905R76106
Handbook
_ f
Procedures
Construction Grants Program
for Municipal Wastewater
Treatment Works
TRANSMITTAL MEMORANDUM
No. 76-1
August 1976
Municipal Construction Division
Water Program Operations
Office of Water and Hazardous Materials
U.S. Environmental Protection Agency
Washington, D.C. 20460
MCD-03.1
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Handbook
of
Procedures
Construction Grants Program
for Municipal Wastewater
Treatment Works
TRANSMITTAL MEMORANDUM
No. 77-1
DECEMBER 1976
Municipal Construction Division
Water Program Operations
Office of Water and Hazardous Materials
U.S. Environmental Protection Agency
Washington, D.C. 20460
MCD-03. 2
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Handbook
of
Procedures
Construction Grants Program
for Municipal Wastewater
Treatment Works
TRANSMITTAL MEMORANDUM
NO. 78-1
DECEMBER 1977
Municipal Construction Division
Water Program Operations
Office of Water and Hazardous Materials
U.S. Environmental Protection Agency
Washington, D.C. 20460
MCD-03.3
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EXECUTIVE CORRESPONDENCE
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D,C. 20460
"CO I I IOTW OFFICE OF WATER AND
HAZARDOUS MATERIALS
CONSTRUCTION GRANTS
TRANSMITTAL MEMORANDUM
TM No. 78-1
SUBJECT: Revisions to Construction Grants
Handbook of Procedures
FROM: l John T. Rhett, Deputy Assistant Admin i
" Water Program Operations (WH-547)
All Regional Administrators I-X
ATTN: Water Division Directors
PURPOSE:
The purpose of this memorandum is to transmit revised pages for the
Construction Grants Handbook of Procedures.
DISCUSSION:
The attached changes result from the issuance of Program Requirements
Memoranda and other policy statements since the date of the last TM (TM
77-1, 1-10-77).
HANDBOOK REVISIONS:
1. Page II-7: The sentence specifying information required for
priority lists was altered in accordance with PRM 77-7, 5-31-77.
2. Page III-4: The reference to PG-53 was deleted; certain references
to the procurement regulations were added; and, a statement was added
concerning the use of the special engineering contract on projects for
which Farmers Home Administration provides local share assistance (per
Program Operations Memorandum 77-5, 2-7-77).
DO NOT WRITE ON THIS COVER AS IT IS INTENDED FOR RE-USE
RETURN IT WITH THE FILE COPIES TO ORIGINATING OFFICE
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3. Pages IV-12, V-6 & 7 and VI-6 & 7: PL 94-488 contains provisions
which negate earlier restrictions on the use of revenue sharing funds
for matching purposes in the Construction Grants Program. Therefore,
restrictive language in the Handbook has been deleted on the above
pages. Also, references to PRM 75-1 (PG-3) have been deleted for the
same reason.
4. Page IV-15: Under "Procedures" in paragraph 4, form 240 was
changed to "424", the phrase "and the U.S. Department of the Treasury"
was dropped, and the date 8-8-73 was changed to "2-17-76" - all in
accordance with circular 1082, dated 2-17-76.
5. Pages V-5 & 13: Under "Discussion" (V-5) a phrase has been
added to emphasize the need for grantees to undertake preliminary easement
work during Step 2; also, policy referenced in paragraph II, V-13. (per
PRM 77-6, 5-4-77.)
6. Page V-17: Under paragraph (5), after present statement on 5%
bid bond add the phrase: "unless required by State/local law". This
phrase was inadvertently omitted from the change effected by TM 77-1.
7. Page VI-12: Special "NOTE" has been added to emphasize the
importance of managing the preconstruction phase of Step 3 projects in
accordance with Program Operations Memorandum 77-12, 6-21-77.
8. Page VI-13: Paragraph "d" added to caution that EPA concurrence
is required if grantee rejects all bids, (per memorandum re: rejection
of bids, 9-1-76.)
9. Page VI-30: A statement indicating that EPA letters approving
user charge systems must indicate that approval relates only to the
portion of the system of user charges applicable to operation and maintenance
cost - Program Operations Memorandum 77-11, 6-16-77.
10. Page VII-6: An example of an ineligible type of ordinance
(sewer use ordinance) has been added to the statement on special assessment
districts.
11. Page VII-14: The section on "Tools" was expanded to reflect
the provisions of the memorandum "Grant Eligibility of Certain Equipment"
(4-15-77). This memorandum expands the interpretation of allowable
"tools" to include certain basic tools/machines which would not ordinarily
be considered "special purpose" but are necessary to assure the uninterrupted
functioning of the facility.
12. Pages VII-26 & 28: Language was added to reflect the need to
expedite actual disbursements to grantees. The requirements are stipulated
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in the memorandum "Construction Grant Payment Processing" dated July 27,
1977, from the Assistant Administrator for Water and Hazardous Materials
and the Acting Assistant Administrator for Planning and Management.
13. Appendix B: New material was added as listed below (also
included is a revised cover sheet for the Appendix):
- New application form 5700-32 (Revised 6-76)
- New form 5700-41, Cost Summary for Subagreements
- New form 424, Notification of Grant-in-Aid Action
- Summary of "Regional Reporting Requirements through RCGMIS"
14. Also attached is a replacement for the last page of the listing
of program directives appearing in Appendix D.
FILING INSTRUCTIONS:
1. File this TM in Appendix D of the Grants Handbook.
2. Substitute the attached pages ("bottom" dated December 1977,
TM 78-1) for the appropriate pages presently in the Handbook.
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CONTENTS
Page
FOREWORD i
ACKNOWLEDGEMENT i i i
CHAPTER I INTRODUCTION
A. General 1-1
B. Legislative History 1-1
C. Handbook Organization and Use 1-3
1. Purpose 1-3
2. Structure 1-3
3. Format 1-4
4. Rel ated Materi al 1-5
5. Updating 1-5
6. Appendices 1-6
CHAPTER II STATE PROGRAM
A. Planning Processes II-l
1. General II-l
2. State Continuing Planning Process II-l
3. Basin Plans 11-2
4. Areawide Waste Treatment Management Plans II-3
5. Facility Plans II-4
6. Municipal Permits 11-5
B. State Strategy and Program II-6
1. Program Submittal 11-6
2. State Priority System and List II-6
3. Funding II-8
4. Delegation of Authority II-9
CHAPTER III PREAPPLICATION INFORMATION
A. General III-l
B. Applicant Eligibility III-2
C. Preapplication Conference III-3
1. Important Dates III-3
2. Contracts for Personal and Professional Services III-4
3. Administrative Requirements III-5
4. Technical Requirements II1-6
CHAPTER IV STEP 1 GRANT PROCESSING
A. Introduction IV-1
B. Schematic Flow Diagram IV-2
C. Application Contents IV-3
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Page
D. Plan of Study Review IV- 4
1. Contents IV- 4
2. Planning Considerations IV- 6
3. Prior Costs IV- 6
E. Administrative Review IV- 8
1. Clearinghouse Comments IV- 8
2. Priority List Compliance and Certification IV- 9
3. Application Form IV-10
4. Contracts and Subagreements IV-12
F. Grant Award Procedures IV-14
1. Regional ized Procedures IV-14
2. Notification of Grant Award Action IV-14
3. Grants Information and Control System (GICS) IV-15
4. Clearinghouse Notification IV-15
5. Grant Agreement/Amendment IV-16
G. Preparation of the Facility Plan IV-17
H. Administrative Review (Facility Plan) IV-18
1. Clearinghouse Comments IV-18
2. State Review and Certification IV-19
I. Facility Plan Review IV-20
1. Summary, Conclusions and Recommendations IV-22
2. Introduction IV-22
2.1 Study, Purpose and Scope IV-22
2.2 Planning Area (Map) IV-22
3. Effluent Limitations IV-22
4. Current Situation IV-24
4.1 Conditions in the Planning Area IV-24
4.2 Existing Wastewater Flows and Treatment Systems.. IV-25
4.3 Infiltration and Inflow IV-26
4.4 Performance of Existing Systems IV-30
5. Future Situation IV-31
5.1 Land Use IV-31
5.2 Demographic and Economic Projections IV-32
5.3 Forecasts of Flow and Waste Load IV-33
5.4 Future Environment of the Planning
Area Without the Project IV-34
6. Alternatives IV-34
6.1 Optimum Operation of Existing Facilities IV-34
6.2 Regional Solutions IV-35
6.3 Waste Treatment Systems IV-35
6.4 Evaluation (Monetary, Environmental, (
Implementation) IV-39
VI
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7. Plan Selection IV-42
7.1 Views of Public and Concerned
Interests on Alternatives IV-42
7.2 Evaluation and Ranking of Proposals IV-43
7.3 Selected Plan (Major Feature Summary)
and Reasons for Selection IV-44
7.4 Environmental Impacts of Selected Plan IV-44
8. Cost Estimates, Preliminary Designs IV-45
8.1 Description of Design IV-45
8.2 Summary of Cost Estimates IV-46
9. Arrangements for Implementation IV-47
9.1 Institutional Responsibilities IV-47
9.2 Implementation Steps IV-48
9.3 Operation and Maintenance IV-48
9.4 Financial Requirements IV-49
10. Summary of Environmental Considerations IV-50
a. Criteria for Determining When to Prepare
an Environmental Impact Statement IV-51
Historical and Archaeological Sites IV-52
Wetlands, Flood Plains, Coastal
Zones, Wild and Scenic Rivers,
Fish and Wildlife IV-54
(3) NEPA Criteria for Determining When
to Prepare an EIS IV-56
b. No EIS Required IV-57
(1) Negative Declaration IV-57
(2) Environmental Impact Appraisal IV-58
(3) Facility Plan Approval IV-58
(4) Grants Information and Control System (GICS). IV-58
c. Prepare EIS IV-58
(1) Notice of Intent IV-58
(2) Draft EIS IV-59
CHAPTER V STEP 2 GRANT PROCESSING
A. Introduction V- 1
B. Schematic Flow Diagram V- 2
C. Application Contents V- 3
D. Facility Plan Approval V- 3
E. Administrative Review V- 4
1. Priority List Compliance and Certification V- 4
2. Application Form V- 5
3. Contracts and Subagreements V- 7
4. Assurances and Program Requirements V- 8
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F. Grant Award Procedures V- 9
6. Preparation of Plans and Specifications V-10
H. Predesign Conference V-ll
I. Review of Plans and Specifications V-14
a. Administrative Review V-15
(1) Supplemental General Provisions V-15
(2) Equal Employment Opportunity V-16
(3) Davis-Bacon Act V-17
(4) Flood Insurance V-17
(5) Bonding V-17
b. Technical Review V-18
(1) Safety Precautions V-18
(2) Mitigative Measures V-18
(3) Bypassing V-18
(4) Project Sign V-18
(5) Reliability and Flexibility V-19
(6) Operation and Maintenance V-19
(7) Public Water Supply V-19
(8) Chemical Storage V-19
(9) Ventilation V-19
(10) Laboratory Facilities V-19
(11) Emergency Alarms V-19
(12) Use of Mercury V-20
(13) Sewers V-20
(14) Equipment V-20
(15) Shellfish Waters V-20
(16) Pretreatment V-20
c. Plan and Specification Approval V-21
CHAPTER VI STEP 3 GRANT PROCESSING
A. Introduction VI- 1
B. Schematic Flow Diagram VI- 2
C. Application Contents VI- 3
D. Plans and Specifications Approval VI- 4
E. Administrative Review VI- 4
1. Priority List Compliance and Certification VI- 4
2. Application Form VI- 5
3. Contracts and Subagreements VI- 7
4. Assurances VI- 8
a. Flood Disaster Protection Act of 1973 VI- 9
b. Sewer Use Ordinance VI- 9
5. Operation and Maintenance Scheduling VI-10
vm
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Page
6. Sewer System Rehabilitation Scheduling VI-10
7. Institutional Arrangements VI-10
F. Grant Award Procedures VI-11
5. Grant Agreement/Amendment VI-11
G. Procurement of Construction Contracts VI-13
1. Authorization and Formal Advertising for Bids VI-13
2. Review of Bids VI-14
3. Grant Increases/Decreases VI-15
4. Protests VI-16
5. Authorization to Award Contracts VI-18
H. Preconstruction Conference VI-18
I. Monitoring of Construction Activities VI-21
1. Change Orders VI-21
2. On-Site Inspections VI-23
3. Payment Conditions VI-26
a. Operation and Maintenance Manual VI-27
b. User Charge System VI-27
c. Industrial Cost Recovery System VI-27
d. Sewer Use Ordinance VI-27
e. Rehabilitation Program VI-28
f. Final Inspection VI-28
4. User Charge System VI-28
5. Industrial Cost Recovery System VI-30
6. Operation and Maintenance Program VI-33
a. Staffing and Training VI-35
b. Administrative Functions VI-35
c. Budget VI-36
d. Emergency Operating Plan VI-36
e. Operation and Maintenance Manual VI-37
CHAPTER VII FINANCIAL CONSIDERATIONS
A. Introduction VII- 1
B. Allowable and Unallowable Costs VII- 2
1. General VII- 2
2. Allowability Determinations VII- 3
3. Allowability/Eligibility of Miscellaneous Costs VII- 3
Indirect Costs VII- 3
Travel Costs VII- 3
Bond Costs VII- 4
Liquidated Damages VII- 4
Bid Bond Forfeiture VII- 4
Rate Studies VII- 5
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Page
Financial Reports and Studies VII- 5
Establishment of Special Assessment Districts. . . . VII- 6
Public Liaison Services VII- 6
Assistance with State and Federal Regulations. . . . VII- 6
Redesign/Rep!anning Costs Resulting from
Changes in Federal Requirements VII- 7
Costs of Implementing the Uniform Relocation
Assistance and Real Property Acquisition
Policies Act of 1970 (PL 91-646) VII- 7
Field Surveys to Identify Cultural Resources. . . . VII- 8
Industrial Planning VII- 8
Facilities Serving Communities and Federal Facilities VII- 8
Site Acquisition vs. Site Preparation Costs VII- 9
Certificate as to Title to Project Site VII-10
Acquisition of Privately or Publicly Constructed
Waste Treatment Facilities VII-10
Demolition of Existing Structures VII-10
Removal, Relocation and/or Replacement of Utilities. VII-11
Restoration of Streets and Rights-of-Way VII-12
Mobile Equipment VII-12
Office Equipment and Furnishings VII-13
Shop Furnishings VII-13
Laboratory Equipment and Supplies VII-13
Safety Equipment VII-14
Tools VII-14
"Replacement Parts VII-14
Collection System Maintenance Equipment VII-15
Project Inspection VII-15
Groundwater Monitoring Facilities VII-15
Biological "Seeding" '. VII-16
Services Charges VII-16
Fringe Benefits VII-16
Labor Charges and Related Costs VII-17
Start-up Services VII-17
C. Force Account ' VII-23
1. General VII-23
2. EPA Prior Approvals VII-24
3. Other Considerations VII-25
D. Payments VII-25
1. General VII-25
2. Prior Costs VI1-26
3. Schedules VII-27
4. Interim Payments VII-28
a. Payment Requests Review VII-28
b. Documentation VII-29
c. Grant Conditions VII-29
5. Final Payments VII-30
6. Refunds, Rebates, Credits, etc VII-30
Revised: TM 77-1
December 1976
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Increases and Decreases
1. Increases
2. Increase Notification Procedure.
3. Decreases
4. Decrease Notification Procedure.
Audits.
1. General
2. Objective
3. Types of Audi ts
4. Criteria for Choosing Projects
5. Major Activity Areas for Audit Focus,
6. Final Report
VII-31
VII-31
VII-31
VII-32
VII-32
VII-33
VII-33
VII-33
VII-34
VII-34
VII-35
VII-36
APPENDICES
Appendix A
Appendix B
Appendix C
Appendix D
Flow Diagram
Forms
Checklist for Plans and Specifications Review
Transmittal Memoranda
XI
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CHAPTER I
INTRODUCTION
A. General
B. Legislative History
C. Handbook Organization and Use
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A. GENERAL
This chapter describes the organization of the handbook and
its use in administration of the construction grants program.
Background information is presented as a foundation for later
chapters.
B. LEGISLATIVE HISTORY
Federal financial aid in the construction of municipal sewage
treatment works was first authorized in 1948. This was a loan
program which was never implemented because necessary funds were
not appropriated by Congress.
The Federal Water Pollution Control Act of 1956, Public Law
84-660 (PL 84-660), included the first authorization for Federal
grants to assist in the construction of waste treatment works.
Selection of projects to be funded was made the responsibility of
the States, reflecting the policy of Congress to ...
pnnAZMz. and piotact tkn pfUmany fLpovu>-ib^LLti oft thu.
Jin pi
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The 1966 Amendments were the last major legislative changes
prior to the passage of PL 92-500 in 1972. There were, however, other
legislative actions which occurred in that period which had a major
impact upon the program. Most important of these were enactment of
the National Environmental Policy Act (NEPA) in 1969, and creation of
the U.S. Environmental Protection Agency (EPA) in 1970.
Enactment of PL 92-500 in 1972 resulted in extensive changes
in the construction grants program. The Federal share was increased
to 75% of eligible costs and projects involving sewage collection
system construction, sewer system rehabilitation, and (under certain
conditions) combined sewer system separation became eligible for grants.
In addition, funds were included to reimburse those projects which
had proceeded under the reimbursement provisions of the earlier
statutes. Also, a strong enforcement program was called for which
would encompass the statewide planning process, areawide planning,
facilities planning, the construction grants program, and discharge
permits.
This handbook describes actions necessary to the administration
of the construction grants program under PL 92-500 and other pertinent
laws, rules and regulations.
1-2
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C. HANDBOOK ORGANIZATION AND USE
1. Purpose
This Handbook is intended to serve as a guide in processing
grant applications for Step 1, Step 2 and Step 3 projects. For
consistency, the Handbook is organized for the processing of grants
as of July 1, 1975. All new projects must begin at the Step 1 stage
as of this date. Portions of the Handbook can also be applied to the
review of pre-July 1, 1975 applications by referring to appropriate
chapters.
The Handbook pertains to processing procedures for both
administrative and technical functions, and these functions are
presented in sequence throughout all steps. However, the review of
administrative and technical functions should be done concurrently
whenever possible.
While the administrative procedures to be followed in
processing of construction grant applications are summarized in this
Handbook, a more comprehensive statement of the administrative and
management requirements is described in the Grants Administration
Manual prepared by the Grants Administration Division, Office of
Resources Management, Office of Planning and Management, EPA.
2. Structure
The processing of grant applications for Step 1, Step 2 and
Step 3 projects is described in Chapters IV, V, and VI respectively.
These Chapters are preceded by background and general information in
Chapters I, II and III and followed by the Financial Considerations
of Chapter VII. The latter Chapter contains information common to the
processing of each category of grant, including eligible costs and
the processing of payment requests.
The Handbook begins functionally with recommendations for the
preapplication conference and proceeds through the completion of
construction, including start-up and operation and maintenance require-
ments. Review procedures are separated into administrative and technical
requirements and grouped together wherever possible. Some technical
requirements which are either complex or time consuming have been treated
separately. This separation is not meant to elevate their importance
over other requirements but rather to emphasize the need for careful
review of such complex requirements.
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The construction grant program is concerned with three types
of projects:
Step 1 Projects - Planning
Step 2 Projects - Design
Step 3 Projects - Construction
When the applicant receives a grant for a Step 1 project,
he prepares a facility plan. The facility plan is a part of the
application requirement for a Step 2 project grant. However, the
review of the facility plan is described in Chapter IV as a part of
the Step 1 project grant processing procedures. Once the facility
plan is approved by EPA, the applicant need only submit the additional
administrative and technical requirements for a Step 2 project grant
as described in Chapter V. Similarly, the review of plans and
specifications is described in Chapter V as part of the Step 2 project
grant processing procedures although it is a requirement for a
Step 3 project grant.
3. Format
Each review function is necessary to insure compliance
with statutory or program requirements. The review procedure usually
is presented in the following format:
Purpose:
A brief explanation of the need for the review is given.
Discussion:
The program requirement is placed in program perspective
and information is given on such things as general operating policy,
important underlying issues, key considerations in approaching the
topic under review and how the topic relates to the greater problem
of which it is a part.
Procedures:
The procedures in the review process are briefly described.
Where specific program items are required, they are listed. Other
more general review items are included as a reminder. However, the
review procedures listed here are not substitutions for nor do they
supersede requirements as described in greater detail in the appropriate
references. Check lists may be utilized as reminders of review
requirements.
1-4
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References:
Appropriate laws, regulations, Program Guidance Memorandums (PG),
Program Requirements Memorandums (PRM), guidelines, technical bulletins,
etc. are cited. Wherever laws or regulations are quoted directly, italics
are used. Copies of such reference material can generally be found in the
Manual of References, issued by the Municipal Construction Division, Office
of Water Programs, in October 1975.
Some of the review procedures are self-explanatory or do not lend
themselves to the above format. In these cases, the program requirements
are briefly described.
4. Related Material
The review procedures in this Handbook describe the essence or
minimum requirements necessary in processing of construction grants. More
detailed information may be obtained by reading the reference materials
which are identified throughout the text wherever they are applicable.
Generally, references concerning technical matters have been limited to
EPA publications.
The Handbook describes the requirements for processing construction
grant applications and conducting related grant activities. However,
differences in structure of Regional Office staffs may require some adjust-
ment in the manner in which various review procedures are conducted.
5. Updating
The Handbook will be updated as changes in laws, regulations, or
policy guidance occur. Responsibility for revising and updating the
Handbook rests with the Policy, Procedure and Guidance Staff, Construction
Operations Branch, Municipal Construction Division, HQ EPA. All changes
will be issued from the Deputy Assistant Administrator for Water Program
Operations.
In July 1976* EPA ceased to use Program Guidance Memoranda
(PGM's) to aommunioate Construction Grant Program directives. In their place,
an -Issuance system was established designed to differentiate between policy
and operational matters. Included in the new system is a mechanism for
insuring that the essence of emerging policy and procedure changes ave con-
currently readied for inclusion -in the Handbook.
The new system consists of (I) Program Requirements Memoranda (PRM's)
which convey program policy, (2) Progpgm Operation Memoranda (POM's) which
are for "housekeeping" matters and (3) Transmittal Memoranda (TM's) which^
dictate ehanges to the Handbook. TM's are of two types: (I) Those which
direct changes in the Handbook growing out of the issuance of PRM's and (2)
Those which serve to transmit Agency policy directly without the issuance of
a related PPM. (This will be done when the nature of the change is suoh that
it can be readily accommodated by a slight alteration of the text of the
Revised: TM 76-1
1-5 August 1976
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Handbook.) POM's will not normally appear in the Handbook since they
generally deal only with internal program matters and have no appliodbi'lity
outside EPA. (See PPM 76-1, 7/26/76). As part of the new system, oertain
PGMs were oancelled. Those whioh remain in effeot have been Tedesignabed
as PRM's 75-1 through 75-40. (See PBM 76-2, 7/26/7'6, in Appendix D of this
Handbook for details.)
As indicated above, revisions will be forwarded by a Transmittal
Memorandum (TM). Each Transmittal Memorandum will be designated with a
sequential number (e.g., TM: 76-1) indicating the fiscal year and number of
the issuance and will provide specific instructions for removal of obsolute
pages and exhibits and insertion of new material. So that changes oan t>e
readily identified^ text revisions will be printed in italics and underlined
and, on the bottom right side of each revised page will be shown the month
and year of the revision.
The TM may be detached from the material transmitted and inserted
in the appendix, "Transmittal Memoranda". On a yearly basis, for verification
purposes, a listing of the changes will be distributed to holders of the
Handbook.
6. Appendices
This Handbook contains the following appendices:
Appendix A: contains a schematic flow diagram for the processing
of construction grants.
Appendix B: includes exhibits of frequently used OMB and EPA forms.
Appendix C: contains the sample checklist: "Program Checklist for
Engineering Drawings, Specifications, and Engineering Reports".
Appendix D: is labeled "Transmittal Memoranda" and is to be used
to keep the Headquarters issuances on Handbook changes (TM's).
Revised: TM 76-1
August 1976
1-6
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CHAPTER II
STATE PROGRAM
A. Planning Processes
B. State Strategy and Program
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A. PLANNING PROCESSES
1. General
This Chapter is designed to provide a general working
knowledge of those planning portions of PL 92-500 which directly
affect the construction grants program.
PL 92-500 contains the most complex and far reaching
pollution control amendments to date and firmly commits the Federal
Government to eliminate pollution of the Nation's waterways. Even
though there is a firm Federal commitment, the States still retain
primary responsibility for the establishment of water quality standards,
the control of waste discharges, and the enforcement of these standards.
However, to insure a sound basis of control, PL 92-500 expanded
existing and created new planning processes to be carried out by the
States.
2. State Continuing Planning Process
Section 303(e) of PL 92-500 requires each State to establish
and maintain a continuing planning process which must be reviewed
and approved periodically by the Administrator. The continuous planning
process must be consistent with the Act and include, as a minimum, the
following:
(a) effluent limitations and schedules of compliance
to achieve water quality standards;
(b) an areawide waste treatment management plan or
basin plan under sections 208 and 209 of the Act;
(c) total maximum daily waste load allocations;
(d) procedures for revisions of the plans;
(e) adequate authority for intergovernmental cooperation;
(f) adequate implementation procedures and schedules of
compliance for new or revised water quality standards;
II-l
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(g) methods of obtaining control over the disposal of all
residual waste from any water treatment processing;
(h) an inventory and ranking, in order of priority, of waste
treatment works necessary to be constructed to meet
water quality standards.
Three of these items are of particular concern to the construction
grants program, namely:
(b) areawide waste treatment management plans (more commonly
known as 208 plans);
(c) section 303(e) plans (more commonly known as basin plans
or waste load allocation plans);
(h) the State priority list (discussed in section B of
this Chapter).
Each of these items is discussed more completely below.
The three items have as their common objective the achievement of
water quality standards which have been established by the States
and approved by EPA, under PL 92-500 or earlier legislation.
Re: 40 CFR Part 130 and Part 131
3. Basin Plans
As an integral part of the State Continuing Planning
Process and as a first step in achieving the established water
quality standards, the State must prepare "basin plans" which
classify segments of its waters as either "water quality
limited" or "effluent limited". To make this classification,
the State generally employs mathematical modeling of the river
basin and notes all point and non-point sources of wastes, low
flows and other physical conditions. Using the assumption that
all point sources achieve at least secondary treatment,the model
is able to predict whether the water quality standards are met.
If the standards are met, the stream segment is classified as
"effluent limited" and need only achieve secondary treatment
(unless a more stringent degree of treatment is established by
the State) to satisfy Federal requirements and to be eligible"
for a construction grant.
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If the model of the basin predicts that water quality
standards will not be met when all point sources achieve secondary
treatment, the segment is classified as "water quality limited".
The inputs to the model are varied with the result that waste load
allocations are established for this segment and represent the
minimum of treatment to be achieved by any future publicly owned
wastewater treatment works.
It should be noted that in the 303 planning no direct
controls are exercised to limit the non-point sources. In all
cases, however, applicants for construction grants must comply with
applicable basin plans.
Re: 40 CFR Part 130 and Part 131
4. Areawide Waste Treatment Management Plans
Section 208, Areawide Waste Treatment Management Plan, is
another integral part of the State Continuing Planning Process. These
plans are prepared for areas having substantial water quality control
problems caused by urban-industrial concentration or other factors.
The stream segments in these areas require comprehensive areawide
planning to meet the water quality standards. Not only do these plans
place limitations upon municipal and industrial point sources, they
also address land use policies to control non-point sources, stormwater
discharges, water supply and other limiting factors which may be
controlled to achieve water quality standards.
The 208 planning is broad based and geared toward the more
complex cases. EPA is authorized to provide grants to agencies having
jurisdiction under State law to carry out such planning. The completed
plan must designate one or more agencies to implement its recommendations,
Smaller geographical areas within the 208 area may be designated as
Section 201 facility planning areas.
EPA policy concerning coordination between applicants and 208
agencies is explained in Guidance for Preparing a Facility Plan Revised -
May 1975, pp. 2 and 3.
Re_: 40 CFR Part 126 and Part 131
Program Requirements Memorandum,, PEM 75-38 (PG-66), 2/9/76
Revised: TM 76-1
August 1976
II-3
-------
5. Facility Plans
Facility plans are required by Section 201 of PL 92-500.
They may be considered as the implementation part of the States
Continuing Planning Process. Facility plans are the first stage
of the three part construction grant process. The facility
planning area is designated by the State agency and may include
one or more political jurisdictions. Overlapping may exist
between 208 areawide planning areas and 201 facility planning
areas. Coordination and cooperation are essential to avoid
duplication, but the completion of 201 plans should not be delayed
or postponed pending completion of 208 plans. Rather,the 208
plans, when completed, should incorporate the provisions of the
completed 201 plans.
Ideally, the 303(e) plan establishes the waste loads,
the 208 plan designates the 201 area and the implementing agency,
and the 201 plan develops a specific project which is the most
environmentally sound and cost effective for achieving the stated
water quality standards. In the case where a 208 area has not been
designated, the State agency will designate the boundaries of the
201 facility planning area, subject to the approval of EPA. If a
303(e) basin plan has not been completed, the waste load allocations,
where necessary, are to be established on a case by case basis by
the State jointly with the applicant.
The objectives of the 201 facility plan are specific and
include the treatment plant site, size, type of process, method
of effluent and sludge disposal, interceptor sewer routings and
other steps necessary for constructing the project. The facility
plan is prepared by the grantee with funds from a Step 1 project
grant.
Facility planning is discussed in greater detail in
Chapter IV and is the subject of the Publication, Guidance for
Preparing a Facility Plan, Revised - May 1975.
Re_: 40 CFR 35.917
40 CFR 130.31
Program Requirements Memorandum, PPM 75-38 (PG-66), 2/9/76
Revised: TM 76-1
II-4 August 1976
-------
6. Municipal Permits
PL 92-500 established the National Pollution Discharge
Elimination System (NPDES) as the enforcement mechanism for
achieving water quality standards. The discharge permit issued
under the system is applicable to all municipal and industrial
discharges. Where 303(e), 208 or 201 plans have been established,
the permits will require compliance with such plans. In the case
of existing sewage treatment facilities which,because of present
or anticipated future inadequate treatment,will not achieve the
water quality standards, the NPDES permit may contain limitations,
conditions or schedules which will prompt the municipality to
apply for a construction grant. The State agency will designate
the boundaries (if not previously designated) of the 201 facility
planning area and the construction grant process will begin. An
applicant for a construction grant must comply, at a minimum,
with an applicable existing permit.
Re: 40 CFR Part 125
II-5
-------
B. STATE STRATEGY AND PROGRAM
1. Program Submittal
As a part of the State Continuing Planning Process,
each State is required to submit to EPA a program for the
coming fiscal year. This annual program also satisfies the
requirements of Section 106 of PL 92-500, which provides for
grants to the State agencies to carry out the planning processes.
The key element of the annual plan is the State strategy which
must:
(a) identify water quality problems and their causes;
(b) list these problems by geographical location;
(c) describe the State's approach to solving the problems,
including the extent to which non-point sources will
be addressed;
(d) provide a listing of the priorities and scheduling
of permits, construction grants, areawide plans and
other program actions;
(e) describe the level of detail and the schedule for
preparation of basin plans;
(f) describe how the State will satisfy the reporting
requirements under Section 305(b) of PL 92-500.
The construction grants reviewer is primarily concerned
with item (d) above, namely the listing of State priorities
for construction grants projects.
Re: 40 CFR 130.40
2. State Priority System and List
As a part of its program strategy, the State must
prepare a municipal discharge inventory which ranks all of the
significant municipal discharges within the State. This inventory
must be consistent with the stream segment priority rankings also
prepared as a part of the overall State strategy. The State then
develops a system of ranking projects for funding, which gives
consideration to:
(a) the severity of pollution problems;
(b) the existing population affected;
Revised: TM 77-1
December 1976
II-6
-------
(c) the need for preservation of high quality waters;
(d) national priorities;
(e) total funds available;
(f) treatment works sequence;
(g) any additional factors considered pertinent by the State.
The resulting project priority list is a State management tool and represents
the projects which are anticipated to be funded with the State's allocation.
The priority list of projects which are to receive construction grant
funds within the State must include, as a minimum, for each project, the
applicant namej State assigned priority ranking and priority points, the
parent-project number, NPDES number, grant identification number, a_ descrip-
tion of the type and scope of project, a target application date, and the
estimated Federal assistance.
Each project must be certified by the State as being entitled to priority
for Federal assistance from available funds over other eligible projects in
the State.
In reviewing the State priority list, it is necessary to insure that:
(a) the above information is included for each project;
(b) the grant funds involved equal or exceed the State
allotments available;
(c) known problem areas in the State have been properly considered;
(d) target application dates and cost estimates appear to be reasonable;
(e) previously approved Step 1 and Step 2 projects are properly
reflected and realistically scheduled for funding;
!£/ highest, priority is assigned to projects which_ reduce_pol 1 ution
from existing municipal wastewater discharges^. '
While the project priority list must be developed in accordance with
the criteria listed above, the criteria are not to be construed as removing
all flexibility in the establishment of the list. For example, large city
projects should be precluded from using all or almost all of a State's allocation
This may be accomplished by the State reserving funds for projects of smaller
communities (as defined by the State and approved by the Regional Office), or
by dividing the work into several segments or smaller projects. In the first
case., the State must consider the severity of the pollution problem in ranking
projects of both the larger communities category and the smaller communities
group and in consolidating the projects of each group into the priority list.
In the second case, both the State and the applicant must recognize that;
Revised_; TM_ 78-1
December 1977
11-7
-------
(a) all grants must be awarded at the 75% level;
(b) the project must be comprised of a discrete
and meaningful part of the treatment system;
(c) the awarding of the grant does not bind EPA
to fund the remaining- parts of the treatment
system;
(d) the acceptance of the grant commits the grantee
to the completion of both-an operable treatment works
and the complete sewage treatment system of which the
assisted project is a part.
The project priority list may also contain reserve funds
as explained below under Funding.
The State's priority list is submitted annually as part of
the State's program. The list is not approved by the Regional Administrator
unless it has been the subject of a public hearing. During the year,
certain amendments may have to be made to the list. These amendments
do not require a public hearing if the Regional Administrator does not
consider them significant.
Re: 40 CFR 35.915, .930-4, .935-1
40 CFR 130.41
Program Requirements Memoranda, PRM 75-14, (PG-33) 5/10/74;
PRM 75-24, (PG-46)3 1/17/75:
PRM 77-1., ll/23/76^PRM 77-7,
3. Funding
The State allocation of construction grant funds will vary
from year to year. The initial State allotments are available for
30 months. In developing the priority list funding requirements, the
State must reserve a reasonable portion, but not less than five percent
of its annual allocation, for grant increases. While every effort must
be made by the grantee and State to insure accurate and up-to-date
cost estimates for the projects, cost overruns do occur and grant increases
may be made from these reserves. Where cost overruns exceed the reserves,
the State may:
(a) use recovered PL 92-500 funds; or
(b) use funds from the succeeding year's allotment; or
(c) if the succeeding year's allotment has not been allocated,
defer fundable projects on the lowest end of the priority
list to free up funds; or
(d) negotiate with the applicant to consider dividing the work
as explained above.
II-8 Revised: TM 78-1
December 1977
-------
If option (c) is employed, the deferred projects are
automatically placed at the top of the succeeding year's project
priority list.
Also, the State has the option to reserve funds for
Step 1 and Step 2 projects which may be selected by the State
subsequent to the approval of its project priority list. However,
this reserve may not exceed ten percent of the State's annual
allocation and may be reserved for up to eighteen months only.
Any funds remaining at the end of that period are to be used for
additional projects. The funding of additional Step 1 and Step 2
projects from reserve funds must be consistent with the approved
State strategy.
Re_: 40 CFR 35.915, .930-4, .935-1
Program Guidance Memorandum, PG-35, 6/3/74;
PG-41, 10/16/74
4. Delegation of Authority
Delegation to the States of various review functions of
the construction grants application processing is intended to
eliminate duplication of effort between States and regional offices,
improve program efficiency and speed the processing of grants. While
PL 92-500 does not specifically address the authority of States to
approve various aspects of an application (except project priority
lists), it has been interpreted as allowing the States to perform
the review function.
The regulations encourage the Regional Administrators
to enter into written agreements with the State agencies under which
the State will carry out the review and certification of the
technical and/or administrative adequacy of specified documents.
Certification by the State of particular documents, such as plans and
specifications, operation and maintenance manuals, etc., is considered
by EPA to have resulted from an in-depth review by the State. In such
cases, EPA must continue to exercise its statutory grant approval and
grant commitment responsibilities.
The reviewer must be aware of existing agreements and their
provisions and any specific limitations which may affect his review.
Agreements will vary from State to State, depending on the State's
capabilities, and will be reviewed periodically and amended or
terminated as appropriate.
Re_: 40 CFR 35.912
II-9
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CHAPTER III
PREAPPLICATION INFORMATION
A. General
B. Applicant Eligibility
C. Preapplication Conference
-------
A. GENERAL
An applicant is often unfamiliar with the requirements
and/or limitations of the construction grants program. Lack of
knowledge of all key aspects of the grants program can be costly
and time-consuming for the applicant, the State and EPA. The
Region, in conjunction with the State, should insure that applications
being submitted are responsive to all technical, administrative
and legal requirements of the program.
Guidance to applicants is presently provided through a variety
of sources, including State and Federal forms, instruction booklets,
EPA guidance publications, and copies of Federal regulations. However,
this information is not always clear to applicants and emphasis is
often incorrectly placed on less important matters. To avoid such
occurances, a preapplication conference between the applicant, the
State and EPA to jointly review both program requirements and
applicant needs, is strongly urged.
III-l
-------
B. APPLICANT ELIGIBILITY
An eligible applicant is: A city, town, bon.ou.Qk, county,
di^>tni.ct, a^&ociation., on. otheA public, body (including an inteA.-
municipal age.ncy oft two an. mon.e. o& the. &on.e.going e.ntities) cn.e.ate.d
by on. punsuant to State, law, on. an Indian tAibe. on. an authoni.ze.d
Indian tnJJoat on.Qanizati.on, having juAibdiction oveA disposal ofi
sewage., industAial wa&teA, on. oth&i waAteA, on. a duignate.d and
appn.ove.d management agnnc.y andan. Section 20% ofa the. Act. Thii>
de.{tinition exc£adei a &pe.ciat diAttiict, &u.ch a& a cahoot dibtsu.ct,
which doeA not have. ai> one. ofi i&> pni-ncipat sieAponAibilitieA the.
tn.£atme,nt, tnan&pont, on. diApo&at o& Liquid
Under earlier legislation, construction grants were available
to municipal water treatment utilities for sludge handling, pretreatment
and/or overall treatment facilities. Under PL 92-500, however, an
eligible project must have as its principal purpose the treatment of
domestic wastes of the entire community or region. The treatment
of water for human consumption is considered an industrial undertaking.
Whether publicly or privately owned, it is in the same category as
any other industrial service, such as power plants, airports, and
mass transportation, and not eligible for a construction grant under
PL 92-500.
Re_: 40 CFR 35.905-14, .920-1, .925-15
Program Guidance Memorandum, PG-36, 6/5/74;
PG-36-A, 9/17/74
III-2
-------
C. PREAPPLICATION CONFERENCE
The regulations encourage preapplication assistance, including
a preapplication conference for each project on the State's priority
list. The importance of the preapplication conference cannot be overly
stressed. A meeting where the applicant, the State and the Region
sit down together to discuss the approaching work has the potential of
setting the stage for a well coordinated work program which is void
of major misunderstandings and time delays.
The preapplication conferences may be with one applicant or a
group of applicants and will generally involve only those applicants
included on the State project priority list.
While the entire three step grant process should be discussed
at the preapplication conference, the primary emphasis should be on
the administrative and technical requirements of a Step 1 project
grant application and the preparation of the facility plan. Applicant
conferences throughout the three step grant processing procedures
are encouraged, with emphasis to be placed on specific aspects of the
program at the appropriate time.
The Regions should develop outlines of points to be covered in
the preapplication conferences which may be tailored to the individual
State's and applicant's needs and capabilities. Several important
matters which should be discussed in the conference are as follows:
Re: 40 CFR 35.920-2
1. Important Dates
October 18, 1972 - Passage of PL 92-500. In those States
in which sewage collection systems are federally funded, the bulk
of the design flow (generally two-thirds) of such collection system
must be attributable to a community in existence as of date of
passage of PL 92-500.
June 30, 1975 - After this date the applicant must not
initiate planning work until a Step 1 project grant has been awarded,
or unless a plan of study has been approved and is accompanied by a
request from the State agency to reserve funds for Step 1 project.
III-3
-------
July 1, 1975 - Costs incurred for project planning prior
to this date may or may not be eligible for grant assistance depending
on the specific date and nature of the work conducted. The regulations
set forth limitations.
Re_: 40 CFR 35.925-13, .925-18
2. Contracts for Personal and Professional Services
The EPA has established rules and regulations concerning
applicant/grantee procurement of architectural and engineering services.
A contract which includes fees based on a percentage of the construction
cost shall not be used since such contracts penalize the engineer
for designing the most economical facility. Multiplier contracts,with
profit as a part of the multiplier, are also prohibited. It is the intent
of the agency that simple, clearcut contracts, which leave no room
for future disagreement, be negotiated. These contracts should be such
that the engineer receives a fair fee with a reasonable profit for his
work, and the municipality receives competent, complete professional
services at a fair cost.
In all A&E contracts, a maximum fee should be fixed. As in
all A&E contracts, should the scope of the project change during the
prosecution of the work, the contract would be open for renegotiation.
The employment of any fee arrangement requires a careful
analysis of the scope of the work to be performed and a detailed estimate
by the engineer of his costs for performing the work. This procedure
should assure a clear understanding of exactly what is to be done,
by whom, and should produce a better end product.
In the actual procurement of A&E services, the procedures
detailed in the regulations must be followed (a copy of the regulations
should be given to the applicant). The regulations require that any
contracts include an "access" clause, allowing the State and EPA access
to project work and records.
On construction grantprojects_in which Farmers Home Administration
provides local share assj_startc<=>_, ^ the_ Farmers Home Administration engineering
services contract format may be used.
Re: 40 CFR 35.935-7, .936, .937, .938, .939, .965 & Appendix c s D
40 CFR 30.605 ' ' ^ ~~~~~
. ™ I8!1
December 1977
-------
3. Administrative Requirements
The administrative requirements to be fulfilled by the applicant
are extensive. All necessary forms, authorizations, timing requirements,
and legal requirements should be discussed. The application form (5700-32)
should be reviewed line by line. In addition, recommended formats for
submittal of technical data should be reviewed. Payment procedures and
policy should be fully explained. Finally, the entire application procedure
for Step 1, 2 and 3 projects should be discussed. Special emphasis should
be placed upon the coordination required between the applicant, the State
and EPA to insure accuracy and timeliness in processing grant applications.
Specific points to be covered include:
(a) that after June 30, 1975, a Step 1 project must be
approved for a grant before any work is started
if the costs of such work are to be eligible for
grant assistance;
Re: 40 CFR 35.925-18
(b) that prior costs, if any, must be claimed in the
initial application for grant assistance;
Re: 40 CFR 35.925-18
(c) that project work may not be accomplished by
force account (municipal or public service
employees) unless the applicant can demonstrate
that:
(i) he possesses the necessary competence to
accomplish the work
(ii) it is more economical to use the force
account method;
Re: 40 CFR 35.935-2(a)
Ppogpgm Requirements Memorandum, PRM 75-15
(PG-34), 5/7/74
(d) the institutional arrangements and agreements between
jurisdictions;
Re_: 40 CFR 35.917-6
(e) payment of non-federal share of project costs;
Re: 40 CFR 35.925-5
Revised: TM 76-1
III-5 August 1976
-------
(f) priority lists;
Re: 40 CFR 35.925-3
(g) the procurement of professional services and contracts;
Re: 40 CFR 35.936, .937, .938, .939,, .965 and Appendices C & D
(h) record keeping;
Re: 40 CFR 30.800, .805
(i) limitations on collection systems;
Re_: 40 CFR 35.925-13
(j) user charges and industrial cost recovery;
Re: 40 CFR 35.925-11, -12
(k) public participation;
Re: 40 CFR 35.915(f), 917-5
(I) oomplianoe with the requirements of the Civil
Rights Aat of 1974, including applicability to
sewage aol'lection systems for minority areas.
Re: 40 CFR 8
Program Requirements Memorandum,, PRM ?5-323
(PG-59), 2/11/76
4. Technical Requirements
All technical aspects of the Step 1, 2 and 3 work should be
reviewed with the applicant with special attention to the requirements
for a plan of study and the preparation of a facility plan. At a minimum,
the following items should be discussed:
(a) the degree of technical detail required in both the
plan of study and the facility plan;
(b) specific problems associated with the project in
question and how they should be addressed in item (a);
(c) cost effectiveness in its broadest sense and the
trade-off between engineering, environmental, monetary
costs, and institutional arrangements;
Re: Guidance for Preparing a Facility Plan .
