expenditures for obtaining and installing equipment, accessories, or appurtenances which are neces-
sary during the service life of the treatment works to maintain the capacity and performance for which such works
were designed and constructed. The term operations and maintenance includes replacement.
SANITARY SEWER1 A sewer intended to carry only sanitary or sanitary and industrial waste waters, from residences,
commercial buildings, industrial plants, and institutions.
SANITARY WASTEWATER2 - (1) Domestic wastewater with storm and surface water excluded. (2) Wastewater dis-
charging from the sanitary conveniences of dwellings (including apartment houses and hotels), office buildings,
industrial plants, or institutions.
SECONDARY WASTEWATER TREATMENT5 - The treatment of wastewater to meet secondary effluent limitations
as defined in 40 C.F.R. ง133, Secondary Treatment Information.
STORM SEWER1 A sewer intended to carry only storm waters, surface run-off, street wash waters, and drainage.
SUSPENDED SOLIDS (SS)2 - Solids that either float on the surface of, or are in suspension in water, wastewater, or
other liquids, and which are largely removable by laboratory filtering.
TREATMENT WORKS1 Any devices and systems used in the storage, treatment, recycling, and reclamation of munic -
ipal sewage or industrial wastes of a liquid nature to implement Section 201 of the Act, or necessary to recycle
or reuse water at the most economical cost over the useful life of the works, including intercepting sewers, out-
fall sewers, sewage collection systems, pumping, power, and other equipment and their appurtenances; extensions,
improvement, remodeling, additions, and alterations thereof; elements essential to provide a reliable recycled
supply such as standby treatment units and clear well facilities; and any works, including site acquisition of the
land that will be an integral part of the treatment process or is used for ultimate disposal of residues resulting
from such treatment; or any other method or system for preventing, abating, reducing, storing, treating, sepa-
rating, or disposing of municipal waste, including storm water run-off, or industrial waste, including waste in
combined storm water and sanitary sewer systems.
C-2
-------
GLOSSARY (Continued)
USEFUL LIFE1 Estimated period during which a treatment works will be operated.
USER CHARGE1 A charge levied on users of a treatment works for the cost of operation and maintenance of such
works, pursuant to Section 204 (b) of the Act.
WASTEWATER SURVEY2 An investigation of the quality and characteristics of each waste stream, as in an industrial
plant or municipality.
SOURCES:
"Title 40 of the Code of Federal Regulations Part 35."
9
Glossary Water and Wastewater Control Engineering, prepared by Joint
Editorial Board, representing American Public Health Association,
American Society of Civil Engineers, American Water Works Association,
and Water Pollution Control Federation, 1969.
Dictionary for Accountants, 4th Edition, by Eric L. Kohler, Prentice-
Hall publication, Englewood Cliffs, New Jersey, 1970.
A
Concepts and Practices in Local Government Finance, by Lennox L.
Moak and Albert M. Hillhouse, Municipal Finance Officers Association,
Chicago, Illinois, 1975.
5"Trtle 40 of the Code of Federal Regulations Part 133."
C-3
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APPENDIX D
EPA REGIONAL OFFICES
Environmental Protection Agency
Region I
JFK Federal Building
Room 2203
Boston, Massachusetts 02203
Environmental Protection Agency
Region VI
First International Building
1201 Elm Street
Dallas, Texas 75270
Environmental Protection Agency
Region II
26 Federal Plaza
Room 908
New York, New York 10007
Environmental Protection Agency
Region VD
1735 Baltimore Avenue
Kansas City, Missouri 64108
Environmental Protection Agency
Region III
Sixth and Walnut Streets
Philadelphia, Pennsylvania 19106
Environmental Protection Agency
Region Vffl
1860 Lincoln Street
Suite 900
Denver, Colorado 80203
Environmental Protection Agency
Region IV
345 Courtland Street, N.E.
Atlanta, Georgia 30308
Environmental Protection Agency
Region IX
100 California Street
San Francisco, California 94111
Environmental Protection Agency
Region V
230 South Dearborn Street
Chicago, Illinois 60604
Environmental Protection Agency
Region X
1200 Sixth Avenue
Seattle, Washington 98101
0-1
*U.S. Government Printing Office: 1977-778-554/122 Region 8
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