Revised - May 1975
Revised: TM 78-1
III-6 December 1977
-------
(d) infiltration/inflow analysis, sewer system evaluation
survey;
Re: Guidance for Sewer System Evaluation March 1974
40 CFR 35.927
(e) environmental assessment integration in the facility
plan and possible environmental impact statement
proceedings, with emphasis on secondary impacts;
Re: Guidance for Preparing a Facility Plan
Revised - May 1975
40 CFR 35.917, .925-8
Program Requirements Memorandum^ PPM 75-26
(PG-50), 6/6/75 and PM 75-31 (PG-58), 9/2/75
(f) pretreatment and treatment of incompatible pollutants;
Re_: 40 CFR 35.925-15
(g) BPWTT, including secondary treatment and waste
stabilization ponds;
Re: Alternative Waste Management Techniques for Best
Practicable Waste Treatment 6/75
40 CFR 35.917-1
Program Requirements Memorandum^ PRM 75-3 (PG-16)3
9/11/72
(h) other Federal requirements, such as historical
preservation, archeological investigations, flood
insurance, etc.
Re_: 40 CFR Part 30 Subpart C
Program Requirements Memorandum^ PRM 75-27 (PG-52),
7/2/75 and PRM 75-28 (PG-54), 7/8/75
Revised: TM 76-1
III-7 August 1976
-------
CHAPTER IV
STEP 1 GRANT PROCESSING
A. INTRODUCTION
B. SCHEMATIC FLOW DIAGRAM
C. APPLICATION CONTENTS
D. PLAN OF STUDY REVIEW
E. ADMINISTRATIVE REVIEW
F. GRANT AWARD PROCEDURES
G. FACILITY PLAN (ADMINISTRATIVE REVIEW)
H. FACILITY PLAN REVIEW
-------
A. INTRODUCTION
This chapter described the contents of, and review procedures for,
the processing of a Step 1 project grant application. It begins
with the receipt of the application package and concludes with the
review and approval of the facility plan.
Section B, Schematic Flow Diagram, visually places this chapter
in the proper sequence and indicates its relationship to previous chapters.
Section C, Application Contents, provides a quick ready listing
of the materials which are contained in an application package.
Section D, Plan of Study Review, is given individual attention
because it is the major technical requirement of the application and
includes discussions prepared by the applicant. This section also
includes a discussion of the 303(e) and 208 plans as they relate to
the plan of study. Costs incurred before filing the application are
briefly discussed.
Section E, Administrative Review, describes the procedures involved
in reviewing clearinghouse comments, priority list compliance and
certification, application form, and contracts and subagreements.
Section F, Grant Award Procedures, describes the action required
on the part of EPA in making the grant offer.
Section G, Facility Plan (Administrative Review), describes the
procedures for approaching the undertaking of the facility plan, the
review of clearinghouse comments and State approval.
Section H, Facility Plan Review, describes the review of the
facility plan according to the contents required by regulation and in
the format recommended by the guidance.
The technical and administrative reviews are to be performed
concurrently whenever possible. When items are missing or explanations
are necessary, the review is to proceed as far as possible to insure
quick action once the deficiencies are corrected.
IV-1
-------
B. SCHEMATIC FLOW DIAGRAM
The flow diagram below visually places this chapter in the proper
sequence and indicates its relationship to other chapters. The diagram
includes the general functions of the Step 1 project process 3S performed
by the applicant, State and EPA.
IV-2
-------
C. APPLICATION CONTENTS
Below are listed the basic materials to be included in an application
package. The items are listed here for quick reference, while the
review procedures for each item are described later. Initially, the reviewer
is to make a cursory review of the package to insure that all items
are included, that all applicable portions of the forms are completed
and that the documents are signed by the appropriate officials. If
items are missing or explanations are necessary, the State is to be
informed but the review is to proceed as far as possible to insure quick
action once the corrections are made.
1. Plan of Study
2. Comments of State and/or Regional Clearinghouse
(A-95 process)
3. State Priority Certification, EPA Form 5700-28
4. Application, EPA Form 5700-32, including authorizing
resolution
5. Proposed subagreements (generally engineering contracts)
or explanation of method of awarding proposed subagreements
Re: 40 CFR 35.920-3(a), .925-3
40 CFR 30.315
IV-3
-------
D. REVIEW OF THE PLAN OF STUDY
1. Contents
Purpose:
A plan of study is submitted by the applicant to show
his understanding of the work to be done in preparing a facility
plan. The plan must include the key issues to be addressed, a
time schedule, and itemized costs for the completion of the
specific tasks.
Discussion:
The plan of study is the first element of the grant request
to be submitted by the applicant. It sets out concisely the scope
of the work to be undertaken in preparing a facility plan. It must
be critically reviewed to insure that all statutory requirements are
met and that the project begins on the proper course.
While the plan of study should be brief and generally follow
the format suggested in the Guidance for Preparing a Facility Plan in
terms of subject matter to be included, it should also address unique
features of the project which will require special attention. Such
unique features might include water-short areas, recreational areas,
economically depressed areas, etc.
The plan of study must be reviewed by both the State and EPA
to insure compliance with previously approved wastewater management plans,
interstate agreements or other applicable plans.
The plan of study, once approved and incorporated into the
grant agreement, is to include a time schedule for the completion of
specific tasks, and itemized costs for each of these tasks. This
schedule of tasks and accompanying costs are used to develop a payment
schedule, which in turn is used in preparing projections of cash
disbursements. Once the grant payment schedule has been established,
the grantee may submit requests for payment of work that has been
completed, in accordance with the grant payment schedule. Payments
may not be accelerated beyond those specified on the schedule. (See
Chapter VII Grant Payments).
Review Procedures:
Regulations require that the plan of study contain four
items as follows:
IV-4
-------
(i) the proposed planning area;
(ii) an identification of the entity or
entities that will be conducting the
planning;
(Hi) the nature and scope of the proposed
Step 1 project, including a schedule
for the completion of specific tasks; and
(it)) an itemized description of the estimated
costs for the project.
The boundaries of the proposed planning area, item (i) above,
are to be checked with those designated by the State and approved by
EPA as described in Chapter II. In cases where the State has not
previously designated the boundaries of the facilities planning area,
they will be designated by the Regional Administrator.
Additionally, the Guidance for Preparing a Facility Plan
suggests items which should be included in the plan of study. These
include maps of the planning area with streams, lakes, ponds, etc.,
identified; maps of the existing sewerage systems including treatment
plants; need for project because of State or Federal enforcement orders,
public health hazard or water quality problems; and previously prepared
documents which will be used in developing the facility plan.
In reviewing the plan of study, attention must be focused on
those items which will need to be developed in the facility plan. The
plan should indicate that the statutory requirements described in later
chapters of this Handbook will be satisfied and that the applicant under-
stands them and will be able to proceed in a manner which will satisfy them.
Jfj based on this review, the need for an Environmental Impact
Statement (EIS) is apparent, the Eegional Office may initiate the joint
EIS/'Assessment procedure ("piggybacking") outlined in PRM 75-31 (PG-58).
The use of this procedure can result in considerable savings of time.
The applicant must complete the facility plan in a reasonable
period of time and at a reasonable cost. To test for reasonableness,
the time and cost should be compared with other projects of a similar
nature and scope.
Re: 40 CFR 35.920-3(a), .945
Guidance for Preparing a Facility Plan,
Revised - May 1975, p. 4
Program Requirements Memorandum, PRM 75-3 (PG-58)3
9/2/75
Revised: TNI 76-1
IV-5 August 1976
-------
2. Planning Considerations
Prior to awarding a grant, EPA must determine that the
proposed project is in conformity with applicable basin plans
approved in accordance with Section 303(e) of FWPCA and areawide
waste treatment management plans approved in accordance with Section
208 of FWPCA (see Chapter II). The reviewer must be familiar with
the planning area and be aware of the status of applicable plans.
In cases where a 303(e) basin plan has not been completed,
the plan of study must indicate that the resulting project will comply
with the National Pollution Discharge Elimination System (NPDES)
permit (see Appendix B) if one has been issued.
In cases where a 208 areawide waste treatment management plan
has been completed and approved, the applicant must be the agency
designated in the plan and the project must be in conformity with
that plan. Where 208 planning has been initiated, the 208 agency must
be afforded the opportunity to review and comment upon the proposed
plan of study. Where a 208 area has not been designated, no further
action is required.
Re: 40 CFR 35.925-2, .925-19
Guidance for Preparing a Facility Plan,
Revised - May 1975, pp. 1-4
3. Prior Costs
The application form requires the applicant to provide
a breakdown of the costs for preparing a facility plan. The plan
of study also requires a breakdown of these costs by specific task.
These costs are to be reviewed to insure that they are allowable
costs as defined in Chapter VII. This section is concerned only with
the timing of when these costs were incurred.
If the costs to prepare the facility plan will be incurred
after the grant award, no special review procedures are required.
Costs for the preparation of the application, plan of study
and other supporting documents are not allowable for EPA grant
assistance.
IV-6
-------
If the applicant has incurred costs prior to the award of
a grant, and requests EPA grant assistance in these costs, certain
dates are of significance:
June 30,1975 - Costs incurred for work initiated after^
this date for Step 1 and Step 2 projects are eligible for
EPA grant assistance only when a grant award has been made
or where the State has requested that funds be reserved
(a plan of study must have been approved).
October 31, 1974 - Costs incurred for work initiated after
this date for Step 1 and Step 2 projects are eligible for
EPA grant assistance provided a plan of study was approved
by EPA.
November 1, 1974 - Costs incurred before this date for
Step 1 and Step 2 projects are eligible for EPA grant
assistance.
In all cases, the applicant must request grant assistance
for prior costs in his first application.
Where prior costs are incurred, the applicant must submit
a breakdown of these costs,identifying the dates the costs were
incurred and the nature of the work which was performed.
Re: 40 CFR 35.925-18, .917(e), .945
IV-7
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E. ADMINISTRATIVE REVIEW
1. Clearinghouse Comments
Purpose:
Applicants for construction grants for wastewater treatment
facilities are required to comply with the Office of Management and
Budget (OMB) Project Notification and Review System (Circular A-95).
This procedure is established to provide for the early contact between
applicants and governmental agencies, and to insure coordination between
related projects.
Discussion:
Prior to submission of a Step 1 project application, the
applicant is required to obtain the comments of the State and/or regional
clearinghouses in accordance with OMB Circular A-95. A copy of the
clearinghouse(s) comments is to be included with the application package.
The clearinghouse comments will indicate the degree of interest
of other governmental agencies in the project. If these comments are
adverse, the applicant is to submit a statement explaining how the
comments were considered. If a clearinghouse recommends that the ap-
plication be rejected but EPA approves it, the clearinghouse must be
notified and given an explanation of the reasons for approval.
Review Procedures:
The reviewer must make particular note of any adverse
clearinghouse comments. These comments may require further explanation
from the applicant, State or clearinghouse. More serious adverse comments
may dictate that the application be returned to the State agency.
The reviewer must determine if the comments warrant a special
condition in the grant agreement (see section F below).
Re_: 40 CFR 35.920-3(a)(3)
40 CFR 30.305
OMB Circular A-95, 38 FR 32874, 11/28/73
IV-8
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2. Priority List Compliance and Certification
Purpose:
The State agency is required to certify each project as
entitled to priority for grant funds in accordance with the State
priority system and the project priority list.
Discussion:
Chapter II discusses the State priority system and list.
Once the system and annual list have been approved by EPA, each
project is certified by the State as being entitled to priority
for a grant over all other projects below it on the priority list
(EPA Form 5700-28, see Appendix B).
A State may elect to set aside up to ten percent of its
yearly allotment to fund Step 1 and Step 2 projects not on the
current priority list. When such projects are certified, the
certification must signify that the grant is to be made from that
reserve allotment.
Only projects which have been certified by the State as
entitled to priority for Federal assistance may receive a grant.
Review Procedures:
Review State Priority Certification to determine that:
a. the name, project number and description of
the project agree with the application, form
5700-32, and the approved State priority list;
b. the form includes the signature of the
authorized State official;
c. the award of grant assistance for the project
will not exceed the State's allotment, includ-
ing reallotments;
d. the award of grant assistance will not
jeopardize the funding of any projects of higher
priority;
IV-9
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e. the State has included a statement to the effect
that all jurisdictions within the facility planning
area have been notified of their inclusion in such
planning.
Re_: 40 CFR 35.915, .917-2, .920-2, .925-3, .925-4
Program Guidance Memorandum, PG-33, 5/10/74;
PG-35, 6/3/75;
PG-46, 1/17/75
3. Application Form
Purpose
EPA Form 5700-32 is the formal application document and sets
forth the information necessary to qualify for a construction grant.
Additionally, the application contains "assurances" from the applicant
which are necessary to satisfy statutory requirements.
Discussion:
The designation of a facility planning area is a State
responsibility and should lncJtu.de, that OJULO. de.me.d ne.c.ut>asiy to
ptie.paA.e. an e.nvt>uAe. that the. mo&t
c.oAt-e.&&e.ctive. me.am> o& ac.kle.vi.ng the, eAtabLL&he.d wateA quality
QoaLt, can be. planned fan and jjnpteme.nte.d. The applicant for the
designated area may be a joint authority representing the multiple
jurisdictions, one or more of the eligible jurisdictions or one lead
agency representing all jurisdictions. In all cases, the applicant
must have the legal authority to plan, design, finance, construct,
operate and maintain any resulting wastewater treatment facilities.
The application form is used for an initial grant request,
amendments, or supplemental grants. The form (see Appendix B)
contains instructions for completion of each of the five parts.
Part II, Section B requires information on the project site to be
submitted with the application. Since a facility plan resulting from
the award of a Step 1 project grant will conclude which is the most
cost effective and environmentally sound project site, the information
contained in this section is not necessary for a Step 1 project grant
award.
IV-10
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Part III, Section D concerns the applicant's proposed
method of financing the non-federal share of the project. The
applicant may not use revenue sharing funds obtained under the
State and Local Fiscal Assistance Act of 1972 to finance his portion
of the eligible project costs. However, such items as cost overruns
(not otherwise funded by EPA), cost of sewage collection systems,
or land acquisition costs, for example, which are found by the State
or EPA rot to be allowable for participation in the grant program,
may be funded with revenue sharing funds.
The statutes require that the applicant comply with related
laws and regulations and give other assurances. These requirements
are satisfied for a Step 1 project grant when the applicant signs
the application and thereby assures and certifies that he will comply
with the requirements.
The applicant must attach to his application a copy of the
resolution authorizing the person to act as the official representative
of the applicant (Part V, item 1). Any subsequent changes in the
authorized official must also be substantiated by a copy of the
resolution authorizing the change.
Review Procedures:
Review application form and determine that:
a. the name, project number and description of the project
and amount of grant request agree with the State
Priority Certification,Form 5700-32,and the approved
State Priority List;
b. the form is signed by the authorized representative and
and a copy of the authorizing resolution is attached;
c. information regarding project location, entities
involved and cost data corresponds to that in the plan
of study;
d. all items in the application are complete or marked not
applicable (NA);
e. Part V, assurances, is part of application. If not, a
properly signed form must be obtained.
IV-11
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NOTE: Particular emphasis is to be placed upon review
of Part III, Section D, Proposed Method of Financing
Non-Federal Share, to insure that applicant can
successfully fund his share of the pro.iect costs.
Re_: 40 CFR 30.315
40 CFR 35.917-2, .917-3
P.L. 94-488
8T CFR Pa'rf 51, Department of Treasury
4. Contracts and Subagreements
Purpose:
Contracts or subagreements for personal or professional
services are submitted by the applicant and reviewed by both the State
and EPA to insure that the scope and nature of the proposed services
are sufficient to result in an approvable facility plan and that the
fees and schedules are reasonable.
Discussion:
The personal and professional services covered by the
subagreements at the time of Step 1 application submission are generally
the consulting engineering services, although separate agreements may
also exist for environmental consultants, financial consultants, etc.
The regulations state that the application shall include proposed sub-
agreements OP an explanation of the -Intended method of awarding sub-
agreements for performance of any substantial portion of the project
work.
Also, the regulations require that any such subagreements
or lower tier subagreements include an "access" clause allowing the
State or EPA access, at reasonable times and places, to the work or
records. The "access" clause is applicable to subagreements or lower
tier subagreements in excess of $10,000.
The detailed requirements of and procedures for procuring
personal or professional services appear in 40 CFR 35.936, .937. .9>M, _-939
.9f5 Appendices c & D. Subagreements in which the fee is a percentage 6T~
cdhstruct^on costs are not acceptable, nor are cost multiplier contracts
where profit is included in the multiplier.
Revi sed .- TM 78-l_
IV- 12
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Review Procedures:
Review the agreement(s) and determine that:
a. the grantee has complied with 40 CFR 35.936
and .937;
b. the scope of work is sufficient to prepare an
approvable facility plan;
c. completion schedules are reasonable and in
agreement with the plan of study.
Re: 40 CFR 35.920-3(a)(2), .935-7, .936, .937
40 CFR 30.605
Program Guidance Memorandum, PG-53, 7/8/75
IV-13
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F. GRANT AWARD PROCEDURES
The administrative procedures required in awarding a grant are
summarized below. A detailed line-by-line explanation of the adminis-
trative steps necessary in preparing EPA forms and notifications is
described in the Grants Administration Manual prepared by the Grants
Administration Division, Office of Planning and Management, EPA.
Item 1 below describes the actions for which the regional office
may establish procedures. Item 2 through 5 describe uniform actions
prescribed by Headquarters.
1. Regi onali zed Procedures
a. Notification to financial management branch;
b. Preparation of transmittal letters to the
applicant and State agency (include instruc-
tions for predesign conference, as appropriate);
c. Other regional procedures which have been
worked out with the States, interstate agencies,
etc.
2. Notification of Grant Award Action
The Notification of Grant Award Action, EPA Form 5700-1B,
(see Appendix B) is completed and transmitted to Grants Information
Branch, Headquarters, by Communicating Magnetic Card Selectric
Typewriter on the date of award or no later than the following working
day.
The Grant Information Branch immediately forwards a copy of
the 5700-1B to the Office of Legislation which notifies appropriate
congressional offices.
EPA Form 5700-1D is used in the case of a decrease,
declination, or withdrawal of a grant.
IV-14
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3. Grants Information and Control System (GIGS)
The Grants Information and Control System (GIGS) is a
computer based management system in which information concerning the
construction grants program is stored. This information is used for
analyzing the grant program, manpower requirements, answering
congressional inquiries and other purposes. The information must be
current and available for quick retrieval.
Information concerning the award of each construction
grant is entered into the system using prescribed coding sheets
(see Appendix B).
Re: Grants Information and Control System, GICS,
WWT Construction Grants Information Data Base,
Operators' Manual, 2nd Printing 2/22/74
4. Clearinghouse Notification
Purpose:
Notification of clearinghouse is made in order that
the clearinghouse may inform interested agencies or other entities
of the award of a grant in accordance with Treasury Department
Circular No. 1082.
Procedures:
The notification, Standard Form 424 (see Appendix B),
is completed by the regional office and copies are mailed to the
State, regional and local clearinghouse
Re: U.S. Treasury Department Circular No. 1082 2/17/76
Revised: TM 78-1
IV-15
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5. Grant Agreement/Amendment
Purpose:
The Grant Agreement/Amendment (EPA Form 5700-20) serves as
a formal document of agreement between the U.S. Government and the
grantee, and constitutes a legally binding contract once executed.
Procedures:
EPA Form 5700-20 (see Appendix B) is completed by the
Regional Office based upon the information submitted in the application
package. The agreement must define the scope of the project.
Modifications to grant amounts, scope of work or other items are made
on the basis of the review process,and special conditions of the grant
are included in Part III b. These special conditions may be based
upon clearinghouse comments, requests from the State agency or
conditions unique to the project.
In order to better forecast future funding requirements,
each applicant for a grant is required to submit cost estimates in the
format shown in the form,Summary of Costs of Planned Treatment Works
Scheduled by Project and Category (see Appendix B).This requirement
Ts to be incorporated as a special condition in the grant agreement/
amendment.
The grant agreement/amendment is not sent to the applicant
until five working days after the signing by the Regional Administrator
to allow for necessary Congressional notification. The applicant is given
three weeks to accept the grant offer and to return the signed grant
agreement/amendment to EPA.
The individual signing the grant agreement/amendment on
behalf of the applicant should be the same individual who signed the
application. Differences must be explained and a new authorizing
resolution submitted (see Application Form item E.3 of this chapter)
if such occur.
IV-16
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G. PREPARATION OF THE FACILITY PLAN
Purpose and Discussion:
Program responsibility for the progress of a project does
not end with the grant offer. The reviewer must be continually aware
9f the status pf the project to insure that the facility plan
is completed in accordance with special requirements and the approved
schedule submitted with the plan of study.
The reviewer should work closely with the grantee in
preparation of the facility plan and should review portions of the
plan as they are developed. This will insure that all regulatory
requirements are satisfied and that additional information and
necessary changes are incorporated into the plan in the most
expeditious manner.
The detail of facilities planning will vary depending on
the complexity and scope of the project and shall be conducted only
to the extent that the Regional Administrator determines to be
necessary to -insure that facilities for which grants are awarded
will be cost effective and environmentally sound This allows
the reviewer to exercise flexibility in advising the grantee as to
plan requirements.
Procedures:
Shortly after award of a Step 1 grant, the reviewer should:
1. contact the grantee and his consultant and make
known the kinds of advice and assistance available
from the State and EPA during the preparation of
the facilities plan;
2. advise the grantee as to progress reports which
must be submitted, depending on the size and
complexity of the project;
3. advise the grantee (normally on large complex
projects) that periodic inspections or audits will
be made by either the State or EPA;
NOTE: During preparation of the plan, conduct inspections and reviews as
necessary.
Re: 40 CFR 35.917-3(d), .917-4(b)
IV-17
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H. ADMINISTRATIVE REVIEW (FACILITY PLAN)
1. Clearinghouse Comments
Purpose:
The grantee must submit the completed facility plan to
the appropriate clearinghouse to allow for review and comment by
interested agencies in accordance with the procedures of the Project
Notification and Review System (OMB Circular A-95).
Discussion:
Before submitting the completed facility plan to the
State agency, the grantee is required to obtain comments from the
appropriate State and Regional clearinghouses. The clearinghouses are
to review the plan, circulate it to interested agencies, and return
their comments to the grantee within 30 days. If the comments are
adverse, the grantee must submit, with the completed plan, a statement
explaining how the comments were considered.
If, as a result of the facility plan review by the
State or EPA, the proposed project is modified, in accordance with
A-95 procedures, it may be necessary to obtain clearinghouse comments
on the facility plan again.
Review Procedures:
The reviewer must consider all adverse clearinghouse
comments. The comments may require further explanation from the
applicant, State or clearinghouse. If the reviewer finds that any
adverse comments are justified, the completed facility plan must be
returned to the State agency.
Re_: 40 CFR 30.305
40 CFR 35.917-1(f)
OMB Circular A-95, 38 FR 32874, 11/28/73
Guidance for Preparing A Facility Plan, Revised -
May 1975, p. 30
IV-18
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2. State Review and Certification
Purpose:
The State agency is responsible for the review and
coordination of .each facility plan and must provide certification to
EPA that these responsibilities have been met.
Discussion:
After obtaining clearinghouse comments, the grantee
must submit the completed facility plan and the clearinghouse comments
to the State agency for review. The State is to insure that the
facility plan is in compliance with plans developed under the State's
Continuing Planning Process. Any problems between the State and
grantee should be resolved prior to review by EPA. A formal facility
plan review and approval by EPA is not to be conducted without State
certification.
Review Procedures:
The State is to certify that the completed facility plan:
a. conforms with the regulatory requirements
for a facility plan;
b. conforms with any completed basin plan
(303(e));
c. has been submitted to any concerned 208
planning agency for comment;
d. conforms with any approved waste treatment
management plan (208(b)).
Re: 40 CFR 35.917-7
Guidance for Preparing A Facility Plan, Revised -
May 1975, p. 30
IV-19
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I. FACILITY PLAN REVIEW
Introduction:
For convenience, the regulatory requirements of a facility plan
are summarized below using the lettering system from 40 CFR 35.917-1.
The plan must encompass the following:
(a) a description of the treatment works for which plans
and specifications will be prepared including:
- engineering data
- cost estimates
- schedules for completion of design and
construction;
(b) a description of the complete treatment system of
which (a) is a part;
(c) infiltration/inflow documentation;
(d) a cost-effectiveness analysis of (a), (b), and alterna-
tives including evaluation of:
(1) the relationship of capacity to needs and reserve
(2) flow and waste reduction measures
(3) optimum performance of existing system
[4) ability to meet effluent limitations
(5) application of best practicable waste treatment
technology
(6) ultimate disposal of effluent and sludge
(7) the environmental impacts as contained in an
adequate assessment;
(e) effluent limitations or NPDES permit;
(f) clearinghouse comments;
Cg) a summary of public hearings;
(h) a statement that grantee has resources to construct,
operate and maintain the treatment works;
(i) a statement of compliance with Civil Rights Act of 1964.
IV-20
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Item (d)(7) above is further defined in 40 CFR 6.512 and requires
that an adequate environmental assessment must be an -integral, though
identifiable, part of any facilities... .plan submitted to EPA3 and
include:
(1) a description of the existing environment without
the project;
(2) a description of the future environment without
the project;
(3) documentation;
(4) an evaluation of alternatives;
(5) the environmental impact of the proposed action;
(6) the steps necessary to minimize adverse effect.
These requirements overlap in many areas and may not always be
understood by the applicant or his consultants. To assist the grantee
in understanding and satisfying these requirements, EPA prepared a
publication entitled, "Guidance for Facilities Planning", dated
January 1974. This publication was later revised in May 1975 and
entitled, "Guidance for Preparing A Facility Plan". The revision is an
abbreviated version of the earlier guidance and reflects program
experiences and provides more flexibility. The guidance, however, is
....for advisory information only. A grantee may select his own
method or format for preparing a facility plan as long as he meets the
regulatory requirements above. The grantee does not have to follow
the suggested format in the guidance.
The "Guidance for Preparing A Facility Plan" (GPFP), revised
May 1975, contains a suggested format or outline for the plan on pages
28 and 29. The same format is used in the publication "Model Facility
Plan for a Small Community." The review procedures in this handbook
are based on a facility plan prepared in the suggested format. Some of
the suggested chapters or subparts are self-explanatory and do not
require explanations. Others are more complex and Purpose, Discussion
and Review Procedures are provided. The references at the end
of each part refer to the regulations, program guidance memoranda, or
pages in the guidance which apply to the matters covered therein.
Re: 40 CFR 35.917-1
~~ 40 CFR 6.512
IV-21
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1. Summary, Conclusions and Recommendations
(Self-explanatory)
2. Introduction
2.1 Study Purpose and Scope
(Note: The proposed project may include only sewage
collection systems, trunk or intercepting sewers, or treatment plant
expansions or additions. The review procedure which follows assumes
a complete treatment system including all of the above. For projects
of lesser scope, some items will not be applicable and can be omitted.)
2.2 Planning Area (Map)
(Self-explanatory)
3. Effluent Limitations
Purpose:
The limitations placed upon the effluent from the proposed
treatment works establishes quantitative parameters which must be
achieved in order to meet water quality standards.
Discussion:
The facility plan is prepared and the treatment works are
constructed to meet the effluent limitations for the segment of
receiving waters into which the effluent will be discharged. These
limitations, as a minimum, require secondary treatment (as defined in
the regulations) except for storm water discharges from combined systems,
Combined (storm and sanitary sewage) sewer systems present a special
case and may require mathematical modeling or a monitoring program for
the receiving waters in order to establish effluent limitations (refer
to infiltration/inflow analysis report for discussion of combined sewer
systems).
IV-22
-------
Secondary treatment for sanitary sewage discharges is the
minimum acceptable level of treatment for those segments of the
receiving waters which the State has classified as effluent limited,
but the State may require higher levels of treatment in order to
achieve water quality standards. The State (or EPA) requirements may
involve nutrient removals (nitrates and phosphates), higher BOD and
suspended solids removal, reoxygenation of the effluent, etc. The
segments of receiving waters, in which these higher levels of treat-
ment are required, are water quality limited segments (see Chapter
II A.3).
The facility plan must evaluate alternative solutions to
the water pollution problem, and the effluent limitations may vary
from one alternative to the other. The effluent limitations for
existing discharges are contained in the discharge permit issued
under the National Pollutant Discharge Elimination System (NPDES).
For completely new systems, the State will establish the effluent
limitations based on approved plan and water quality standards.
In preparing the facility plan,.the grantee is required
to evaluate the following waste treatment management techniques:
( i) Biological or physical-chemical treatment
and discharge to receiving waters;
( ii) Treatment and reuse; and
(iii) Land application techniques.
In all cases, it is the State's responsibility to establish
the effluent limitations for all alternatives and to furnish them to
the grantee.
Review Procedures:
The reviewer must establish that the correct set of effluent
limitations has been used by comparing the stated limitations with:
a. the discharge permit in the case of existing
discharges;
b. limitations established in 303(e) basin plan;
c. the reuse or groundwater recharge requirements
if this alternative has been selected.
Errors, inconsistencies, or other irregularities are to be
corrected with the State agency.
IV-23
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Re: 40 CFR Part 133
40 CFR 35.917, .925-2, .925-7
GPFP pp. 1, 2, 5
4. Current Situation
4.1 Conditions in the Planning Area
Purpose and Discussion:
The existing conditions in the project area are described
in order to form a basis of comparison between alternatives. If the
topics listed below are described in detail, they will provide a clear
distinction between the "before" and "after" conditions. The "after"
conditions are described in later chapters.
Sources of information should be cited or referenced.
Review Procedures:
Suggested topics which describe the existing conditions
may include:
a. A description of the planning area - planning
area boundaries, political jurisdictions, and
physical characteristics (climate, geology,
soils, topography, hydrology, etc.);
b. Organizational context - the role and relation-
ship between all existing organizations involved
in planning, financing, and operating publicly
owned treatment works;
c. Demographic data - the most current population
estimates and the latest decennial census;
population growth patterns and densities;
minovity areas not presently sewered; number
and types of major industries and other employ-
ment generating entities; existing land-use
patterns and controls including comprehensive
planning and zoning regulations;
d. Water quality - identify quality and quantity
of existing surface and groundwaters;
Revised: TM 76-1
IV-24 August 1976
-------
e. Other existing environmental conditions - this section
is an environmental inventory and may include, to the
extent appropriate, descriptions of air quality, noise
levels, energy production and consumption, wetlands,
flood plains, coastal zones, wild and scenic rivers
and other environmentally sensitive areas, historic,
architectural and archaeological sites, plant and
animal communities which may be effected, especially
those on the threatened or endangered species list,
and related Federal or State projects in the area.
The reviewer is to take special note of the items underlined in e.
above and included in the inventory since the impact of the proposed project
on these items may require the grantee or EPA to follow special review
procedures (see section 10). Also, the reviewer should note major industrial
contributors to insure that they provide pretreatment, as necessary, in the
proposed project.
Re: 40 CFR 6.512(a)(l)
GPFP pp. 5, 6
PRM 75-52 (PG-59), 2/11/76
4.2 Existing Wastewater Flows and Treatment Systems
Purpose and Discussion:
The inventory of existing wastewater treatment facilities
furnishes information as to the extent of the existing systems, their
interrelationships, and the base line flow information by which future flows
will be determined. The data may indicate conditions which limit the number
of feasible alternatives and give an indication of the severity of the
pollution problems. Later sections address the performance of existing
systems and methods of achieving optimum performance.
Review Procedures:
The inventory should, to the extent appropriate:
a. show the location of all treatment plants, sludge
management areas and facilities, pretreatment plants,
pumping stations and collection systems;
b. describe the facilities identified in a., including
design capacity, existing flows and characteristics
of wastes, overloaded conditions, if any. NOTE: In
those oases where interceptor or collect-ion projects
are involved, attention must be given to existing
plant capacity to insure that the project will not
result in overload conditions.
c. show the location of, and describe, major industrial
discharges;
Revised: TM 77-1
December 1976
IV-25
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d. include a discussion and analysis of average,
peak, dry, and wet-weather flows (also discussed
in I/I analysis);
e. show the locations of all bypasses and overflows;
f. describe the extent of any combined sewer
system;
g. describe any flow reduction program.
Re: GPFP p. 6
4.3 Infiltration and Inflow
Infiltration/Inflow Analysis
Purpose:
The infiltration/inflow analysis is conducted to
identify the existence, or possible existence, of excessive infiltration/
inflow within each sewer system emptying into the proposed treatment
facilities when the State has inadequate information upon which to base
a certification of such conditions.
Discussion:
As a part of the facility plan, a sewer system evaluation
is begun,consisting of:
an infiltration/inflow analysis conducted in
accordance with the "Guidance for Sewer System
Evaluation".
The purpose of the sewer system evaluation is to identify
infiltration and inflow which may be economically removed from the system.
The results of the sewer system evaluation are used in sizing the proposed
project.
Program experience gained during the initial years
indicates the following procedures can be used to accelerate infiltration/inflow
analysis:
a. Only the minimum information needed by the
Regional Administrator upon which to base a
decision need be submitted with the I/I
analysis. Conclusions reached must be
supported by flow data. Where need for a
sewer system evaluation survey is indicated,
preliminary cost estimates should be included.
The analysis must be approved by the State.
IV-26
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b. For purposes of screening projects and
focusing review effort, it has been found
that where the maximum extraneous flow
observed annually from both infiltration
and inflow from foundation drainage is less
than 1,000 gallons per day per inch of pipe
diameter per mile of sewer, such flow is
generally nonexcessive.
c. Where possible excessive I/I is identified,
the applicant is to be encouraged to use the
exception clause in the regulations (see
40 CFR 35.927-5(c)). This clause allows the
grantee to complete the facility plan and
conduct the sewer system evaluation survey
concurrently with project design. To
accomplish this, the grantee needs to estimate
the nonexcessive flows or demonstrate that
the proposed treatment works will be a part
of the rehabilitated sewer system.
The prudent application of these policies will allow the
grantee to conduct the sewer system evaluation survey, if required,
concurrently with the treatment works design. However, the grantee
may conduct or EPA may require the sewer system evaluation survey as
an extension of the facility plan. Such work may be funded by
increasing the Step 1 grant.
The I/I analysis may be submitted by the grantee to EPA
through the State agency at any time prior to the submission of a
completed facility plan.
In lieu of an I/I analysis, the State agency may certify
that excessive I/I does or does not exist. In cases where this procedure
has been established and is still in effect, the grantee need not submit
an I/I analysis.
Review Procedures:
If the State agency has submitted certification for
excessive or nonexcessive I/I, determine that:
a. the State agency continues to have approval
of the Regional Administrator to make such
certification;
IV-27
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b. the certification form is signed by the
authorized State official and contains
language as shown in the sample certification
(see Appendix B).
If the grantee submits an I/I analysis, determine
that:
a. the analysis contains a conclusion as to
the quantity of excessive I/I or that
excessive I/I does not exist;
b. the data analyzed is sufficient to support
the conclusions in a.;
c. the cost estimates and schedules for a sewer
system evaluation survey have been included
as appropriate (these estimates are not
necessary for the award of a Step 2 grant
but must be approved prior to initiation of
the survey.
Re_: 40 CFR 35.927
Program Guidance Memorandum, PG-24, 2/7/74
»
Guidance for Sewer System Evaluation, March 1974
Sewer System Evaluation Survey
Purpose:
The sewer system evaluation survey is conducted to quantify
and locate sources of infiltration/inflow and to determine those which can
be cost-effectively eliminated.
Discussion:
The evaluation survey must be performed by the grantee
in all cases where excessive I/I has been identified. It may be performed
either under a Step 1 or Step 2 grant. These options are discussed in the
Infiltration/Inflow Analysis section.
The survey is performed to determine location, estimated flow
rate, method of rehabilitation and cost of rehabilitation versus cost of
transportation and treatment for each defined source of infiltration/inflow.
The guidance recommends a five phase survey, to insure a systematic and
efficient investigation, composed of:
IV-28
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1. A Physical Survey
2. Rainfall Simulation
3. Preparatory Cleaning
4. Internal Inspection
5. A Survey Report
In some cases, however, the survey may be abbreviated by
combining or eliminating one or more of these phases. For example, the
use of T. V. inspection equipment accompanied by preparatory 'cleaning
may be considered overly expensive in a survey to identify sources of
inflow when the quantity of infiltration is not excessive. Conversely,
the use of rainfall simulation would not be justifiable where there was
no inflow. The omission of any phase other than the required survey
report should be carefully reviewed and adequately justified by the
grantee.
Review Procedures:
Review the sewer system evaluation survey report to
determine that:
a. the survey report presents the results of
each phase and supports the conclusions
concerning sources of I/I;
b. a cost-effective analysis is presented for
sources of infiltration/inflow based on a
comparison of cost of transportation and
treatment versus cost of rehabilitation;
c. the survey report identifies by location and
method of rehabilitation sources of infiltra-
tion/inflow which can be cost-effectively
eliminated;
d. the net savings to be realized through
rehabilitation are identified both in terms
of capacity and total cost;
e. the quantitites of allowable infiltration and
inflow are identified (those which will not be
rehabilitated) and included in the design
capacity of the proposed treatment facilities
(coordinate with review of design);
IV-29
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f. where the evaluation survey is extensive, the
work carried out is not a part of the grantee's
normal operation and maintenance responsibilities
(costs for preparatory cleaning and internal T. V.
inspection must be adequately documented and
justified by the grantee);
g. the appendices contain additional documentation
of the results, including raw data, illustrations,
inspection forms, photographs and other information,
where appropriate.
Re: 40 CFR 35.927
Program Guidance Memorandum, PG-24, 2/7/74;
Guidance for Sewer System Evaluation, March 1974
4.4 Performance of Existing Systems
Purpose:
Each major component of the existing system is to be
evaluated to determine if it can be used in the new project.
Discussion:
Many existing sewage treatment facilities are not
operated at their optimum efficiency. The reasons for poor performance
are numerous, but it has been found that generally it is more cost-
effective and environmentally sound to bring existing facilities up to
optimum performance rather than to abandon them. Even if optimum
performance of existing facilities cannot achieve effluent limitations,
additional facilities necessary to do so should be less costly.
Operating problems affecting performance should be described in this
section.
In reviewing the grantee's evaluation of the existing
system, the reviewer may wish to compare the evaluation with the operation
and maintenance reports (EPA Form 7500) for the project.
Review Procedures:
Items which might be considered in evaluating the
performance of existing systems include:
a. the adequacy of the treatment plant design
for the type and amount of flow being treated
(compare with NPDES permit);
b. the adequacy of the operation and maintenance
program (compare with EPA Form 7500);
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c. the effects of infiltration/inflow;
d. the effects of industrial discharges.
Re: 40 CFR 917-1(d) (3)
GPFP p. 7
5. Future Situation
5.1 Land Use
Purpose:
The ability of the land to support various uses is analyzed
to aid in determining future wastewater flows.
Discussion:
The planning period for wastewater treatment facilities
should be 20 years. Construction of the treatment plant may be phased
over this period with the initial capacity less than the 20 year flows.
Intercepting and trunk sewers may be designed for longer periods.
The projected land uses may be a limiting factor in
determining the size, phasing, and location of the proposed facilities.
Undevelopable lands, such as steep slopes, highway rights-of-way, power
line easements, water bodies, environmentally sensitive areas, parks, etc.,
are not to be included when estimating future flows based upon the land
uses. The land uses considered by the grantee in his study must not
contravene State or local land use plans.
In the absence of future land use plans, the grantee should
consult with agencies responsible for planning in the area.
Review Procedures:
Points which might be covered in the land use analysis
include:
a. present land uses to determine patterns of
development;
b. development patterns and zoning ordinances to
see that they are in basic agreement;
c. future land use plans which have been adopted
and are being implemented through the use and
enforcement of zoning ordinances;
IV-31
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d. use of undevelopable lands in estimating future
f1ows;
e. consultations with responsible planning agencies
in projecting land use where future land use plans
are lacking.
Re: 40 CFR 6.304(c)
GPFP pp. 7, 8
5.2 Demographic and Economic Projections
Purpose and Discussion:
Increases in future waste loads and flows result from
population increases and industrial growth. Some parts of the U. S. are
included in standard metropolitan statistical areas (SMSA's). Population
projections for these areas have been prepared by the Bureau of Economic
Analysis, Dept. of Commerce, and should be used. Also, if the planning
area includes industrial development boards or other agencies concerned
with the economic development of the area, these agencies should be
consulted for assistance in estimating future industrial needs.
Review Procedures:
Review future projections to determine that:
a. Bureau of Economic Analysis projections of
population have been used for SMSA's;
b. any departures from such projections are justified
and documented;
c. non SMSA's population forecasts are based on
extension of past trends supported by economic
forecasts;
d. industrial growth trends are based on valid
economic projections;
e. future growth trends have considered the
limitations imposed by land use, air or water
quality restrictions, development controls, or
other constraints.
Re_: 40 CFR 6.304(a)
GPFP p. 8
IV-32
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5.3 Forecasts of Flow and Waste Load
Purpose and Discussion:
The forecasting of future flows and waste!oads in the
planning area ties in several topics which have been considered earlier
in the facility plan. The future flows and loads will be directly related
to the future population and industrial activity (i.e., industries likely
to use municipal plants), subject to the limitations of land use, air
quality maintenance plans or other limiting constraints and the quantities
of nonexcessive infiltration/inflow. The future flows and loads are added
to the existing wastewater flows (section 4.2).
Review Procedures:
The reviewer should focus on the methods used in estimating
future wasteloads and flows to insure that the following considerations
have been incorporated where appropriate:
a. projections of economic and population growth;
b. estimates of nonexcessive infiltration/inflow;
c. analysis of pollutant content (characteristics)
and flows in the existing system;
d. analysis of combined sewer overflows;
e. industrial waste flows and loads, considering
possible reductions due to imposition of user
charges, industrial cost recovery, or pretreatment
costs;
f. projections of possible reductions in flow resulting
from measures to reduce water use and waste production
(installation of water meters or ban on garbage
grinders, for example);
g. limitations upon flows due to land use, air quality
maintenance plans or other constraints.
Re: 40 CFR 35.917, .927, .935-13
40 CFR Part 128
GPFP pp. 8, 9
IV-33
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5.4 Future Environment of the Planning Area
Without the Project
Purpose and Discussion:
The statutes require that "no action" be considered as an
alternative to any proposed project. In order to evaluate and compare
"no action" or "do nothing", the future environment without the project
must be visualized. The items used in this process should be the same as
those used in Section 4.1 to the extent that they include changes to the
environment.
Re_: 40 CFR 6.512(a) (2)
GPFP p. 9
6. Alternatives
6.1 Optimum Operation of Existing Facilities
Purpose:
The alternative of optimum operation of the existing facilities
is investigated as a first step in the search for a cost-effective solution
to the water quality problem.
Discussion:
An investigation of existing facilities may reveal that they
can be operated more efficiently with the addition of new equipment,
operational changes or the addition and training of operating personnel,
or that the facilities have been operating at their optimum efficiency.
Whatever the results of the investigation, the optimum operation of the
existing facilities will determine what additions, expansions or replace-
ments must be made and the extent to which existing facilities can be
converted and/or used in the new system. Any improvements expected as a
result of future pretreatment by industrial contributors or removal of
excessive infiltration/inflow should be evaluated and discussed.
Review Procedures:
In considering the alternative of optimum performance of the
existing facilities, one or more of the following items may be appropriate:
a. the maximum performance levels possible with the
existing process design;
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b. the age and reliability of existing equipment
and its remaining useful life;
c. the qualification and number of additional
operating personnel needed;
d. the additional operating controls and laboratory
facilities needed;
e. the process modifications possible (e.g., convert
conventional activated sludge to contact
stabilization; add aeration to stabilization ponds);
f. the impact of requiring industrial pretreatment;
g. the impact of removing excessive infiltration/
inflow.
Re: 40 CFR 35.917-1(d)(3)
GPFP pp. 9, 10
6.2 Regional Solutions
Purpose and Discussion:
The possibility of a regional solution to wastewater
treatment problems should be explored early in the planning process to
reduce the number of options to a more manageable level. If the question
has been resolved by previous studies (e.g., 208 areawide waste treatment
management plans), the result may be incorporated into the facility plan
by reference. If not, the grantee must consider various alternatives,
such as, interconnection of facilities, construction of one or more
larger facilities in lieu of a greater number of small facilities, joint
management, etc. This process should resolve the question as to the
feasibility of regionalization as a viable alternative.
Re: GPFP pp. 9, 10
6.3 Waste Treatment Systems
Purpose:
For each service area identified under the regional solution
analysis, the "no action" alternative and other waste treatment manage-
ment techniques must be investigated to determine which systems are most
feasible and which may be eliminated from further consideration.
IV-35
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Discussion:
The combinations of alternative waste treatment systems
could be astronomical and, therefore, a process must be developed which
eliminates those which are not feasible and identifies those which should
be investigated further. The statutes require that certain systems be
investigated for every project. Beyond these, the application of basic
engineering, environmental, and economic principles will be sufficient
to reduce the alternatives to a reasonable number.
The grantee is to present his reasons for eliminating each
alternative investigated. Where the reasons for elimination are apparent,
they should be briefly stated (e.g., "waste treatment flows cannot be
reduced by I/I rehabilitation or other water saving controls", "sludge
incineration cannot be utilized as it would contravene existing air
quality plans", "no action" is not feasible as the present discharge does
not meet effluent limitations and State has issued a cease and desist
order").
When the reason for eliminating an alternative i-s not readily
apparent, the grantee is to present evidence or discussion in sufficient
detail to support his conclusion.
This analysis will identify the most feasible alternatives
which will then be evaluated in greater detail.
Review Procedures:
Review the facility plan and determine that the following
topics have been adequately addressed.
a. No Action
Generally, the "no action" alternative can be eliminated
from consideration because of the need for the project as presented in
the preceding chapters. However, where the "no action" alternative may
be feasible, the facility plan should address this concept.
Re_: GPFP p. 10
b. Flow and Waste Reduction
The plan should address the feasibility of reducing flows.
Possible methods include:
- sewer system rehabilitation to reduce or
eliminate excessive infiltration/inflow;
- implementation of household water-saving devices;
IV-36
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- installation of water meters (proven to
reduce water consumption);
- initiating industrial pretreatment
requirements, reuse or recycling.
Re: 40 CFR 35.917-1 (d)(2)
GPFP p. 13
c. Configuration of Sewers and Interceptors
When service areas have been established, the
configuration of the collection sewers is pretty well prescribed with
regard to routings and size (minimum size in most States is 8 inches).
Attention should be directed toward trunk and intercepting sewer
alternatives to insure that they conform to existing and future land use
plans. Preliminary ptpe sizes and costs may have to be estimated to
reduce the alternatives to a manageable number.
Re: GPFP p. 13
d. Sludge Disposal
Of the four generally accepted methods of sludge disposal,
one or more may possibly be eliminated from further consideration based
on physical constraints or regulatory considerations. The plan should
address each of the following alternative sludge disposal methods:
- land application (agricultural, soil
conditioner, etc.);
- sanitary landfill;
- sludge incineration;
- ocean dumping (only under very special
circumstances).
(NOTE: Criteria for determining eligibility of land for use in sludge
disposal is discussed in Chapter VI.)
Re: 40 CFR 35.917-l(d)(6)
GPFP pp. 13, 14
e. Best Practicable Haste Treatment Technology (BPWTT)
The statute requires that each project evaluate, as a
minimum, the following three waste treatment management techniques:
- biological or physical-chemical treatment
and discharge to receiving waters;
- treatment and reuse; and
- land application techniques.
IV-37
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As the "state-of-the-art" develops for each of these techniques,
EPA will publish technical bulletins describing the application and
evaluation of each. In selecting which of these alternate waste
treatment management techniques is most cost-effective for the
proposed project, the grantee must consider the application of the
best practicable waste treatment technology (BPWTT).
EPA has established that the BPWTT for "treatment and discharge
to receiving waters", requires a minimum of secondary treatment (see
Section 3) or such advanced waste treatment methods as is necessary
to achieve the effluent limitations required to meet applicable water
quality standards. Since "reused" wastewater and run off of "land
application" techniques eventually enter receiving waters, the same
level of treatment is required for these techniques. In addition,
where discharges to groundwaters from "land application" may occur,
the level of treatment must be consistent with the existing or potential
uses of such groundwaters.
As each of these three techniques is evaluated, the grantee must
also consider how well the system lends itself to the application of
future technology for reclaiming or recycling the effluent.
Re_: 40 CFR 35.917-1 (d)(5)
Alternative Waste Management Techniques for
Best Practicable Waste Treatment, June 1975
/. Combined Sewer Overflows and Stomwater Discharges
Projects -involving treatment and oontrol of combined sewer
overflows and stornwater discharges may be considered only after the
planning process has clearly established their cost-effeotiveness. Suah
projects must be considered on a oase-by-aase basis after a careful review
of all alternative control techniques has shown thats even after industrial
effluent limitations and a minimum of secondary treatment for dry weather
munioiyal flows are achieved, the selected alternative is needed to protest
the beneficial use of the receiving waters. See PRM 75-34 (PG-61).
g. Industrial Service
The joint treatment of industrial and domestic wastes should be
considered and encouraged where possible. In considering industrial
discharges, the grantee should evaluate to the extent appropriate: (1) the
compatability of industrial wastes with domestic wastes; (2) the require-
ments for pretreatment; (3) the volume, strength and method of discharge
(batch or uniform); (4) the cost of industrial pretreatment and joint
treatment versus separate industrial treatment; and (5) the method of
implementing and enforcing limitations on industrial discharges.
Revised: TM 76-1
IV-38 August 1976
-------
Re: 40 CFR 35.928-15
40 CFR Part 128
GPFP p. 13
6.4 Evaluation (Monetary, Environmental, Implementation)
Purpose:
An evaluation of the most feasible alternatives is performed
in order to select the most cost-effective and environmentally sound
project.
Discussion:
The preceding sections of this chapter provided a systematic
guide for reducing the possible alternatives to a manageable number. The
alternatives to be evaluated in this section are the most feasible and
will be subjected to a more detailed evaluation under the broad categories
of monetary, environmental and implementation considerations.
The results of the evaluation will be a display and ranking
of the final alternatives in preparation for public review and the eventual
selection of the most cost-effective and environmentally sound project.
During this evaluation some of the alternatives may be eliminated from
further consideration based upon adverse environmental impacts, high costs,
legal complications or other reasons. The reasons for elimination must be
stated. The data used in the evaluations must be supported in other
sections of the facility plan. Each alternative should be evaluated in
sufficient detail and in a similar format to facilitate its display and
ranking.
Detailed assistance and instructions for preparing monetary
evaluations is given in the Guidance and in Appendix A, 40 CFR Part 35.
The environmental impact evaluation must consider both primary and
secondary impacts. The secondary impacts (indirect or induced by the
project) must be presented and carefully evaluated as they could form the
basis for the preparation of an environmental impact statement (see
Section 10). The review procedures below highlight the key factors to be
considered in the evaluation.
Review Procedures:
Each alternative should be analyzed and evaluated with regard
to its relationship or impact upon the subjects below:
a. monetary cost analysis based upon:
- present worth or equivalent annual cost
over planning period;
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- interest rate as published by U.S. Water Resources
Council at the time of initiation of the facility plan;
- capital and operation and maintenance costs;
(NOTE: Monetary costs should be shewn in -total and in
terms of their full impact on the average citizen (being
served) and industry-monthly and annually. Included
(in itemized form) should be the capital cost to the
grantee (local share), interest on borrowed capital,
sinking fund costs,, O&M costs, connection charges, etc.)
- existing facilities-considered as sunk costs;
- inflation-not considered unless justified;
- interest on capital equipment during construction-
uniform unless longer than 3 years;
- service life - land 50 years
structures 30-50 years
process equipment 15-30 years
auxiliary equipment 10-15 years;
- salvage value included;
Re: 40 CFR Part 35 Appendix A, PRM 75-33 (PG-60), 8/11/75;
PRM 76-3, 8/16/76; GPFP pp. 18-24
b. environmental impacts (see Section 10)
- both primary and secondary;
- beneficial and adverse;
- irreversible and irretrievable commitments of resources;
- long-term and short-term;
- mitigating measures;
Re: 40 CFR Part 6; PRM 75-26 (PG-50), 6/6/75;GPFP pp. 11, 12
c. institutional arrangements
- identify responsible organization for each alternative;
- estimated costs to each jurisdiction;
Re: GPFP p. 12
IV-40
Revised: TM 77-1
December 1976
-------
d. significant industrial service
- costs of separate treatment;
- costs of pretreatment followed by
municipal treatment;
Re_: 40 CFR 35.928-15, Part 128
GPFP p. 13
e. flow and waste reduction measures;
Re: 40 CFR 35.917-1 (d)(2)
GPFP p. 13
f. sewer system arrangements
- pipe sizes and useful life;
- excess or reserve capacity;
- alternate routings;
Re: 40 CFR 35.917-l(d)(l)
GPFP p. 13
g. method of sludge disposal;
Re: 40 CFR 35.917(d)(6)
GPFP p. 13
h. location of facilities
- odors and aesthetics;
- cultural or environmentally sensitive
resources (see Section 10);
- relationship to flood plains;
Re_: 40 CFR Part 6
GPFP p. 14
i. revision of waste load allocations;
Re: GPFP p. 14
IV-41
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j. phased construction
- excess or reserve capacity;
- modular designs;
Re: GPFP p. 14
k. project segmenting (see Chapter II B.2.
of Handbook);
1. flexibility
- future land requirements for treatment
plant expansion or upgrading;
- easements and rights-of-way for sewers;
Re_: GPFP p. 15
m. reliability
- treatment processes;
- equipment and personnel;
Re: GPFP p. 15
n. multiple purpose projects
- prepare and review cost allocations
Re_: PPM 77-43 12/3/76
1, Plan Selection
7.1 Views of Public and Concerned Interests on Alternatives
Purpose:
Public participation is required to aid the grantee in
selecting a plan which will be cost-effective and have the widest possible
public acceptance.
Discussion:
Issues surrounding water quality problems and the large
amounts of money needed to solve them often come under attack from varied
interests. Although the primary responsibility for water pollution control
and abatement rests in governmental agencies, public involvement in the
decisions and implementation is necessary and desirable. The intent of
public participation is to foster a spirit of openness and a sense of
mutual trust between the public and governmental agencies and to give the
Revised: TM 77-1
December 1976
IV-42
-------
public a role in decision making in efforts to restore and maintain the
integrity of the Nation's waters. The facility plan must contain a
summary of the measures taken to provide for, encourage, and assist public
participation in the plan selection. The summary must also disclose the
public response to the alternatives presented and how significant responses
were incorporated into the plan.
In addition to any informal meetings or other forms of public
participation, a formal public hearing must be held prior to plan selection
unless the hearing requirement has been waived by the Regional Administrator.
Review Procedures:
Review the hearing summary and supporting documents to determine
that:
a. at least one formal public hearing was held, unless
waived;
b. reports, documents or other data to be discussed at
hearing were available to the public at convenient
times and places approximately 15 days prior to the
hearing;
c. thirty days notice of the hearing was announced
through the press or other news media;
d. notification was made to interested governmental
agencies and interested groups (see clearinghouse
comments);
e. all interested parties were afforded an opportunity
to express their views;
f. adverse or significant views are addressed and
incorporated into the facility plan, ineluding
addressing of the servicing of mino-p-ity areas not
previously seweved.
Re: 40 CFR 35.917-1(g), .917-5
40 CFR Part 105
6PFP pp. 17, 18
Program Requirements Memorandum., PRM 75-32 (PG-59), 2/11/76
7.2 Evaluation and Ranking of Proposals
Purpose and Discussion:
Evaluation of alternatives, ranking, and plan selection involve
making choices based on costs, environmental impacts and feasibility of
implementation. The grantee may select any number of methods to display
costs and effects of the alternative proposals. Regardless of the display
method, the effect should be listed, wherever possible, in quantitative
Revised: TM 76-1
IV-43 August 1976
-------
terms based on the supporting analysis elsewhere in the plan. Where
quantification is not possible, the comparison should be made by brief
narrative descriptions.
The end result of the evaluation is the assignment of a value
judgement to each alternative, ranking them from most acceptable to least
acceptable.
Re: GPFP p. 25
7.3 Selected Plan (major feature summary) and
Reasons for Selection
Purpose and Discussion:
The selected plan, its major features, and reasons for
selection are presented in summary form for clarity and the convenience
of reviewers.
Review Procedures:
Review the summary for inclusion of:
a. major features;
b. clear explanation of the reasons for plan
selection.
Re_: GPFP p. 25
7.4 Environmental Impacts of Selected Plan
Purpose:
The primary and secondary environmental impacts of the selected
plan are presented in summary form and specific issues are addressed as
required by the National Environmental Policy Act of 1969 (NEPA).
Piscuss i on:
The same issues and review procedures covered in Section 6,
alternatives, are addressed in the selected plan. However, in review of
the selected plan, they are analyzed in greater detail. Special note
should be made by the reviewer of impacts upon cultural or environmentally
sensitive resources as these require special procedures and considerations
(see Section 10).
IV-44
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The grantee should discuss in this or other sections the
mitigating measures which will be employed in the design and construction
phases of the project to minimize adverse effects. If the adverse impacts
are unacceptable, the reviewer should contact the grantee through the
State agency and discuss mitigating measures which will make the selected
plan acceptable.
Review Procedures^:
The summary should include adequate discussions of:
a. any unavoidable adverse impacts resulting from
the proposed project (special note of cultural
or environmentally sensitive resources);
b. the relationship between local short-term uses
of the environment and the maintenance and
enhancement of long-term productivity including:
- tradeoffs between short-term environmental
gains at the expense of long-term gains,
and vice versa;
- the possibility of proposed action foreclosing
future options;
- the effects which narrow the range of future
uses of land and water resources or pose
long-term risks to health or safety;
c. irreversible and irretrievable commitments of
resources, including an evaluation of the extent
to which the proposed project requires commitment
of construction materials, man hours, energy and
other resources, and curtails the range of future
uses of land and water resources;
d. steps to minimize adverse effects.
Re_: 40 CFR 6.512
GPFP p. 16
8. Cost Estimates. Preliminary Designs
8.1 Description of Design
Purpose and Discussion:
The preliminary design of the selected plan is presented to
demonstrate that sound engineering principles have been employed and that
IV-45
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all major components of the system have been included. The detail for
the preliminary design may vary from project to project depending on the
complexity of the project. For example, standard package plants will not
require the same degree of detail as a pure oxygen system with phosphate
removal and sludge incineration.
Review Procedures:
Items in a preliminary design might include:
a. a schematic flow diagram;
b. unit processes and sizes;
c. plant site plans;
d. interceptor and trunk sewer routings;
e. design criteria, including:
- detention times;
- overflow rates;
- other.
Re: 40 CFR 35.917-1(a) and (b)
GPFP p. 16
8.2 Summary of Cost Estimates
Purpose:
Cost estimates for final design, preparation of plans and
specification-, and construction of the treatment facilities are included
to insure that Step 2 and Step 3 grant requests are based upon inclusion
of major components of the selected plan.
Discussion:
As a part of its program responsibility, EPA is required to
forecast future funding requirements for the design and construction of
wastewater treatment facilities. The cost estimates and schedules of
completion provided in this section help fulfill those responsibilities.
The reviewer should be aware of these requirements and of the procedures
for recording the estimated costs into the GICS process. The grantee is
required to submit these estimates in an appropriate format entitled
"Summary of Costs of Planned Treatment Works Scheduled by Project and
Category" (refer to Appendix B) as a special condition of the Step 1 grant
agreement.
IV-46
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Review Procedures:
Review cost estimates to determine that:
a. costs for the construction of the facilities
are reasonable and include both capital and
operation and maintenance costs;
b. costs are presented in the required format;
c. schedules for the completion of related work
have been included.
Re: Program Requirements Memorandum, PRM 75-30 (PG-57)S 9/8/75
40 CFR 35.917-1U)
GPFP p. 16
9. Arrangements for Implementation
9.1 Institutional Responsibilities
Purpose:
The agency and its responsibilities for plan implementation
are identified to demonstrate recognition of the steps necessary for
initiation and completion of the project.
Discussion:
The responsibility for the implementation of the selected plan
may rest with one or more agencies. In the case of a single agency, it
must have the authority under State law (or the ability to obtain such
authority) to finance, design, construct, operate and maintain the proposed
facilities. For regional solutions, several agencies may share the
responsibility for plan implementation and each must have the authority
and ability to carry out its functions. A common example of this is where
one agency constructs the treatment plant and interceptor sewers to serve
the entire planning area, and the smaller jurisdictions construct the
trunk and lateral sewers.
In regional solutions, one or more jurisdictions in the planning
area may either oppose or fail to approve the plan. The grantee should
discuss the appropriate measures required to reach agreement among the
jurisdictions. While final agreement is desirable prior to the submission
of the facility plan for review, the State and EPA may approve it even in
the absence of such agreement.
Revised: TM 76-1
August 1976
IV-47
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Review Procedures:
For implementation, the plan should:
a. identify each agency or jurisdiction and its
responsibility;
b. show that each agency has ability and authority
(or reasonable expectation to obtain such authority)
under State law to finance, design, construct,
operate and maintain the proposed facilities;
c. identify any referendums or public elections
necessary for plan implementation;
d. include adopted resolutions of plan acceptance
agreements between jurisdictions;
e. include financial arrangements and obligate each
jurisdiction to enforce the requirements for user
charges, industrial cost recovery, sewer system
rehabilitation and sewer use ordinances;
f. identify jurisdictions which oppose or have failed
to approve the plan and describe steps necessary to
reach agreement.
Re: 40 CFR 35.917-6
9.2 Implementation Steps
Note: To demonstrate recognition of the proposed project
and an orderly program for implementing it, the grantee is to present
a step by step schedule of each specific action. The time schedule should
correspond with schedules in the NPDES permit. Differences must be
resolved.
Re_: 40 CFR 35.917-1 (a)
9.3 Operation and Maintenance
Purpose and Discussion:
As a part of the Step 3 grant application, a detailed Plan
of Operation must be submitted. The preliminary O&M plan described in
the facility plan should include the minimum information needed to perform
cost-effectiveness computations, e.g., discussions of staffing, management,
training, sampling, laboratory facilities, etc.
Re: GPFP p. 17
IV-48
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9.4 Financial Requirements
Purpose:
A financial program is described to identify the sources of
funds for implementing the proposed project.
Discussion:
The proposed project funding will generally consist of three
parts, namely the Federal grant, the State grant and the local share.
When a State grant is shown as a source of funding, the reviewer should
confirm that the State grant program remains in effect. Generally, the
local funding will be derived from the sale of bonds or industrial
contributions. Funds must be made available to retire these bonds over
a period of years and to provide for operation and maintenance of the
facility. The customary method of obtaining these funds is to proportion
charges to the various classes of users and to recover capital costs from
industrial users. Ad valorem taxes may not be applied as a user charge
system.
As a requirement for a Step 2 grant, the grantee must
furnish evidence of compliance with the user charge and industrial cost
recovery (UC/ICR) provisions of the regulations. Satisfactory evidence
of compliance for a Step 2 grant are letters from the grantee and major
industrial users expressing intent to comply with these provisions. A
detailed UC/ICR program must be submitted and approved by EPA during the
construction (Step 3) of the facilities and no more than 80 percent of
the grant amount may be paid prior to such approval.
Review Procedures:
Review the financial program to determine that:
a. all project costs including engineering,
construction, legal and fixed costs have
been estimated;
b. sources of funds are identified and sufficient;
c. State grants programs are applicable;
d- grantee's share of eligible costs do not
include revenue sharing funds (see Chapter IV,
E.);
e. the grantee has reasonable expectation of
obtaining letters of intent to comply with user
charge and industrial cost recovery programs as
required for a Step 2 grant (see Chapter V, E.4.
of this Handbook).
IV-49
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Re: 40 CFR 35.920-3(b), .925-11, .925-12, .935-13, Appendix B
Program Guidance Memorandum, PG- 3, 6/25/73;
PG-37, 7/9/74
10. Summary of Environmental Considerations
Purpose:
The summary of environmental considerations is for those plan
reviewers primarily concerned with the environmental impacts of the
proposed project. (It should reference other pages of the facility
plan which provide the detailed environmental analysis.) The summary,
combined with the more detailed discussion so referenced, are necessary
to satisfy regulatory requirements for an adequate identificable
environmental assessment.
Discussion:
The facility plan must evaluate environmental as well as
engineering, monetary and institutional impacts. Adverse impacts in
any of these categories may be reason for plan revision, the selection
of another alternative, or the incorporation into the design and
construction phases of measures which will minimize the adverse impacts
or problems.
Throughout the entire facility plan preparation, the reviewer
should work with the grantee in satisfying all the regulatory require-
ments and selecting the most acceptable plan. The facility plan may be
reviewed informally or in sections by the reviewer as an aid to the
grantee, and suggested changes may be incorporated with minimum delay
and formality.
After all discussions and revisions are completed, the reviewer
conducts a formal "environmental review". Based upon a review of the
information presented in the facility plan, EPA must make one of three
decisions:
- approve the project;
- disapprove the project;
- prepare an environmental impact statement (EIS).
The discussion and review procedures below provide guidance to
the reviewer in reaching one of these decisions.
The first decision (approval) requires that EPA prepare a
negative declaration supported by an environmental appraisal (contents to
be discussed later) and make these documents and the approval decision
public information.
IV-50
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The second decision (disapproval) is rarely invoked for an
entire project (although segments of a project may be disapproved)
because of the public involvement during the preparation of the facility
plan and the many levels of review by governmental agencies. The public
involvement and governmental reviews assist in changing the scope of the
project, if necessary, and provide guidance in the selection of the most
cost-effective and environmentally sound project.
The third decision (preparation of an EIS) is really a method
of arriving at either the approval or disapproval decision.
In order to arrive at one of the three decisions described above,
many reviewers within EPA and outside of EPA must evaluate the proposed
project and make their recommendations for approval or disapproval of the
project. The summary of environmental considerations presents the
pertinent environmental information to assist in that decision.
The review procedures below are intended to assist the reviewer
in arriving at the decision and, once made, the necessary actions to carry
out the decision.
Review Procedures:
a. Criteria for Determining When to Prepare an
Environmental Impact Statement
The regulations implementing the NEPA requirements for the
construction grants program are quite specific, resulting in reviews and
recommendations by several branches in EPA as well as recommendations
from outside the agency. The construction grants reviewer must prepare
his recommendation in a manner that permits the Regional Administrator to
make a decision as to whether or not an EIS is to be prepared.
The NEPA procedures involve an "environmental review" which
evaluates the project on the basis of two broad criteria; namely, will the
project have significant environmental effects, or have environmental
impacts which are likely to be highly controversial.
For certain projects involving (a) historical and
archaeological sites; and (b) wetlands, flood plain, coastal zones, wild
and scenic rivers, fish and wildlife; additional investigations are
required on the part of either EPA or the grantee which, when evaluated
along with the NEPA criteria, will assist in deciding when an EIS is to be
prepared.
These additional procedures are described below and should be
evaluated in conjunction with the review of the NEPA criteria.
IV-51
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(1) Historical and Archaeological Sites
EPA has the responsibility under the procedures of
the Advisory Council on Historic Preservation to insure that archaeological
and cultural resources are identified in the primary impact areas of the
project. The investigation to identify resources is carried out by the
grantee. The exact procedures may vary from State to State, a.nd the
reviewer should be familiar with the requirements of his particular State.
Generally, however, the grantee should contact the
State Historic Preservation Officer (SHPO) as soon as the project scope
and general location is known. The SHPO may be able to identify cultural
or historic sites in the area which may aid in selecting the best
alternative. The SHPO may also indicate that the area is quite sensitive
and that a professionally qualified archaeologist should be employed to
identify the resources. In the event that the project is limited to
previously disturbed areas, the SHPO may advise that the project will not
effect any cultural resources and that no further investigations are
required.
In many cases the SHPO or grantee may be able to
review the National Register of Historic Places and identify resources
in the project area. A professional in this field may need to be employed
to identify resources which are eligible for inclusion in the National
Register. The grantee and his professional representative must prepare
a report in consultation with the SHPO stating whether the project will
have any effect upon the cultural resources identified.
Upon receiving this report, and in the case of a
resource eligible for listing in the National Register, EPA should
immediately contact the Department of the Interior to determine if the
resource is, in fact, eligible for inclusion.
For all cultural resources identified, the grantee,
his professional representative, and the SHPO must prepare a report for
review and decision by EPA concerning the effect the project may have on
that resource. Specifically, the following procedures should be followed,
as applicable:
(a) project has no effect on identified resources -
applicant to include views of SHPO showing
concurrence; exchange of correspondence to be
appended to report;
(b) project has effect on identified resources -
apply Advisory Council Criteria of adverse effect;
(c) if the application of adverse criteria results in
the conclusion by the grantee's professional
expert, and is agreed to by the SHPO, that the
effect is not adverse, the documentation supporting
that conclusion must be forwarded to thia Advisory
IV-52
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FIGURE IV-1
PROCEDURES FOR REVIEW OF CULTURAL RESOURCES
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described on preceding pages.
IV-53
Rev. 10/20/75
-------
Council for concurrence. If Advisory Council
concurrence is received, the project may proceed
as proposed with the application of any mitigating
criteria which may have been recommended;
(d) if the application of the adverse criteria results
in the conclusion that the project will have an
adverse effect, the comments of the Advisory Council
must be obtained and a consultation process is set up;
(e) the consultation process involves:
- on-site inspections;
- public information meetings;
- considerations of alternatives;
- avoidance of adverse effects;
- mitigation of adverse effects;
(f) generally, the above procedures will be sufficient
to resolve adverse effects; specific conditions of
resolution are contained in a Memorandum of Agree-
ment between EPA, the Advisory Council, and the
SHPO.
It is the responsibility of the construction grants
reviewer to insure that the above procedures are, or have been, carried out.
Letters, reports, or other documents in support of the above procedures
are to be appended to the facility plan. The final decision as to the
affect of a project on historic and archaeological resources rests with
EPA under the Advisory Council Procedures.
Re: Federal Register, 2/4/75, Department of the Interior
National Register of Historic Places
40 CFR 30.405-7
40 CFR 6.510(e)
36 CFR 800 (Advisory Council Procedures)
(2) Wetlands, Flood Plains, Coastal Zones, Hi Id and
Scenic Rivers, Fish and Wildlife
Whenever a selected project will effect any of these
environmentally sensitive resources, the consultations below must be
carried out. The impact of the project upon these resources should be
discussed by the applicant in his environmental assessment statement.
IV-54
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EPA has the responsibility for carrying out these procedures, but the
applicant may be encouraged to do so in preparing the facility plan.
Whether the project will have a harmful affect on these resources
requires prudent judgement on the part of the reviewer.
The consultations below, as applicable, must be carried
out before the facility plan may be approved.
- Wetlands
Consult with:
- Department of the Interior
- Department of Commerce
- U.S. Army Corp of Engineers
Document consultation and obtain written comments
from each of these agencies whenever possible.
- Flood Plains
Refer to Flood Hazard Boundary Maps or Flood
Insurance Rate Maps prepared by DHUD and determine
if grantee is or must be participating in the
flood insurance program; determine if proposed
project satisfies applicable flood plain statutes
and regulations and EPA guidance with regard to
location, elevation or protection of structures.
- Coastal Zones
Consult with:
- Appropriate State office
- Department of Commerce
Document consultation and obtain written comments
from each of these agencies whenever possible.
- Wild and Scenic Rivers
Consult with:
- Appropriate State office, and
- Department of the Interior, or
IV-55
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- Department of Agriculture where National
forest lands are involved.
Document consultation and obtain written comments
from each of these agencies whenever possible.
- Fish and Wildlife
If the project will result in the control or
structural modification of any stream or body of
water, consult with:
- U.S. Fish and Wildlife Service, Department of
the Interior
- National Marine Fisheries Service of the
National Oceanic and Atmospheric Administration,
Department of Commerce
- U.S. Army Corp of Engineers
- Appropriate State agency
Document consultation and obtain written comments
from each of these agencies whenever possible.
- Threatened or Endangered Species
Consult with:
- Secretary of the Interior, or
- Secretary of Commerce where marine species
are involved.
Re: 40 CFR 6.214, 6.510 (a)(3)
(3) NEPA Criteria for Determining When to
Prepare an EIS
In addition to evaluating the effects of the
proposed project upon the cultural and environmentally sensitive resources
as required by the regulations, the reviewer must evaluate the environmental
assessment contained within the facility plan and, by applying the NEPA
criteria, determine if an EIS should be prepared.
IV-56
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Environmental impacts are classified as:
- adverse/beneficial
- long-term/short-term
- primary/secondary
Grantees are required to classify the impacts of
the proposed project into these categories. The most difficult of these
impacts to evaluate are the secondary impacts. Secondary impacts are
distinguished from primary impacts as follows:
- Primary impacts are those that can be attributed
directly to the project; for example, construction and operation of the
treatment works. They may be beneficial' (improved effluent) or adverse
(soil erosion during construction) etc. Often, the adverse primary impacts
can be minimized by small changes in the project design or by construction
techniques, both of which are to be discussed in the facility plan.
- Secondary impacts are indirect or induced growth
related changes resulting from the project. They include induced changes
in the pattern of land use, population density, and related effects on air
and water quality or other natural resources, and increased growth at a
faster rate than planned for, or above the total level planned by, the
existing community. The grantee must address the secondary impacts in
the facility plan and, where adverse, propose actions which will minimize
or mitigate these effects.
In evaluating the primary and secondary impacts,
the reviewer must determine if they are significant or controversial.
After all of the applicable procedures listed above are carried out and all
possible mitigative measures have been explored with the grantee and
State, a decision is made to prepare or not to prepare an EIS.
b. No EIS Required
(1) Negative Declaration
Upon deciding not to prepare an EIS, EPA will prepare
a negative declaration which summarizes the purpose of the project, its
location, extent and nature of land use changes, and major primary and
secondary impacts. The negative declaration must also describe how the
more detailed "environmental appraisal" may be obtained. Copies of the
negative declaration are to be distributed in accordance with the regula-
tions (Appendix C Federal Register Vol. 40 No. 72 - Monday, April 14, 1975,
page 16827). Press releases or other public notices are also to be made
and must include copies of the negative declaration. The public notices
must state that interested persons disagreeing with the decision may
IV-57
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submit comments for consideration by EPA. Fifteen working days after
the public notice, and upon consideration of any comments or objections
received, EPA will decide to proceed with the project or prepare an EIS.
In the former case, the grantee is advised to submit the additional
documents of plan approval and that he may proceed with the submission
of other documents for a Step 2 grant (see Chapter V). If an EIS is to
be prepared, the procedures described later are followed.
(2) Environmental Impact Appraisal
Concurrently with the preparation of a negative
declaration, EPA will prepare an environmental impact appraisal. This
appraisal shall be brief but contain more information and explanations
than the negative declaration, including: description of the proposed
project and the most feasible alternatives, its environmental impacts,
adverse unavoidable impacts, relationship between short-term uses of
man's environment and the maintenance and enhancement of long-term
productivity, mitigating measures, resource commitments, summary of
comments and consultations on the project, and reasons for concluding
there will be no significant impacts. Copies of the appraisal are to
be sent to the EIS coordinator at Headquarters, and copies are to be made
available (at cost) to the public upon request.
Re_: 40 CFR 6.212, 6.512(g)
(3) Facility Plan Approval
Upon approval, the grantee and State should receive
a letter from EPA notifying them of facility plan approval and setting
forth any special conditions resulting from a review of the facility plan
which might be imposed on the grantee upon application for a Step 2
grant. The approval letter must contain language to the effect that
approval of the facility plan does not constitute an obligation of the
United States for any Step 2 or Step 3 grant.
(4) Grants Information and Control System (GICS)
Project cost information was entered in the GICS system
at the time the applicant applied for his Step 1 grant (see Chapter IV,
F.3.). Upon approval of the facility plan, the GICS information is to be
updated using the coding sheets (see Appendix B).
c. Prepare EIS
(1) Notice of Intent
Upon deciding to prepare a draft EIS, EPA will issue a
"notice of intent". The purpose of the notice of intent is to advise the
public and other interested agencies of the decision to prepare an EIS and
IV-58
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seek their input and involvement at the earliest possible stages. Press
releases and other forms of public notification are to be used.
(2) Draft EIS
As soon as possible after the notice of intent, EPA
will prepare the draft EIS in accordance with the procedures outlined in
EPA regulations entitled "Preparation of Environmental Impact Statements"
(issued 4/14/75). In some cases, a consultant will prepare the EIS under
the direction and close supervision of EPA. During the preparation of
the EIS, the grantee may be requested to submit additional information
concerning the project. The Regional Administrator is to decide the scope
of the EIS and which environmental issues will be discussed in greatest
detail.
A Step 2 grant may not be awarded until a final EIS
has been prepared and all regulatory requirements have been met. The
resulting modified project will have to be rereviewed at the appropriate
stage of the facility planning process. Additionally, a Step 2 grant
award may contain special conditions resulting from the preparation of
an EIS.
Re: 40 CFR 6.206, 6.208, 6.512(e)
IV-59
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FIGURE IV-2 PROCEDURES FOR NEPA REVIEW
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CHAPTER V
STEP 2 GRANT PROCESSING
A. Introduction
B. Schematic Flow Diagram
C. Application Contents
D. Facility Plan Approval
E. Administrative Review
F. Grant Award Procedures
G. Preparation of Plans and Specifications
H. Predesign Conference
I. Review of Plans and Specifications
-------
A. INTRODUCTION
This chapter describes the contents of and review proce-
dures for processing of a Step 2 grant application. It begins
with the receipt of the application package and concludes with
the review and approval of the plans and specifications.
Section B, Schematic Flow Diagram, visually places this
chapter in the proper sequence and indicates the major activities
of the Step 2 application and review.
Section C, Application Contents, provides a quick ready
listing of the materials which are contained in an application
package.
Section D, Facility Plan Approval, restates the requirements
for an approved facility plan as a part of the Step 2 application.
Section E, Administrative Review, describes the procedures
involved in reviewing priority list compliance and certification,
application form, contracts and subagreements and assurances.
Section F, Grant Award Procedures, describes the action
required on the part of EPA in making the grant offer.
Section G, Preparation of Plans and Specifications, discusses
the need to work with the grantee during the preparation of P & S.
Section H, Predesign Conference, describes the administrative
and technical considerations to be discussed with the grantee
at the conference prior to the preparation of plans and specifi-
cations.
Section I, Review of Plans and Specifications, describes
the specific information to be reviewed in the plans and
specifications. Technical considerations are included to enable
the reviewer to adequately evaluate the Step 2 treatment works
design.
The technical and administrative reviews are to be performed
simultaneously wherever possible. When items are missing or
explanations are necessary, the review is to proceed as far as
possible to insure quick action once the items are corrected.
V-l
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B.
SCHEMATIC FLOW DIAGRAM
The flow diagram below visually places this chapter in the proper
sequence and indicates its relationship to other chapters. The diagram
includes the general functions of the Step 2 grant process as performed
by the applicant, State and EPA.
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C. APPLICATION CONTENTS
Below are listed the basic items to be included in an application
package. The items are listed here for quick reference, while the
review procedures for each item are described later. The reviewer is
to make a cursory review to insure that all items are included, that
all applicable portions of the forms are completed, and that the
documents are signed by the appropriate officials. If items are
missing or explanations are necessary, the State is to be contacted
but the review is to proceed as far as possible to insure quick action
when the required material or information is received.
1. Facility Plan (complete and approved)
2. State Priority Certification, EPA Form 5700-28
3. Application, EPA Form 5700-32, including authorizing
resolution and statement regarding availability of
the proposed site
4. Proposed subagreements (generally engineering contracts)
or explanation of method of awarding proposed subagreements
5. Evidence of compliance with user charge and industrial
cost recovery provision of the regulations
6. Completed or substantially completed service agreements
7. Civil Right compliance, Form 4700-1 and 4700-4
8. Statement of compliance with Relocation and Land
Acquisition Policies Act of 1970, if applicable
Re_: 40 CFR 35.917-6, .920-3(b), .925-3, .925-9, .925-11, .925-12
40 CFR 30.315, .405-2, .405-3
D. FACILITY PLAN APPROVAL
The technical review of a facility plan is described in Chapter IV
of this Handbook. The grantee was notified in writing of his facility
plan approval and need not resubmit it. The reviewer need only confirm
in the project files that the facility plan was approved by EPA.
V-3
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E. ADMINISTRATIVE REVIEW
1. Priority List Compliance and Certification
Purpose:
The State agency is required to certify each project
as entitled to priority for grant funds in accordance with the State
priority system and the project priority list.
Discussion:
Chapter II discusses the State priority system and
list. Once the system and annual list have been approved by EPA,
each project is certified by the State as being entitled to priority
for a grant over all other projects below it on the priority list
(EPA Form 5700-28, see Appendix B).
A State may elect to set aside up to ten percent of its
yearly allotment to fund Step 1 and Step 2 projects not on the current
priority list. When such projects are certified, the certification must
signify that the grant is to be made from that reserve allotment.
Only projects which have been certified by the State
as entitled to priority for Federal assistance may receive a grant.
Review Procedures:
Review State Priority Certification to determine that:
a. the name, project number and description of the
project agree with the application, form 5700-32,
and the approved State priority list;
b. the form includes the signature of the authorized
State official;
c. the award of grant assistance for the project will
not exceed the State's allotment, including reallot-
ments;
d. the award of grant assistance will not jeopardize
the funding of any projects of higher priority;
V-4
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e. the State has included a statement to the effect
that all jurisdictions within the facility planning
area have been notified of State and EPA approval
of the facility plan.
Re_: 40 CFR 35.915, .917-2, .920-2, .925-3, .925-4
Program Guidance Memorandum, PG-33, 5/10/74; PRM 75~14
PG-35, 6/3/75; PRM 75-16
PG-46, 1/17/75 PRM 75-24
2. Application Form
Purpose:
EPA Form 5700-32 is the formal application document and
sets forth the information necessary to obtain a construction grant.
Additionally, the application contains "assurances" from the applicant
which satisfy several statutory requirements.
Discussion:
The application for a Step 2 grant is submitted by the
authorized representative of the jurisdictions included in the approved
facility plan. In all cases, the applicant must have the legal authority
to design, finance, construct, operate, and maintain any resulting
wastewater treatment facilities.
The application form is used to request an initial grant,
make amendments, and to request supplemental grants. The form (see
Appendix B) contains instructions for completion of each of the five
parts. Part If, Section B, requires information concerning the project
site. For a Step 2 application, a statement regarding availability of
the proposed Site must be included. If 'sites or eat/sments have not been^
aaguixacl, the applia&nt is to b® in^ormsd of the need to accomplish
preliminary easement work concurrent with other Step 2 activities.(Sites
and easements may be ^.cg
-------
In these cases the reveiwer should contact the regional DHUD office
for specific limitations. However, such items as cost overruns (not
otherwise funded by EPA), sewage collection systems, or land acquisition,
for example, which are not included within the scope of the EPA grant
as allowable costs, may be funded with revenue sharing funds.
The statutes require that the applicant comply with
related laws and regulations and give other assurances. Many of these
requirements are satisfied for a Step 2 grant when the applicant signs
the application and thereby assures and certifies that he will comply
with the requirements. However, additional evidence of compliance with
some of these assurances is required from the applicant (see Section E.4.).
A copy of the authorizing resolution designating the official to act as
the official representative of the applicant (Part V, item 1 of applica-
tion Form 5700-32) must be included with the application. Any subsequent
changes in the authorized official must also be documented by a copy of
the resolution authorizing the change.
Review Procedures:
Review application form to determine that:
a. the name, the project number, and the description
of project and amount of grant request agree with
the State Priority Certification, Form 5700-28,
and the approved State priority list;
b. the form is signed by the authorized representative
and a copy of the authorizing resolution is attached;
c. a statement regarding availability of the proposed site
is attached;
d. information regarding project location, entities
involved and cost data corresponds to that in the
facility plan and Summary of Costs of Planned Treat-
ment Works Scheduled by Project and Category;
e. all items in the apolication are complete or marked
not applicable (NA);
f. Part III, Section D, Proposed Method of Financing
Non-Federal Share, assures that the applicant
successfully fund his share of the oroiect costs.
l-ifvenue sharing funds can bo used; however if
Community Development Block Grant Funds are to be used,
contact DHUD; (Particular emphasis should be placed on
review of this section).
Revised: TM 7
V-6 December 1977
-------
g. Part V. Assurances, is included with the
application: if not the application must be
returned to the applicant for inclusion of
a signed copy of the Assurances.
40 CFR 30.315
40 CFR 35.920-2, .920-3(b)(4)
P.L. 94-488
BTTFR Part~51, Department of Treasury
3. Contracts and Subagreements
Purpose:
Contracts or subagreements for personal or professional
services are submitted by the applicant and reviewed by both the State
and EPA to insure that the scope and nature of the proposed services
are sufficient to result in approvable plans and specifications and
that the fees and schedules are reasonable.
Discussion:
The personal and professional services covered by the
subagreements at the time of Step 2 application submission are generally
the consulting engineering services. The regulations state that the
application shall include proposed subagreements or an explanation of
the -intended method of awarding subagreements for performance of any
substantial portion of the project work.
Also, the regulations require that any such subagreements
or lower tier subagreements include an "access" clause allowing the State
or EPA access, at reasonable times and places, to the work or records.
The "access" clause is applicable to subagreements or lower tier sub-
agreements in excess of $10,000.
The detailed requirements of and procedures for procuring
personal or professional services are contained in the regulations, 40
CFR 35.936, .937. Subagreements in which the fee is a percentage of
construction costs are not acceptable, nor are cost multiplier contracts
where profit is included in the multiplier.
Review Procedures:
Review the agreement(s) to determine that:
a. the applicant has complied with 40 CFR 35.936
and .937;
b. the scope of the work is sufficient to prepare
approvable plans and specifications;
c. completion schedules are reasonable and in agree-
ment with the facility plan.
Revised: TM 78-1
December 1977
V-7
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Re: 40 CFR 35.920-3(b)(7), .935-7, .936, .937, .938, .939, .965
and Appendices C & V; 40 CFR 30.605
4. Assurances and Program Requirements
The regulations require that the applicant furnish evidence of meeting
program requisites and assurances made in the Step 1 and Step 2 grant -
application as well as requirements prescribed in other Federal statutes.
Evidence of compliance with the following is of particular importance:
a. user charges - the applicant must submit an approvable plan
and schedule for the implementation of a user charge system
in accordance with the guidelines in the regulations (40 CFR,
Part 35, Appendix B);
b. industrial cost recovery - the applicant must agree to require
all industrial users to pay that portion of the grant amount
allocable to the treatment of wastes from their use of the
system; also the applicant must furnish letters from the major
(10% or more of waste flow or strength) industrial users
indicating that they will pay their portion of the grant amount
allocable to the treatment of wastes from their use of the
system and their intended period of use.
c. service agreements - where the project involves more than one
political jurisdiction, the applicant must submit completed
or substantially completed service agreements. These agree-
ments will include financial arrangements and will obligate
each jurisdiction to enforce the requirements for user charges,
industrial cost recovery, sewer system rehabilitation and
sewer use ordinances.
d. Civil Rights Act of 1964 - the applicant must complete two
forms: Assurance of Compliance, EPA Form 4700-1, and Com-
pliance Report, EPA Form 4700-4;
e. Relocation and Land Acquisition Policies Act of 1970 - if
the project will result in the acquisition of private property
or the displacement of persons, the applicant must submit a
statement that he will prepare a program for compliance with
the provisions of the Act.
/. Section 404/Seotion 10 Permits - When permits from the Corps
of Engineer's for the discharge of dredged or fill material
are required for the faeility^ an -issued 404/Section 10 permit
or a determination by the Reg-tonal Administrator that the Corps
is prepared to issue a perm-it.
Re: 40 CFR 35.917-6, .920-3(b)(5)(6), .925-9, .925-11, .925-12;
40 CFR 30.405-2, .405-3; Program Requirements Memorandum, PRM 76-4 3
10/14/76
Revised: TM 77-1
V-8 December 1976
-------
F. GRANT AWARD PROCEDURES
(Note: See Step 1 award procedures, Chapter IV, pp.14 and 15
for notification procedures and data regarding items 1 through 4)
5. Grant Agreement/Amendment
Purpose;
The Grant Agreement/Amendment (EPA Form 5700-20) serves as
a formal document of agreement between the U.S. Government and the
applicant and constitutes a legally binding contract once executed.
Procedures:
EPA Form 5700-20 (see Appendix B) is completed by the Reqional
Office based upon the information submitted in the application package.
The agreement must define the scope of the project. Modification to
grant amounts, scope of work, or other items are made on the basis of
the review process, and special conditions of the grant are included
in Part III b. These special conditions may be based upon clearing-
house comments, request from the State agency, or conditions unique
to the project. Such unique conditions may include consideration of
mitigating measures identified in the review of the facility plan, EIS
where prepared, sewer system evaluation survey requirements, or other
considerations.
In order to better forecast future funding requirements, each
applicant for a grant is required to submit cost estimates in the format
shown in the form Summary of Costs of Planned Treatment Works Scheduled
by Project and Category (see Appendix B).This requirement is to be
incorporated as a special condition in the grant/agreement amendment.
The grant agreement/amendment is not sent to the applicant
until five working days after the signing by the Regional Administrator
in order to allow for necessary congressional notification. The
applicant is given three weeks to accept the grant offer and to return
the stgned grant agreement/amendment to EPA.
The individual signing the grant agreement/amendment on behalf
of the applicant should be the same individual who signed the aoplication.
Differences must be explained and a new authorizing resolution submitted
(see Application Form item E.3 of this chapter).
Re: Program Guidance Memorandum, PG-55, 5/5/75
V-9
-------
G. PREPARATION OF PLANS AND SPECIFICATIONS
Purpose and Discussion:
Program responsibility for the progress of a project does
not end with the grant offer. Rather, the reviewer must know the
day-to-day status of the project to insure that it is completed in
accordance with the approved schedule. Also, he must insure that
the applicant is aware of the administrative and technical
considerations to be included in the plans and specifications.
Procedures:
Shortly after acceptance of a Step 2 grant, the reviewer
should:
1. contact the grantee and his consultant to
make known the kinds of advice and assistance
available from the State and EPA during the
preparation of the plans and specifications;
2. forward to the grantee and his consultant the
administrative and technical considerations
to be incorporated into the plans and specifi-
cations, including 40 CFR 35.936, .938, .939
and Appendix C-2;
3. arrange for a predesign conference.
V-10
-------
H. PREDESIGN CONFERENCE
Purpose and Discussion:
EPA, in conjunction with the State agency, should assume
responsibility for insuring that the plans and specifications are
prepared in accordance with sound engineering practice and regulatory
requirements. Because of the complexity of these requirements, a
predesign conference betwaen the grantee, his consultant, the
State and EPA is strongly urged, whenever practicable.
The predesign conference, which may be held with one or
more grantees, promotes careful planning and coordination and insures
the timely completion of_the various phases of a project. In some
cases, the review of plans and specifications may be delegated to a
State. In such cases, the State is responsible for the predesign
conference arrangements. For the other cases, the regions are
encouraged to develop formats for the predesign conferences. The
formats may then be tailored to the individual staffing resources
of the States and the needs of the applicants.
Procedures:
Shortly after acceptance of a Step 2 grant, but prior to
the preparation of plans and specifications, the reviewer should
arrange a predesign conference with the grantee, grantee's
consultant and State agency. Suggested subjects to be discussed
include:
1. the legal requirement for inclusion of and
provisions for carrying out the bidding
procedures described in 40 CFR 35.936, .938,
.939 and Appendix C-2;
2. the technical requirements of the design to
insure that the project will meet effluent
limitations per NPDES permit and will be
designed in accordance with sound engineering
practice;
Re: 40 CFR 35.925-7
V-ll
-------
3. additional requirements, as applicable, for
detailed design reports beyond that submitted
with the facility plan. Possible examples are:
- loading rates and sizes of various
components of the plant;
- design computations for sewers, including
slopes and capacities;
- system head curves for pumping stations,
indicating number and capacity of pumps;
- other detailed design reports which the
particular project may require;
4. pretreatment design requirements and scheduling,
as applicable, for industrial dischargers;
Re: 40 CFR 35.925-15
5. design considerations or investigations
resulting from the environmental assessment
or environmental impact statement. Possible
examples are:
- a soil erosion plan;
- a traffic control plan;
- archaeological investigations;
Re_: 40 CFR 35.925-8
6. design requirements arising from executed
agreements between jurisdictions;
Re: 40 CFR 35.917-6
7. force account requirements, as applicable;
Re: Program Guidance Memorandum, PG-34, 5/7/74
8. phasing of contracts;
Re_: Program Guidance Memorandum, PG-33, 5/10/74
V-12
-------
9. flood protection insurance requirements, as applicable;
Re: 40 CFR 30.405-10
Program Requirements Memorandum, PPM 75-28 (PG-54),
7/8/75
10. records to be maintained during design and construction,
separating eligible and ineligible items;
Re: 40 CFR 30.805, 35.940
11. site certification requirements, if not previously satisfied;
Re: 40 CFR 35.920-3 (b)(4), PRM 77-6, 5-4-77
12. future requirements for
- the user charge and industrial cost recovery system;
- a sewer use ordinance;
- an evaluation/rehabilitation program, as applicable;
- an operation and maintenance program, including O&M
manual, staffing and training;
Re: 40 CFR 35.935-12, -13, -16
13. requirements for submission of project status reports
and requirements for periodic inspections and audits,
as necessary, for large or complex projects;
Re: 40 CFR 30.635, .820
14. requirements for construction contracts to conform with
the standardized format, "Contract Documents for
Construction of Federally Assisted Water and Sewer
Projects", and that such eontracts may not include
escalation clauses;
Re: Program Requirements Memorandum, PRM 75-4 (PG-17A), 4/15/75
PRM 75-2S (PG-44), 12/19/74
Revised: TM 78-1
V-13 'December 1977
-------
15. use of value engineering in the design phases
of the project;
Re: Program Requirements Memorandum, PRM 75-30
(PG-57), 9/8/75 and PEM 75-36 (PG-62), 1/20/76
16. possible benefits from the use of construction
management.
The reviewer should provide the grantee with guidelines,
instructions, booklets, or other publications which describe specific
requirements in detail.
I. REVIEW OF PLANS AND SPECIFICATIONS
Purpose:
To insure that the project to be built will satisfy effluent
and statutory requirements.
Discussion:
Depending upon the complexity of the project, periodic
reviews and inspections will have been carried out during the prepara-
tion of the plans and specifications and changes or modifications, if
required, will have been made. The set of plans and specifications
submitted for final review should reflect all changes and be suitable
for bidding purposes.
The review procedures are both administrative and technical.
The technical review procedures are broad in scope and each region is
encouraged to pattern its own review procedures to account for State
or local design practices and requirements. Although not specifically
required, the use of a checklist such as the "Program Checklist for
Engineering Drawings, Specifications, and Engineering Reports",
Appendix C, is recommended.
Revised: TM 76-1
August 1976
V-14
-------
Review Procedures:
a. Administrative Review
The following six items must be included in the
bidding documents:
(1) a statement of work, including drawings
and specifications, and the required
completion schedule;
(2) the terms and conditions of the contract
(40 CFR 35.938-8);
(3) an explanation of the method of bidding;
the method of evaluating the bid prices,
and the basis for the award of the contract;
(4) the criteria for evaluating bidders;
(5) the standard statement concerning the
funding of the project by EPA;
(6) a copy of 40 CFR 35.936, 35.938 and 35.939.
In addition to the above six items, the reviewer is to
insure that the specifications include the following provisions:
(1 ) Supplemental General Provisions
Appendix C-2 of 40 CFR Part 35 which
includes requirements for:
- audit: access to records
- price reduction for defective
cost or pricing data
- contract work hours and safety
standards
- equal employment opportunity
- utilization of small and minority
business
- covenant against contingent fees
V-15
-------
- anti-kickback
- gratuities
- patents
- copyrights and rights in data
- clean air and water clause
(2) Equal Employment Opportunity
The EEO provisions must be followed where contracts
are greater than $10,000. In areas having a home-town or an imposed
plan, the contract specifications must contain the specific provisions
of the plan as published by the Secretary of Labor in the Federal
Register. Home-town plans are agreements reached among the local
contractors, trade unions, minority groups and governmental agencies,
which are approved by the Secretary of Labor, and contain the goals for
the hiring and training of minority groups. Imposed plans likewise set
forth minority hiring and training goals; however, such goals are not
reached by agreement, but imposed by the Department of Labor.
In either instance, the reviewer should insure that
the applicable plan is contained in the specifications.
In non-plan areas, contractors will be required to
comply with the provision of Executive Order 11246 and engage in
affirmative action directed at promoting and insuring EEO in the work
force used under the contracts.
When the cost of the construction is estimated to
exceed a ceiling amount specified by the Regional Administrator, the
contracts may require special provisions. The reviewer, in such cases,
should contact the Civil Rights and Urban Affairs Office within the
EPA regional office for specific instructions.
R£: 40 CFR 35.935-6
40 CFR Part 8
V-16
-------
(3) Davis-Bacon Act
The provisions of the Davis-Bacon Act must be
included in contracts exceeding $2,000. These Provisi°n^^eb
payment of prevailing wages for the various trades as determined by
the Secretary of Labor.
Prevailing area-wide rates are published weekly
in the Federal Register. For individual projects not included in
areas with area-wide wage rate determinations, the Regional Office will
obtain a wage rate for inclusion in the specifications.
Modifications to area-wide wage rate determinations
are to be included in the bidding documents provided they have been
published 10 days prior to the bid opening date. .M°d^!"^°n^° are
individual project determinations are to be included provided they are
received in the Regional Office 10 days prior to bid opening.
The reviewer is to insure that the current wage
rate determination is included in the bidding documents or that
provisions for inclusion have been made.
Re_: 40 CFR 30.403, .415
(4) Flood Insurance
For projects requiring flood insurance (see
Chapter VI E.4.a. of this Handbook) make certain that the contractor is
required to obtain the necessary flood insurance during construction.
(5) Bonding
For contracts in excess of $100,000, the following
minimum bonding and insurance requirements must be met:
5% bid bond; Grantees may not require bid
guarantees greater than 5% or that a specific form
d>f bid guarantee be used unless required by State/
local law.
- 100% performance and payment bond;
- fire and extended coverage workmen's
compensation, public liability and property damage,
and "all risk", as required by local or State law;
- flood insurance, as applicable, during construction.
Revised: TM 78-1
V-17 December 1977
-------
For contracts less than $100,000, bonding and
insurance requirements shall be in accordance with local or State
practices.
b. Tec hn i ca 1 Review:
The technical review of the plans and specifications is
carried out to insure that the proposed facilities, if constructed in
accordance with the plans and specifications, will achieve the effluent
limitations or water quality standards required by the NPDES permit.
The review is also to insure that sound engineering design principles
are employed, primarily regarding process considerations. Structural,
electrical, and mechanical details of the design are not critically
reviewed because they are the responsibility of the engineer whose seal
appears on the drawings. However, obvious irregularities should be noted.
The technical review should evaluate the plans and
specifications according to the criteria in "Program Checklist for
Engineering Drawings, Specifications, and Engineering Reports" (see
Appendix C) to the extent appropriate for the particular project and
State requirements. The following are examples of items which should be
reviewed.
(1) Safety Precautions
The requirements of the Occupation Safety and Health
Act (OSHA) must be fulfilled;
(2) Mitigative Measures
Plans and specifications must be compared with
mitigative measures required by the environmental assessment or impact
statement. Examples might be soil erosion control, hours of operation,
backfilling and seeding, structural design for buildings in a flood
plain, etc.
(3) Bypassing
Construction is to be carried out so as to prevent
bypassing of flows during construction, where possible.
(4) Project Sign
Contractor is required to provide a project sign in
accordance with the drawing shown in Appendix B.
V-18
-------
(5) Reliability and Flexibility
The proposed facilities must be reliable and
provide for flexibility in operation. This may be accomplished, for
example, by requiring standby power, by providing for bypass of
individual plant units, by providing pumping capacity sufficient to
operate the plant with the largest pump out of service, etc.
(6) Operation and Maintenance
All equipment, piping, switches, instruments, etc.
are to be clearly marked for ease of identification and location for
operation and maintenance.
(7) Public Hater Supply
All public water supplies are to be protected by
adequate backflow preventers (for example, double check valves, air
gap).
(8) Chemical Storage
All chemicals are to be properly stored and curbed
to hold the entire volume in the event of an accidental spill. Also,
adequate safety protection gear is to be provided, with proper storage,
for plant personnel.
Re_: Technical Bulletin No. 0-71-1, 10/15/71
(9) Ventilation
Adequate ventilation is to be provided in all areas
where necessary (for example wet well, dry well, chlorine room, chemical
storage area, etc.).
(10) Laboratory Facilities
The laboratory facilities must be adequate to conduct
the type of sampling and testing required by the NPDES permit or by the
State agency.
or dangers.
(11) Emergency Alarms
Adequate alarms are to be provided to warn of failures
V-19
-------
(12) Use of Mercury
Mercury is not to be used for trickling filter
seals. Other uses of mercury require special review and approval.
Re: Technical Bulletin No. D-71-2, 10/15/71
(13) Sewers
Acceptable levels of infiltration and test therefor
are included; sewers should maintain minimum scouring velocities and
have adequate capacity, including peaking factors.
(14) Equipment
Except where based upon performance specifications
at least two trade names must be specified for all major items of
equipment.
Re: Program Guidance Memorandum, PG-19A
40 CFR 35.936-13(a)
(15) Shellfish Waters
Where discharges will come into contact with
shellfish waters, appropriate measures must be included to protect the
shellfish.
Re: Technical Bulletin, Protection of Shellfish
Waters, EPA 430/9-74-010, July 1974
(16) Pretreatment
Where applicable the design must be in accordance
with the requirements for pretreatment of incompatible industrial wastes.
Re: 40 CFR 35.925-15
V-20
-------
c. Plan and Specification Approval
Upon approval by EPA of the plans and specifications,
the grantee and State agency are to be so notified. The notification
will generally be in the form of a letter and should contain any special
conditions resulting from the review which would be imposed on the
applicant upon application for a Step 3 grant. The approval notice
should specifically remind the applicant not to advertise for bids until
after applying for and receiving a Step 3 grant. He should also be
reminded that the EPA is not obligated to award a Step 3 grant for the '
project.
V-21
-------
CHAPTER VI
STEP 3 GRANT PROCESSING
A. Introduction
B. Schematic Flow Diagram
C. Application Contents
D. Plans and Specifications Approval
E. Administrative Review
F. Grant Award Procedures
G. Procurement of Construction Contracts
H. Preconstruction Conference
I. Monitoring of Construction Activities
-------
A. INTRODUCTION
This chapter describes the contents of and review procedures
for processing of a Step 3 grant application. It begins with the
receipt of the application and concludes with the start-up of the
completed facilities.
Section B, Schematic Flow Diagram, visually places this chapter
in the proper sequence and indicates the major activities of the
Step 3 application and review.
Section C, Application Contents, provides a quick ready listing
of the materials which are contained in an application package for
a Step 3 grant.
Section D, Plans and^Specifications Approval, restates the
requirement for approved plans and specifications as a part of the
Step 3 application.
Section E, Administrative Review, describes the procedures
involved in reviewing priority list compliance and certification,
application form, contracts and subagreements, assurances, and
institutional arrangements.
Section F, Grant Award Procedures, describes the action required
on the part of EPA in making the grant offer.
Section G, Procurement of Construction Contracts, describes the
procedures involved in the authorization to advertise for bids, review
of bids, grant increase/decrease, protests, and authorization to award
contracts.
Section H, Preconstruction Conference, describes the administrative
and technical considerations to be discussed with the grantee relative
to construction activities.
Section I, Monitoring of Construction Activities, describes the
procedures involved in the execution of change orders and on-site
inspections, and the review of the user charge, industrial cost recovery
and operation and maintenance programs.
VI-1
-------
B.
SCHEMATIC FLOW DIAGRAM
The flow diagram below visually places this chapter in the proper
sequence and indicates its relationship to other chapters. The diagram
includes the general functions of the Step 3 grant process as performed
by the applicant, State and EPA.
1
construc-
tion
Conference
\
\
r— -^
w
-p
o
4J
G
*3
(0
VI-2
-------
C. APPLICATION CONTENTS
Below are listed the basic items to be included in an application
package. The items are listed here for quick reference, while the
review procedures for each item are described later. The reviewer is
to make a cursory review to insure that all items are included, that
all applicable portions of the forms are completed and that the documents
are signed by the appropriate officials. If items are missing or
explanations are necessary, the State is to be contacted but the
reviewer is to proceed as far as possible to insure quick action once
the corrections are made.
1. Plans and Specifications (2 sets)
2. State Priority Certification, EPA Form 5700-28
3. Application, EPA Form 5700-32, including authorizing
resolution and site certificates.
4. Proposed subagreements or explanation of method of
awarding proposed subagreements.
5. Evidence of compliance with the Flood Disaster Protection
Act and the Sewer Use Ordinance requirements.
6. Sewer System Rehabilitation Scheduling, where applicable.
7. Institutional Arrangements (service agreements in
multijurisdictions).
8. Schedule for compliance with Operation and Maintenance
requirements.
9. Payment Schedule (refer to Chapter VII).
10. Evidence of progress in developing user charge system.
Re: 40 CFR 35.920-3(c), .925-3, -10, .927-2, -1
40 CFR 30.315, .405-10
VI-3
-------
D. PLANS AND SPECIFICATIONS APPROVAL
The review of plans and specifications is described in Chapter V
of this Handbook. The applicant has been notified that the plans and
specifications are approvable, and should have been informed of any
missing forms or documents which must be included in the final bidding
documents. The reviewer should confirm this by examining the project
file. The applicant is responsible for submitting 2 sets of the plans
and specifications, including all required documents, as a part of the
Step 3 application. In particular the applicant should be informed
of the requirement for inclusion of the latest wage rate determination
in accordance with the Davis-Bacon Act.
E. ADMINISTRATIVE REVIEW
1. Priority List Compliance and Certification
Purpose:
The State agency is required to certify each project as
entitled to priority for a grant in accordance with the State priority
system and resulting project priority list.
Discussion:
Chapter II discusses the State priority system and list.
Once the system and annual list have been approved by EPA, each project
is certified by the State as being entitled to priority for a grant over
all other projects below it on the priority list (EPA Form 5700-28, see
Appendix B).
If the project being certified is for a grant increase due
to cost overruns, the applicant and State are subject to special conditions
described in Chapter II, B-2 State Priority System and List, and B-3
Funding.
Only projects which have been certified by the State as
entitled to priority for Federal assistance may receive grants.
VI-4
-------
Review Procedures:
Review State Priority Certification and determine that:
a. the name, project number and description
of project agree with the application, form
5700-32, and the approved State priority list;
b. the form includes the signature of the
authorized State official;
c. the award of grant assistance for the project
will not exceed the State's allotment,
including reallotments;
d. the award of grant assistance will not jeopar-
dize the funding of any projects of higher
priority.
Re_: 40 CFR 35.915, .917-2, .920-2, .925-3, .925-4
Program Requirements Memoranda (PG-33) 5/10/74; PRM 75-14
(PG-46) 1/17/75;
2. Application Form
Purpose:
EPA Form 5700-32 serves as the formal application
document and sets forth the information necessary to qualify for a
construction grant. Additionally, the application contains "assurances"
from the applicant which are necessary to satisfy statutory requirements.
Discussion:
The application for a Step 3 grant is submitted by the
authorized representative of the jurisdictions included in the approved
facility plan. The applicant must have the legal authority to finance,
construct, operate and maintain the proposed wastewater treatment facilities.
The application form is used to request initial grants,
amendments, and supplemental grants. The form (see Appendix B) contains
instructions for completion of each of the five parts. Part II, Section B
must be completed for a Step 3 grant and must be accompanied by site
certification from legal counsel indicating the applicant's interest in
the project site and ability to obtain any required easements or rights-
of-way.
Revised: TM 78-1
December 1977
VI-5
-------
Part III, Section D, concerns the applicant's proposed
method of financing the non-federal share of the project, in accordance
with P.L. 94-488, revenue sharing funds can be used to meet the applicant's
share of the cost of the project. In certain cases involving sewage
collection systems (not treatment plant nor intercepting sewers), the
applicant may use Community Development Block Grant Funds as the community's
local share. In these cases the reviewer should contact the regional DHUD
office for specific limitations.
The grant request should not include costs for pretreatment
of incompatible industrial wastes, nor costs for treatment of wastes
originating from Federal installations (excluded from allowable costs).
The statutes require that the applicant comply with related
laws and regulations and give other assurances. Many of these requirements
are satisfied for a Step 3 grant when the applicant signs the application
and thereby assures and certifies that he will comply with the requirements.
However, additional evidence of compliance with some of these assurances is
required from the applicant (see Section E.4). A copy of the authorizing
resolution designating the official to act as the representative of the
applicant (Part V, item 1 of the application form) must be included with
the application. Any subsequent changes in the authorized official must also
be documented by a copy of the resolution authorizing the change.
Review Procedures:
Review the application form and determine that:
a. the name, project number, and description
of the project and the amount of the grant
request agree with the State Priority
Certification Form 5700-28 and the approved
State Priority List;
b. the form is signed by the authorized
representative and a copy of the authorizing
resolution is attached;
c. the certification of project site interest
and the status of easements and rights-of-way
is included;
Revised: _TM 78-1
December 1977
VI-6
-------
d. information regarding the project location,
entities involved and cost data corresponds
to that in the Summary of Costs of Planned
Treatment Works Scheduled by Project and
Category;
e. all items in the application are complete or
marked not applicable (NA);
f. Part V, Assurances is included with the
application. If not, properly signed form
must be obtained.
g. force account work must be properly identified.
NOTE: Particular emphasis is placed upon review
of Part III, Section D, Proposed Method of
Financing Non-Federal Share, to insure that
the applicant can fully fund his share of
the project costs and that revenue sharing
funds will not be used to match those costs
eligible for EPA grant assistance (if
Community Development Block Grant Funds are
to be used, contact DHUD);
Re: 40 CFR 30.315
40 CFR 35.920-2, .920-3(c), .925-15, .925-16
P.L. 94-488
31 CFR Part 51, Department of Treasury
3. Contracts and Subagreements
Purpose:
Contracts or subagreements for personal or professional
services are submitted by the applicant and reviewed by both the State
and EPA to insure that the scope and nature of the proposed services are
sufficient to result in approvable facilities and that the fees and
schedules are reasonable.
Revised: TM 78-1
December 1977
-------
Discussion:
The personal and professional services covered by the
subagreements at the time of Step 3 application submission are generally
the consulting engineering services. The regulations state that the
application shall include proposed subagreements or an explanation of
the intended method of awarding subagreements for performance of any
substantial portion of the project work.
Also, the regulations require that any such subagreements
or lower tier subagreements include an "access" clause allowing the
State or EPA access, at reasonable times and places, to the work or
records. The "access" clause is applicable to subagreements or lower
tier subagreements in excess of $10,000.
The detailed requirements of and procedures for procuring
personal or professional services appear in 40 CFR 35.946, .937.
Subagreements in which the fee is a percentage of construction costs are
not acceptable nor are cost multiplier contracts where profit is included
in the multiplier.
Review Procedures:
Review the agreement(s) and determine that:
a. the grantee has complied with 40 CFR 35.936
and .937;
b. the scope of work is sufficient to construct
approvable facilities;
c. completion schedules are reasonable and in
agreement with the plans and specifications.
Re: 40 CFR 35.920-3(c), .935-7, .936, .937, Appendix D.
40 CFR 30.605
4. Assurances
In addition to the assurances contained in Part V of the
application form, the applicant is to comply with the additional procedures
listed below:
VI-8
-------
Flood Disaster Protection Act of 1973 -
To determine if a community is required to
participate in the flood insurance program,
consult the Federal Register of
June 25, 1975, pages 26740-26756, and the
weekly updates thereto as published in
the Register, or consult the regional DHUD
office. If the community is eligible for
participation and if the project contains
structures, each of $10^000 or
more in value, the applicant is to furnish
evidence that it is participating in the
program and a letter of intent that it
will obtain the required insurance both
during construction and for the useful
life of the project.
Structures that must be insured are new
or reconstructed surface structures which
are walled and roofed (control building
or pumping station for example). I terns
which are not eligible for insurance are
sewers or other facilities not likely to
be damaged in the event of flooding.
Projects outside the flood hazard areas
or in areas not yet delineated by DHUD
need not obtain flood insurance.
Communities have until one year after
notification of identification as a
flood-prone area to meet the flood
insurance requirement.
Re: 40 CFR 30.405-10
Pro gram Requirements Memorandum s PRM 76-5, 8/16/76
b. Sewer Use Ordinance - The applicant must submit
a current sewer use ordinance or a letter of
intent that such ordinance will be enacted before
completion of the project. The sewer use
ordinance must prohibit new sources of inflow
(illegal connections from sump pumps, foundation
drains, roof leaders, etc.) from being connected
to the sewer system and require proper design and
construction techniques for new connections. It
must also require pretreatment of toxic or
incompatible industrial wastes prior to discharge
into the system.
Re: 40 CFR 35.927-4, .925-15 Revised: TM 77-1
December 1976
VI-9
-------
5. Operation and Maintenance Scheduling
The applicant must provide evidence that he will comply
with the requirements for the efficient operation and maintenance
of the proposed facilities. This involves the submission of an
O&M manual, development of emergency procedures, use of properly
trained staff, and provision of adequate budget, operational
reports and adequate laboratory testing. Grant payments will be
limited until these items are submitted by the applicant for
review and approval by EPA.
At the time of the Step 3 application, a schedule which
shows the time of submission of the required documents to EPA is
satisfactory evidence that the applicant will comply with the O&M
requirements. The schedule may also show when the operating
personnel will be hired. Many states have adopted specific programs
for O&M and the reviewer should be familiar with the requirements
of the particular state.
Re: 40 CFR 35.920-3(a), .925-10, .935-12
6. Sewer System Rehabilitation Scheduling
Where the scope of the Step 3 grant includes sewer system
rehabilitation, the applicant must submit a schedule for completing
the rehabilitation program. Because the applicant is required to
comply with the schedule for sewer system rehabilitation in order
to receive full grant payment, the schedule must be reasonable for
the work involved. It is desireable that the rehabilitation program
be completed prior to completion of the plant. However, the
rehabilitation program may continue beyond the scheduled start-up
provided that the unfinished rehabilitation work will not have an
adverse affect on the operation of the plant.
Re: 40 CFR 35.927-5(c), .935-16, .927-3
7. Institutional Arrangements
The applicant must have proper jurisdictional control over
all political entities within the service area to insure the adoption
of user charges, cost recovery systems, and sewer use ordinances and
to insure full implementation of the sewer system rehabilitation
program (where applicable). The control will normally be in the form
of signed service agreements between the applicant and each contributing
municipality specifying the obligations of all parties for compliance
with the applicable statutory and regulatory requirements.
Re_: 40 CFR 35.917-6
VI-10
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F. GRANT AWARD PROCEDURES
Procedures for a Step 3 grant award are identical with those
for a Step 1 award, as shown in Chapter IV, pages 14 and 15, insofar
as items 1 through 4 are concerned. Item 5 for a Step 3 grant follows:
5. Grant Agreement/Amendment
Purpose:
The Grant Agreement/Amendment (EPA Form 5700-20) serves as
a formal document of agreement between the U.S. Government and the
applicant, and constitutes a legally binding contract when executed.
Procedures:
EPA Form 5700-20 (see Appendix B) is completed by the
Regional Office based upon the information submitted in the application
package, including any subsequent changes. The agreement must define
the scope of the project. Modifications to grant amounts, scope of
work or other items are made on the basis of the review process.
Special conditions of the grant are included in Part III b. These
special conditions may be based upon clearinghouse comments, requests
from the State agency or conditions unique to the project.
The grantee must complete certain regulatory requirements
before full grant payment may be made. Because these requirements are
so important, and to avoid oversight on the part of the applicant, they
may be included in the grant agreement as "special conditions". These
are:
a. User Charge/Industrial Cost Recovery Systems -
No more than 50$ of the Federal share of the
Step 3 grant may be paid until the grantee has
submitted evidence of the timely development of
the UC/ICR systems, and no more than 80% may be
paid until the systems are approved.
b. O&M Manual - No more than 50% of the grant may
be paid until the draft manual has been submitted
or evidence of compliance has been received, and
no more than 90% may be paid until a satisfactory
O&M manual has been furnished.
VI-ll
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c. Sewer Use Ordinance - No more than 80% of the
Step 3 grant may be paid until the sewer use
ordinance(s) is approved.
d. Rehabilitation Program - No more than 80% of
the grant may be paid until compliance with
the rehabilitation program (if required)is
achieved.
The grant agreement/amendment is not sent to the applicant
until five working days after the signing by the Regional Administrator
in order to allow for necessary congressional notification. The
applicant is given three weeks to accept the grant offer and to return
the signed grant agreement/amendment to EPA.
The individual signing the grant agreement/amendment must be
the authorized representative as shown on the application form. Any
changes must be documented through a resolution by the jurisdictions
involved.
Re_: 40 CFR 35.935-12, -13, -16
NOTE :
It is imperative that the preconstruction phase of Step 3 projects
be carefully managed to minimize the lag time between award of the
Step 3 grant and initiation of construction. The status of this phase
is reported by periodic Regional updating of the ^reconstruction informa-
tion in the Grants Information and Control System.
It should be borne in mind that 40 CFR 35.935-9 requires that the_
Regional Administrator terminate a grant if construction is not initiated
within one year after award of the Step 3 grant The termination date may
be extended for a maximum period of six months if the Regional Administrator
determines that such an extension is justified. Further extension^is
possible only upon formal waiver of the appropriate provisions of 35.935-9.
Re_: 40 CFR 35.935-9
40 CFR 35.1000
Revised: TM 78-1
December 1977
VI-12
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J»
G. PROCUREMENT OF CONSTRUCTION CONTRACTS
1. Authorization and Formal Advertising for Bids
Discussion:
Once the grantee has accepted the grant offer, EPA
may authorize advertising for bids (completed and approved bidding
documents, including plans and specifications, were a part of the
Step 3 grant application). While the approved bidding documents
contain the necessary requirements for formal advertising
(35.938-4), the letter authorizing the grantee to advertise for
bids should reemphasize and briefly remind the grantee of these
requirements and the procedures to be followed after receipt of bids.
Procedures:
Immediately after acceptance of the grant offer,
the reviewer should prepare a letter to the grantee:
a. authorizing him to advertise for bids
in accordance with regulations;
b. indicating the documents to be submitted
and procedures to be followed after
receipt of bids (see item 2 following
for list of documents);
c. warning him not to award contracts until
receiving authorization to do so is
received from EPA.
d. reminding grantee that while rejection of all
bids is possible, such action may be taken only
with prior EPA concurrence and only for good
cause.
Revised: TM 78-1
December 1977
VI-13
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2. Review of Bids
Purpose and Discussion:
A review of the bids, bidding procedures, and
accompanying documents is made to insure compliance with applicable
laws and regulations and to insure that contracts will be awarded to
the lowest responsive, responsible bidder.
Review Procedures:
The following documents are to be submitted and
reviewed prior to authorizing award of construction contracts.
a. a certified tabulation of all bids
received;
b. two copies of the proposal form and
bonds from the successful bidder;
a statement from the authorized
official giving the names of the
bidders to whom the grantee wishes
to award contracts and the amount
of each contract;
d. proof of advertising indicating the
circulation dates and time for receipt
of bids;
e. a copy of each addendum issued during
the bidding period and acknowledgement
of its receipt by the successful bidder;
f. signed copies of the certification by
the contractors regarding compliance
with a home-town or imposed plan, as
applicable;
VI-14
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if award is to be made to other than
the low bidder, a justification from
the applicant indicating why the low
bidder is not responsive or responsible;
h. a revised cost estimate, as necessary
(see suggested cost breakdown format,
Appendix B);
i. other documents showing conformance
with applicable State and local laws
and ordinances.
Re_: 40 CFR 35.935-4, .938
3. Grant Increases/Decreases
Discussion:
The grant amount is adjusted, as appropriate, after
receipt of bids to more accurately reflect project costs.
Procedures:
a. Grant increases - if the bids exceed the estimated
construction costs and the excess costs cannot be covered by the
contingency allowance, and if the grantee wishes to award the contracts
on the basis of these increased costs, he must request a grant increase
through the State agency. The State must submit a statement to EPA
authorizing the grant increase. A contingency allowance (generally
between 3 and 5 percent of construction costs) is to be included in
the revised project costs to allow for change orders, overruns, etc.
Grant increases require a revised grant agreement/amendment, the
updating of the GICS, and Congressional liaison notification if the
increase exceeds $10,000. Refer to Chapter VII, E., Increases and
Decreases, for specific procedural instructions.
VI-15
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b. Grant decreases - if the bids are less than the
estimated construction costs contained in the Step 3 application,
the grant is to be reduced accordingly but should continue to include
a contingency allowance (generally between 3 and 5 percent of
construction costs). Grant decreases require a revised grant
agreement/amendment and the updating of the GICS. Refer to Chapter
VII, E., Increases and Decreases, for specific procedural instructions.
c. Contingency adjustment - regardless of whether a
grant increase or decrease is appropriate, the contingency allowance
noted in the Step 3 grant application should be adjusted after bids
have been received. Common practice has been to allow a ten percent
contingency allowance for a Step 3 grant request but to adjust the
allowance to between 3 and 5 percent of the construction costs after
receipt of bids. Should the contingency adjustment result in a need
for a grant increase or decrease, follow the procedures in a. or b.
above.
Re_: 40 CFR 35.915(g), (h)
40 CFR 30.900-1
Program Guidance Memorandum, PG-41, 10/16/74
4. Protests
Discussion:
In the award of contracts, many individuals and firms
have a vested interest in the decision as to who will receive the
construction contract. If the proposed award is not in favor of their
particular interests, they may choose to protest the award. In such
instances, the protester must take his grievance to the grantee for
initial resolution. In turn, the grantee must advise EPA of the
protest, the basis therefor, and his proposed method of resolution.
If the protester is dissatisfied with the decision of the grantee
and feels that Federal law will be violated by the proposed award, he
may ask the Regional Administrator to review the grantee's decision.
The award of contracts is subject to an immense body
of laws and regulations and often involves sensitive legal issues.
Therefore, the construction grants reviewer should consult the Regional
VI-16
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Counsel when he learns of a protest or of an action which may lead
to a protest in order to obtain advice as to any steps he should
take relative to the protest. Early consultation with Regional
Counsel is particularly important when a proposal is made for award
of the contract to other than the low bidder or when an attempt is
made to withdraw a low bid.
Review Procedures:
The construction grants reviewer must exercise
caution in handling protests, especially with regard to commenting
on the nature of the protest or recommending courses of action.
Accordingly, the reviewer should:
Assure that the protest is taken up
with the grantee as a first means of
resolution. Any comments to the grantee
or protester at this time should be
limited to procedural requirements.
2. If the protester is dissatisfied with
the grantee's decision on his protest,
assure that the protest is referred to
the Regional Office with the protester's
statement as to what Federal law or
regulation would be violated by the
proposed award and any comments the
grantee wishes to submit.
The reviewer, in consultation with Regional Counsel,
will decide if the protest is valid or without merit and so advise
the Regional Administrator. If it is decided that the protest is
without merit and the Regional Administrator concurs, the protest
may be dismissed without further proceedings. If the protest appears
to have some merit, Regional Counsel is responsible for coordinating
actions as prescribed in 40 CFR 35.939 to resolve the matter. The
reviewer should assume the lead role in gathering data necessary to
a final decision and in assuring timely resolution of the protest.
Re: 40 CFR 35.939
VI-17
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5. Authorization to Award Contracts
Discussion:
After reviewing the bids and determining that all
regulatory requirements have been satisfied, the grantee is given
authorization to award contracts. This authorization is in the form
of a letter and should contain instructions for arranging a pre-
construction conference with the grantee, his resident inspector,
the State agency, the successful contractor and a representative of
EPA.
H. PRECONSTRUCTION CONFERENCE
Purpose:
The preconstruction conference is held to identify
and clarify the responsibilities of the grantee (and his consultant,
where appropriate), the contractor, the State and EPA.
Discussion:
Preconstruction conferences are not mandatory but are
to be encouraged wherever possible. The conferences may be called
at the request of the State, the grantee, the contractor or EPA.
EEO may also hold separate preconstruction conferences to discuss the
equal employment opportunity responsibilities of each party. The
subject matter to be discussed at the preconstruction conference may
vary from project to project but should address the responsibilities
of each participant. The procedures below list several areas which
might be discussed at the conference.
Procedures:
Suggested subjects to be discussed at preconstruction
conferences include:
VI-18
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a. the responsibilities and authority of
the grantee, the contractor, the
resident inspector, the State and EPA;
b. compliance with State and local laws
and ordinances;
Re: 40 CFR 35.935-4
c. compliance with Davis Bacon and related
laws concerning the posting and payment
of minimum wage rates;
Re: 40 CFR 35.935-5, 30.415
d. equal employment opportunity requirements;
Re: 40 CFR 35.935-6; 40 CFR Part 8
e. access to the work site and records;
Re: 40 CFR 35.935-7
f. requirements for adequate engineering
supervision and inspection during
construction;
Re: 40 CFR 35.935-8
g. payment documents, requests and procedures
for filing;
Re: 40 CFR 35.945
VI-19
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h. project changes, including time of
completion, change orders, change in
project scope or grant amount;
Re: 40 CFR 35.935-9, .935-11, .938, .955
i. interim and final inspections by the
State and/or EPA;
Re: 40 CFR 35.935-14
j. records to be maintained by the grantee,
the inspector, and the contractor and
the auditing procedures;
Re_: 40 CFR 30.805, .820
k. requirements for timely submission of
- a user charge system
- an industrial cost recovery system
- a sewer use ordinance
- an operation and maintenance manual
- a plan of operation
Re: 40 CFR 35.935-12, -13, -16
1. archaeological or historical resources
requirements, as applicable;
Re: 40 CFR 6.214
VI-20
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m. mitigating measures to be employed
during construction, as recommended
in the environmental assessment and
contract documents.
Re_: 40 CFR 6.512(a) (6)
I. MONITORING OF CONSTRUCTION ACTIVITIES
1. Change Orders
Purpose:
A change order is the customary method of modifying
the construction contracts after work has begun and may result in
cost increases/decreases or other project changes.
Discussion:
During the course of construction, it may be necessary
to make changes in the project which require a modification of the
construction contract. The project changes may result from minor
errors in the plans and specifications or consist of emergency changes
required to protect life or property. Prior approval by EPA of minor
or emergency change orders is not required.
Project changes which will alter the design
or scope of the project; the type of treatment; the location,
size, capacity or quantity of any major component; or which require
additional Federal funds must receive the prior approval of the State
and EPA before being executed. Approved change orders resulting in
construction cost increases are ordinarily paid for from the
contingency portion of the total project cost. Where the change order
or combination of change orders exceeds the contingency allowance and
the grantee requests an increase in the grant amount, the procedures
in item G.3 of this Chapter are to be followed.
VI-21
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Review Procedures:
To process a change order, the reviewer should
determine that:
it includes a justification statement
from the grantee;
it identifies contract cost increase
or decrease in sufficient detail to
allow for review as to reasonableness
of the costs;
it does not include work clearly approved
in the specifications;
- it agrees with the unit price or unit
price adjustments as specified in the
contract documents;
- it has been approved by the State agency;
it does not substitute one piece of
equipment or material for another as a
means of circumventing the "or equal"
provisions of the specifications
(40 CFR 35.936-13(a));
if it alone or in combination with other
change orders exceeds $100,000.00, the
grantee has negotiated with the contractor
and costs are fully detailed and documented
in accordance with 40 CFR 35.938-5(d);
if it results in a request for a grant
increase or decrease, the procedures in
section G.3 of this chapter are followed.
VI-22
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Upon review and approval of the change order, the
grantee is notified of such approval in writing and is authorized
to execute the change order.
Re: 40 CFR 35.935-11, .938-5, .955
40 CFR 30.900-1
PG 17A, Contract General Provisions, Sec. 14
2. On-Site Inspections
Purpose:
On-site project inspections are made to insure that
the project is being managed properly, is on schedule, and is being
constructed in accordance with approved plans, specifications and
change orders.
Discussion:
On-site project inspections are made during construc-
tion (interim) and at the completion of construction. The frequency
of interim inspections will depend upon the size and complexity of the
project. Interim inspections may be made by the State or EPA. If
made by the State, they should be coordinated with the Regional Office,
and copies of the inspection reports should be furnished to the project
officer. EPA may also utilize Inter-Agency Agreement Inspectors.
Final inspections should be made within 60 days after
being notified by the grantee that the project is complete and
operating, that the necessary operational staff has been hired, and
that the project has been accepted by the grantee. EPA has the
responsibility for conducting final inspections but usually the Federal
inspector will be accompanied by an official of the State agency.
Regional offices are encouraged to develop and use their
own inspection report forms. Appendix B includes a sample inspection
report for reference.
VI-23
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Procedures:
a. Interim inspections - the EPA or State
inspector shall determine that:
the grantee is providing competent
and adequate supervision and
inspection and is maintaining
appropriate inspector's logs;
approved plans, specifications
and change orders are available
at the project site;
construction conforms to the
approved plans, specifications
and change orders and is on
schedule;
the latest engineer's estimate
of work-in-place agrees reasonably
with the actual observed construc-
tion;
reasonable tests of materials and
equipment are being conducted and
noted in logs or reports (slump
tests of concrete for example);
equipment delivered to the site
is being properly protected and
stored;
a project sign is appropriately
displayed and identifies appropriate
agencies;
the wage rate decision is prominently
displayed and agrees with the contract
documents;
project accounting records are
maintained and they distinguish
between allowable and nonallowable
costs supported by receipts or
certified contractor invoices;
VI-24
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safety provisions are being
followed in accordance with OHSA
requirements;
any special construction techniques
or practices are being employed in
accordance with the grant agreement;
the grantee has hired the operational
staff and is providing training, as
appropriate (see O&M requirements
below);
/
the grantee is preparing an operation
anfl maintenance manual;
the grantee is preparing a user
charge and an industrial cost
recovery system, as required;
the grantee is making satisfactory
progress toward the completion of
service agreements;
the grantee is providing wastewater
treatment capability during construc-
tion;
procedure exists to call deficiencies
to the attention of the authorized
representative;
b. Final inspections - the items under interim
inspections should be considered, as appropriate,
as well as the following:
the facilities are complete, operating
and, in the case of a treatment plant,
will meet the effluent limitations
required by the NPDES permit;
the facilities conform to the approved
plans, specifications and change orders;
all equipment is operational and
performing satisfactorily;
VI-25
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appropriate operation and maintenance
staff has been hired and instructed
in the startup and operational
procedures;
laboratory facilities are complete
and sufficient to conduct appropriate
tests;
the operation and maintenance manual,
with schedule for routine maintenance
and testing, is readily available and
procedures are being carried out in
accordance with the manual;
accounting records are adequate and
will be made available for audits;
if not previously approved, the
grantee is completing a user charge
system, an industrial cost recovery
system, a sewer use ordinance or
service agreements;
industrial dischargers are pretreating
wastes as required.
Re: 40 CFR 35.935-8, -11, -14
3. Payment Conditions
Discussion:
Grant payments are discussed more completely in
Chapter VII of this Handbook. Generally, however, Step 3 grant payments
are made in accordance with the payment schedule included in the grant
agreement. The grantee is responsible for submitting a payment request
(EPA Form 2550-16) and supporting documentation. When it is received,
EPA will review it and authorize payment as appropriate.
VI-26
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The grantee is also responsible for meeting particular
conditions before he may receive full payment. These have been
mentioned in earlier parts of the Handbook but are summarized below
for the reviewers convenient reference.
Operation and Maintenance Manual - No more
than 50% of the Federal share may be paid
until a draft O&M manual is submitted, and
no more than 90% may be paid until the
manual is approved by the Regional
Administrator.
Re: 40 CFR 35.935-12
b. User Charge System - No more than 50% of
the Federal share may be paid until the
grantee has submitted adequate evidence
of the timely development of a user
charge system, and no more than 80% may
be paid until the system is approved by
the Regional Administrator.
Re: 40 CFR 35.935-13
c. Industrial Cost Recovery System - No more
than 50% of the Federal share may be paid
until evidence of timely development of
an industrial cost recovery system has
been submitted by the grantee, and no more
than 80% may be paid until the system is
approved.
Re: 40 CFR 35.935-13
Sewer Use Ordinance - No more than 80% of
the Federal share may be paid until the
sewer use ordinance(s) has been submitted
by the grantee and approved by the
Regional Administrator.
Re: 40 CFR 35.935-16
VI-27
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e. Rehabilitation Program - No more than 80%
of the Federal share may be paid until the
grantee has given evidence of complying
with a sewer system rehabilitation schedule,
where appropriate, as incorporated in the
grant agreement.
Re: 40 CFR 35.935-16
Final Inspection - Final payment may not
be made until the final inspection has
been completed and the Regional Administrator
has determined that the treatment works have
been satisfactorily constructed in accordance
with the grant agreement and approved plans
and specifications
Re: 40 CFR 35.935-14
4. User Charge System
Purpose:
The user charge system requires that users of a
treatment works will pay their proportional share of operation and
maintenance (including replacement) costs.
Discussion:
In the Step 2 application, the applicant must have
developed an approvable plan and schedule for the implementation
of a user charge system. During the Step 3 grant activity, the
applicant must show evidence of carrying out the implementation
plan in accordance with that schedule.
VI-28
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The system must fulfill the objective of distributing
the costs of O&M among all users in proportion to their waste load
contributions. Factors to be included in the calculation of charges
are the volume, flow rate and strength of the wastes of all users.
Each user, or class of users, must be charged on an equitable basis
to fairly apportion the O&M costs. An effective user charge system
will bring about operational self-sufficiency.
Where more than one political jurisdiction is included
in the project service area, the user charge system must be legally
adopted by each jurisdiction. In the first year of operation, the
user charges may be based upon past experience or reasonable estimates,
However, each year thereafter, the applicant is to review the user
charges and initiate revisions, as necessary, to reflect actual
operation and maintenance costs of the treatment works and actual
waste load contributions from each user or class of users.
No more than 50% of the Federal share of a Step 3
grant may be paid until the grantee has submitted to the Regional
Administrator adequate evidence of timely development of its user
charge system. No more than 80% of the Step 3 grant may be paid until
the user charge system is approved by the Regional Administrator.
Review Procedures:
The user charge system submission must be reviewed
to insure compliance with the following criteria:
a. the program apportions fairly the
O&M costs among all users according
to waste load or flow characteristics.
A system such as one based upon ad
valorem taxes (dependent upon taxable
property ownership) is not acceptable
because it does not adequately consider
waste characteristics. Appendix B of
40 CFR Part 35 includes acceptable
user charge system models;
VI-29
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b. the implementation of the program will
provide sufficient revenues to offset
all actual O&M costs;
c. the system will be adopted, implemented
and enforced by all political jurisdictions
within the service area of the treatment
works. Resolutions, local ordinances,
written statements or other agreements may
be accepted as evidence of compliance by
the political jurisdiction involved.
Upon review and approval of the user charge system, the grantee
is to be notified in writing of such approval and requested to submit a
certified statement of compliance once the system has been officially
imp1emented. (The letter of approval must clearly indicate that EPA
approval is solely for the user charge system or that portion of the
system which pertains to revenues for the operation and maintenance
(including replacement) of the treatment works.) Payment requests are
to be processed as appropriate.
Re: 40 CFR 35.905-26, .925-11, .935-13, Appendix B
Program Requirements Memorandum, PRM 75-19 (PG-37)
7/9/74; PRM 75-20 (PG-38), 7/16/74 and PRM 75-37
(PG-65), 3/17/76
5• Industrial Cost Recovery System
Purpose:
The industrial cost recovery system imposed by PL 92-500,
provides a means whereby industrial users of a publicly-owned treatment
works repay the proportionate Federal share of the construction costs of
the treatment works allocated to their use.
Discussion:
The industrial cost recovery (ICR) system provides a system
by which all industrial users of the treatment works will repay, over a
defined period, their portion of the Federal share of construction costs
of the works. These costs are to be recovered by the grantee over the
useful life of the treatment works but not to exceed 30 years. The grantee
is obligated to collect these payments no less often than annually
Revised: TM 78-1
December 1977
VI-30
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and to refund 50% of the total amount (plus any interest accrued)
to the U.S. Treasury annually. Of the remaining half of the recovered
funds, 80% (40% of the total) is to be used by the applicant, subject
to the Regional Administrator's approval, for the eligible costs of
expansion or reconstruction of facilities associated with the project.
And 20% (10% of the total) can be used for any purpose except
construction of industrial pretreatment facilities or rebates to
contributing industries. The system is applicable only to the Federal
share of construction costs. No Federal requirement exists for
recovery of the State or local share of costs for treatment of
industrial wastes (although State or local laws may be so enacted).
The Federal share of the cost of construction includes the Steps 1,
2 and 3 grants except the costs associated with I/I analysis and the
cost associated with sewer rehabilitation and nonexcessive I/I if
they are not attributable to industrial users.
ICR assessments are in proportion to the industrial
user's wastewater characteristics. The wastewater characteristics
may include strength, volume, delivery flow rate, and shall be
monitored according to the schedule included in the approved ICR
system. The grantee reviews the ICR system annually and adjusts ICR
payments based on the monitored characteristics. If an industrial
user discontinues use of the treatment works, its ICR payment will
cease.
(NOTE: Certain industrial users may be excluded
from ICR payments. Those are small "dry industries" and, in the
case of a plant expansion, those industrial users which have
reserved and paid for capacity in the existing plant prior to
March 1, 1973 (See ICR Guidelines).
Review Procedures:
The reviewer shall determine that the grantee has met
the following requirements in each milestone point in relation to
grant activity to develop its ICR system:
a. In the application of Step 2 or Step 3
grants:
- an assurance from applicant that he
agrees to require industrial users
to pay that portion of the grant
amount allocable to the treatment
of wastes from such users.
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- signed letters to the applicant
from each significant industrial
users indicating intent to pay its
portion of the grant amount
allocable to the treatment of its
wastes and the period of intended
use of the treatment works.
b. At the 50% level of the Step 3 grant payment:
- the identity of grantee personnel,
consultants, grantees legal
counsel, or certified public
accountants employed or retained
by the grantee to develop the ICR
system;
- a detailed schedule for completion
of all significant portions of the
ICR system (e.g., ordinances,
identification of industrial users,
etc.)
- other evidence to demonstrate that
the grantee has made timely progress
in development of an approved ICR
system.
c. At the 80% level of the Step 3 grant payment:
- a complete questionnaire, in the
form shown in Appendix A of ICR
Guidelines, which describes the
pertinent features of the ICR
system;
- a resolution or written agreement
by the grantee that it will properly
and lawfully implement all the
provisions of its ICR system;
NOTE: See ICR Guidelines for procedures on segmented
and multiple facility projects.
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- an opinion of the grantee's legal
counsel, in the form shown in
Appendix B of ICR Guidelines that
the grantee's ICR system meets
the requirements of Section 204 (b)
of the statute, applicable EPA
regulations and ICR Guidelines.
d. At the completion of project or the date of
beneficial use by the first industrial users:
- within 30 days, a notification
in writing from the grantee to
the Regional Administrator of
the date of the implementation
of the approved ICR system.
- proper bookkeeping of financial
records and information relative
to the ICR system for EPA audit
for the duration of the cost
recovery period.
Re_: 40 CFR 35.905-6, 7, 8, .925-12, .928, .935-13
ICR Guidelines
6. Operation and Maintenance Program
Purpose:
Federally funded treatment works are to be designed,
operated and maintained to achieve the effluent limitations required in
the NPDES permit. A well planned operation and maintenance program is
an essential step in achieving that objective.
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Discussion:
Surveys conducted in 1973, 1974, and 1975, which are
included in the Clean Water Report to Congress for each of those years,
indicate that approximately one-third of the Federally-funded treatment
plants surveyed were not achieving the level of efficiency for which
they were designed. In most cases, these problems resulted from
inadequate operation and maintenance. To prevent the future occurrence
of these unacceptable conditions, strict attention is to be focused on
operational considerations during facility design and the development
of an effective operation and maintenance program for the completed
treatment facilities.
During the Step 3 activity, the grantee is to implement
a program for efficient staffing, training of staff, and operation
and maintenance of all treatment works facilities. The program must
insure that the facilities are maintained at the designed level of
efficiency to meet the effluent standards as established in the NPDES
permit, and to comply with all other applicable State and Federal
requirements for process control, monitoring and reporting. The
grantee must provide an adequate budget and a trained staff of personnel
to insure the success of the program. The elements of the O&M program
should be those included in a Plan of Operation which also identifies
required actions and related implementation dates needed to assure
proper start-up and continued operation.
A preliminary Plan of Operation should be reviewed
concurrent with the review of project plans and specifications and should
be included as a part of the Step 3 grant application package. The
preliminary plan should be as complete as possible in identifying needed
actions and implementation time frames, but specific dates may, of
necessity, be omitted until a construction start date is known.
A critical responsibility of the applicant is the
preparation of an operation and maintenance manual for each treatment
facility, including pumping stations. No more than 50% of the Federal
share of the Step 3 grant may be paid until the draft operation and
maintenance manual is submitted and no more than 90% of the grant may
be paid unless the grantee has furnished a satisfactory final operation
and maintenance manual.
VI-34
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Review Procedures:
The review of the operation and maintenance program
submissions included in the Plan of Operation shall assure compliance
with the following requirements:
a. Staffing and training
- that a staffing plan, to include
staffing and salary schedules,
staff structure and organization,
and certification requirements is
developed;*
- that the chief operator is hired
before construction is 50% complete;
- that a preoperation training
schedule is developed within 30
days after hiring chief operator;
- that a discussion of hiring problems
encountered and actions to solve
the problems, if appropriate, is
held 60 days prior to start-up;
- that a list of positions filled
and qualifications of personnel
hired is prepared 30 days prior
to start-up* and assurance is
given that vacancies will be
filled, if appropriate;
- that a continuous training plan
and schedule* is developed 30 days
prior to start-up;
* To be submitted to both State and EPA.
b. Administrative functions
- that program and laboratory facilities
are adequate to perform appropriate
monitoring and analysis necessary to
assure adequate process control and
compliance with the NPDES permit
and State requirements;
VI-35
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that arrangements for submission
of appropriate operational reports
to the State have been made;
adequate consideration has been given
to operational procedures during the
start-up period;
provision is made for employee safety
programs and training is conducted
in advance of plant start-up;
provision is made for developing and
implementing a maintenance management
system;
Budget
- provision is made for adequate annual
budget to insure efficient operation
and maintenance, including administra-
tion, supplies, utility charges, and
ancillary equipment;
- provision is made for salaries to
attract qualified personnel and to
train and upgrade employees;
d. Emergency operating plan - in developing
the plan the following items and provisions
should be taken into account:
- effects of emergencies on operation;
- vulnerability analysis of system;
- protective measures;
- emergency response program;
- periodic revision of plan as necessary;
VI-36
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e. Operation and maintenance manual - the O&M
manual is the primary document required in
the operation and maintenance program, and
should incorporate items a-d above into a
comprehensive package of instructions and
information. Specifically, the manual
should include:
- design information describing the
components and equipment of the
treatment plant, including simplified
schematic diagrams of the facilities,
pipelines and control systems and
detailed diagrams of more complicated
area s;
- process information discussing the
control of various processes to achieve
maximum efficiency, including a clear
explanation of process functions of
the various components in simplified
language with references to appropriate
equipment manuals for detailed technical
information;
- maintenance requirements, including
schedules for routine adjustment and
lubrication of equipment, referencing
appropriate manufacturer's manuals for
details;
- laboratory procedures, specifying
various analyses and monitoring
schedules required for process control
and by the NPDES permit and other
regulations, describing laboratory
equipment and general maintenance, and
referencing appropriate literature for
standard test procedures;
- safety aspects of the various process
units and related equipment and
procedures for complying with the OSHA
requirements;
VI-37
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*
administrative procedures describing
the various records required and
reports to be submitted as a function
of the State monitoring program;
troubleshooting procedures and a
description of the emergency response
plan, including procedures for
notification of proper authorities,
emergency equipment repair, and
references to the appropriate
equipment manuals for specifications
and limitations of components.
Re: 40 CFR 35.925-10, .935-12
Federal Guidelines, Operation and Maintenance
of Wastewater Treatment Facilities, August 1974
Considerations for Preparation of Operation and
Maintenance Manuals, (GPO No. EP 2.8: OP 2)
Emergency Planning for Municipal Wastewater
Treatment Facilities (GPO No. EP 2.8: W 28/6)
Estimating Laboratory Needs for Municipal
Wastewater Treatment Facilities (GPO No. EP 2.2:
W 28/3)
Start-up of Municipal Wastewater Treatment
Facilities (GPO No. EP 2.8: W 28/5)
Maintenance Management Systems for Municipal
Wastewater Facilities (GPO No. EP 2.8: W 28/4)
Estimating Staffing for Municipal Wastewater
Treatment Facilities (GPO No. EP 2.8: W 28/3)
A Planned Maintenance Management System for
Municipal Wastewater Treatment Plants
(GPO No. EP 1.23/2: 600/2-73-004).
Program Requirements Memorandum, PPM 77-l3 11/29/76
VI-38
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CHAPTER VII
FINANCIAL CONSIDERATIONS
A. Introduction
B. Allowable and Unallowable Costs
C. Force Account
D. Payments
E. Increases and Decreases
F. Audits
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2. Allowability Determinations
Paragraph 3 below lists miscellaneous cost items on which
determinations of allowability/unallowability have been made. Since
no single document can cover every situation that may arise, cost items
not discussed below should be considered on an individual basis. As
needed, the reviewer may seek advice from the Construction Operations
Branch, Municipal Construction Division.
The oost -items listed below are ocppliQable to both PL 84-660
and PL 92-500 projeats. In making eligibility determinationst consider-
ation should be given to commitments previously made to grantees in the
absenoe of prior National policy* pertinent statutes or regulations.
Final determinations by the Regional Administrator concerning
the allowability of costs are conclusive unless appealed within thirty
days in accordance with the "Disputes" article (Article 7) of the EPA
General Grant Conditions. See 40 CFR 35.940.
3. Allowability/Eligibility of Miscellaneous Costs
The following statements of allowability/eligibility relating
to certain construction grants project costs are included for the
reviewers ready reference:
- Indirect Costs:
Indirect costs are those incurred for a common or
joint purpose, benefiting more than one project or
cost objective and not specifically identifiable to
the particular project or cost objective benefited.
Indirect costs consist of items of a general overhead
nature such as office space, utilities, telephone, etc.
The costs are allowable only if determined on the basis
of a negotiated indirect cost agreement and incorporated
in the grant agreement. See 40 CFR 30.715-2.
- Travel Costs:
Grantee travel costs - allowable travel costs include
travel considered necessary and directly related to the
accomplishment of project objectives. Travel not directly
related to construction and/or "start up" of the facility,
including trips to professional meetings, symposia, lectures,
etc., is not allowable as a direct charge to the project.
Travel not directly related to a specific project may,
however, be recovered under an Indirect Cost agreement.
(Federal Management Circular (FMC) 74-4, 7-18-74).
Revised: TM 76-1
VII-3 August 1976
-------
Architect/Engineer travel costs - allowable
travel costs include travel considered necessary
and project related, including on-site travel
costs. Costs of relocation of employees and
their families may be considered allowable when
such travel is justified and approved by the
grantee. The cost of transportation between
living quarters and the construction site is
normally unallowable. In unusual circumstances,
where job sites are located in isolated areas
and living quarters are not available within
30 miles, travel costs between living quarters
and the job site are considered allowable.
(41 CFR 1-15.2 and 41 CFR 1-15.4)
- Bond Costs:
All costs under PL 92-500 Grants associated
with the approval, preparation, issuance and
sale of bonds (including bond counsel and
underwriters' fees) are ineligible for grant
participation. Interest on bonds or any other
form of indebtedness is unallowable. (FMC 74-4,
7-18-74)
- Liquidated Damages:
Monies received by grantees in the form of
liquidated damages shall have n£ effect on the
determination of allowable costs of grant projects.
However, any additional costs - construction,
engineering, legal, or administrative-generated
because of a contractor's lack of performance
should be covered by the liquidated damages received.
Thus, any such increase in cost as a result of lack
of performance is unallowable for participation
even in the event that the grantee elects not to
exercise his right to recover liquidated damages.
- Bid Bond Forfeiture:
All bid bond forfeitures should be treated as a
reduction to project construction costs.
VII-4
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(In order to avoid double payment, care must be
exercised to assure that such work is not incident
to a general contractual obligation).
- Redesign/Replanning Costs Resulting from Changes
in Federal Requirements:
In those cases in which an applicant's completed
or partially completed planning and/or designs are
rendered invalid or unacceptable by changes in
Federal requirements, both the original cost plus
the redesign or replanning costs are allowable.
The Regional Office must assure itself that the
planning and/or design thus invalidated was under-
taken in good faith by the applicant and was not
the result of a disregard for existing Federal
directives by either the applicant or his agent.
- Costs of Implementing the Uniform Relocation
Assistance and Real Property Acquisition Policies
Act of 1970 (PL 91-646):
Basically there are four categories of costs
associated with this Act which may be considered
allowable:
1. Moving and related expenses
2. Replacement housing
3. Relocation assistance advisory services
(entailing direct services of the grantee
in assisting the displaced person(s)).
4. Acquisition of real property.
Documented allowable costs from these categories
incurred on or after July 1, 1972, will be treated
as other allowable project costs and reimbursed at
the same percentage rate. In the case of costs
resulting from acquisition or displacement occurring
before July 1, 1972, EPA shall pay the full amount
of the first $25,000 of such costs for each displaced
person. Allowable costs should be determined in
accordance with 40 CFR Part 4 and guidelines which
will be issued pursuant thereto.
VII-7
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- Field Surveys to Identify Cultural Resources:
Reasonable costs incident to field surveys to
identify historical, architectural, archaeological
and cultural resources in the primary impact area
of grant projects are allowable. Allowable costs
must be determined on a case-by-case basis and may
include the cost of on-site inspections, review of
pertinent documents, photographic reconnaissance,
services of archaeologists or historians, etc.
Such costs should receive prior approval and
delineation by the EPA Regional Office. Survey
costs associated solely with the examination of
the National Register of Historic Places are
unallowable. EPA may participate in the cost of
intensive surveys (e.g. "digging") only when a
sufficient amount of information exists to
indicate that there is a reasonably high
probability of discovering important cultural
resources.
See Program Guidance Memorandum #52 (7-2-75)
for additional guidance on this subject.
- Industrial Planning:
Step 1 related costs of industrial planning
conducted and paid for by an industry whose wastes
will be treated in a municipal system are not
allowable. (See Section 35.925-15 of the Title
Regulations).
- Facilities Serving Communities and Federal Facilities:
Whenever a planned treatment works will jointly
serve a municipality and a Federal facility, that
portion of the construction cost allocable to the
Federal facility will not be allowable for 75 percent
construction grant funding, subject to the following
exceptions:
1. Facility planning costs.
2. Cost of Step 2 work if a Step 2 grant has
been certified by the State for funding to
EPA prior to the issuance of PG-62 (12-29-75).
VII-8
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Design and construction costs allocable
to Federal facilities producing less
than 250,000 gpd or 5 percent of the
total design flow of waste treatment
works, whichever is less.
That portion of the construction costs allocable
to the Federal facility shall be based on all factors
which significantly influence the cost of the treat-
ment works. Factors such as strength, volume, and
delivery flow rate characteristics will be considered
and included to insure a proportional allocation of
costs to the Federal facility.
As a minimum, the portion of construction cost
allocable to the Federal facility should be based
on the ratio of its flow to the total design flow
of the treatment works. The portion (percentage)
allocable to the Federal facility must be agreed
upon by the municipality and Federal agency, and
approved by EPA prior to award of a Step 2 or Step
3 grant, whichever is applicable, for the works or
any portion thereof. See PPM 75-35 (PG-62) -
12/29/75 for additional details.
- Site Acquisition vs. Site Preparation Costs:
All costs associated either directly or indirectly
with the acquisition of any land used for or incidental
to the construction of treatment plants, lagoons, force
mains, gravity sewers, outfall lines, appurtenant piping
and structures, and pumping stations whether by purchase,
rental, lease or easement (except as noted above) are
ineligible. Similarly, all legal, realty, engineering,
and grantee costs associated with such ineligible
acquisition are unallowable as are the costs of easements,
rights-of-way, nonconstruction related surveying, plat
preparation, meetings, etc. NOTE: The cost of land
(inoluding, in some oases, leasing or> easements - PPM 77-5,
12/15/76) used as an integral part of the treatment process,
such as spray irrigation sites - see PRM 75-25 (PG-49) -
7/18/75, or land for the ultimate disposal of residues from
waste water treatment - see PPM 75-S9 (PG-67), 4/2/76, may be
eligible if approved and in accordance with pertinent
regulationss guidelines and PRMs. Legal, administrative and
engineering costs associated with the acquisition of grant
eligible land are allowable for grant participation.
Revised: TM 77-1
December 1976
VII-9
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Costs associated with the preparation of
the treatment works site (including appurtenant
features) before, during, and to the extent agreed
upon in the grant agreement or amendment thereto,
after construction are generally eligible. These
costs include such items as: grade and construc-
tion staking surveys, surveying for alignment and
slope, preparation of working drawings and plans
dealing with site preparation, locations, grades,
slopes, distances, depths, alignments, etc. Also
eligible are costs such as finegrading, seeding,
and protective trees and shrubs.
Costs related to reasonable site screening or
aesthetic purposes are also allowable. Criteria
for participating in aesthetics related work
include: Support expressed in NEPA related studies,
approved facility plans, necessary screening of
adjacent properties, whether the facility is in
constant public view or remote therefrom, etc.
- Certificate as to Title to Project Site:
Legal costs associated with certifying as to the
adequacy of the grantee's interest in the project
site should be considered a normal function of
government incident to the project and as such are
unallowable. (Except in the case of grant eligible
land (see above).
- Acquisition of Privately or Publicly Constructed
Waste Treatment Facilities:
Costs incurred by a grantee or applicant associated
with the purchase, lease or acquisition of privately
or publicly constructed and owned waste treatment
facilities are not allowable.
- Demolition of Existing Structures:
Demolition of existing structures constitutes an
allowable cost provided that the structures are on the
facility site (including rights-of-way for the eligible
sewer lines) and that construction cannot be undertaken
VII-10
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without such demolition. Off site demolition
is unallowable. Aesthetics related demolition
is allowable only if it conforms to the criteria
relating to the allowability of site preparation
outlined above.
If demolition of existing structures is
required on a site not previously owned by the
grantee, the grantee must address such demolition
in the cost effective analysis and demonstrate to
the satisfaction of the Regional Office that in
choosing the site appropriate consideration was
given to the cost of demolition.
- Removal, Relocation and/or. Replacement of
Utilities:
Costs associated with the removal, relocation
and/or replacement of utilities (water, electricity,
etc.) are allowable when such activity is incident
to and necessary for the construction of the eligible
facility. However, participation in the cost of
replacing existing utilities with utilities having
a greater capacity than that originally in place can
only be allowed if mandated by local, State or
Federal codes, ordinances or statutes. If a mandate
for greater capacity does not exist any additional
cost must be borne by the grantee.
The provision of new or increased utility service
when required for the facility (e.g. construction of
a new facility or increased capacity) being constructed
is an allowable cost provided that the grantee (utility
customer) would ordinarily be required to pay for such
installation.
VII-11
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- Restoration of Streets and Rights-of-Hay:
The cost of restoring streets and/or rights-
of-way to their original condition is an allowable
cost. The need for such restoration must result
directly from the construction of the eligible
project. Allowable restoration may include, for
example: refilling and patching of street and road-
way surfaces (generally limited to the width of the
trench), fine grading and reseeding of off-street
rights-of-way, reasonable tree plantings, restoration
of sidewalks, etc.
- Mobile Equipment:
Generally, such equipment is allowable if identified
by the grantee and approved in advance of purchase by
the Regional Office and is directly necessary for the
operation and/or maintenance of the overall wastewater
treatment facility. Such equipment must be necessary
for the transmission of wastewater or sludge or for
the maintenance of plant grounds and/or equipment.
Allowable items include but are not limited to:
a. Portable stand-by generators.
b. Large portable emergency pumps to
provide "pump-around" capability in
the event of pump station failure or
pipeline breaks.
c. Sludge tanks and trailers and other
necessary transport and handling
equipment in those cases where the
location of the ultimate sludge
disposal site requires such equipment.
d. Grounds and building maintenance
apparatus. Such apparatus may include,
for example: mowers and snow removal
equipment (in certain geographic areas).
Regional Offices may use such criteria
as cost effectiveness, potential for
abuse, frequency of use, etc. in
considering allowability. Requests for
participation based upon less than 100
percent use, should be agreed to only
in special situations and prorated accordingly.
VII-12
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Items of routine "programmed" maintenance such as
ordinary piping, air filters, couplings, hose, bolts,
etc. are unallowable. See EPA Technical Bulletin:
"Design Criteria for Mechanical, Electric and Fluid
System and Component Reliability" for additional
discussion.
- Collection System Maintenance Equipment:
EPA participation in the cost of such equipment
purchased in connection with a construction grant
shall be based upon a proration of the portion of
the collection system in which we participate to
the total system. Thus if EPA participates in 65
percent of the grantee's total collection system,
the allowable costs shall constitute 65 percent
of the cost of such equipment purchased pursuant
to the grant agreement. Generally, the proration
should be based upon the relative lengths of the
new to the total system rather than cost or size.
Such equipment must be reasonable and be approved
by the Regional Office.
In addition allowability will be based upon:
(1) a demonstrable frequency of need, and (2)
the equipment must be necessary to preclude the
discharge or by-passing of raw sewage, and/or
(3) the equipment is necessary to provide for
the health, safety and welfare of the citizens.
- Project Inspection:
Costs associated with technical inspections of the
eligible project before and during construction
(including change order approved time extensions) are
allowable. Such costs must be clearly documented and,
to avoid double payment, the work must not be incident
to a general contractual obligation.
- Groundwater Monitoring Facilities:
Costs associated with the construction of ground-
water monitoring equipment and facilities may be
considered allowable only in those cases in which,
as a direct result of project construction, the
possibility of groundwater deterioration, depletion
or modification exists. Allowability may not be
extended to the operation, surveillance and/or
analyses associated with these facilities.
VII-15
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Such facilities require the prior approval of
the Regional Office.
- Biological "Seeding":
Under certain conditions (climatic, geographic,
nature of wastes, etc.) reasonable costs associated
with the purchase and/or transportation of biological
seeding materials required for initiating (or
expiditing the initiation of) the treatment process
operation are allowable.
- Services Charges: §/
Service charges are defined as: any supplemental
charges added to other direct cost (non-salary) which
are claimed on an actual cost basis.
Regardless of contract terms, the actual cost of
service charges must be supported by accounting records.
If the service charges are not supported or if the
actual cost is less than the amount claimed, the total
difference is unallowable for Federal participation.
This is in accordance with the ASCE manual which states
that the service charge is for expenses to be reimbursed
by the client.
- Fringe Benefits: <*/
Regardless of contract terms, the actual cost of
fringe benefits must be supported by accounting records
when they are claimed as a direct charge. If the
charges are not supported or if the actual cost is less
than the amount claimed, the total or the difference is
unallowable for Federal participation. Where the fringe
benefits are claimed as a direct charge and also included
in the multiplier the duplicate direct charge is
unallowable for Federal participation.
VII-16
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- Labor Charges and Related Costs:
-------
4. Maintenance management system—-i.e., start-up
services to assure effective implementation
of the maintenance management system outlined
in the facility's O&M manual.
5. Records management systems—i.e.t services
to provide the training needed to implement
a records management system as outlined in
tine O&M manual.
6. Revise O&M manual—-i.e.3 revising the O&M
manual based upon actual operating experience
obtained during the start-up period.
Note that costs normally associated with the operation and
maintenance of a municipal wastewater treatment facility3 such
as salaries for operation and maintenance personnel, chemicals
(except for the basic inventory required for start-up)3 power,
etc., are not eligible. Also ineligible are the costs of all
off-site formal training/orientation programs. Finally, wet
and dry equipment and facility testing is the responsibility
of the contractor under the supervision of the Engineer.
(See PEM 77-2, 11/29/76)
Revised: TM 77-1
December 1976
VII-18
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(Blank page for inclusion of additional cost
items -- the allowability/unallowability of
which will be determined at a later date.)
VII-19
-------
(Blank page for inclusion of additional cost
items -- the allowability/unallowability of
which will be determined at a later date.)
VII-20
-------
(Blank page for inclusion of additional cost
items -- the allowability/unallowability of
which will be determined at a later date.)
VII-21
-------
(Blank page for inclusion of additional cost
items -- the allowability/unallowability of
which will be determined at a later date.)
VII-22
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C. FORCE ACCOUNT
1. General
In most instances a grantee contracts with engineering or
construction firms to perform project related work. The program,
however, permits use of the "force account" method wherein the
grantees use their own employees, material, and equipment to perform
all or part of the project work.
The use of force account is permitted for any Step 1, 2
or 3 grant work provided that prior written approval is obtained from
the Regional Administrator. Such approval is based on the grantee's
demonstrating that:
a. he possesses the necessary competence
required to accomplish such work;
b. the work can be accomplished more
economically by use of such method;
c. emergency circumstances dictate its use.
In order to avoid problems with the force account method
and to assist grantees who will be using force account, the reviewer
must be familiar with those items needing prior approval. The
reviewer must determine in advance that adequate procedures, records,
and controls will be used by the grantee.
VII-23
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2. EPA Prior Approvals
A grantee must obtain prior written approval from EPA to
use force account labor in lieu of subagreements for any Step 1 or
Step 2 work in excess of $10,000.00 or any Step 3 work in excess of
$25,000.00
The following items should be considered by the reviewer
in considering approval of force account:
a. all anticipated project administrative costs,
including salaries of administrative employees,
travel expenses, etc., in order to determine the
extent of their allowability;
b. proposed methods of timekeeping and timechecking,
methods for establishment of wage scales for
laborers and mechanics and methods for establish-
ment of salaries of supervisory employees (sample
time sheets, proposed wage rates and an explanation
of the methods for determining those rates and
other information necessary to comply with this
item should be submitted as soon as possible);
c. an indirect cost figure that is going to be used
as part of the costs billed to the project (this
must be a formal written agreement with EPA);
d. allowances for use, repair and overhaul of grantee
owned equipment and rental rates for rental
equipment, including when rental rates begin,
apply and end, and the extent of allowability of
repairs and overhaul (precise usage records for
such equipment must be maintained);
e. the writeoff or depreciation of small tools and
other expendable items or equipment;
f. any disposal and adjustment of costs in connection
with unused material and tools left over on completion
of the work.
VII-24
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3. Other Considerations
The following considerations provide additional guide-
lines for the reviewer in the force account area:
a. adequate cost accounting records must be
maintained;
satisfactory controls must be established
and used to assure that all material, supplies,
equipment, labor cost, etc. charged to the
project are actually used in connection with
the project;
c. the Copeland Antikickback Regulations apply
(see Appendix C-2 of 40 CFR part 35);
d. adequate insurance must be maintained. This
insurance is the same as that discussed in
40 CFR 35.935-3 covering such construction
insurance as is customary and appropriate
including fire and extended coverage, workmen's
compensation, public liability and property
damage and "all risk" as required by local or
State law.
Re_: 40 CFR 30.645, .810
40 CFR 35.935-2(a), .936-14
Program Guidance Memorandum, PG-34 5/7/74
D. PAYMENTS
1. General
It is the policy of EPA to process payment requests and
to make periodic progress payments as expeditiously as possible.
Payments are to be made in accordance with the approved payment schedule
set forth in the grant agreement.
VII-25
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NOTE: It is imperative that grantee payment requests be processed
as quickly as possible. On "routine" requests, procedures assuring
a 48 hour "turn around" are to be established. All payment requests^
are to be considered "routine" except for the first and final
payments on Step 1, 2 & 3 awards; the 50%, 80% & 90% payments on
Step 3 awards; and specific interim payment points established, in
writing, for a particular project.
R^: 40 CFR 35.937-16, .938-6, .945
Program Requirements Memorandum. PRM 75-22 (PG-43) 11/18/74
2. Prior Costs
After June 30, 1975, no Step 1 project work may be initiated
without a grant award unless the State (based on the review and approval
of a plan of study) has requested the Regional Administrator to reserve
grant funds. After June 30, 1975, Step 2 work initiated without first
having received a grant from EPA is not eligible for grant participation.
Occassionally grant applications will be received for projects
in which prior costs have been incurred. These must be handled on a
project by project basis and be in accordance with the regulatory date
limitations as described in 40 CFR 35.925-18.
In considering prior costs the reviewer should bear in mind
that:
- those costs incurred prior to the initiation
of construction of the project must be claimed
prior to the grant award or no payment may be
made for those costs;
- they should be supported by documents identifying
dates and the nature of the work performed;
- they should be examined in light of the allowable/
unallowable cost statements in "Section B" of this
chapter.
Re: 40 CFR 35.945(a)
Revised: TM 78-1
December 1977
VII-26
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3. Schedules
Schedules for the completion of any of the three grants
steps are contained in the grant agreement/amendment. The work
schedule is generally discussed with the applicant prior to the
grant application and should reflect realistic targets. However,
the reviewer has the responsibility for final approval of the
schedule, including payments. Once the grant payment schedule has
been approved and incorporated into the grant agreement/amendment,
the grantee may request grant payment for work which has bee*n
completed. If completed work and the resulting payment requests
occur prior to dates set forth in the approved schedule, the
schedule may be revised by preparing a new grant agreement/amendment.
Considerable flexibility may be exercised in setting up the
schedules and the documentation required.
Any time that a progress schedule is revised, the Municipal
Permits Office of EPA should be notified.
a. Step 1 and Step 2 - Periodic progress payments
for Step 1 and 2 work are to be made on the
basis of completion of the step or completion
of specific tasks within the step grant as
contained in the grant agreement. Every
effort should be made to divide the scheduling
into tasks, but where this is not possible or
practical, the grantee should submit a
certified statement as to percentage of
completion of the work on a periodic basis.
b. Step 3 - Step 3 payment schedules should
realistically reflect the likely construction
progress. For example, early equipment
purchases and seasonal weather conditions
may require large grant payments for certain
months. If the monthly requests exceed those
on the schedule, the grant must be amended.
Payment schedules should be structured so as
to preclude any need for frequent changes.
VII-27
-------
4. Interim Payments
Problems with both payment requests and payments can be minimized
if, at the time of the grant award, the payment request procedure is
discussed with the grantee. Each region has specific internal procedures
for handling requests and processing payments so the reviewer must be
familiar with these. Payments, generally, are handled as follows:
- the grantee submits all EPA Forms 2550-16 (Outlay
Report and Request for Reimbursement for Construction
Programs) directly to the Regional Financial Management
Office;
the grantee provides necessary documentation to support
the request;
- all support documents and a copy of the 2550-16 form are
_forwarded to the project officer: .
- "routine" requests are processed immediately - "Non-routine"
requests are sent to the project officer who must complete
his action within ten days. (See note on VII-26 for explanation
of "routine/non-routine" payments).
- grantees are to submit requests for Step 3 payments monthly.
(NOTE: The Federal share shall be based upon those costs which, at
the time of the payment request, the grantee is currently obligated to
pay. For example, if the grantee has retained a certain percentage from
a construction pay estimate, EPA shall base its payment upon the amount
of the estimate less the retained amount. PRM 75-22 (PG-43), 11-18-74.
a. Payment Requests Review
It is the responsibility of the construction grants reviewer to
monitor the progress of the project. One means of doing this is by
periodically reviewing payment requests and supporting documents. The
frequency of the periodic reviews will depend on the size and complexity
of the particular project. In instances where a monthly payment schedule
has been established, the reviewer should not perform a detailed check
of the request and supporting documents each month. If a problem is
discovered later when checking the supporting documents, it can be
resolved on a subsequent payment. Judgement will be required to avoid
unnecessary delays.
Revised: TM 78-1
December 1977
VII-28
-------
b. Documentation
The following are some examples of task documentation
for Step 1 and 2 projects:
- a grantee certified percentage of work
complete—preferably divided into tasks
(e.g. Step 2: 35% completion of design
criteria; 60% completion of preliminary
draft P & S; 90% completion of final
draft plans);
- working drafts completed for specific
tasks and which have been received in
the Regional Office or are held by the
grantee;
The following are some examples of documentation
for Step 3 projects:
the engineer's latest monthly estimate
of work in place;
invoices accompanying claims for work
completed;
equipment invoices accompanying claims
for purchases.
c. Grant Conditions
The reviewer is reminded to check the grant agreement/
amendment and any subsequent amendments for any special grant
conditions prior to approving payment requests. An example of this
would be the limit on the percentage of the Federal share that may
be paid prior to the submission of O&M manual. UC/ICR systems, etc.
(Chapter VI, F, 5).
VII-29
-------
5. Final Payments
The final payment is made to the grantee after the final
inspection is made by EPA, and after the "final payment request" is
submitted by the grantee and the grantee has been found to have
complied with all applicable requirements of the regulations and the
grant agreement. Prior to the final payment, the grantee must
execute and deliver an assignment, to the United States, in form and
substance satisfactory to the Regional Counsel,of the Federal share
of refunds, rebates, credits or other amounts (including any interest
thereon) properly allocable to costs for which the grantee has been
paid by the Government under the grant. The grantee must also
execute and submit a release discharging the United States, its
officers, agents, and employees from all liabilities, obligations,
and claims arising out of the project work or under the grant,
subject only to such exceptions which may be specified in the release.
Re: 40 CFR -35.945(e)
6. Refunds, Rebates, Credits, etc.
The Federal share of any refunds, rebates, credits, or
other amounts (including any interest on them) that has accrued to
or been received by the grantee in relation to the project, to the
extent that they are properly allocable to costs for which the grantee
has been paid under a grant, must be credited to the current State
allotment or paid to the United States. If the Regional Administrator
approves, the grantee may be allowed, reasonable expenses incurred in
securing these refunds, rebates, credits or other amounts under the
grant.
Re: 40 CFR 35.945(c) and (d)
VII-30
-------
E. INCREASES AND DECREASES
1. Increases
Grant increases most commonly occur because of cost
overruns occuring after the receipt of bids, cost of major change
orders, or cost of a sewer system survey. As soon as the grantee
sees that costs are going to be substantially more than that upon
which the grant is based, the grantee must notify the State and EPA
and give an estimate of the amounts involved. EPA will not increase
a grant until the State has approved an increase from its available
allotment.
In order to make a determination on the increase, the
reviewer must:
have a written justification for the increase
from the grantee;
- have an approval letter from the State;
determine that the increase in cost is
eligible for grant participation;
determine that funds for the increased grant
are available in the State's allotment.
2. Increase Notification Procedure
Upon approval of an increase in the grant, the following
procedures must be carried out: (Detailed explanations of each step
can be found in Chapter IV, F.)
- a grant amendment must be prepared (EPA Form
5700-20); (if the increase in the grant
amount is over $10,000, the grant amendment
is not sent to the grantee until five working
days after signing by the Regional Administrator
to allow for Congressional notification);
VII-31
-------
the grant amendment information must be
entered into GICS;
Standard Form 240 must be prepared for
clearinghouse notification;
Notification of Grant Award Action, EPA
Form 5700-1B, must be prepared and
transmitted to Headquarters.
3. Decreases
Grant decreases most commonly occur when the bids received
are less than the estimated construction costs contained in the
Step 3 grant application. In most instances, a request for a decrease
is not made by the grantee, but action is initiated by EPA after the
review of the bid material. The grant is reduced as necessary but
the new project cost continues a contingency allowance (generally
between three and five percent of construction costs).
4. Decrease Notification Procedure
For a grant decrease, the following procedures must be
f ol1 owed:
if EPA has initiated the decrease, the State
is to be notified of the decrease and the
State allotment is to be adjusted accordingly;
a revised grant agreement/amendment must be
prepared (EPA Form 5700-20);
a revised grant amount must be entered into
GICS;
VII-32
-------
Standard Form 240 must be prepared for
clearinghouse notification;
Notification of Grant Decrease Action,
EPA Form 5700-1D, must be completed and
transmitted to Headquarters.
F. AUDITS
1. General
By signing the grant agreement/amendment for a Step 1, 2
or 3 project, the grantee agrees that its books, documents, records,
and papers, and those of its contractors, are accessable to the EPA
Regional Administrator, the Comptroller General of the United States,
or their authorized representatives. The EPA Office of Audit is
responsible for audits of all Step 1, 2 and 3 grants. For Step 3
grants, however, it is the general rule that only those projects
having grants over $250,000 will be audited unless there is some
indication of irregularities.
Re_: 40 CFR 35.935-7
2. Objective
The objective of audits of construction grants projects is:
a. to determine whether the management controls
exercised by the grantee through its manage-
ment system, accounting system, procurement
system, and property control system are adequate
to assure that costs claimed/incurred are
reasonable, allowable, and allocable to the
project under the grant terms and conditions,
Federal Management Circulars, and applicable
EPA regulations;
VII-33
-------
b. to identify any non-compliance with
applicable grant provisions or EPA rules
and regulations and to provide recommenda-
tions for improvement.
3. Types of Audits
There are two types of audits, interim and final
Interim audits are performed during the
earlier part of a project to review internal
accounting controls, procurement systems,
design and construction controls, and costs
incurred.
Final audits are performed after completion
of the project to review the grantee's records
to assure that costs claimed are reasonable,
allocable, and allowable and that the grantee
has met the grant objectives.
4. Criteria for Choosing Projects
All Step 1, 2 or 3 projects are not audited. For Step 3
projects, it is the general rule that only those with grants over
$250,000 will be audited unless there is some indication of
irregularities. Also, the intensity of the audit will vary from
project to project depending on its complexity and the problems
encountered.
The EPA Office of Audit utilizes relevant reports,
construction grant file information, the results of sampling tests
and the following criteria to select projects for audit:
a. size of the grants/projects
b. existence of unit-price contracts
VII-34
-------
c. type of contracts and subcontracts
d. the number and significance of change
orders
e. experience with prior grantee's project
audits
f. identification of deficiencies
The EPA grant reviewer will be called upon to supply the
auditors with the following information to assist in determining
the scope, schedule, resource plans and estimates of audit efforts:
a. grant number
b. grantee name, address and phone
c. eligible project cost
d. grant amount
e. number and dollar value of change orders
f. number, amount and type of construction
and engineering agreements
g. extent of force account work
h. cut off date
i. whether construction is located in a
flood hazard area requiring the grantee
to purchase flood insurance
j. NPDES Permit.
5. Major Activity Areas for Audit Focus
The major activity areas that are addressed during the
audits include the grantee's accounting, procurement and project
management practices. Both interim and final audits will include
the audit of costs associated with these activities.
VII-35
-------
a. Accounting Practices - the grantee's
accounting system should include the
following:
1) accounting records
2) supporting documents
3) traceability
4) segregation of costs (eligible/
ineligible; allowable/unallowable;
direct/indirect)
5) internal control
6) accounting reports.
b. Procurement Practices - the grantee is
responsible for demonstrating that
engineering and construction contracts
were awarded in compliance with the
regulations.
c. Project Management Practices - the project
management approach applied by the grantee
is significant to his ultimate ability to
control costs and schedules.
6. Final Report
The final audit report issued by the Office of Audit is an
advisory report only and any action such as recovery of funds is the
responsibility of the Regional Administrator.
Once the audit review is completed, the process of issuing
a final report is flexible, depending on the complexity or seriousness
of any deficiencies noted in relation to the project. In general, the
following procedures will be followed:
VII-36
-------
a. the rough draft report will be presented
to the grantee. The grantee and its
subcontractors have two weeks to answer
any questions raised in the draft;
the Office of Audit will incorporate the
grantee's answers into the report and present
this report to the Regional Construction
Grants Branch Chief. The Branch Chief and
Project Officer will meet with the auditor
to resolve any issues raised in the report
in order to reach concurrence;
c. an exit interview will be held by the
auditors with the grantee to discuss the
findings in the final report;
d. the final report will be presented to the
Regional Construction Grants Branch Chief
who will recommend necessary action to
the Regional Administrator.
The key to this entire process is flexibility because at any
one point the auditor may want to meet with the Project Office to
discuss findings and resolve issues. The reviewer will generally be
involved in the discussions to resolve issues after the grantee has
responded to the rough draft. It is the Project Officer's responsibility
to determine whether exceptions and claims in the report are justified.
The final report will contain a statement of concurrence
between the Regional Administrator and the Office of Audit. A final
report may be issued, however, even if both parties do not concur.
There may be circumstances where the Regional Administrator chooses to
withhold comment pending further investigation. This is usually done
to protect the Agency in cases where future litigation may be involved.
Final resolution rests with the Regional Administrator.
Re_: "Audit Guide for Construction Grant Program"
VII-37
-------
APPENDIX A
FLOW DIAGRAM FOR PROCESSING CONSTRUCTION GRANTS
-------
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APPENDIX B
(REVISED)
- Grants Information Control System Coding Sheet (GICS)
- Regional Reporting Requirements Through RCGMIS
- "Notification of Grant-in-Aid Action" (Clearinghouse Form) Standard
Form 424
- "Grant Agreement/Amendment" EPA Form 5700-20
- "Summary of Costs of Planned Treatment Works Scheduled by Project and
Category"
- "State Priority Certification" EPA Form 5700-28
- "Application for Federal Assistance" (for Construction Grants)
EPA Form 5700-32 (Rev. 6-76)
- "Cost or Price Summary Format for Subagreements" (Form 5700-41 (2-76)
- Project Sign EPA Order No. 1015.IB
- Revised Cost Estimate (Suggested Format)
- "Outlay Report and Request for Reimbursement for Construction
Programs" EPA Form 2550-16
- " Notification of Grant Award Action" EPA Form 5700-1B
- "Notification of Grant Award Action" (Decreases/Declinations/Withdrawals)
EPA Form 5700-1D
- "Assurance of Compliance for Title VI of the Civil Rights Act of 1964
and Section 13 of the FWPCA Amendments of 1972" EPA Form 4700-1
- "Compliance Report" EPA Form 4700-4
- "Report on Operation and Maintenance of Wastewater Treatment Plant"
EPA Form 7500-5
Revised: TM 78-1
December 1977
-------
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-------
REGIONAL REPORTING REQUIREMENTS THROUGH RCGMIS
PROCEDURES: Reporting procedures have been established for actual
Regional performance against the following Water I (Construction Grants)
quarterly output commitments in the Agency's Formal Planning and Reporting
System:
- Number of new awards by step
- Total estimated obligations
- Number of projects completed by step
- Total PL 92-500 outlays
- Number of interim inspections
Starting with the third quarterly of FY 1977, quarterly Regional
performance against these output commitments will be measured only
through the RCGMIS system, except as indicated in the following procedures
for outlays and obligatings:
Number of new awards by step — Actual performance against these
three output commitments will be monitored using RCGMIS data element L_5_
(Final Approval and Award - Code and Date). A project will be considered
awarded for these commitments when the date of award and status code AE
(Completed/Approved) are entered into this data element.
Total estimated obligations— Actual performance against this
output commitment will be monitored through the Grants Administration
Division's "PL 92-500" file. This information is compiled from the form
5700-1 that must be sent to Headquarters within 24 hours of each grant
award. This commitment is not being monitored through RCGMIS because
that system does not contain the financial accounting information necessary
to determine net PL 92-500 awards. While RCGMIS can track both new
awards and amendments to PL 92-500 projects, it cannot determine the
amount of new law money that is awarded to old law projects. However,
the "PL 92-500" file is compared with RCGMIS on a weekly basis to make
sure the information contained in both files is accurate.
Number of projects completed by step — Actual performance against
these three output commitments will be monitored through GICS data
element N^ (Project Completion - Code and Date). When all grant conditions
have been satisfied, and actual date with the status code AD (Project
Complete) should be entered in data element N5.
The only exception is that for Step 1 projects, if data element N5
has not been coded complete, then data element M9 (Facility Plan Review)
will be scanned looking for status code AH (Facility Plan Sufficiently
Complete to make a Step 2 award). Step 1 projects coded in this fashion
will be considered for the purpose of the output commitments. This is
the only instance where a data element other than N5 will be used to
measure completions for Regional output commitments.
-------
Number of interim inspections — Actual performance against this
output commitment will be monitored using RCGMIS data element N0_ (Latest
Inspection) and H9^ (Agency Conducting Inspection). Data element NO
contains, for all Step 3 and PL 84-660 projects, the inspection code
and date of the most recent EPA - recognized inspection of the construction
of a wastewater treatment project. The appropriate status code for the
purposes of this output commitment is A3 (Interim Audit/Inspection).
Total PL 92-500 outlays — Actual performance against this output
commitment will be monitored through the Agency's Financial Management
System.
A full and detailed description of these procedures may be found in
POM #77-7 (April 8, 1977).
Revised TM - 78-1
December 1977
-------
I No 29-R0218
FEDERAL ASSISTANCE
! >• JVPE rj PREAPPLICATION
1 ACTION Q APPLICATION
;.JSrwti" Q NOTIFICATION OF INTENT (Opt)
*"JX} LI REPORT OF FEDERAL ACTION
2 APPLI
CANT'S
APPLI
CATION
* NUMBER
b DATE
tear month rfav
19
3 STATE
APPLICA-
IDENTI-
FIER
« NUMBER
b DATE Year wowtfc rfu <
ASSIGNED 19
Leave
Ula-nk
4. LEGAL APPLICANT/RECIPIENT
| 5. FEDERAL EMPLOYER IDENTIFICATION NO
i
i
a
b Organization Unit
c, Street/P.O. Box
d City
f State
h Contact Person (Nome
th the attached assurance* if the twiit-
nce is approved
b PROJECT
17. PROJECT
DURATION
Monthl
Year month day
19
6.
PRO-
GRAM
(From
Federal
Catalog)
8. TYPE OF
A- State
B-lntfrstate
C-Substite
Outlet
D-County
E-C,ty
F- School Distr
G-Special Purp<
District
• NUMBER •
b TITLE
APPLICANT/RECIPIENT
H-Commumty Action Agency
1- Higher Education)! Institut
J-lndun Tribe
K-Other (Specify}
I
»• j 1
Enter appropriate letter
9. TYPE OF ASSISTANCE
A-Basic Grant D-lnsurance
B-Supplem«ntil Grant E-Othef Entcr appro. i r
C-Loan priate letter(t) [ |_
12. TYPE OF
A-New C-
B-Renewal D
15. TYPE OF
A-lncrease Dol
B-Decrease Dol
C- Increase Dur
D-Decrease Du
E-Cincellation
APPLICATION
Revision E-Augmentation
Continual on
CHANGE (Fvr He or ite)
ars F-Oth«r {Specify)
ars
tion
it ion
Enter appro- r
priate lettrr(i) |_
etUr \ 1
.L.l. 1
19. EXISTING FEDERAL IDENTIFICATION NUMBER
ne. City. State, ZIP code)
21. REMARKS ADDED
Q Yes Q No
b If required by OMB Circular A-95 this application was submitted, pursuant to in No re-
slructions therein, to appropriate clearinghouses and all responses an attached tponte
(n D
(« n
(3) D
23. a TYPED NAME AND TITLE
CERTIFYING
REPRE-
SENTATIVE ,
b SIGNATURE
24. AGENCY NAME
o
I
g
i
26. ORGANIZATIONAL UNIT
29. ADDRESS
31, ACTION TAKEr
Q 1 AWARDED
Q b REJECTED
Q c RETURNED FOR
AMENDMENT
Q d DEFERRED
Q 6 WITHDRAWN
38.
FEDERAL AGENCY
A -95 ACTION
, 32-
' • FEDERAL
b APPLICANT
c. STATE
I d LOCAL
e OTHER
f TOTAL
FUNDING
$
00
00
00
.00
.00
$ 00
27. ADMINISTRATIVE OFFICE
attacked
D
n
n
c. DATE SIGNED
Year month day
19
25. APPLICA- Year month dav
TION
RECEIVED 19
28. FEDERAL APPLICATION
IDENTIFICATION
30. FEDERAL GRANT
IDENTIFICATION
Year month day 34. Year month dav
33. ACTION DATE* 19 DATE™^
35. CONTACT FOR ADD TIONAL INFORMA 36. Year month, dau
TION (Name and telephone number) ENDING
DATE 19
a In taking above action, any comments received from clearinghouses ware con.
sidersd H agency response is due under provisions of Part 1, OMB Circular A-95,
it has been or is being made
37. REMARKS ADDED
Q Yes QNo
b FEDERAL AGEftCV A-95 OFFICIAL
(Name and telephone no )
STANDARD FORM 424 PAGE 1 (10-75)
A, Fedtrvl Management Circular
-------
SECTION IV-REMARKS (Please reference the proper item number from Sections /, // or ///, if applicable)
STANDARD FORM 424 PAGE 2 (10-75)
-------
GENERAL INSTRUCTIONS
This is a multi-purpose standard form. First, it will be used by applicants as a required facesheet for pre-
applications and applications submitted in accordance with Federal Management Circular 74-7. Second, it will
be used by Federal agencies to report to Clearinghouses on major actions taken on applications reviewed by
clearinghouses in accordance with OMB Circular A-95. Third, it will be used by Federal agencies to notify
States of grants-m-aid awarded in accordance with Treasury Circular 1082 Fourth, it may be used, on an
optional basis, as a notification of intent from applicants to clearinghouses, as an early initial notice that Federal
assistance is to be applied for (clearinghouse procedures will govern).
APPLICANT PROCEDURES FOR SECTION I
Applicant wilt complete all items in Section I If an item is not applicable, write "NA". If additional space is needed, insert
an asterisk "*", and use the remarks section on the back of the form. An explanation follows for each item
Item
"Hem
3a
Mark appropriate box Pre-application and applica-
tion guidance is m FMC 74-7 and Federal agency
program instructions Notification of jntent guid-
ance is in Circular A-95 and procedures from clear •
mghouse Applicant will not use "Report of Federal
Action" box
Applicant's own control number, if desired.
Date Section I is prepared
Number assigned by State clearinghouse, or if dele-
gated by State, by areawide clearinghouse All re-
quests to Federal agencies must contain this tdenti
fier if the program is covered by Circular A-95 and
required by applicable State/areawide clearing-
house procedures If in doubt, consult your clear
mghouse
3b Date applicant notified of clearinghouse identifier
4a~4h Legal name of applicant/recipient, name of primary
organizational unit which will undertake the assist-
ance activity, complete address of applicant, and
name and telephone number of person who can pro-
v'lde further information about this request
5 Employer identification number of applicant as as-
signed by Internal Revenue Service
6a Use Catalog of Federal Domestic Assistance num-
ber assigned to program under which assistance is
requested If more than one program (e g , joint
funding) write "multiple" and explain in remarks
If unknown, cite Public Law or U S Code
6b Program title from Federal Catalog Abbreviate if
necessary
7 Brief title and appropriate description of project
For notification of intent, continue in remarks sec
tion if necessary to convey proper description
8 Mostly self-explanatory "City" includes town, town
ship or other municipality
9 Check the type(s) of assistance requested The
definitions of the terms are
A Basic Grant An original request for Federal
funds This would not include any contribution
provided under a supplemental grant.
B Supplemental Grant A request to increase a
basic grant m certain cases where the eligible
applicant cannot supply the required matching
share of the basic Federal program (e g.f grants
awarded by the Appalachian Regional Commis-
sion to provide the applicant a matching share)
C. Loan. Self explanatory.
12.
13
14a.
14b
D, Insurance Self explanatory.
E Other, Explain on remarks page.
Governmental unit where significant and meaning-
ful impact could be observed. List only largest unit
or units affected, such as State, county, or city. If
entire unit affected, list it rather than subumts
Estimated number of persons directly benefiting
from project
Use appropriate code letter. Definitions are.
A. New. A submittal for the first time for a new
project
B Renewal An extension for an additional funding/
budget period for a project having no projected
completion date, but for which Federal support
must be renewed each year.
C, Revision A modification to project nature or
scope which may result in funding change (in-
crease or decrease).
D. Continuation An extension for an additional
funding/budget period for a project the agency
initially agreed to fund for a definite number of
years
E, Augmentation. A requirement for additional
funds for a project previously awarded funds in
the same funding/budget period Project nature
and scope unchanged
Amount requested or to be contributed during the
first funding/budget period by each contributor-
Value of in-kind contributions will be included If
the action is a change in dollar amount of an exist-
ing grant (a revision or augmentation), indicate
only the amount of the change For decreases en
close the amount m parentheses If both basic and
supplemental amounts are included, breakout in
remarks For multiple program funding, use totals
and show program breakouts in remarks Item defi
nitions 13a, amount requested from Federal Gov-
ernment, 13b, amount applicant will contribute,
13c, amount from State, if appJicant is not a State,
13d, amount from local government, if applicant is
not a local government, 13e, amount from any other
sources, explain in remarks
Self explanatory.
The distnct(s) where most of actual work will be
accomplished If city-wide or State-wide, covering
several districts, write "city-wide" or "State-wide "
Complete only for revisions (item 12c), or augmen-
tations (item 12e).
STANDARD FORM 424 PAGE 3 (10-75)
-------
17.
18
Approximate date project expected to begin (usually
associated with estimated date of availability of
funding)
Estimated number of months to complete project
after Federal funds are available.
Estimated date preapplication/apphcation will be
submitted to Federal agency if this project requires
clearinghouse review If review not required, this
date would usually be same as date in item 2b.
/fern
20.
21.
Existing Federal identification number if this is not
a new request and directly relates to a previous
Federal action. Otherwise write "NA".
Indicate Federal agency to which this request is
addressed. Street address not required, but do use
ZIP.
Check appropriate box as to whether Section fV of
form contains remarks and/or additional remarks
are attached.
APPLICANT PROCEDURES FOR SECTION II
Applicants will always complete items 23a, 23b, and 23c. If clearinghouse review is required, item 22b must be fully com-
pleted An explanation follows for each item:
/tern
22b.
23 a
List clearinghouses to which submitted and show
in appropriate blocks the status of their responses.
For more than three clearinghouses, continue in
remarks section. All written comments submitted
by or through clearinghouses must be attached.
Name and title of authorized representative of legal
applicant.
/tern
23b. Self explanatory.
23c. Self explanatory.
Note: Applicant completes only Sections I and M. Section
111 is completed by Federal agencies.
FEDERAL AGENCY PROCEDURES FOR SECTION til
If applicant-supplied information in Sections I and II needs no updating or adjustment to fit the final Federal action, the
Federal agency will complete Section III only. An explanation for each item follows:
Item
24 Executive department or independent agency having
program administration responsibility.
25. Self explanatory.
26 Primary organizational untt below department level
having direct program management responsibility.
27. Office directly monitoring the program.
28. Use to identify non-award actions where Federal
grant identifier m item 30 is not applicable or will
not suffice.
29. Complete address of administering office shown m
item 26.
30 Use to identify award actions where different from
Federal application identifier in item 28
31. Self explanatory Use remarks section to amplify
where appropriate.
32. Amount to be contributed during the first funding/
budget period by each contributor. Value of in-kind
contributions will be included. If the action is a
change in dollar amount of an existing grant (a revi-
sion or augmentation), indicate only the amount of
change. For decreases, enclose the amount in pa-
rentheses If both basic and supplemental amounts
are included, breakout m remarks For multiple pro-
gram funding, use totals and show program break-
outs m remarks Item definitions: 32a, amount
awarded by Federal Government, 32b, amount ap-
plicant will contribute, 32c, amount from State, if
applicant is not a State, 32d, amount from local
government if applicant is not a local government;
32e, amount from any other sources, explain in
remarks
33 Date action was taken on this request.
34 Date funds will become available
Item
35. Name and telephone no. of agency person who can
provide more information regarding this assistance.
36. Date after which funds will no longer be available.
37 Check appropriate box as to whether Section IV of
form contains Federal remarks and/or attachment
of additional remarks
38. For use with A-95 action notices only Name and
telephone of person who can assure that appropri-
ate A-95 action has been taken—If same as person
shown in item 35, write "same". If not applicable,
write "NA".
Federal Agency Procedures—special considerations
A. Treasury Circular 1082 comp/iarice. Federal agency will
assure proper completion of Sections I and III. If Section I
is being completed by Federal agency, all applicable items
must be filled in Addresses of State Information Recep-
tion Agencies (SCIRA's) are provided by Treasury Depart-
ment to each agency. This form replaces SF 240, which
will no longer be used.
6 OMB Circular A-95 compliance Federal agency will as-
sure proper completion of Sections I, II, and III This form
is required for notifying all reviewing clearinghouses of
major actions on all programs reviewed under A-95
Addresses of State and areawide clearinghouses are pro-
vided by OMB to each agency. Substantive differences
between applicant's request and/or clearinghouse recom
mendations, and the project as finally awarded will be
explained m A-95 notifications to clearinghouses.
C Special note In most, but not all States, the A-95 State
clearinghouse and the (TC 1082) SCIRA are the same
office In such cases, the A-95 award notice to the State
clearinghouse will fulfilE the TC 1082 award notice re
quirement to the State SCIRA. Duplicate notification
should be avoided.
STANDARD FORM 424 PAGE 4 (10-75)
-------
U.S. ENVIRONMENTAL PROTECTION AGEN
1 GRANT AGREEMENT/AMENDMEN
CHECK APPLICABLE ITEM(S)
GRANT AGREEMENT
GRANT AMENDMENT
SUBSEQUENT RELATED PROJECT (WWT)
GRANT IDENTIFICATION NO.
T
DATE OF AWARD (Obligation date)
TYPE OF ACTION
PART I-GENERAL INFORMATION
1. GRANT PROGRAM 2. STATUTE REFERENCE 3 REGULATION REFERENCE
4- GRANTEE ORGANIZATION
a. NAME
b. EMPLOYER I.D. NO. (EIN)
C. ADDRESS
5. PROJECT MANAGER (Grantee Contact)
a. NAME
b. TITLE
C. TELEPHONE NO. (Include Area Code)
d. ADDRESS
6. PROJECT OFFICER (EPA Contact)
a. NAME
b. TITLE
Ic. TELEPHONE NO. (Include Area Code)
\7. PROJECT TITLE AND DESCRIPTION
d. ADDRESS
PROJECT STEP (WWT)
8. DURATION
PROJECT PERIOD (Dates)
BUDGET PERIOD (Dates)
9. DOLLAR AMOUNTS
TOTAL PROJECT COSTS
TOTAL ELIGIBLE COSTS (WWT)
TOTAL BUDGET PERIOD COSTS
EPA GRANT AMOUNT (In-KinH Amt. )
UNEXPENDED PRIOR YR. BAL. (EPA Funds)
THIS ACTION (This obligation amount)
10. ACCOUNTING DATA
APPROPRIATION DOC CONTROL NO. ACCOUNT NO. OBJ CLASS AMOUNT CHARGED
41
41
41 .
11. PAYMENT METHOD
| | ADVANCES ( _ -r. nf ftmaffi) \ | p FIMRI 1 PSFM FM T
1 1 |<">TMC-Q
SEND PAYMENT REQUEST TO
1
12. PAYEE (Name and mailing address. Include ZIP Code)
EPA Form 5700-20 (Rev. 4-75)
PREVIOUS EDITION IS OBSOLETE. ALSO THIS EDITION
REPLACES EPA FORM 5700-21.
PAGE 1 OF 5
-------
PART II-APPROVED BUDGET |
TABLE A - OBJECT CLASS CATEGORY
OVon- con s true tion)
1
2.
3.
4.
5.
6.
7.
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT
SUPPLIES
CONTRACTUAL
CONSTRUCTION
8. OTHER
9.
10.
1 !.
12.
TOTAL DIRECT CHARGES
INDIRECT COSTS: RATE % BASE
TOTAL (Share: Grantee % Federal
TOTAL APPROVED GRANT AMOUNT
•*•>
TABLE B - PROGRAM ELEMENT CLASSIFICATION
(Non-construction)
\
2.
3.
4.
5
6.
7.
8
9.
10
1 1.
1
2
3.
4.
5.
6
7.
8
9
10
1 1 .
12.
13.
14.
15
16
17
18.
19.
20
TOTAL IShare- Grantee % Federal
TOTAL APPROVED GRANT AMOUNT
TABLE C - PROGRAM ELEMENT
(Construction)
ADMINISTRATION EXPENSE
PRELIMINARY EXPENSE
LAND STRUCTURES, RIGHT-OF-WAY
ARCHITECTURAL ENGINEERING BASIC FEES
OTHER ARCHITECTURAL ENGINEERING FEES
PROJECT INSPECTION FEES
LAND DEVELOPMENT
RELOCATION EXPENSES
%l
CLASSIFICATION
RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES
DEMOLITION AND REMOVAL
CONSTRUCTION AND PROJECT IMPROVEMENT
EQUIPMENT
MISCELLANEOUS
TOTAL (Lines 1 thru 13)
ESTIMATED INCOME (If applicable)
NET PROJECT AMOUNT (Line 14 minus 15)
LESS: INELIGIBLE EXCLUSIONS
ADD: CONTINGENCIES
T<">TAI. (SVlf>r»: <~."n'<"" % Federal
TOTAL APPROVED GRANT AMOUNT
<%)
TOTAL APPROVED ALLOWABLE 1
BUDGET PERIOD COST i
|
^
$
,
J
s 1
4
1
EPA Fotm 5700-20 (Rev. 4-75)
PAGE 2 OF 5
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PART III-GRANT CONDITIONS
| a. GENERAL CONDITIONS
The grantee covenants and agrees that it will expeditiously initiate and timely complete the project work
for which assistance has been awarded under this grant, in accordance with the applicable grant provisions of
40 CFR Subchapter B. Specifically, the grantee warrants and represents that it, and its contractors,
subcontractors, employees and representatives, will comply with the following Seneral Conditions, the
applicable supplemental conditions of 40 CFR Subchapter B, as amended, and any Special Conditions set forth in
this grant agreement or any grant amendment.
1. Access. The grantee agrees that it will provide access to the facilities, premises and records
related to the project as provided in 4*30.605 and 30.805 of 40 CFU Subchapter B.
2. Audit and Records. The grantee agrees that it will maintain an adequate system for financial
management, property management and grantee audit in accordance with 4*30.800 and 30.810-3, and that it will
maintain, preserve and make available to the Government all project records for the purpose of inspection,
interim and final audit, and copying as required by ss30.60t>, 30.805, ana 30.820 or 40 CFR Subchapter B.
3. Reports, The grantee agrees to timely file with £PA such reports as are specifically required by the
grant agreement or pursuant to HO CFR Subchapter B, including progress reports (430.635-1), financial reports
(430.635-3), invention reports (430.635-4), property reports (530.635-5), relocation and acquisition reports
(430.635-6) and a final report 430.635-2, and that failure to timely file a report may cause EPA to invoke the
remedies provided in 40 CFR 30.430.
4. Grant Changes: Modifications. The grantee agrees that all grant modifications will be accomplished
through the provisions of 40 CFR 30.900 through 30.900-4.
5. Requirements Pertaining to Federally Assisted Construction. The grantee agrees that during the
performance of the project work it will comply, and that its contractors, subcontractors, employees and
representatives will comply, with the requirements pertaining to federally assisted construction identified in
40 CFP 30.415.
6. Suspension.
(a) The grantee agrees that the grant official may, at any tune, require the grantee to stop all, or
any part, of the work within the scope of the project for which EPA grant assistance was awarded, by a written
stop-work order, for a period of not more than forty-five (45) clays after the order is delivered to the
grantee, and for any further period to wnich the parties may agree. Any such order shall be specifically
identified as a stop-work order issued pursuant to this clause. Upon receipt of such an order, the grantee
agrees to forthwith comply with its terms and take all reasonable steps to irinimize the incurrence of costs
allocable to the work covered by the order during the period of work stoppage. This suspension article shall
not be applicable to educational institutions or nonprofit research institutions.
(b) The grantee agrees that, within any such suspension period, BPA may either (1) cancel the stop-
work order, in full or in part, or (2) initiate action to terminate the grant, in part or in full, as provided
in Article 7, below.
(c) If a stop-work order is canceled or if the suspension period or any extension thereof expires,
the grantee agrees to promptly resume the previously suspended project work.
(d) An equitable adjustment shall be made in the project period, budget period, or the grant amount,
or all of these as appropriate, if:
(1) the stop-work order results in an increase in the time required for, or in the grantee's
costs properly allocable to, the performance of any part ot the project, ^nd
(2) the grantee asserts a written claim for such adjustment within sixty (60) days after the
end of the period of work stoppage, E£°vided that if the Project Officer determines that the circumstances
justify such action ( for example, if the impact ot cost or time factors resulting JTrom a stop-worn order could
not have been ascertained prior to written submission ot the claim), he may receive and act upon any such
claim asserted at any time prior to final payment under this grant.
(e) If a stop-work order is not canceled and grant-related project work covered by such order is
within the scope of a subsequently-issued termination order, trie reasonable costs resulting from the stop-worx
order shall be allowed in arriving at the termination settlement.
(f) The grantee agrees that costs incurred by the grantee or its contractors, subcontractors or
representatives, after a stop-work order is delivered, or within any extension of the suspension period to
which the parties may have agreed, with respect to the project work suspendeu by such order or agreement,
which are not authorized by this article or specifically authorized in writing by the Project officer shall
not be allowable costs.
EPA Form 5700-20 (Rev. 4-75)
PAGE 3 OF 5
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PART III-GRANT CONDITIONS
•
a. GENERAL CONDITIONS (Continued)
7- Termination..
(a) The grantee agrees that the grant award official may, at any time, after written notice and
after opportunity for consultation has been afforded to the grantee, terminate the grant, in whole or in part7
with the concurrence of appropriate EPA officials, through i written termination notice specifying the
effective date of the termination action.
(1) cause for termination shall include, but not. be limited to, default by the grantee or
failure by the grantee to comply with grant conditions or terms.
(2) The grantee agrees that, upon such termination, it will return or credit to the United
States that portion of grant funds paid *r owed to the grantee and allocable to the terminated project work,
except such portion as may be reguired by the grantee to meet commitments which had become firm prior to the
effective date of termination and are otherwise allowable.
(3) whenever feasible, the grant award official and the grantee shall enter into a termination
agreement as soon as possible after any such termination action to establish the basis for settlement, of grant
termination costs and the amount and date of payment of any sums due to either party.
(b) upon request of the grantee, and if the Project Officer determines with the concurrence of
appropriate EPA officials that there is good cause for the termination of all or any portion of tne project
work tor which EPA grant assistance has been awarded, the grant award official and the grantee may enter into
a written termination agreement establishing the effective date of the grant and project termination, and the
basis for settlement ot grant termination costs, and the amount and date of payment of any sums due to either
party.
(c) The grantee agrees that it will not unilaterally terminate work on the project tor which EPA
grant assistance has been awarded, except for good cause. The grantee further agrees:
(1) That it will promptly give written notice to the Project officer ot any complete or partial
termination of tne project work by the grantee, and
(2) That, if the Project Officer determines with tho concurrence of appropriate EPA officials
that the grantee has terminated the project work without good cause, the grant award official may annul the
grant and all EPA grant funds previously paid or owing to the grantee shall be promptly returned or credited
to the United States.
8. Disputes.
(a) Except as otherwise provided by law or regulations, any dispute arising under this grant
agreement shall be decided by the Project Officer, who, after concurrence by appropriate EPA officials, shall
reduce his decision to writing and mail or otherwise furnish a copy thereof to the grantee. Such a decision
ot the Project Officer shall be final and conclusive unless, within thirty (30) days from the date of receipt
of such copy, the grantee mails or otherwise delivers to the Project Officer a written appeal addressed to the
Administrator.
(b) The decision of the Administrator or his duly authorized representative for the determination of
such appeal shall be final and conclusive unless determined by A court of competent jurisdiction to have been
fraudulent- or capricious, or arbitrary, or so grossly erroneous as to imply bad faith, or not supported by
substantial evidence.
(c) In connection with an appeal proceeding under this article, the grantee shall be afforded an
opportunity to be hearl, to be represented by legal counsel, to offer evidence arid testimony in support of any
appeal, and to cross-examine Government witnesses and to examine documentation or exhibits offered in evidence
by the Government or admitted to the appeal record (subject to the Government's right to offer its own
evidence and testimony, to cross-examine the appellant's witnesses, ana to examine documentation or exhibits
offered in evidence by the appellant or admitted to the appeal record). Tne appeal shall be determined solely
upon the appeal record, in accordance with the applicable provisions of Subpart J ot Part 30 of Title UO CFR.
(d) This "Disputes" article shall not preclude consideration of any question of law in connection
with decisions provided for by this article; provided, that nothing in this grint or related regulations snail
be construed as making final the decision of any administrative official, representative, or board, on a
question of law.
9. Notice and Assistance KegarcHng Patent and OO2v.r_ig.ht Infringe merit.
(a) The grantee agrees to report to tne Project Officer, promptly and in reasonable written detail,
each notice or claim of patent or copyright infringement based on the performance of this cjrar.t ot wnich the
grantee has knowledge.
(b) In the event of any claim or suit against the Government, on account of any alleged patent or
copyright infringement arising out of the performance of this grant or out of the use of any supplies
furnished or worn or services performed nereunder, the orantee agrees to furnish to the Government, when
requested by tne Project Officer, all evidence and information in possession of the grantee pertaining to sue
suit or claim. Such evidrnce and information shall DP furnished at the expense of the Government, except when
the grantee has ajreed to indemnity the Government.
EPA Form 5709-20 (Rev. 4-75) PAGE
-------
b. SPECIAL CONDITIONS
PART IV
NOTE: The Grant Agreement must be completed in duplicate and the Original returned to the Grants Administration
Division for Headquarters grant awards and to the appropriate Grants Administration Office for state and local awards
within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
Receipt of a written refusal or failure to return the properly executed document within the prescribed time, will result
in the automatic withdrawal of the grant offer by the Agency. Any amendment to the Grant Agreement by the grantee
subsequent to the document being signed by the Award Official shall void the Grant Agreement.
OFFER AND ACCEPTANCE
The United States of America, acting by and through the U.S. Environmental Protection Agency (EPA), hereby offers
a grant to the for % of all approved costs incurred up to and not
GRANTEE ORGANIZATION
exceeding $ for the support of approved budget period effort described in application (including al
GRANT AMOUNT
application modifications) included herein by reference.
Tl TLE AND DATE
ISSUING OFFICE (Grants Administration Office)
ORGANIZATION/ADDRESS
AWARD APPROVAL OFFICE
ORGAN! ZATION/ADDRE S3
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
SIGNATURE OF AWARD OFFICIAL
TYPED NAME AND TITLE
DATfe
•JPP
This Grant Agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and grant
regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned repre-
sents that he is duly authorized to act on behalf of the grantee organization, and (2) the grantee agrees (a) that the
grant is subject to the provisions of 40 CFR Chapter I, Subchapter B and of the provisions of this agreement (Parts
I thru IV), and (b) that acceptance of any payments constitutes an agreement by the payee that the amounts, if any,
found by EPA to have been overpaid will be refunded or credited in full to EPA.
BY AND ON BEHALF OF THE DESIGNATED GRANTEE ORGANIZATION
1 SIGN ATURE
TYPED NAME AND TITLE
DATE
EPA Form 5700-20 (Rev. 4-75)
PAGE 5 OF 5
-------
2.
3.
4.
f
5.
6.
7.
8.
UMMARY OF COSTS OF PLANNED TREATMENT WORKS
SCHEDULED BY PROJECT AND CATEGORY
(Read initructiont on reverie before completing form )
PROJECT STEP
ESTIMATED CALENDAR QTR/YEAR
APPLICATION WILL BE SUB-
MITTED TO EPA FOR FUNDING
a. CATEGORY 1
Secondary Treatment and BPWTT
b. CATEGORY II
More Stringent Treatment
c. CATEGORY IMA
Infiltration/Inflow Correction
d. CATEGORY 1MB
Major Sewer System Rehabilitation
e. CATEGORY IVA
New Collectors, etc.
f. CATEGORY IVB
New Interceptors, etc.
g. CATEGORY V
Correction of Combined Sewer Over-
flows
h. CATEGORY VI
Treatment and/or Control of
Stormwaters
TOTAL ESTIMATED COST OF
RECOMMENDED PROJECTS
STEP 1 PROJECT COST
Project No. r _ni
GRAND TOTAL ESTIMATED COST OF
ALL PROJECTS TO BE INCLUDED IN
THE ENTIRE GRANT
* SECOND
** PROJECT
STEP
$
$
MUNICIPALITY (Applicant}:
*THIRD
PROJECT
STEP
$
$
* FOURTH
PROJECT
STEP
$
$
* FIFTH
PROJECT
STEP
$
$
>,.--
COST ESTIMATES OF RECOMMENDED PROJECTS WERE COMPUTED AS OF AND REFLECT Th
CONSTRUCTION HOST INDEX OF /
(month and year)
\S REPORTED BY THE ENGINEERING NEWS RECORD
TOTAL ALL
PROJECTS
$
$
$
$
IE LATEST
TTT
*
nclude project description in Facilities Plan narrative.
The First Project is the initial (Step 1) project under this grant for the treatment works.
-------
GENERAL INSTRUCTIONS
Provide the estimated costs for the design and construction of the Treatment Works to carry out the alternative proposal recommended for
implementation. Indicate the planned division of the work to be encompassed by the Grant into projects, i.e., the Step Two project for preparation
of construction drawings and specifications, and the Step Three project for construction. Identify any recommended segmenting or phasing
design or construction into additional Step Two or Step Three projects. Use additional pages if the number of projects being recommended exa
four. If one or more recommended Step Two or Step Three projects would be carried out by a municipality other than the municipality fundi
the Step One facilities planning, show that project(s) on a separate page.
ITEM
1
2
3
4
5
6
SPECIFIC INSTRUCTIONS
The first project was for Facilities Planning (Step One}. The second would normally be for preparation of construction drawings and
specifications, etc.
ITEMS 2 THRU 5 REQUIRE INFORMATION ON PLANNED PROJECTS IN CHRONOLOGICAL SEQUENCE LEFT TO RIGHT.
Enter the setup of each project planned.
Enter the date (calendar quarter/year) when the application for each recommended project is scheduled to be submitted to EPA.
Enter the estimated cost of each project identified by category of work.
Enter the total estimated cost of each project and the sum of all projects.
Enter the EPA Identification Number of the Step One, Facilities Planning, project for this grant. Enter the total cost of the Step One
project.
7 Enter the total estimated cost of all projects to be included in the entire grant (sum of 5 + 6) if accomplished as recommended in the
Plan.
8 Enter the date (month/year) upon which estimated costs are based and the appropriate Construction Cost Index for that month as
reported in the Engineering News Record.
DEFINITIONS
Category I - Secondary Treatment and Best Practicable Waste Treatment Technology (BPWTT), including costs for higher levels of BOD
and suspended solids removal, without a requirement for removal of other constituents.
Category II - Advanced waste treatment, including removal of one or more of the following: phosphorus, nitrogen, nitrate chemical oxy
demand, total organic carbon, pesticides, heavy metals, etc. Also included are polishing lagoons which temporarily reti
effluents from secondary treatment facilities.
Category IIIA - Correction of Infiltration/Inflow Conditions, including cost of the I/I analysis and evaluation, together with all costs necessary
for removing excessive I/I from the sewer system, such as replacement or relining of sewer sections, flow routing systems, etc.,
and including the treatment plant component costs specifically required to treat I/I flows which cannot be reduced in a cost
effective manner.
Category IIIB - Replacement or major rehabilitation of sewers, where it has been determined that such replacement or rehabilitation is
necessary to the total integrity and performance of the wastewater treatment works.
Category IVA - New collectors, including sewers, force mains and pumping stations which perform the complete collector sewer function.
Category IVB - New interceptors, including sewers, force mains and pumping stations which perform the complete interceptor sewer function.
Category V - Correction of combined sewer overflows including costs for evaluating alternative methods of correcting such overflows and
the cost of new collectors, interceptors, storm sewers, retention basins, etc., necessary to alleviate the overflow problem.
Category VI - Treatment and/or control of stormwaters, including the costs of abating pollution from stormwater run-off channelled
through sewers and other conveyances used only for such run-off. Costs of abating pollution from stormwater channelled
through sewers which also carry sewage are included in Category V,
-------
U. S. ENVIRONMENTAL PROTECTION AGENCY
STATE PRIORITY CERTIFICATION
Form Approved
OMB No. 158-ROW8
Submit in duplicate to appropriate Regional Office
LEGAL NAME OF APPLICANT
PROJECT NO.
ADDRESS (Street, City, State, Zip Code)
DESCRIPTION OF PROJECT
JUSTIFICATION FOR PROJECT
W
"
THE STATE WATER POLLUTION CONTROL AGENCY CERTIFIES:
A. That the project, if constructed in accordance with approved plans and specifications, is in conformity with the State
Water Pollution Control Plan submitted in accordance with the requirements of Section 303(e) and Section 106 of the Federal
Water Pollution Control Act, as amended.
B. That a discharge permit has been, or will be, obtained, in accordance with Section 402 of the Act.
C. That on the basis of Water Pollution Control needs and in accordance with the approved State priority system (40 CFR 35.915),
the project is entitled to priority for Federal assistance for the amount requested from available funds under Title II of the
Federal Water Pollution Control Act.
OFFICIAL NAME OF STATE WATER POLLUTION CONTROL AGENCY
.TITLE AND SIGNATURE OF RESPONSIBLE OFFICER
DATE
EPA Form 5700-28 (7-73)
REPLACES FORM FWPCA - 7C (R 3-67) WHICH IS OBSOLETE
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U.S. ENVIRONMENTAL PROTECTION AGENCY
APPLICATION FOR FEDERAL ASSISTANCE
(Construction Grants)
General Instructions
Form Approved
OMB No. 158-R0134
In completing this form, CAREFULLY READ AND
FOLLOW ALL INSTRUCTIONS. Many items are not self-
explanatory. An incomplete or incorrectly completed appli-
cation form may delay consideration of your application.
1. Use of this Application—This application form is to be
used for EPA grant program 66.015, Construction Grants for
Wastewater Treatment Works and for all land acquisition or
land development projects. Also, this form shall be used to
request supplemental assistance, propose changes or amend-
ments to approved grants, and request continuation or
refunding for approved grants originally submitted on this
form.
2. Submission—Submit the original and three copies of the
forms. If an item cannot be answered or does not appear to
be related or relevant to the assistance requested, write "NA"
for not applicable. When a request is made for supplemental
assistance, amendments or changes to an approved grant,
submit only those pages which are appropriate.
Applications for Construction Grants for Wastewater
Treatment Works should be submitted to the appropriate
designated State Water Pollution Control Agency.
3. Grant Regulations—Applicants are expected to understand
and comply with all EPA grant regulations. These regulations
are published in Title 40, Chapter 1, Subchapter B of the
Code of Federal Regulations. A copy of these regulations is
included in the application kit.
4. Clearinghouse Notification—Office of Management and
Budget Circular A-95 requires applicants for certain Federal
assistance programs to notify the State and areawide planning
and development clearinghouses in the jurisdiction in which
the project will be located of their intention to apply for
Federal assistance. EPA grant program 66.015, Construction
Grants for Wastewater Treatment Works is a program for
which such notification is required.
Clearinghouses may comment on the proposed project
and may solicit comments from other interested parties. All
comments made by or through clearinghouses, or a statement
that no such comments were received by the applicant, must
be attached to the application when it is submitted.
Applicants for the above program should contact the
appropriate clearinghouses for further information and assist-
ance concerning the notification process.
5. Environmental Impact—The National Environmental Pol-
icy Act of 1969 requires that all agencies of the Federal
Government prepare detailed environmental statements on
any actions to be taken which significantly affect the quality
of the human environment. EPA procedures for the prepara-
tion of such statements are set forth in Part 6 of Title 40 of
the Code of Federal Regulations (40 CFR 6.1 et seq.) As
stated in the regulations, EPA will require an environmental
assessment of certain projects that are to be supported by
agency grants. Those projects which require such an assess-
ment and the responsibilities of the applicant in supporting
and contributing to the conduct of the assessment are set
forth in the regulations. The environmental assessment will
result in preparation by EPA of an Environmental Impact
Statement identifying and analyzing in detail the impact of
the project on the quality of the environment or a "Negative
Declaration" indicating that there will be no such impact.
6. Relocation Assistance and Real Property Acquisition—The
Uniform Relocation Assistance and Real Property Acquisi-
tion Policies Act of 1970, P. L. 91-646, provides certain
rights and benefits to persons whose land is acquired or who
are displaced as the result of a Federal or a federally assisted
project. If the project of a State or local agency involves land
acquisition or the displacement of any person from his home,
business or farm, actions must be taken to assure compliance
with the Act. Land must be acquired in accordance with the
policies of Title III of the Act. Persons to be displaced must
be provided decent, safe, sanitary and comparable housing.
Procedures for complying with the Act are set forth in Part 4
of Title 40 of the Code of Federal Regulations (40 CFR 4.1
et seq.). No project subject to the Act can be assisted without
the actions and assurances required by those regulations.
Applicants whose projects involve the acquisition of land or
the displacement of people should request a copy of 40 CFR
4.1 et seq. from the office to which this application is
submitted.
7. FLOOD INSURANCE-The Flood Disaster Protection
Act of 1973 (P.L. 93-234) requires grantees, as a condition of
receiving any form of Federal assistance for acquisition or
construction purposes (including real and nonexpendable
personal property) in an identified special flood area, to
purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more. Special
flood hazard areas are identified on Flood Hazard Boundry
Maps and Flood Insurance Rate Maps issued by the Depart-
ment of Housing and Urban Development. Communities have
one year after notification of identification as a flood-prone
community to enter the flood insurance program or no grant
assistance may be awarded for property in the flood hazard
area. Specific requirements pertaining to the flood insurance
program and to the required grantee purchase of flood
insurance are set forth in 40 CFR 30.405-10.
8. Completing the Application:
a. This application consists of 5 parts: General Informa-
tion on Part I, Project Approval Information on Part II,
Budget Information on Part III, Program Narrative on
Part IV, and Assurances on Part V.
b. All dollar amounts requested in this application should
be rounded to the nearest dollar.
9. Project—The term "project" as used in this application
form refers to the scope of work for which Federal
Assistance is awarded by grant or grant amendment pursuant
to 40 CFR Part 35.
10. Pre-Application Assistance—Prior to formal application
submission, assistance including, where appropriate, a pre-
application conference, may be obtained from the appro-
priate EPA regional office and/or State Water Pollution
Control Agency. A list of the EPA Regional Offices with
their addresses and the area they serve "may be found in 40
CFR 30.107, General Grant Regulations and Procedures.
EPA Form 5700-32 (Rev. 6-76)
PREVIOUS EDITION IS OBSOLETE.
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OMB Approval No. 29-M218
FEDERAL ASSISTANCE
»• JYpE [J PREAPPLICATION
ACTION APPLICATION
box I
Q NOTIFICATION OF INTENT (Opt)
HI REPORT OF FEDERAL ACTION
2. APPLI-
CANT'S
APPLI-
CATION
I. NUMBER
b. DATE
19
Year month day
3. STATE
APPLICA-
TION
IDENTI-
FIER
I. NUMBER
b. DATE
ASSIGNED
year -onth day
19
Leave
Blank
4. LEGAL APPLICANT/RECIPIENT
i. Applicant N«m«
b. Orginizition Unit
c. Strwt/P.O. Box
d. City
f. Stiti
I). Contact Person (Nanu
<6 telephone No.)
«. County :
g. ZIP Code
5. FEDERAL EMPLOYER IDENTIFICATION NO.
PRO-
GRAM
(From
Federal
Catalog)
•. NUMBER
b. TITLE
7. TITLE AND DESCRIPTION OF APPLICANT'S PROJECT
8. TYPE OF APPLICANT/RECIPIENT
A-Stete
B-lnterstato
C-Substate
District
D-County
E-City
F-School District
G-Specnl Purpox
District
H-Community Action Agency
I- Higher Educational Institution
I- Indian Tribe
K-Other (Specify):
Enter appropriate letter I 1
9. TYPE OF ASSISTANCE
A-Basic Grant D-lnsurance
B-Supplemtntal Grant E-Other
C-Loan
Enter appro- I I I
priate letter(t> \ \ \
10. AREA OF PROJECT IMPACT (Names of cities, covntiee.
Statei, etc.)
11. ESTIMATED NUM-
BER OF PERSONS
BENEFITING
12. TYPE OF APPLICATION
A-Naw C-Revision E-Augmentation
B-Renewjl D-Contmuation ,—,
Enter appropriate letter
PROPOSED FUNDING
14. CONGRESSIONAL DISTRICTS OF:
a. FEDERAL
b. APPLICANT
e. STATE
d. LOCAL
l. APPLICANT
16. PROJECT- START
DATE Year month day
19
b. PROJECT
17. PROJECT
DURATION
Months
15. TYPE OF CHANGE (for Itc or lie)
A-lncreasa Dollars F-Other (Specify):
B-Decreasa Dollars
C-lncrease Duration
D-Decreaso Duration
E-Cancellation
Enter appro-
priate letterfs)
I. OTHER
.00
f. TOTAL
.00
18. ESTIMATED DATE TO
BE SUBMITTED TO
FEDERAL AGENCY *•
Year month day
19. EXISTING FEDERAL IDENTIFICATION NUMBER
19
20. FEDERAL AGENCY TO RECEIVE REQUEST (Nam. City. State. HP code)
21. REMARKS ADDED
YM r NO
22.
THE
APPLICANT
CERTIFIES
THAT*-
a. To the best of my knowledge and belief,
dati In this preeppticetlon/applicition art
true and correct, the document has been
duly authorized by the governing body of
the applicant and the applicant will comply
with tbt attached assurances If the Mtist-
ance is approved.
b. If required by OMB Circular A-95 this application was submitted, pursuant to in- No r«-
structions theraln. to appropriate clearinghouses and all responses are attached: ajxmee
Retpoiu*
attacked
(1)
(2)
(3)
D
a
a
a
a
a
23.
CERTIFYING
REPRE-
SENTATIVE
i. TYPED NAME AND TITLE
b. SIGNATURE
c. DATE SIGNED
year month day
19
24. AGENCY NAME
25. APPLICA- y,
TION
RECEIVED 19
month day
26. ORGANIZATIONAL UNIT
27. ADMINISTRATIVE OFFICE
28. FEDERAL APPLICATION
IDENTIFICATION
29. ADDRESS
30. FEDERAL GRANT
IDENTIFICATION
31. ACTION TAKEN
PJ I. AWARDED
Q b. REJECTED
Q c. RETURNED FOR
AMENDMENT
£] d. DEFERRED
rj e. WITHDRAWN
32.
FUNDING
a. FEDERAL
b. APPLICANT
c. STATE
d. LOCAL
a. OTHER
f. TOTAL
.00
.00
.00
.00
.00
.00
Year month day
33. ACTION DATE*. 19
34. Year month day
STARTING
DATE 19
35. CONTACT FOR ADDITIONAL INFORMA-
TION (Name and telephone number)
36. Year month day
ENDING
DATE 19
37. REMARKS ADDED
a
38.
FEDERAL AGENCY
A-95 ACTION
a. In taking above action, any comments received from clearinghouses were con-
sidered. II agency response is due under provisions of Part 1, OMB Circular A-95,
it has been or is being madt.
b. FEDERAL AGENCY A-95 OFFICIAL
(Name and telephone MO.)
EPA Form 5700-32 (Rev. 6-76)
PAGE 1 OF 16
STANDARD FORM 424 PAGE 1 (10-75)
PreeertW by GSA. Federal Mwoement Circular Tt-T
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OMB APPROVAL NO. 29-R0218
SECTION IV-MEMARKS (Please reference the proper item number from Sections I, II or III, if applicable)
EPA Form 5700-32 (Rev. 6-76) PAGE 2 OF 16 STANDARD FORM 424 PAGE 2 (10-78)
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GENERAL INSTRUCTIONS OMB APPROVAL NO, 29-ROZIS
This is a multi-purpose standard form. First, it will be used by applicants as a required facesheet for pre-
applications and applications submitted in accordance with Federal Management Circular 74-7. Second, it will
be used by Federal agencies to report to Clearinghouses on major actions taken on applications reviewed by
clearinghouses in accordance with OMB Circular A-95. Third, it will be used by Federal agencies to notify
States of grants-in-aid awarded in accordance with Treasury Circular 1082. Fourth, it may be used, on an
optional basis, as a notification of intent from applicants to clearinghouses, as an early initial notice that Federal
assistance is to be applied for (clearinghouse procedures will govern).
APPLICANT PROCEDURES FOR SECTION I
Applicant will complete all items in Section I. If an item is not applicable, write "NA". If additional space is needed, insert
an asterisk "*", and use the remarks section on the back of the form. An explanation follows for each item:
Item
1. Mark appropriate box. Pre-application and applica-
tion guidance is in FMC 74-7 and Federal agency
program instructions. Notification of intent guid-
ance is in Circular A-95 and procedures from clear-
inghouse. Applicant will not use "Report of Federal
Action" box.
2a. Applicant's own control number, if desired.
2b. Date Section I is prepared.
3a. Number assigned by State clearinghouse, or If dele-
gated by State, by areawide clearinghouse. All re-
quests to Federal agencies must contain this identi-
fier if the program is covered by Circular A-95 and
required by applicable State/areawide clearing-
house procedures. If in doubt, consult your clear-
inghouse.
3b. Bate applicant notified of clearinghouse identifier.
4a-4h. Legal name of applicant/recipient, name of primary
organizational unit which will undertake the assist-
ance activity, complete address of applicant, and
name and telephone number of person who can pro-
vide further information about this request.
5. Employer identification number of applicant as as-
signed by Internal Revenue Service.
6a. Use Catalog of Federal Domestic Assistance num-
ber assigned to program under which assistance is
requested. If more than one program (e.g., joint-
funding) write "multiple" and explain in remarks.
If unknown, cite Public Law or U.S. Code.
6b. Program title from Federal Catalog. Abbreviate if
necessary.
7. Brief title and appropriate description of project.
For notification of intent, continue in remarks sec-
tion if necessary to convey propsr description.
8. Mostly self-explanatory. "City" includes town, town-
ship or other municipality.
9. Check the type(s) of assistance requested. The
definitions of the terms are:
A. Basic Grant. An original request for Federal
funds. This would not include any contribution
provided under a supplemental grant.
B. Supplemental Grant. A request to increase a
basic grant in certain cases where the eligible
applicant cannot supply the required matching
share of the basic Federal program (e.g., grants
awarded by the Appalachian Regional Commis-
sion to provide the applicant a matching share).
C. Loan. Self explanatory.
(tern
10.
11.
12.
13.
14a.
14b.
15.
D. Insurance. Self explanatory.
E. Other. Explain on remarks page.
Governmental unit where significant and meaning-
ful impact could be observed. List only largest unit
or units affected, such as State, county, or city. If
entire unit affected, list it rather than subunits.
Estimated number of persons directly benefiting
from project.
Use appropriate codo letter. Definitions are:
A. New. A submittal for the first time for a new
project.
B. Renewal. An extension for an additional funding/
budget period for a project having no projected
completion date, but for which Federal support
must be renewed each year.
C. Revision. A modification to project nature or
scope which may result in funding change (in-
crease or decrease).
D. Continuation. An extension for an additional
funding/budget period for a project the agency
initially agreed to fund for a definite number of
years.
E. Augmentation. A requirement for additional
funds for a project previously awarded funds in
the same funding/budget period. Project nature
and scope unchanged.
Amount requested or to be contributed during the
first funding/budget period by each contributor.
Value of in-kind contributions will be included. If
the action is a change in dollar amount of an exist-
ing grant (a revision or augmentation), indicate
only the amount of the change. For decreases en-
close the amount in parentheses. If both basic and
supplemental amounts are included', breakout in
remarks. Kor multiple program funding, use totals
and show program breakouts in remarks. Item defi-
nitions: 13a, amount requested from Federal Gov-
ernment; 13b, amount applicant will contribute;
13c, amount from State, if applicant is not a State;
13d, amount from local government, if applicant is
not a local government; 13e, amount from any other
sources, explain in remarks.
Self explanatory.
The district(s) whcra most of actual work will bo
accomplished. If city-wide or State-wide, covering
several districts, write "city-wide" or "State-wide."
Complete only for revisions (item 12c), or augmen-
tations (item 12e).
EPA Form 5700-32 (Rev. 6-76)
PAGE 3 OF 16
STANDARD FORM 424 PAGE 3 (10-75)
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item
16.
17.
18.
Approximate date project expected to begin (usually
associated with estimated date of availability of
funding).
Estimated number of months to complete project
after Federal funds are available.
Estimated date preapplication/application will be
submitted to Federal agency if this project requires
clearinghouse review. If review not required, this
date would usually be same as date in item 2b.
item OMB APPROVAL NO. 29-R0218
19. Existing Federal identification number if this is not
a new request and directly relates to a previous
Federal action. Otherwise write "NA".
20. Indicate Federal agency to which this request is
addressed. Street address not required, but do use
ZIP.
21. Check appropriate box as to whether Section IV of
form contains remarks and/or additional remarks
are attached.
APPLICANT PROCEDURES FOR SECTION II
Applicants will always complete items 23a, 23b, and 23c. If clearinghouse review is required, item 22b must be fully com-
pleted. An explanation follows for each item:
Item
22b.
23a.
List clearinghouses to which submitted and show
in appropriate blocks the status of their responses.
For more than three clearinghouses, continue in
remarks section. All written comments submitted
by or through clearinghouses must be attached.
Name and title of authorized representative of legal
applicant.
Item
23b. Self explanatory.
23c. Self explanatory.
Note:
Applicant completes only Sections I and II. Section
III is completed by Federal agencies.
FEDERAL AGENCY PROCEDURES FOR SECTION III
If applicant-supplied information in Sections I and II needs no updating or adjustment to fit the final Federal action, the
Federal agency will complete Section III only. An explanation for each item follows:
(tern
24. Executive department or independent agency having
program administration responsibility.
25. Self explanatory.
26. Primary organizational unit below department level
having direct program management responsibility.
27. Office directly monitoring the program.
28. Use to identify non-award actions where Federal
grant identifier in item 30 is not applicable or will
not suffice.
29. Complete address of administering office shown in
item 26.
30. Use to identify award actions where different from
Federal application identifier in item 28.
31. Self explanatory. Use remarks section to amplify
where appropriate.
32. Amount to be contributed during the first funding/
budget period by each contributor. Value of in-kind
contributions will be included. If the action is a
change in dollar amount of an existing grant (a revi-
sion or augmentation), indicate only the amount of
change. For decreases, enclose the amount in pa-
rentheses. If both basic and supplemental amounts
are included, breakout in remarks. For multiple pro-
gram funding, use totals and show program break-
outs in remarks. Item definitions: 32a, amount
awarded by Federal Government; 32b, amount ap-
plicant will contribute; 32c, amount from State, if
applicant is not a State; 32d, amount from local
government if applicant is not a local government;
32e, amount from any other sources, explain in
remarks.
33. Date action was taken on this request.
34. Date funds will become available.
(tern
35.
36.
37.
38.
Name and telephone no. of agency person who can
provide more information regarding this assistance.
Date after which funds will no longer be available.
Check appropriate box as to whether Section IV of
form contains Federal remarks and/or attachment
of additional remarks.
For use with A-95 action notices only. Name and
telephone of person who can assure that appropri-
ate A-95 action has been taken—If same as person
shown in item 35, write "same". If not applicable.
write "NA".
Federal Agency Procedures—special considerations
A. Treasury Circular 1082 compliance. Federal agency will
assure proper completion of Sections I and III. If Section I
is being completed by Federal agency, ail applicable items
must be filled in. Addresses of State Information Recep-
tion Agencies (SCIRA's) are provided by Treasury Depart-
ment to each agency. This form replaces SF 240, which
will no longer be used.
B. OMB Circular A-95 compliance. Federal agency will as-
sure proper completion of Sections I, II, and 111. This form
is required for notifying all reviewing clearinghouses of
major actions on all programs reviewed under A-95.
Addresses of State and areawide clearinghouses are pro-
vided by OMB to each agency. Substantive differences
between applicant's request and/or clearinghouse recom-
mendations, and the project as finally awarded will be
explained in A-95 notifications to clearinghouses.
C. Special note. In most, but not all States, the A-95 State
clearinghouse and the (TC 1082) SCIRA are the same
office. In such cases, the A-95 award notice to the State
clearinghouse will fulfill the TC 1082 award notice re-
quirement to the State SCIRA. Duplicate notification
should be avoided.
EPA Form 5700-32 (Rev. 6-76)
PAGE 4 OF 16
STANDARD FORM 424 PAGE 4 (10-75)
oTO— Id—83498— 1 opo
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PART II
PROJECT APPROVAL INFORMATION
SECTION A
Form Approved
OMB No. 158-R0134
Item 1.
Does this assistance request require State, local,
regional, or other priority rating?
Yes_
Name of Governing Body.
Priority Rating
_No
Name of Agency or
Board
Item 2.
Does this assistance request require State, or local
advisory, educational or health clearances?
Yes No (Attach Documentation)
Item 3.
Does this assistance request require clearinghouse review (Attach Comments)
in accordance with OMB Circular A-95?
_Yes.
.No
Item 4.
Does this assistance request require State, local,
regional or other planning approval?
Yes
Name of Approving Agency .
Date
Item 5.
Is the proposed project covered by an approved
comprehensive plan?
Yes
Check one: State D
Local D
Regional D
.No Location of plan
Item 6.
Will the assistance requested serve a Federal
installation?
Name of Federal Installation
Federal Population benefiting from Project.
_Yes No
Item 7.
Will the assistance requested be on Federal land
or installation?
Yes-
Name of Federal Installation.
Location of Federal Land
Percent of Project
.No
Item 8.
Will the assistance requested have an impact or effect See instruction for additional information to be
on the environment? provided.
_Yes.
.No
Item 9.
Number of:
Has the project for which assistance is requested caused, Individuals.
since January 1, 1971, or will it cause, the displacement Families
of any individual, family, business, or farm? Businesses-
Farms
Yes No
Item 10.
Is there other related Federal assistance on this
project previous, pending, or anticipated?
Yes_
See instructions for additional information to be
provided.
_No
Item 11.
Is project in a designated flood hazard area?
.Yes No
EPA Form 5700-32 (Rev. 6-76)
PAGE 5 OP 16
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INSTRUCTIONS
Form Approved
OMB No. 158-R0134
PART II - SECTION A
Negative answers will not require an explanation unless the
Federal agency requests more information at a later date. Provide
supplementary data for all "Yes" answers in the space provided in
accordance with the following instructions.
Item 1 - Provide the name of the governing body establishing the
priority system and the priority rating assigned to this project.
Item 2 — Provide the name of the agency or board which issued
the clearance and attach the documentation of status or approval.
Item 3 — Attach the clearinghouse comments for the application
in accordance with V.ie instructions contained in Office of
Management and Budget Circular No. A-95. If comments were
submitted previously with a preapplication, do not submit them
again but any additional comments received from the clearing-
house should be submitted with this application.
Item 4 — Furnish the name of the approving agency and the
approval date.
Item 5 — Show whether the approved comprehensive plan is
State, local or regional, or if none of these, explain the scope of
the plan. Give the location where the approved plan is available
for examination and state whether this project is in conformance
with the plan.
Item 6 — Show the Federal population residing or working on the
federal installation who will benefit from this project.
Item 7 — Show the percentage of the project work that will be
conducted on federally owned or leased land. Give the name of
the Federal installation and its location.
Item 8 — Briefly describe the possible beneficial and/or harmful
impact on the environment because of the proposed project. If an
adverse environmental impact is anticipated, explain what action
will be taken to minimize the impact. Federal agencies will
provide separate instructions if additional data is needed.
Item 9 — State the number of individuals, families, businesses, or
farms this project will displace. Federal agencies will provide
separate instructions if additional data is needed.
Item 10 - Show the Federal Domestic Assistance Catalog
number, the program name, the type of assistance, the status and
amount of each project where there is related previous, pending,
or anticipated assistance. Use additional sheets, if needed.
Itemll-Flood Insurance—Check "Yes" if project or any nonex-
pendable property is to be located in a special flood hazard area
designated by the Department of Housing and Urban Develop-
ment. If the answer is "Yes" the grantee must purchase the
required flood insurance if required pursuant to Item 7 of the
General Instructions to this application.
EPA Form 5700-32 (Rev. 6-76)
PAGE 6 OF 16
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Form Approved
OMB No. 158-R0134
INSTRUCTION
PART II-SECTION B
11. SITES AND IMPROVEMENTS: Not required Attached as exhibits
Applicant intends to acquire the site through-
.Eminent domain Negotiated purchase, Other means (specify)
12. TITLE OR OTHER INTEREST IN THE SITE IS OR WILL BE VESTED IN:
Applicant, Agency or institution operating the facility, Other (specify]
13. INDICATE WHETHER APPLICANT/OPERATOR HAS:
Fee simple title, Leasehold interest, Other (specify)
14. IF APPLICANT/OPERATOR HAS LEASEHOLD INTEREST, GIVE THE FOLLOWING INFORMATION:
a. Length of lease or other estate interest , and number of years to run
b. Is lease renewable? Yes No
c. Current appraised value of land $
d. Annual rental rate $
15. ATTACH AN OPINION FROM ACCEPTABLE TITLE COUNSEL DESCRIBING THE INTEREST APPLICANT/]
OPERATOR HAS IN THE SITE AND CERTIFYING THAT THE ESTATE OR INTEREST IS LEGAL & VALID!
16. WHERE APPLICABLE, ATTACH SITE SURVEY, SOIL INVESTIGATION REPORTS AND COPIES OF LAND APPRAISA1S._
17. WHERE APPLICABLE, ATTACH CERTIFICATION FROM ARCHITECT ON THE FEASIBILITY OF
IMPROVING EXISTING SITE TOPOGRAPHY.
18. ATTACH PLOT PLAN.
19. CONSTRUCTION SCHEDULE ESTIMATES: Not required Being prepared Attached as exhibits
Percentage of completion of drawings and specifications at application date:
Schematics % Preliminary % Final %
20. TARGET DATES FOR:
Bid Advertisement Contract Award.
Construction Completion Occupancy
21. DESCRIPTION OF FACILITY: .Not Required Attached as exhibits
Drawings — Attach any drawings which will assist in describing the project.
Specifications — Attach copies of completed outline specifications.
(If drawings and specifications have not been fully completed, please attach copies or working drawings that have been completed.)
NOTE. ITEMS ON THIS SHfcET ARE SELF-EXPLANATORY, THEREFORE, NO INSTRUCTIONS ARE PROVIDED.
E PA Form 5700-32 (Rev. 6-76) PAGE 7 OF 16
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Form Approved
OMB No. 158-ROI34
PART III - BUDGET INFORMATION - CONSTRUCTION
SECTION A -GENERAL
1. Federal Domestic Assistance Catalog No
2. Functional or Other Breakout
SECTION B - CALCULATION OF FEDERAL GRANT
Cost Classification
1. Administration expense
2. Preliminary expense
3. Land structures, right-of-way
4. Architectural engineering basic fees
5. Other architectural engineering fees
6. Project inspection fees
7. Land development
8. Relocation Expenses
9. Relocation payments to Individuals and Businesses
10. Demolition and removal
1 1 . Construction and project improvement
12. Equipment
13. Miscellaneous
14. Total (Lines 1 through 13)
15. Estimated Income (if applicable)
16. Net Project Amount (Line 14 minus 151
17. Less: Ineligible Exclusions
18. Add: Contingencies
19. Total Project Amt. (Excluding Rehabilitation Grants)
20. Federal Share requested of Line 19
21. Add Rehabilitation Grants Requested (WO Percent!
22. Total Federal grant requested (Line 20 & 211
23. Grantee share
24. Other shares
25. Total project (Lines 22, 23 & 24)
Use only for revisions
Latest Approved
Amount
$
$
Adjustment
+ or (-)
$
$
Total
Amount
Required
$
$
EPA Form 5700-32 (Rev. 6-76)
PAGE 8 OF 16
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INSTRUCTIONS
Form Approved
OMB No. 158-0134
PART III
Section A. General
1. Show the Federal Domestic Assistance Catalog Number
from which the assistance is requested. When more than
one program or Catalog Number is involved and the
amount cannot be distributed to the Federal grant program
or catalog number on an overall percentage basis, prepare a
separate set of Part III forms for each program or Catalog
Number. However, show the total amounts for all programs
in Section B of the basic application form.
2. Show the functional or other categorical breakouts, if
required by the Federal grantor agency. Prepare a separate
set of Part III forms for each category.
Section B. Calculation of Federal Grant
When applying for a new grant, use the Total Amount Column
only. When requesting revisions of previously awarded amounts,
use all columns.
Line 1 — Enter amounts needed for administration expenses
including such items as travel, legal fees, rental of vehicles and any
other expense items expected to be incurred to administer the
grant. Include the amount of interest expense when authorized by
program legislation and also show this amount under Section E
Remarks.
Line 2 — Enter amounts pertaining to the work of locating and
designing, making surveys and maps, sinking test holes, and all
other work required prior to actual construction.
Line 3 — Enter amounts directly associated with the acquisition
of land, existing structures, and related right-of-way.
Line 4 — Enter basic fees for architectural engineering services.
Line 5 — Enter amounts for other architectural engineering
services, such as surveys, tests, and borings.
Line 6 — Enter fees for inspection and audit of construction and
related programs.
Line 7 — Enter amounts associated with the development of land
where the primary purpose of the grant is land improvement. Site
work normally associated with major construction should be
excluded from this category and shown on Line 11.
Line 8 — Enter the dollar amounts needed to provide relocation
advisory assistance, and the net amounts for replacement (Last
resort/ housing. Do not include relocation administration
expenses on this Line; include them on Line 1.
Line 9 — Enter the estimated amount of relocation payments to
be made to displaced persons, business concerns and non-profit
organizations for moving expenses and replacement housing.
Line 10 — Enter the gross salaries and wages of employees of the
grantee who will be directly engaged in performing demolition or
removal of structures from developed land. This line should show
also the cost of demolition or removal of improvements on
developed land under a third party contract. Reduce the costs on
this line by the amount of expected proceeds from the sale of
salvage, if so instructed by the Federal grantor agency. Otherwise,
show the proceeds on Line 15.
Line 11 — Enter amounts for the actual construction of, addition
to, or restoration of a facility. Also include in this category the
amounts of project improvements such as sewers, streets, land-
scaping and lighting.
Line 12 — Enter amounts for equipment both fixed and movable
exclusive of equipment used for construction. For example,
include amounts for permanently attached laboratory tables,
built-in audio visual systems, movable desks, chairs, and labora-
tory equipment.
Line 13 — Enter amounts for items not specifically mentioned
above.
Line 14 — Enter the sum of Lines 1-13.
Line IS — Enter the estimated amount of program income that
will be earned during the grant period and applied to the program.
Line 16 — Enter the difference between the amount on Line 14
and the estimated income shown on Line 15.
Line 17 — Enter amounts for those items which are part of the
project but not subject to Federal participation (See Section C,
Line 26g, Column (1) ).
Line 18 — Enter the estimated amount for contingencies.
Compute this amount as follows. Subtract from the net project
amount shown on Line 16 the ineligible project exclusions shown
on Line 17 and the amount which is excluded from the
contingency provisions shown in Section C, Line 26g, Column (2).
Multiply the computed amount by the percentage factor allowed
by the grantor agency in accordance with the Federal program
guidance. For those grants which provide for a fixed dollar
allowance in lieu of a percentage allowance, enter the dollar
amount of this allowance.
Line 19 - Show the total amount of Lines 16, 17, and 18. (This is
the amount to which the matching share ratio prescribed in
program legislation is applied.)
Line 20 — Show the amount of Federal funds requested exclusive
of funds for rehabilitation purposes.
Line 21 — Enter the estimated amounts needed for rehabilitation
expense if rehabilitation grants to individuals are made for which
grantees are reimbursed 100 percent by the Federal grantor
agency in accordance with program legislation. If the grantee
shares in part of this expense show the total amount on Line 13
instead of on Line 21 and explain in Section E.
Line 22 — Show the total amount of the Federal grant requested.
Line 23 - Show the amount from Section D, Line 27h.
Line 24 — Show the amount from Section D, Line 28c.
Line 25 — Self-explanatory.
EPA Form 5700-32 (Rev. 6-76)
PAGE 9 OF 16
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Form Approved
OMB No. 158-R0134
SECTION C - EXCLUSIONS
26
Classification
a.
b.
c.
d.
e.
f.
9-
Total*
Ineligible for
Participation
(1)
$
$
Excluded from
Contingency Provision
(2)
$
$
SECTION D - PROPOSED METHOD OF FINANCING NON-FEDERAL SHARE
27. Grantee Share
a Securities
b. Mortgages
c. Appropriations
(By Applicant)
d. Bonds
e. Tax Levies
f. Non Cash
g. Other (Explain)
h. TOTAL - Grantee share
28. Other Shares
a. State
b. Other
c. Total Other Shares
29. TOTAL
$
$
SECTION E - REMARKS
EPA F«rm 5700-32 (R.v. 6-76) PART IV PROGRAM NARRATIVE (Attach-See Instructions)
PAGE 10 OF 16
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INSTRUCTIONS
Form Approved
OMB No. 158-R0134
PART III
Section C. Exclusions
Line 26 a-g — Identify and list those costs in Column (1) which
are part of the project cost but are not subject to Federal
participation because of program legislation or Federal grantor
agency instructions. The total amount on Line g should agree with
the amount shown on Line 17 of Section B. Show in Column (2)
those project costs that are subject to Federal participation but
are not eligible for inclusion in the amount used to compute
contingency amounts as provided in the Federal grantor agency
instructions.
Section D. Proposed Method of Financing Non-Federal Share
Line 27 a-g — Show the source of the grantee's share. If cash is
not immediately available, specify the actions completed to date
and those actions remaining to make cash available under Section
E Remarks. Indicate also the period of time that will be required
after execution of the grant agreement to obtain the funds. If
there is a noncash contribution, explain what this contribution
will consist of.
Line 27 h — Show the total of Lines 27 a-g. This amount must
equal the amount shown in Section B, Line 23.
Line 28 a — Show the amount that will be contributed by a State
or state agency, only if the applicant is not a State or state
agency. If there is a noncash contribution, explain what the
contribution will consist of under Section E Remarks.
Line 28 b — Show the amount that will be contributed from other
sources. If there is a noncash contribution, explain what this
contribution will consist of under Section E Remarks.
Line 28 c — Show the total of Lines 28a and 28b. This amount
must be the same as the amount shown in Section B, line 24.
Line 29 — Enter the totals of Line 27h and Line 28c.
Section E. Other Remarks
Make any remarks pertinent to the project and provide any other
information required by these instructions or the grantor agency.
Attach additional sheets, if necessary.
EPA Form 5700-32 (Rev. 6-76)
PAGE 11 OF 16
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PART IV-NARRATIVE STATEMENT
CONSTRUCTION GRANTS FOR WASTEWATER TREATMENT WORKS
Form Approved
OMB No. 158-R0134
Section A. Introduction
Construction of federally financed waste treatment works
generally is accomplished in three steps: Step 1 facilities plans and
related elements; Step 2 preparation of construction drawings
and specifications, and Step 3 fabrication and building of a
treatment works. An application must be submitted to the State
agency for each proposed treatment works. The basic application
shall meet the requirements for the project set forth in Section B.
Submissions required for subsequent related projects shall be
provided in the form of amendments to the basic application. Each
such submission shall be submitted through the State agency,
must be complete, and must relate to a project for which priority
has been determined by the State agency. If any information
required has been furnished with an earlier application, the
applicant need only incorporate by reference and, if necessary up-
date or revise such information utilizing the previously approved
application. Prior to completion of an application applicants should
be thoroughly familiar with all EPA grant regulations which apply
to this program.
Section B. Application Requirements
1. For all grant applications or amendment (Step 1, 2, or 3) iden-
tify,by the National Pollution Discharge Elimination System
(NPDES) permit discharge name and number, as appropriate, all
publicly owned treatment works that will be included within the
work scope for which grant assistance is being requested.
2. Project for facilities plan and related elements required to
apply for Step 2 grant assistance (Step 7). An application for
a grant for Step 1 shall include.
a. A plan of study presenting (i) the proposed planning
area; (ii) an identification of the entity or entities that
will be conducting the planning, (in) the nature and
scope of the proposed Step 1 project, including a
schedule for the completion of specific tasks, and (iv)
an itemized description of the estimated costs for the
project. (See 40CFR 35.917).
b. Proposed subagreements, or an explanation of the
intended method of awarding subagreements for per-
formance of any substantial portion of the project
work
c. Required comments or approvals of relevant State,
local, and Federal agencies {including "clearinghouse"
requirements of OMB Circular A-9S).
3. Project for preparation of construction drawings and
specifications (Step 2). An application for a grant or grant
amendment for preparation of construction drawings and
specifications shall include-
a. A facilities plan (including an environmental assess-
ment in accordance with 40 CFR Part 6) in accord-
ance with 40 CFR 35.917 through 35.917-9. The
description of the treatment works for which con-
struction drawings and specifications are to be pre-
pared shall include cost estimates for design and
construction tor the treatment works, and a schedule
for completion of the design and construction. It shall
indicate the planned division of all the work to be
encompassed by the Grant, i.e., completing the plan-
ned treatment works, (Step 2 and Step 3) including
any segmenting or phasing, into projects for which
applications for amendment of the basic application
will be submitted. Cost estimates shall be provided for
each such project as well as the total estimate for the
treatment works using the format provided on Page 13
of this application form. Month and year of cost
estimate preparation shall be included.
b. Satisfactory evidence ot compliance with the user
charge provisions of 40 CFR 35.925-11 and 35.935-13.
c. Satisfactory evidence of compliance with the industrial
cost recovery provisions of 40 CFR 35.925-12, 35.928,
and 35.935-13, if applicable.
d. A statement regarding availability of the proposed site,
if relevant.
e. Satisfactory evidence of a proposed or existing pro-
gram for compliance with the Relocation and Land
Acquisition Policies Act of 1970 in accordance with 40
CFR 30.403'd) and 40 CFR Part 4, if applicable.
f. Satisfactory evidence of compliance with other appli-
cable Federal statutory and regulatory requirements
(see 40 CFR Part 30, Subpart C).
g Proposed subagreements or an explanation of the
intended method of awarding subagreements for per-
formance of any substantial portion of the project
work.
h. Required comments or approvals of relevant State.
local, and Federal agencies (including "clearinghouse"
requirements of OMB Circular A-95) if a grant applica-
tion has not been previously submitted
4. Project for building and erecting of a treatment works
(Step 3). An application for a grant or grant amendment for
the building and erection of a treatment works shall include
(a) the items in paragraph (2) of this section, (b) two sets of
the construction drawings and specifications, suitable for
bidding purposes, and (c) a schedule for or evidence of
compliance with 40 CFR 35.925-10 and 35.935-12
concerning an operation and maintenance program, must
have been furnished. It shall also include cost estimates for
the completion of construction of the treatment works with
an affirmation of their current validity and a schedule for the
completion of construction. The format provided on Page 13
of this application form will be used.
5. Training Facility Project. An application for assistance for
construction of a training facility pursuant to Section 109(b)
of the Act shall include (a) a statement concerning the
suitability of the treatment works facility for training
operation and maintenance personnel for treatment works
throughout one or more States; (b) a written commitment
from the State agency or agencies to carry out at such facility
a program of training approved by the Regional
Administrator; and (c) an engineering report, including
facility design data, cost estimates for design and construc-
tion of the facility, and a schedule for completion of design
and construction.
EPA Form 5700-32 (Rev. 6-76)
PAGE 12 OF 16
-------
Form Approved
OMB No 15S-R0134
SUMMARY OF COSTS OF PLANNED TREATMENT WORKS
SCHEDULED BY PROJECT AND CATEGORY
(Read instructions on reverse before completing form)
1.
2.
3.
H 1
SS &
PS
r
4.
5.
6.
7.
8.
PROJECT STEP
ESTIMATED CALENDAR QUARTER/
YEAR APPLICATION WILL BE SUBMIT-
TED TO EPA FOR FUNDING
Cl'^,."'7!''^"'*'4"^'"^1?"!? < ••' -*1
a. CATEGORY 1
Secondary Treatment and BFWTT
b. CATEGORY II
More Stringent Treatment
c. CATEGORY IMA
Infiltration/Inflow Correction
d. CATEGORY 1MB
Major Sewer System Rehabilitation
e. CATEGORY IVA
New Collectors, etc.
f. CATEGORY IVB
New Interceptors, etc.
g. CATEGORY V
Correctionof Combined Sewer Overflows
h. CATEGORY VI
Treatment and/or Control of
Stormwaters
T™-», ^OT a. PREVIOUSLY
TOTAL COST FUNDED
OF STEP 2
AND STEP 3 . „. fl.,Mcn
PROJECTS b" PLANNED
TOTAL ESTIMATED COST OF ALL
PLANNED BUT UNFUNDED PROJECTS
TO BE INCLUDED IN THE ENTIRE
GRANT
STEP 1 PROJECT COST
PROJECT NO. C -0
*a.
PROJECT
SEQUENCE
STEP
$
$
$
MUNICIPALITY (Applicant):
b.
PROJECT
SEQUENCE
STEP
$
$
$
c.
PROJECT
SEQUENCE
STEP
$
$
$
d.
PROJECT
SEQUENCE
STEP
$
$
$
J-"""-- , '' * * f f- '--
' * * ' '' ; '= '
APPLICANT'S
APPLICATION NO.
C- -0
c.
TOTAL ALL
PROJECTS
i
^
$
$
*- /
$
# *
$
COST ESTIMATES OF PLANNED PROJECTS WERE COMPUTED AS OF AND REFLECT THE LATEST
(MONTH AND YEAR)
CONSTRUCTION COST INDEX OF AS REPORTED BY THE ENGINEERING NEWS RECORD.
9a. ESTIMATES PREPARED/VERIFIED BY 9b. REVIEW AND APPROVAL BY STATE AGENCY
NAME (Please print)
DATE NAME (Please print)
DATE
ORGANIZATION ORGANIZATION
TELEPHONE AREA CODE j NUMBER SIGNATURE
NUMBER 1 j
SIGNATURE
9c. REVIEW AND APPROVAL BY EPA REGIONAL OFFICE
NAME (Please print)
DATE
JP^>.. *"^'* 'fy^-.-f^s >^^ ~ ' w •• ^ ^ '*• \ • SIGNATURE
m".^A:fl^^l '*.>.* -yi:-\.K . , , *• * ;
* The Step 1 project, if any, will be reported on line 7.
** If no Step 1 project was funded by EPA, insert N/A.
EPA Form 5700-32 (Rev. 6-76)
PAGE 13 OF 16
-------
Form Approved
GENERAL INSTRUCTIONS OMB No. 1S8-K0134
Provide the actual or estimated costs for the design and construction projects to complete the Treatment Works as planned. Indicate the planned
division of the work to be encompassed by the Grant into projects, i.e., the Step Two project for preparation of construction drawings and
specifications, and the Step Three project for construction. Identify any recommended segmenting or phasing of design or construction into additional
Step Two or Step Three projects. Use additional pages if the number of Step Two and Step Three projects being recommended exceeds four. If one or
more recommended Step Two or Step Three projects would be carried out by a municipality other than the municipality funding the Step One
facilities planning, show that project(s) on a separate page.
SPECIFIC INSTRUCTIONS
ITEM(S)
1 If the first project funded by EPA was for Facilities Planning (Step One), report it on line 7. The second project would
normally be for preparation of construction drawings and specifications, etc. Enter any project sequence numbers the State has
assigned.
ITEMS 2 THRU 5 REQUIRE INFORMATION ON FUNDED OR PLANNED PROJECTS IN CHRONOLOGICAL
SEQUENCE LEFT TO RIGHT.
2 Enter the step of each project funded or planned.
3 Enter the date (calendar quarter/year) when the application for each recommended project on a State Project Priority List is
scheduled to be submitted to EPA. If a project has already been funded by EPA or is not on the approved State Project
Priority List, insert "N/A."
4a-h Enter the actual or estimated cost of each project identified by category of work.
5 Enter the total actual or estimated cost of each project.
6 Enter the total estimated cost of all planned but unfunded projects to be included in this entire grant (sum of S.b. columns A
through D). Exclude the estimated cost of the project which is the subject of this application.
7 Enter the EPA Identification Number of the Step One, Facilities Planning, project, if any, for this grant. Enter the total cost of
the Step One project.
8 Enter the date (month/year) upon which estimated costs are based and the appropriate Construction Cost Index for that
month as reported in the Engineering News Record.
9a. Insert name, date, organization, phone and signature of responsible individual on applicant's or consultant's staff who may be
contacted regarding estimates.
b. Insert name and organization of State official responsible for review of this application.
c. Insert name of EPA individual responsible for programmatic review of the project covered by this application.
DEFINITIONS
CATEGORY
I Secondary Treatment and Best Practicable Waste Treatment Technology (BPWTT), including costs for higher levels of BOD
and suspended solids removal, without a requirement for removal of other constitutents.
II Advanced waste treatment, including removal of one or more of the following: phosphorus, nitrogen, nitrate chemical oxygen
demand, total organic carbon, pesticides, heavy metals, etc. Also included are polishing lagoons which temporarily retain
effluents from secondary treatment facilities.
IIIA Correction of Infiltration/Inflow Conditions, including cost of the I/I analysis and evaluation, together with all costs necessary
for removing excessive I/I from the sewer system, such as replacement or relining sewer sections, flow routing systems, etc., and
including the treatment plant component costs specifically required to treat I/I flows which cannot be reduced in a cost
effective manner.
IIIB Replacement or major rehabilitation of sewers, where it has been determined that such replacement or rehabilitation is
necessary to the total integrity and performance of the wastewater treatment works.
IVA New collectors, including sewers, force mains and pumping stations which perform the complete collector sewer function.
IVB New interceptors, including sewers, force mains and pumping stations which perform the complete interceptor sewer function.
V Correction of combined sewer overflows including costs for evaluating alternative methods of correcting such overflows and the
cost of new collectors, interceptors, storm sewers, retention basins, etc.. necessary to alleviate the overflow problem.
VI Treatment and/or control of stormwaters, including the costs of abating pollution from stormwater runoff channelled through
sewers and other conveyances used only for such run-off. Costs of abating pollution from stormwater channelled through sewers
which also carry sewage are included in Category V.
EPA Form 57
-------
Form Approved
OMB No. 158-R0134
PART V
ASSURANCES
The applicant hereby assures and certifies that he will comply with the regulations, policies, guidelines and requirements,
including Office of Management and Budget Circular No. A-95, and FMCs 74-4 and 74-7, as they relate to th« application,
acceptance and use of Federal funds for this federally-assisted proiect Also, the applicant gives assurance and certifies with
respect to the grant that
1 It possesses legal authority to apply for the grant, and to
finance and construct the proposed facilities, that a resolu-
tion, motion or similar action has been duly adopted or
passed as an official act of the applicant's governing body,
authorizing the filing of the application, including all
understandings and assurances contained therein, and direct-
ing and authorizing the person identified as the official
representative of the applicant to act in connection with the
application and to provide such additional information as
may be required
2. It will comply with the provisions of Executive Order
17296, reiat/ng to evaluation of flood hazards
3 It will have sufficient funds available to meet the
non-Federal share of the cost for construction projects
Sufficient funds will be available when construction is
completed to assure effective operation and maintenance of
the facility for the purposes constructed
4. It will obtain dpproval by the appropriate Federal agency
of the final working drjwmgs and specifications before the
project is advertised or placed on the market for bidding, that
it will construct the project, or cause it to be constructed, to
final completion in accordance with the application and
approved plans and specifications, that it will submit to the
appropriate Federal agency for prior approval changes that
alter the costs of the project, use of space, or functional
layout, that it will not enter into a construction contract(s)
for the project or undertake other activities until the
conditions of the construction grant program(s) have been
met.
5. It will provide and maintain competent and adequate
architectural engineering supervision and inspection at the
construction site to insure that the completed work conforms
with the approved plans and specifications, that it will
furnish progress reports and such other information as the
Federal grantor agency may require
6 It will operate and maintain the facility in accordance
with the minimum standards as may be required or pre-
scribed by the applicable Federal, State and local agencies for
the maintenance and operation of such facilities
7. It will give the grantor agency and the Comptroller
General through any authorized representative access to and
the right to examine all records, books, papers, or documents
related to the grant
8 It will require the facility to be designed to comply with
the "American Standard Specifications for Making Buildings
ana Facilities Accessible to, and Usable by, the Physically
Handicapped," Number A117.1-1961, as modified (41 CFR
101-19 603) The applicant will be responsible for con-
ducting insoections to insure compliance with thcsa specifica-
tions by the contractor.
9. It will cause work on the project to be commenced within
a reasonable time after receipt of notification from the
approving Federal agency that funds have been approved and
that the protect will be prosecuted to completion with
reasonable diligence.
10 It will not dispose of or encumber its title or other
interests in the site and facilities during the period of Federal
interest or while the Government holds bonds, whichever is
the longer
11 It will comply with Title VI of the Civil Rights Act of
1964 (P L "88 352) and in accordance with Title VI of that
Act, no person in the United States shall, on the ground of
race, color, or national origin, be excluded from participation
in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the
applicant receives Federal financial assistance and will imme-
diately take any measures necessary to effectuate this
agreement. If any real property or structure thereon is
provided or improved with the aid of Federal financial
assistance extended to the Applicant, this assurance shall
obligate the Applicant, or in the case of any transfer of such
property, any transferee, for the period during which the real
property or structure is used for a purpose for which the
Federal financial assistance is extended or for another
purpose involving the provision of similar services or benefits
12 It will establish safeguards to prohibit employees from
using their positions for a purpose that is or gives the
appearance of being motivated by a desire for private gain for
themselves or others, particularly those with whom they have
family, business, or other ties
13 It will comply with the requirements of Title II and Title
III of the Uniform Relocation Assistance and Real Property
Acquisitions Act of 1970 (P L 91-646) which provides for
fair and equitable treatment of persons displaced as a result
of Federal and federally assisted programs
14. It will comply with all requirements imposed by the
Federal grantor agency concerning special requirements of
law, program requirements, and other adminittrative re-
quirements approved in accordance with FMC 7.
15. It will comply with the Provisions t>f th« Hatch Act
which limit the political activity of employ***.
(Continued on Back)
EPA Form 5700-32 (Rev. 6-76)
PAGE 15 OF 16
-------
Form Approved
OMB No. 158-R0134
16. It will comply with all applicable requirements of be otherwise subjected to discrimination under any program
Section 13 of the Federal Water Pollution Control Act or activity under the said Federal Water Pollution Control
Amendments of 1972 (P.L. 92-500), if the grant is available Act Amendments for which the applicant received financial
under any grant authority of that Act, which provides that assistance and will take all necessary measures to effectuate
no person in the United States shall, on the ground of sex be this agreement.
excluded from participation in, be denied the benefits of, or
EPA. Form 5700-32 (Rex. 6-76) PAGE 16 OF 16
-------
4
4
COST OR PRICE SUMMARY FORMAT FOR SUBAGREEMENTS UNDER U.S. EPA GRANTS Form Approved
(See accompanying instructions before completing this form) OMB No. 158-R0144
L PART (-GENERAL
M. GRANTEE
3. NAME OF CONTRACTOR OR SUBCONTRACTOR
5. ADDRESS OF CONTRACTOR OR SUBCONTRACTOR (Include ZIP code)
2. GRANT NUMBER
4. DATE OF PROPOSAL
6. TYPE OF SERVICE TO BE FURNISHED
PART II- COST SUMMARY
7. DIRECT LABOR ("Specify labor categories)
DIRECT LABOR TOTAL:
8. INDIRECT COSTS (Specify indirect cost pools)
.
A INDIRECT COSTS TOTAL:
ESTI-
MATED
HOURS
RATE
* . * ^
HOURLY
RATE
$
x BASE =
$
^ j_^ :;$r
ESTIMATED
COST
$
ESTIMATED
COST
$
j, '^'^, '' * ,/.<; / v \
^9. OTHER DIRECT COSTS
1
3. TRAVEL
(1) TRANSPORTATION
(2) PER DIEM
TRAVEL SUBTOTAL:
b. EQUIPMENT, MATERIALS, SUPPLIES (Specify categories)
EQUIPMENT SUBTOTAL:
AJ>.?£££i
QTY
•^?/A^^l&&%-<^&'*?°?
COST
$
' , "- •
c. SUBCONTRACTS
SUBCONTRACTS SUBTOTAL:
•• vl. o , ' •• ' ""' •- ' , i =•„% '•^^
d. OTHER (Specify categories)
OTHER SUBTOTAL:
L^ e.! OTHER DIRECT COSTS TOTAL:
^ ; ''
-. :, "."}v
•V^-~>3s|f|
,-i»v s- , •„ v °yr
*'V™ * ;> v * v^:^ ^<' ^
ESTIMATED
COST
$
$
$
ESTIMATED
COST
$
ESTIMATED
COST
$
$
ESTIMATED
COST
$
$
H, TOTAL ESTIMATED COST
j 1 1. PROFIT
) 12. TOTAL PRICE
TOTALS
'^ ^SS^" ^ ' .- "jt' "••;"<*'.&&•',
$
.\- '•' ' ." , . -'- - « ~- -SS
- &m
$
''•-.:
t?<~^ '
?^K%:^'"-' '--
Sf:?;< -'-- -'-' /-
"i'j'--^ ,'--•'.-' ,'f. > T " »
• °,y .•"<*' '\ ,,
'|,k^°"^;t^"S%T S«;;;: »>•'••
iSfill^Si::-'
' V'V>?\ ^'r/*^_
$
$
$
$
E PA Form 5700-41 (2-76)
PAGE 1 OF 5
-------
K.orm Appr"i?ed
OMB JVoi f58-R0144
PART III -PRICE SUMMARY
13
COMPETITOR'S CATALOG LISTINGS, IN-HOUSE ESTIMATES, PRIOR QUOTES
(Indicate basis for price comparison)
MARKET
PRICE(S)
PROPOSED
PRICE
PART IV-CERTIFICATIONS
14. CONTRACTOR
I4a. HAS A FEDERAL AGENCY OR A FEDERALLY CERTIFIED STATE OR LOCAL AGENCY PERFORMED ANY REVIEW OF YOUR
ACCOUNTS OR RECORDS IN CONNECTION WITH ANY OTHER FEDERAL GRANT OR CONTRACT WITHIN THE PAST TWELVE MONTHS'
I | YES | | NO (11 "Yes" give name address and telephone number of reviewing office)
14b .THIS SUMMARY CONFORMS WITH THE FOLLOWING COST PRINCIPLES
14c.
This proposal is submitted for use in connection with and in response to (1)_
. This is to certify to the best of my knowledge
and belief that the cost and pricing data summarized herein are complete, current,, and accurate as of
t
(2)j and that a financial management capability exists to fully and accu-
rately account for the financial transactions under this project. I further certify that I understand that the
subagreement price may be subject to downward renegotiation and/or recoupment where the above cost and
pricing data have been determined, as a result of audit,, not to have been complete, current and accurate as
of the date above.
(3)
DATE OF EXECUTION
SIGNATURE OF PROPOSER
TITLE OF PROPOSER
14. GRANTEE REVIEWER
I certify that I have reviewed the cost/price summary set forth herein and the proposed costs/price appear
acceptable for subagreement award.
DATE OF EXECUTION
SIGNATURE OF REVIEWER
TITLE OF REVIEWER
16. EPA REVIEWER (It applicable)
DATE OF EXECUTION
SIGNATURE OF REVIEWER
TITLE OF REVIEWER
4
EPA Form 5700-41 (2-76)
PAGE 2 OF 5
-------
Form Approved
OMB No. 1S8-K0144
INSTRUCTIONS
In completing this form, CAREFULLY READ AND FOLLOW ALL
INSTRUCTIONS. Many items are not self-explanatory. Attach
additional sheets if necessary.
Use only the applicable portions of this form:
Part I is applicable to all subagreements.
Part II is applicable to all subagreements requiring a cost review
pursuant to EPA grant regulations.
Part III is applicable to all subagreements where review is based
on price comparison (i.e., price analysis).
Part IV certifications will be executed as required by the
regulations and by the instructions for each block.
PART I - GENERAL
Item 1 - Enter the name of the grantee as shown on the grant
agreement.
Item 2 - Enter the grant identification number shown on the grant
agreement (or assigned to the project, if no grant agreement has yet
been executed).
Item 3 - Enter the name of the contractor or subcontractor with
whom the subagreement is proposed to be executed.
Item 4 - Enter the date of the contractor's or subcontractor's
proposal to the grantee.
Item 5 - Enter the full mailing address of the contractor or
subcontractor.
Item 6 - Give a brief description of the work to be performed under
the proposed subagreement.
PART II - COST SUMMARY
This portion of the form is to be completed by the contractor (or
his subcontractor) with whom a subagreement is proposed to be
executed, unless that subagreement is a formally advertised,
Competitively bid, fixed price contract.
Nothing in the following discussions should be interpreted as
recommending the inclusion as direct costs any items normally
treated as overhead costs in the firm's accounting or estimating
system
40 CFR 30.710 contains general cost principles applicable to
subagreements under EPA grants. Pursuant to that section, all
subagreements awarded to profit-making organizations are subject
to the cost principles of 41 CFR 1-15.2. Architect-engineer and
construction contracts are subject also to 41 CFR 1-15.4
Item 7 - Direct Labor
Direct labor costs normally include salaries at a regular time rate.
Overtime premiums should be identified separately on an
attachment Incurrence of unanticipated overtime costs requires the
approval of the grantee at the time of incurrence If significant
overtime is known to be needed at the time of completion of the cost
review form, the reasons therefor, labor categories, rates and hours
should be identified on an attachment. Also included is the cost of
partners' or principals' time when they are directly engaged in
services to be rendered under the contract In case the full time of
any employee is not to be devoted to work to be performed under the
contract, only the cost of actual time to be applied should be
included. The compensation of a partner or principal shall be
included as direct cost only for the time that he is expected to be
engaged directly in the performance of work under the contract and
only if it is the firm's normal practice to charge such time directly to
all jobs The rate of compensation of a partner or principal shall be
commensurate with the cost of employing another qualified person
to do such work, but the salary portion shall not exceed the actual
^alary rate of the individual concerned Distribution of profits shall
ytbe included in the rate of compensation.
Enter in block 7 the categories of professional or technical
personnel necessary to perform each major element of work under
the contract scope of services. Estimate man-hours for each
category and extend them by the wage rates to be paid during the
actual performance of the work Current rates, adjusted for
projected increases, if any, should be used for the actual categories
of labor contemplated. All projected increases should be supported
by recent experience or established personnel policy.
Enter in the far right column the total estimated direct labor cost
Supporting records to be maintained by the contractor and
which must be submitted or made available to the grantee or EPA
upon request include:
a. The method of estimating proposed man-hours.
b. The computation technique used in arriving at proposed
labor rates
c. The specific documents, books, or other records used as
factual source material to develop proposed man-hours and
labor rates
d. Detailed rate computations which were used in computing
the information submitted on the form
If in block 14a, the contractor has checked "No," a brief
narrative description of the methods used in arriving at items a
through d above shall be included on an attached sheet.
Item 8 - Indirect Costs
Indirect costs may consist of one or more pools of expenses
which are grouped on the basis of the benefits accruing to the cost
objectives represented by the distribution base or bases to which
they are a/located. Since accounting practices vary, the use of
particular groupings is not required. Neither is the use of any
particular allocation base mandatory. However, it is mandatory that
the method used results in an equitable allocation of indirect costs to
the cost objectives which they support
Normally, the firm's accounting system and estimating practices
will determine the mthod used to allocate overhead costs The firm's
established practices, if in accord with generally accepted
accounting principles and PROVIDED THEY PRODUCE EQUITABLE
RESUL TS IN THE CIRCUMSTANCES, will generally be accepted.
Proposed overhead rates should represent the firm's best estimate
of the rates to be experienced during the contract period. They
should be based upon recent experience and be adjusted for known
factors which will influence experienced trends.
Common overhead groupings are overhead on direct labor and
general and administrative expenses The first grouping usually
includes employment taxes, fringe benefits, holidays, vacation, idle
time, bonuses, etc., applicable to direct labor. The second generally
includes the remaining costs which because of their incurrence for
common or joint objectives are not readily subject to treatment as
direct costs It is expected, however, that proposal groupings will
correspond with the firm's normal method of accumulating indirect
costs, (Under some accounting systems, the first grouping would be
included instead under item 7.) No special categorization is required
provided the results are realistic and equitable.
Direct salaries are the normal distribution base for overhead
costs, but in some circumstances other bases produce more
equitable results As in the case of overhead costs groupings, the
method to be used will depend upon the firm's normal practices and
the equity of the results produced in the circumstances.
EPA Form 5700-41 (2-76)
PAGE 3 OF 5
-------
Form
OMB No. 158-R01f4
In the case of multi-branch firms, joint ventures or affiliates, it is
expected that overhead costs applicable to the specific location(s)
where work is to be performed will be proposed. Company-wide,
joint venture, or affiliate rate averages may not be appropriate. The
rates should be tailored to the work locations. The objective is to
allocate overhead costs more precisely.
The rate proposed should be based on cost data from the most
recent fiscal periods updated to reflect changes in volume of
business or operations.
Enter in block 8 the indirect cost pools normally used by the firm
for allocation of indirect costs. Enter the indirect cost rate for each
pool and extend each one by the rate base to which it applies to
arrive at the estimated indirect costs to be incurred during the actual
performance of the work. If the direct labor total from block 7 is not
used as the rate base for any of the indirect cost pools, the rate base
used must be explained on an attached sheet.
A brief narrative statement outlining the firm's policies and
practices for accumulating indirect costs and the method used to
compute the proposed rate or rates shall accompany the form.
Include comment on the firm's policies regarding the pricing and
costing of principals' time. The normal accounting treatment of
principals' salaries, the annual amounts, and the hourly charge rate,
if used, should be discussed.
Enter in the far right column the total estimated indirect costs.
Supporting records to be maintained by the contractor and
which must be submitted or made available to the grantee or EPA
upon request include.
a. Detailed cost data showing overhead accounts, allocation
bases, and rate computations for the preceding fiscal
period If more than six months of the current fiscal period
have elapsed, cost data for this period should be included
as one of the three periods.
b. Company budgets, budgetary cost data, and overhead rate
computations for future penod(s).
Item 9 - Other Direct Costs
The following items are illustrative of costs normally included in
this category of costs:
a. Travel costs, including transportation, lodging, subsistence,
and incidental expenses incurred by personnel or
consultants while in a travel status in connection with the
performance of services required by the contract. The cost
principles genrally require the use of less than first class air
accomodations and also limit the cost of private aircraft.
b. Equipment, Materials, and Supplies
(1)
(2)
(3)
(4)
Long distance telephone, telegraph, and cable
expenses to be incurred in connection with the
performance of services required in connection
with the contract.
Reproduction costs including blueprints, black
and white prints, ozalid prints, photographs,
photostats, negatives; and express charges.
Commercial printing, binding, artwork, and
models.
Special equipment
c. Subcontracts.
d Other. Direct costs, if any, not included above.
Enter in blocks 9a-d all other direct costs proposed. Travel costs
entered must be supported by an attachment which identifies the
number of man-trips proposed and the estimated cost per man-trip
for both local and long distance transportation. The number of days
and the rate per day must be provided to support the per diem|
shown. Each subcontract and consultant agreement must be
identified separately in block 9c. For each subcontract in excess of
$10,000, this EPA Form 5700-41 completed and certified by the
subcontractor shall be appended.
Enter in the far right column on line 9e the total of all other direct
costs (9a-d).
Supporting data to be maintained by the contractor and which
must be submitted or made available to the grantee or EPA upon
request include:
a. basis for other direct costs proposed,
b. factual sources of costs, rates, etc., used in computing the
proposed amount of each cost element.
Item 1 0 - Total Estimated Cost
Enter the total of all direct labor, indirect costs, and other direct
costs from items 7, 8, and 9.
Item 1 1 - Profit
A fair and reasonable provision for prof it cannot be made by
simply applying a certain predetermined percentage to the total
estimated cost. Rather, profit will be estimated as a dollar amount
after considering.
a. degree of risk,
b. nature of the work to be performed,
c. extent of firm's investment,
d, subcontracting of work, and
e. other criteria.
The Federal Procurement Regulations cost principles applicable
to subagreements with profit-making organizations (4 1 CFR 1-15.2
and 1-15.4) disallow certain types of costs which are sometimes
incurred by firms in the normal conduct of their business. Examples
of costs which are not allowable under these cost principles include,
but are not limited to, entertainment, interest on borrowed capital
andbaddebts. Because the Government considers "profit" to be the
excess of price over allowable costs, such computation can indicate
a higher profit estimate than the firm's experienced profit as it
customarily computes it. The contractor may separately disclose to
the grantee its customary computations.
Enter the dollar amount of profit in block II
Item 12 -Total Price
Enter the total of item 1 0 and item 1 1 .
PART III - PRICE SUMMARY
This portion of the form is for use by a grantee when price
comparison (i.e., price analysis) is utilized in subagreement review. It
may also be used by a contractor when price comparison is used as a
basis for award of a subcontract.
Item 13 - Competitor's Catalog Listings, In-House Estimates,
Prior Quotes
Enter sources of all competitive bids or quotes received, or
catalogs used and their prices, or m-house estimates made, if
appropriate, for comparison. Attach additional sheets if necessary,
particularly for purchases of several different items.
Enter in the far right column the proposed price for
subagreement.
EPA Form 5700-41 (2-76)
PAGE 4 OF 5
-------
Form Approved
OMB No. 158-R0144
PART IV - CERTIFICATIONS
Item 14 - Contractor - FOR USE BY CONTRACTOR OR
SUBCONTRACTOR ONLY
a. ' Complete this block only if Part II has been completed
b. Complete this block only if Part II has been completed.
Enter the specific cost principles with which the cost
summary of Part II conforms. Cost principles applicable to
subagreements with various types or organizations are
identified in 40 CFR 30.710. Cost principles applicable to
subagreements with profit-making organizations are those
at 41 CFR 1-15.2, and, for architect-engineer or
construction contracts, 41 CFR 1-15.4.
c. (1) Describe the proposal, quotation, request for
price adjustment or other submission involved,
giving appropriate identifying number (e.g., RFP
No ).
(2) Enter the date when the price negotiations were
concluded and the contract price was agreed to.
The responsibility of the contractor is not limited
by the personal knowledge of the contractor's
negotiator if the contractor had information
reasonably available at the time of agreement,
showing that the negotiated price is not based on
complete, current and accurate data.
(3) Enter the date of signature. This date should be
as close as practicable to the date when the price
negotiations were concluded and the contract
price was agreed to (not to exceed 30 days).
Item 15 - Grantee Reviewer - FOR USE BY GRANTEE ONLY
If required by applicable grant regulations, the grantee must
submit the signed form for EPA review prior to execution of the
subagreement.
Item 16 - EPA Reviewer - FOR USE BY EPA ONLY
EPA Form 5700-41 (2-76)
U.S. Government Printing Office: 1978-777-066/1114 Regions
PAGE 5 OF 5
-------
ENVIRONMENTAL
PROTECTION ORDER
AGENCY
1015.IB
July 28, 1975
.POLICY _ AGENCY IDENTIFICATION
EPA IDENTIFICATION SIGNS AT PROJECT SITES
1. PURPOSE. This Order establishes the design and specifications for
a sign to be displayed at the sites of projects which are operated or
sponsored by EPA. The sign is intended to afford public awareness of
the national involvement of EPA in environmental protection.
2. PROCEDURES. A Project Identification Sign shall be displayed in a
prominent location at each publicly visible construction site and demon-
stration project sponsored or operated by EPA. The basic design of the
sign shall be as illustrated in Figure 1. With the exception of (a)
through (c) below, variations to the basic design shall be at the dis-
cretion of the grant awarding official or contracting officer.
a. The only Federal Government participant indicated shall be EPA.
Names of Program Offices shall not appear.
b. Standardized coloring for all signs shall be as shown in Figure 1.
c. Identification signs at EPA-funded construction projects shall
include prominent display of the pertinent EPA Grant Identification Number;
e.g., C-012345-03 (Program Code-Six Digit Grant Serial-Two Digit Project
Sequence Number) and shall include the statement "An Equal Employment
Opportunity Project" as shown in Figure 1.
3. NOTIFICATION. The appropriate contracting officers or grant awarding
officials are responsible for assuring that concerned parties (e.g.,
State and local agencies, prospective contractors and grantees, and
interested consulting engineers) are notified of this requirement.
4. SUPERSESSION. EPA Order 1015.1A is superseded.
Alvin L. Aim
Assistant Administrator
for Planning and Management
Dist: Directives Initiated by:PM-216
-------
EPA Order No. 1015.IB
July 28, 1975
aaAoaddw asHxo HO
/.J.ISN3CI HOIH 3«JAJ- bOI«3J.X3
60
- 2 -
-------
SAMPLE FORMAT
REVISED COST ESTIMATES
1. LOCATION OF PROJECT (State, County, City)
PROJECT NUMBER
2. LEGAL NAME AM) ADDRESS OF APPLYING AUTHORITY ("Applicant")
A. CONSTRUCTION (specify numbers where requested)
(1) CONTRACT NO.
(2) CONTRACT NO.
(3) CONTRACT NO.
(k) CONTRACT NO.
(5) CONTRACT NO.
(6) LATER CONTRACTS
(7) EQUIPMENT AND MATERIALS
(SUB-TOTAL)
B. TECHNICAL SERVICES
fc LEGAL AND FISCAL
D. ADMINISTRATIVE
E. CONTINGENCY
F. OTHER (specify)
G. SITE
H. TOTAL
TOTAL PROJECT
i }
i)
t)
i )
< »
t)
t )
(»
$
$
$
$
$
$
$
$
FOR GRANT
PARTICIPATION
< »
i )
( >
O
< »
o
C *
< >
( »
t )
c >
( )
$
$
$
$
$
$
$
$
The undersigned representative of the Applicant certifies that the information
contained above and in any attached statements and materials in support thereof, is
true and correct to his best knowledge.
SIGNATURE
fe
^LU A1\1U
OF
AUTHORIZED
TITLE
OF
REPRESENTATIVE
REPRESENTATIVE
DATE
(Type or Print)
(OVER)
-------
The "Total Project" column is intended to show total cost of the project whether or
not such costs are eligible for Federal grant assistance; the "For grant participation"
column is to include only those costs in which the Federal government is participating.
A. (l) to (5) - Enter the amount of the bid or bids the Applicant wishes to accept.
(If these are not the lowest bids received, full justification for award to
other than the low bidder must accompany the form).
A. (6) - If other construction contracts for this project have been awarded or will
be awarded at a later date, enter the actual or estimated costs as applicable.
A. (7) - If equipment or materials are to be or have been purchased outside the
construction contracts, enter the estimated or actual costs as applicable.
B. to D. - If not previously submitted, attach copies of any applicable contracts
or agreements; if formal agreements do not exist, provide information regarding
the basis for determining such costs.
-------
OMB NO. to-Hot•!
OUTLAY REPORT AND REQUEST FOR
REIMBURSEMENT FOR CONSTRUCTION PROGRAMS
3. Type of Request
Q Final
Q Partial
6. Employer Identification No.
9. Name of Grantee Organisation
4. Basis of Request
QCash
I ) Accrued Expenditure
7. Grantee Account No. or Identifying
No.
CITY
1. Federol Agency and Organizational
Element
S. Partial P,
B. Period Co
FROM
10.
Name of
2 Federal Grant No. or Other
Identifying Number
yment Request No.
vered (Month
Day, Year)
Payee (If different than It.
TO
«.»)
STRICT MO AMO HAMC
CITT
STATS 11* COOS
11. STATUS OF FUNDS
CLASSIFICATION
a Administrative expense . . .
b Preliminary expense
c Land|Stnjctures right-of-way ....
o. Architectural engineering basic fee
e. Other architectural engineering fees
f. Project inspection fees
g Land development
h. Relocation expense
i. Relocation payments to indiv. and
j. Demolition and removal
k. Construction and project improveme
1. Equipment
m. Miscellaneous cost
S
justnesses . . .
nt cost
n. Total cumulative to date (Sum of Lines a-m)
o. Deductions for program income . .
p Net cumulative to date (Line n roin
q. Federal share to date
r. Rehabilitation grants (100% reimbu
s. Total Federal share (Sum of Lines
t. Federal payments previously reque
u Amount requested for reimbursemen
v Percent of project completed
js Line o). . . .
rsement)
q and r)
sled
t
12. CERTIFICATION - 1 certify that to the best of my
and that the reimbursement represents the Federal
work is m accordance with the terms of the grant.
PROGRAMS — FUNCTIONS —
(D
«
s
%
(21
t
*
K
knowledge and b«li«f the billed costs
sharo du« which has not b«*n pr«vioui
o. GRANTEE
Nome
Title"
Signature of Authorised Official
T« •phon* No.
Dot*
b. STATE,
ACTIVITIES
(3)
S
$
%
TOTAL
J
*
*
of disbursements ore in accordance with the terms of the project
ly requested and that an inspaction has been performed and all
LOCAL, OR
FEDERAL GOVERNMENT REPRESENTATIVE
Nam.
Tit.
Signature of Authorized Official
T.l.phon. No.
Dot*
EPA Form 2550-16 (Rev. 9-74) REPLACES EPA FORM 2550-16 (z-74) WHICH is OBSOLETE.
-------
INSTRUCTIONS FOR PREPARING THE OUTLAY REPORT AMD REQUEST FOR
REIMBURSEMENT FOR CONSTRUCTION PROGRAMS
Item 1 - Enter name of the Federal grantor agency and
organizational element to which the repoT is submitted
Item 2 — Enter the gram number or other identifying num
ber assigned by the Federal grantor agency
Item 3 - Mark the appropriate box If the request is final,
the amounts billed should represent the final cost of the
project
Item 4 - Show whether amounts are computed on an ac
crued expenditure or cash disbursement basis
Item 5 - Enter the oartiai payment request number
Item 6 — Enter the employer identification number as
signed by the U S Internal Revenue Service
Item 7 — This space is reserved for an account number or
other identifying number which may be assigned by the
grantee.
Item 8 - Enter the month, day, and year for the beginning
and ending of the period for which this report is prepared
Item 9 — Enter the name and complete mailing address in
eluding ZIP Code for the grantee organization
Item 10 —Enter the name and complete mailing address
including the ZIP Code where the check should be sent, if
the payee ts different than the grantee organization shown
in Item 9
PLEASE READ BEFORE COMPLETING ITEM 11 The
purpose of vertical columns (1) through (3) is to provide
space for separate cost breakdowns when a large project has
been planned and budgeted by program, function and activ
ity. If additional columns are needed, use as many addt
tional forms as needed and mark "continuation" on each
form, however, the summary totals of all programs func
tions, or activities should be shown in the "total" column
on the first page.
Item 11-STATUS OF FUNDS - All amounts are re
ported on a cumulative basis.
Line a. Enter amounts expended for such items as travel,
legal fees, rental of vehicles and any other administrative
expenses. Include the amount of interest expense when
authorized by program legislation. Also show the amount
of interest expense on a separate sheet.
Line b. Enter amounts pertaining to the work of locating
and designing, making surveys and maps, sinking test
holes, and all other work required prior to actual con
struction
Line c. Enter all amounts directly associated with the
acquisition of (and. existing structures and related right-
of-way
Line d. Enter basic fees for services of architectural en
gineers
Line e. Enter other architectural engineering services Do
not include any amounts shown on Line d.
Line f Enter inspection and audit fees of ccnstructton
and related programs.
Line g Enter all amounts associated with the develop
ment of land where the primary purpose of the grant ts
land pmprovement The amount pertaining to land devel
opmeni normally associated with major construction
should oe excluded from this category and entered on
Linek
Line h. Enter the dollar amounts used to provide reloca
tion advisory assistance and net costs of replacement
housing (last resort) Do not include amounts needed
for relocation administrative expense, these amounts
should be included in amounts shown on Line a
Line i. Enter the amount of lelocation payments made
by the grantee to displaced persons, farrm business con-
cerns, and nonprofit organizations
Line j. Enter gross salaries and wages of employees of the
grantee and payments to third party contractors directly
engaged in performing demolition or removal of struc-
tures from developed land All proceeds from the sale of
salvage or the removal ot structures should t»e credited to
this account, thereby Electing net amounts if required
by the grantor agency
Line k Enter those amounts associated with the actual
construction of, addition to, or restoration of a facility.
Also include in this category the amounts tor project im-
provements such as sewers streets, landscaping, and
lighting
Line I. Enter amounts *or all equipment, both fixed and
movable, exclusive of equipment used for construction
For example, permanently attached laboratory tables,
built-in audio visual systems, movable desks, chairs, and
laboratory equipment
Line m. Enter the amounts for all items not specifically
mentioned above
Line n. Enter the total cumulative amount to date which
should be the sum of Lines a through m
Line o. Enter the total amount o* program income ap-
plied to the grant except income included on Line j. Iden-
tify on a separate sheet of paper the sources and types of
the income
Line p. Enter the net cumulative amount to date which
should be the amount shown on Line n minus the amount
on Line o
Line q. Enter the Federal share ot the amount shown on
Line p.
Line r. Enter the amount of rehabilitation grant pay-
ments made to individuals when program legislation pro-
vides 100 percent payment by the Ppo^al grantor
agency
Line s. Enter the total of Lines q and r
Line t. Enter the total amount of Federal payments pre-
viously requested, /r"this form is used for requesting reim-
bursement.
Line u. Enter the amount now being requested for reim-
bursement. This amount should be the difference be-
tween the amounts shown on Lines s and t If different,
explain on a separate sheet
Line v. Show the percentage of the physical completion
of the project.
Item 12-CERTIFICATION
a. GRANTEE — Enter the name, title, telephone number,
and signature of the grantee official who is responsible for
the operation of the program The date should be the actual
date the form is submitted to the Federal grantor agency
b. STATE, LOCAL, OR FEDERAL GOVERNMENT
REPRESENTATIVE-Enter the name, title, telephone
number, and signature of the Government -epresentative
who is certifying to the percent of project completion This
'epresentative may be a professional architectural engineer,
under contract to the State, local, or Federal government or
he may be a qualified State locai, or Federal government
employee.
E PA Form 2550-16 {Rev. 9-74)
-------
IP m^J^ ^i
l532£*
U. S. ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D. C. 20460
NOTIFICATION OF GRANT AWARD ACTION-Construction
(Note: Awards are subject to declination by applicant)
1 . EPA OFFICE OF LEGISLATION CONTACT TELEPHONE
(202) 755-0488
3. ISSUING OFFICE
6. COMMUNITY REP OR PROJ DIRECTOR (Name, Title, Telephone)
8.
2. GRANT AGREEMENT/AMENDMENT TO BE MAILED TO APPLICANT
ON OR AFTER
4. LOG NUMBER
5. DATE OF AWARD
7. GRANTEE (Name, Street, City, State, ZIP Code, County, Cong. Dist.)
PROJECT LOCATION (Areas impacted by project)
CITY/PLACE COUNTY STATE
10. COMMUNITY POPULATION t1.P)8U» OF SCtK^CS
14. EPA CONTACT FOR PROJECT INFORMATION (Name, Title, Telephone)
9. GRANT PROGRAM
CFDA Program No. 66.
21^ FORMER AW/
VIE f
TO *
OF THIS ACTION
TU
HN $
RS AMENDED TC
$
« , . ;
* "'. E
>TAL 3&*> UNK-XNt*K3£&FR;KIR YR> HAi.,
CONGRESSIONAL DISTRICT
12. PROJECT STEP
15. GRANT NUMBER
9. GRANTEE TYPE
13. VENDOR CODE
16. TYPE OF GRANT ACTION
20. GRANT MAKING AUTHORITY (P.L. Title, Section)
25. FORMER ELIGIBLE COST
LC*
L° CHANGE IN ELIGIBLE COST
PT $
O CURRENT ELIGIBLE COST
J
$
26- FORMER AWARD
A THIS ACTION
A «.
M *
T AMENDED TOTAL
$
27. PROJECT TITLE AND DESCRIPTION
28. OTHER INFORMATION
29.
PROGRAM ELEMEN
FISCAL DATA
T FY APPROPRIATION DOCUMENT CONTROL NO. ACCOUNT NO. OBJ CL OBLIG AMT
EPA Form 5700-1 B (Rev. 6-75)
-------
®
1 EPA OFFICE OF LEGISLATION CC
U. S. ENVIRONMENTAL PROTECTION AGENCY 1
WASHINGTON, D. C 20460 I
NOTIFICATION OF GRANT AWARD ACTION-Construction J
(Decreases/Declinations/ 'Withdrawals) •
JNTACT TELEPHONE
(202) 755-0488
3 ISSUING OFFICE
*-:COWfWyNlT¥ «E?OR ***)<«ecr DIRECTOR ffitrmt, Tttttt. Telephone)
2. GRANT AGREEMENT/AMENDMENT TO BE MAILED TO APPLICANT
ON OR AFTER
4 LOG NUMBER
5 DATE OF ACTION
7 GRANTEE (Name, Street, City, State, ZIP Code, County, Cong, Dist /
6. 9 n O J ECT to CAT f 0 H (A «?a* impttetett by project)
CITY/PLACE:
id. COMMUNITY pOPyi-A^SOfi
COUNTY STATE
11'F>ELDOFSC'ENCE
14, £PA CONTACT FOR PftO« Yft, &A|l.
CONGRESSIONAL DISTRICT
12. PROJECT STEP
15. GRANT NUMBER
1 7. PROJECT PgRlOD
9. GRANTEE TYPE
13. VENDOR CODE
16. TYPE OF GRANT ACTION
18, BUDGET PERIOD
I
ZO. GRANT MAKtNO AUTWOfHTY fP,£. Tifte. Section} 1
25. FORMER ELIGIBLE COST
*
3C CHANGE IN ELIGIBLE COST
3 CURRENT ELIGIBLE COST
$
26. FORMER AWARD
E $
A THIS ACTION
A $
5? AMENDED TOTAL
$
27. PWOJlECf TJt 1_E AND OSSCR1PTION
, \
28. OTHER INFORMATION
29.
PROGRAM ELEMENT FY APP
FISCAL DATA
ROPRIATION DOCUMENT CONTROL NO. ACCOUNT NO. OBJ CL OBLIG AMT
,
F.
EPA Form 5700-1 D (Rev. 6-75)
-------
V
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
ASSURANCE OF COMPLIANCE
FOR
TITLE VI OF THE CIVIL RIGHTS ACT OF 1964
AND
SECTION 13 OF THE FWPCA AMENDMENTS OF 1972
NAME AND ADDRESS OF APPLICANT/RECIPIENT (Hereinafter
called ASSUROR)
GRANT IDENTIFICATION NUMBER
(To be completed by EPA)
GRANT AMOUNT
REQUESTED
TYPE OF GRANT
D DEMONSTRATION
DOTHER (Specify):
D RESEARCH DrRAINING
CHECK ONE:
DNEW
D CONTINUATION
HEREBY AGREES THAT IT will comply with Title VI of the Civil Rights Act of 1964 (P.L. 88-352) and all requirements of the
U.S. Environmental Protection Agency (hereinafter called "EPA ") issued pursuant to that title, to the end that in accordance with
Title VI of that Act, no person in the United States shall, on the ground of race, color, or national origin be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the
Assuror receives financial assistance from EPA and hereby gives assurance that it will now and hereafter take all necessary measures
to effectuate this agreement.
HEREBY AGREES THAT IT will comply with all applicable requirements of Section 13 of the Federal Water Pollution Control
Act Amendments of 1972 (P.L. 92-500) and all requirements of EPA issued pursuant to that section, to the end that in accordance
with that section of that Act, no person in the United States shall, on the ground of sex be excluded from participation in, be
the benefits of, or be otherwise subjected to discrimination under any program or activity under the said Federal Water
Control Act Amendments for which the Assuror receives financial assistance from EPA and hereby gives assurance that it
now and hereafter take all necessary measures to effectuate this agreement.
If any real property or structure thereon is provided or improved with the aid of financial assistance extended to the Assuror by
EPA, this Assurance obligates the Assuror, or, in the case of any transfer of such property, any transferee for the period during
which the real property or structure is used for a purpose involving the provisions of similar services or benefits. If any personal
property is so provided, this Assurance obligates the Assuror for the period during which it retains ownership or possession of the
property. In all other cases, this Assurance obligates the Assuror for the period during which the financial assistance is extended to
it by EPA.
THE ASSURANCE is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts,
property discounts or other financial assistance extended after the date hereof to the Assuror by EPA including installment
payments after such date on account of arrangements for Federal financial assistance which were approved before such date. The
Assuror recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and
agreements made in this Assurance and that the United States shall reserve the right to seek judicial enforcement of this Assurance.
This Assurance is binding on the Assuror, its successors, transferees, and assignees, and the person or persons whose signature
appear below are authorized to sign this Assurance on behalf of the Assuror.
The obligations assumed by the Assuror hereunder are in addition to any obligations which may be imposed on the Assuror by any
applicable regulation now outstanding or which may hereafter be adopted by EPA to effectuate any provision or goal of the said
Title VI and all applicable requirements of the said Section 13, and no part of this Assurance shall be read so as to in any way
detract from or modify any obligation which may be imposed on the Assuror by any such regulation standing alone.
NATURE OF ASSUROR BY PRESIDENT, CHAIRMAN OF BOARD OR COMPARABLE AUTHORIZED
OFFICIAL
DATE
EPA Form 4700-1 (Rev. 6-74)
PREVIOUS EDITION IS OBSOLETE
-------
1 U. S. ENVIRONMENTAL PROTECTION AGENCY
COMPLIANCE REPORT
L (Title VI, Civil Rights Act of 1964 and Section 13, Federal
Water Pollution Control Act, As Amended)
Form Approved
OMB No. 158-R0034
>IOTE: READ INSTRUCTIONS ON REVERSE BEFORE COMPLETING FORM.
1. A.
APPLICANT
(Name
and State)
B. PROJECT NO.
II. IF ENTIRE POPULATION IN THE APPLICANT'S JURISDICTION IS SERVED NOW BY TREATMENT SYSTEM OR WILL BE UPON COMPLE-
TION OF PROPOSED EPA GRANT PROJECT AND ON-GOING ASSOCIATED CONSTRUCTION, CHECK HERE | |
III. COMPLETE THE FOLLOWING ONLY IF ABOVE BLOCK IS NOT CHECKED
A. SUBMIT A MAP WHICH DELINEATES THE APPLICANT'S:
1. GEOGRAPHICAL JURISDICTION FOR PROVISION OF TREATMENT SYSTEM SERVICE:
2. EXISTING TREATMENT SYSTEM COVERAGE;
3. CONSTRUCTION PROPOSED UNDER EPA GRANT PROJECT AND ANY ON-GOING ASSOCIATED CONSTRUCTION:
4. AREAS OF PLANNED FUTURE TREATMENT SYSTEM CONSTRUCTION.
B. COMPLETE THE TABLE BELOW:
POPULATION CATEGORY
AMERICAN INDIAN
CHINESE. FILIPINO. JAP ANESE
NEGRO/BL ACK
SPANISH DESCENT
WHITE
OTHER
TOTAL
'• PRESENT
POPULATION
OF APPLICANT
2° POPULATION
PRESENTLY
SERVED
3. ADDITIONAL
POPULATION
TO BE SERVED
BY THIS PROJECT
4. POPULATION
REMAINING TO BE
SERVED AFTER THIS
PROJECT IS COMPLETED
C. GIVE THE SCHEDULE FOR FUTURE CONSTRUCTION BY WHICH TREATMENT SYSTEM SERVICE WILL BE PROVIDED TO ALL INHABI-
TANTS WITHIN APPLICANT'S JURISDICTION.
D. |S ANOTHER FEDERAL AGENCY BEING ASKED TO PROVIDE FINANCIAL ASSISTANCE TO ANY CONSTRUCTION ASSOCIATED WITH
_ THIS PROJECT? O YES | | NO
1. IF "YES" LIST THE OTHER FEDERAL AGENCY(S)
2. DESCRIBE THE ASSO Cl AT ED WORK
IV. CERTIFICATION
I certify that the information given above is true and correct to the best of my knowledge or belief. (A willfully false statement is
punishable by lau^-U.S. Code, Title 18, Section 1001)
A, SIGNATURE OF AUTHORIZED OFFICIAL
B. TITLE OF AUTHORIZED OFFICIAL
C. DATE
FOR U.S. ENVIRONMENTAL PROTECTION AGENCY
CH APPROVED
| | DISAPPROVED
DIRECTOR, DIVISION OF
CIVIL RIGHTS AND URBAN
AFFAIRS
DATE
E PA Form 4700—4 (4-74) REPLACES EPA FORM FWPC A-T128 ie-67) WHICH is OBSOLETE
-------
:io^^
INSTRUCTIONS
GENERAL
Title VI of the Civil Rights Act of 1964 provides that no person in the United States shall, on the ground of race, color,
national origin, be excluded from participation in, be denied the' benefits of, or be subjected to discrimination under any prograiri
activity receiving Federal financial assistance. The Act goes on to explain that the title shall not be construed to authorize actio!
with respect to any employment practice of any employer, employment agency, or labor organization (except where the primary objec-
tive of the Federal financial assistance is to provide employment).
Section 13 of the 1972 Amendments to the Federal Water Pollution Control Act provides that no person in the United States shall,
on the ground of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program
or activity receiving financial assistance under the Federal Water Pollution Control Act, as amended.
The primary purpose of the treatment works construction grant program under the Federal Water Pollution Control Act, as amended,
is development of water pollution control facilities.
Accordingly, the information on this form is required to enable the U. S. Environmental Protection Agency to determine whether
prospective treatment works construction grantees are developing treatment system projects on a nondiscriminatory basis as required
by the above referenced statutes.
Submit the original and two copies of this form. (If a map is required, each form must have a map attached.)
If an item cannot be answered or does not appear to be related or relevant to the project for which assistance is requested, write
"NA" for "not applicable."
ITEMS
1. Self-explanatory.
II. "Jurisdiction" means the geographical area over which Applicant has authority and duty to provide treatment works service.
"Treatment system" embraces all elements which provide for treatment of sewage or industrial wastes of a liquid nature,
including sewage collection lines. An individual "treatment system," therefore, would begin upstream with collector sewers
transporting wastewater from the service areas, and would include all downstream wastewater components involved in the
transport and treatment of the wastewater to ultimate disposal of the treated water and sludge residue. "Treatment works" is
the term set forth in the Federal Water Pollution Control Act, as amended, and refers to treatment projects eligible for con-
struction grants assistance. It is defined by the statute as any devices and systems used in the storage, treatment, recycl-
ing, and reclamation of municipal sewage or industrial wastes of a liquid nature necessary to recycle or reuse water at the
most economical cost over the estimated life of the works, including intercepting sewers, outfall sewers, sewage collectioj
systems, pumping, power, and other equipment and their appurtenances; extensions, improvements, remodeling, additions,
alterations thereof; and any elements essential to provision of a reliable recycled water supply such as standby treatment unii
and clear well facilities.
A "treatment system" is the whole, of which "treatment works" are component parts.
"EPA grant project" is the project described by the application of which this form is a part.
"On-going associated construction" is work not included in EPA grant project but which is being or will be constructed at the
same time and is of such character as to be generally classified as connected or united with the work comprising the EPA
project.
For an affirmative answer to this question, the Applicant must be providing or be about to provide necessary and appropriate
treatment service to all its inhabitants,
III.A. The map required by this question must be legible and large enough to contain all the information required by the question.
1 Show the boundaries of Applicant's jurisdiction for provision of treatment system service.
2 Show the area provided treatment system service by shading or distinctive coloring.
3 Mark out the area covered by EPA grant project application of which this form is a part and any associated construction.
4 Mark out the areas of planned future construction and identify by shading or distinctive coloring.
III.B. Give population of Applicant's treatment system jurisdiction, broken out by categories as specified. The totals of 2, 3 and
4 should equal the total shown under 1.
IM.C.,D. Self-explanatory.
IV. Self-explanatory.
EPA Form 4700-4 (4-74)
-------
ENVIRONMENTAL PROTECTION AGENCY
REPORT ON OPERATION AND MAINTENANCE
OF WASTEWATER TREATMENT PLANT
DATE OF INSPECTION
Form Approved
OMB Nf. r,8-R0035
A. GENERAL INFORMATION
1. PLANT
(a.) NAME
(b.) OWNER
(c.) LOCATION
2. TYPE OF PLANT
3. PROJECT NO.
4. AVG. DESIGN FLOW (mfd)
S. DESIGN POPULATION
EQUIVALENT
COLLECTION SYSTEM
COMBINED
SEPARATE
7. DATE PRESENT PLANT BEGAN OPERATING
8. STATE PERMIT NO.
9. IN THE SPACE PROVIDED BELOW, FURNISH A SIMPLIFIED FLOW DIAGRAM OR A WRITTEN DESCRIPTION OF THE PLANT UNITS IN
FLOW SEQUENCE.
10. IDENTIFY RECEIVING WATERS
II. IDENTIFY PERTINENT STREAM STANDARDS AND, OR USES OF THE RECEIVING WATERS
12. GIVE THE EFFLUENT STANDARDS AND/OR REQUIREMENTS FOR STATE OPERATING PERMIT
B. CURRENT PLANT LOADING
1. ANNUAL AVG DAILY FLOW RATE (mgd)
PEAK FLOW RATE (mgd)
DRY WEATHER i WET WEATHER
3. POPULATION SERVED
4. ANNUAL AVG BOD5 OF RAW SEWAGE (mg/1)
5. ANNUAL AVG SUSPENDED SOLID OF RAW SEWAGE (mg/1)
6. PRINCIPAL TYPES OF INDUSTRIAL WASTE DISCHARGED TO
MUNICIPAL SYSTEM
7. POPULATION EQUIVALENT (BOD) OF INDUSTRIAL WASTES
8. POPULATION EQUIVALENT (SS) OF INDUSTRIAL WASTES
9. VOLUME OF INDUSTRIAL WASTES (mgd)
10. INFILTRATION PROBLEMS
EPA Form 7500-5 (4-72) REPLACES FORM FWPCA-12 WHICH IS OBSOLETE.
-------
Form Approved
OMB No. 158-R0035
C. PLANT PERFORMANCE J
LABORATORY ANALYSIS (Total Plant)
(a) REPORTING PERIOD
FROM (Month, year)
MONTHLY ITEMS
(b)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
FLOW (mgd)
(monthly average)
PEAK FLOW (mgd)
(maximum day)
SETTLEABLE SOLIDS
(monthly average)
INFLUENT (ml/1)
EFFLUENT (ml/1)
% REMOVAL
SUSPENDED SOLIDS
("monthly average^
INFLUENT (mg/ 1)
EFFLUENT (mg/ 1)
% REMOVAL
BOD (monthly average)
INFLUENT (mg/1)
EFFLUENT(mg/.Z)
% REMOVAL
DISSOLVED OXYGEN
(monthly average)
EFFLUENT (mg/1)
CHLORINE RESIDUAL
(monthly average)
EFFLUENT (mg/1)
COLIFORM (per 100 ml)
(monthly average)
TOTAL
FECAL
pH RANGE EFFLUENT
MINIMUM
MAXIMUM
TOTAL PHOSPHORUS (asP)
(monthly average)
INFLUENT (mg/1)
EFFLUENT (mg/1)
% REMOVAL
TOTAL NITROGEN (as N)
(monthly average)
INFLUENT (mg/1)
EFFLUENT (mi/1)
t. REMOVAL
ACTUAL PLANT
PERFORMANCE
DATA
(c)
TO (Month, year)
PLANT
DESIGN
DATA
(d)
NPDES
PERMIT
REQUIREMENTS
(e)
PLANT
ACHIEVES
DESIGN
EFFICIENCY
-------
3. DOES PLANT HAVE ALTERNATE ELECTRIC POWER SOURCE'
!"]DUAI_FEED TIGENERATOR [™~] NONE
4. ADEQUATE ALARM SYSTEM FOR POWER OR EQUIPMENT
FAILURES' rilYES Q1 NO
EQUIPMENT PROGRAM
a.) ROUTINE MAINTENANCE SCHEDULES
b.) RECORDS OF MAI NT EN AN CE,REP AIRS & REPLCMT
(c.) SPARE PARTS INVENTORY
A D E QU A T E
INADEQUATE
6. IS PLANT EFFLUENT
BEING CHLORINATED'
77! YES
7. DOES SEWAGE BY-PASS
PLANT INWETWEATHER
DOES SEWAGE BY-PASS
PLANT IN DRY
WEATHER'
YES
NO
9. AGENCIES NOTIFIED OF EACH BYPASS
10. BYPASS FREQUENCY
(Monthly)
11. AVG DURATION OF
BYPASS (His)
12. REASON FOR BYPASSING
13. CAN BYPASS SEWAGE BE
CHLORINATED' Ql Y ES 07] NO
14. DO SEWER OVERFLOWS OCCUR
UPSTREAM OF PLANT?
15. ANY ODOR COMPLAINTS BEYOND PLANT PROPERTY' (If yes, explain)
16. OBSERVED APPEARANCE OF EFFLUENT, RECEIVING STREAM OR DRAINAGE WAY
17. IS A CONSULTING ENGINEER RETAINED OR AVAILABLE FOR CONSULTATION ON OPERATING AND MAINTENANCE PROBLEMS'
[7] YES Qj NO (If yes, check one ol the following) [31 CON TI NUI N G B ASES [~1 REQUEST BASES
18. DO OPERATORS AND OTHER PERSONNEL ROUTINELY ATTEND SHORT
COURSES, SCHOOL OR OTHER TRAINING' [JJ YES [3] NO
(a.) \f yes, cite course sponsor, and date of last course.
(b.) If no, are there any courses available in this area3
(c.) Is there an established procedure for training new operators3
19. IS LAB TESTING ADEQUATE FOR THE CONTROL
REQUIRED FOR THIS SIZE AND TYPE OF PLANT
AND USES OF RECEIVING WATERS'
\^\ YES Q NO (If No, explain)
20. EXPLAIN MAIN DIFFICULTY EXPERIENCED Wl TH INDUSTRIAL WASTES
21. PERMANENT RECORD FILE
(a.) PLANT OPERATION AND MAINTENANCE MANUAL' I J YES Q NO (b.) AS BUILT PLANS AND SPECIFICATIONS' rj~| YES Q NO
(c.) MANU FACTURERS OPERATION & MAINTENANCE SPECIFICATIONS' Q Y ES [7J NO (d.) FLOW CHARTS' QYES Q NO
22. ESTIMATED WEEKLY MAN-HOURS FOR LAB WORK INCLUDING MAINTENANCE OF RECORDS AND PREPARATION OF REPORTS
23. ANNUAL BUDGET FOR MAINTAINING AND OPERATING PLANT
SALARIES & WAGES ELECTRICITY CHEMICALS
MAIN T EN AN CE
STAFFING & TRAINING
24. STABILIZATION PONDS
(a.) WEEDS CUT AND VEGETATION GROWTH IN PONDS REMOVED'
[~] Y ES [Jl NO
(b.) BANKS AND DIKES MAINTAINED' (Erosion, etc.)
QJ YES Q NO
(c.) ANY REPORTS OF GROUND WATER CONTAMINATION FROM POND' (If yes, give details) [^_] YES f7 NO
REPORTED?
f7] Y ES [~] NO
(e.) ADEQUATE DEPTH CONTROL'
Q] YES [~] NO
(f.) EFFLUENT RELEASE IS
[J_\ CONTINUOUS QJ I NTERMITTEN T [3] SEASONAL
EPA Form 7500-5 (4-72) PAGE 3
* GPO: 1972-722-094
-------
D. LABORATORY CONTROL 1
CODING INSTRUCTION
Enter test codes opposite appropriate items. If any of the below tests are used to monitor industrial wastes, pi ace an "X" in 1
addition to the test code. ^1
1 - 7 or more per week 3 - 1, 2 or 3 per week 5 - 2 or 3 per month 7 - Quarterly 9 - Annually1^!
2 - 4, 5 or 6 per week 4 - as required 6-1 per month 8 - Semi-Annually
ITEM
(a.)
1. BOD
2. SUSPENDED SOLIDS
3. SETTLEABLESOLIDS
4. SUSPENDED VOLATILE
5. DISSOLVED OXYGEN
6. TOT AL SOLI DS
7. VOL ATILE SOLIDS
8. pH
9. TEMPERATURE
10. COLIFORM DENSITY
11. RESIDUAL CHLORINE
12. VOLATILE ACIDS
13. M B STABILITY
14. ALKALINITY
15.
16.
17.
18.
19.
RAW
(b.)
PRIMARY
EFFLUENT
(c.)
MIXED
LIQUOR
(d.)
FINAL
(e.)
(f.) SLUDGE
RAW
SUPER-
NATANT
DIGESTER
(g.)
RECEIVING
STREAM
(h.)
COMMENTS
«
E. PLANT PERSONNEL INVENTORY
PERSONNEL CLASSIFICATION
(a.)
1. MANAGEMENT/SUPERVISOR
2. OP ERATOR
3. LABORATORY
4. M AINTEN ANC E
5. OTHER PLANT WORKERS
6. OTHER OFFICE/CLERICAL
7. TOTAL
EMPLOYMENT
(b.)
ACTUAL
M AN-HOU RS
P ER WEEK
NUMBER
NUMBER
BUDGETED
NO. RE-
COMMENDEC
(c.) CERTIFICATION
VOLUNTARY
M AND ATORY
NO. RECOM-
MENDED OR
REQUIRED
BY STATE
ACTUAL
NO.
CERTIFI ED
TRAINING REQUIRED
NEXT 12 MONTHS
(d.)
NEW
HIRES
UPGRADE
(Promotion
or skill im-
provement
4
1
EPA Form 7500-5 (4-72) PAGE 4
* GPO: 1972-722-093
-------
Form Approved
OMB No. 158-R0035
1 F. GUIDE - VISUAL OBSERVATION - UNIT PROCESS
^?ATING CODES: S = Satisfactory; U = Unsatisfactory; M = Marginal; IN = In Operation; OUT = Out of Operation
^ CONDITION OR APPEARANCE
I — ' 1
GENERAL
PRELIMINARY
PRIMARY
SLUDGE DISPOSAL ^^^
a
LJ
I
H
O
\RY-TERTIARY
ms as required)
°~
Z „
O w
u ";
KJti
l/l
i
n
•>
GROUN DS
BUIL Dt N GS
POTABLE WATER SUPPLY P RO T
SAFETY FEATURES
BYPASSES
STORM WATER OVERFLOWS
MAINTENANCE OF COLLECTION SYSTEMS
PUMP STATION
VEN TIL ATION
BAR SCREEN
DISPOSAL OF SCREENINGS
COMMINUTOR
G Rl T CHAMBER
DISPOSAL OF GRIT
SETTLING TANKS
SCUM REMOVAL
SLUDGE REMOVAL
EFFLU EN T
DIGESTERS
TEMPERATURE ANDpH
G AS P RODUCTION
HEATING EQUIPMENT
SL U DG E PUMP S
DRYING BEDS
VACUUM FILTER
INCINERATION
DISPOSAL OF SLUDGE
FLOWMETER ANDRECORDER
RECORDS
LAB CONTROLS
EFFLU EN T
CHLORIN ATORS
EFFECTIVE DOSAGE
CONTACT TIME
CONTACT TANK
RATING
COMMENTS
EPA Form 7500-5 (4-72) PAGE 5
-------
form Approi'ed
OMB No. 158-R0035
G. NOTATIONS BY EVALUATOR
t. OPERATION AND MAINTENANCE PROB LEMS/DE FICI E NCI ES
CHECK EACH OF THE FOLLOWING ITEMS IN TERMS OF THEIR ESTIMATED ADVERSE AFFECT ON THE PERFORMANCE OF THE PLAN1
ITEM
MAJOR
STAFF COMPLEMENT
OVERLOADS (type)
PERSONNEL TRAINING
HYDRAULIC
OPERATING BUDGET
PERIODIC
LABORATORY CONTROL
CONTINUOUS
INSTRUMENTATION
INDUSTRIAL WASTE
PERIODIC
PLANT OBSOLESENCE
CONTINUOUS
EQUIPMENT FAILURE:
OVERLOAD CAUSE(S):
TREATMENT PROCESSES
INFILTRATION
SLUDGE HANDLING
AND PROCESSING
COMBINED SEWERS
INDUSTRIAL GROWTH
EQUIPMENT MAINTENANCE
RAPID POPULATION GROWTH
SPARE PARTS INVENTORY
INCREASED SERVICE AREA
POWER FAILURE
OTHER:
2. DESCRIBE BRIEFLY THE MAJOR PROBLEMS INDICATED ABOVE (include follow-up actions needed see Instructions)
3.
PURPOSE OF INSPECTION
4.
GENERAL RATING
|~~| GRANT COMPLIANCE
| | PERMIT COMPLIANCE
|~~| FOLLOW-UP
OTHER:
ACCEPTABLE
CONDITIONAL ACCEPTANCE
UNACCEPTABLE
EVALUATION PERFORMED BY
TITLE
ORGANIZATION
DATE
INFORMATION FURNISHED BY
TITLE
ORGANIZATION
DATE
EPA Form 7500-5 (Rev. 1-74) PAGE 6 REPLACES PAGE o u-72) WHICH is OBSOLETE
-------
APPENDIX C
PROGRAM CHECKLIST FOR ENGINEERING DRAWINGS,
SPECIFICATIONS AND ENGINEERING REPORTS
-------
Page 1 of
Date
PLAN AND SPECIFICATION APPROVAL
PROJECT NO: LOCATION: OWNER:
Design Engineer
Phone
Approval by State Engineer Date_
Conditions for Approval (attach copy of certification letter and plan
and specification approval letter)
Approval by EPA Engineer Date_
Conditions for Approval (attach copy of plan and specification approval letter)
Description of project in terms of type of treatment, flow capacity, and
process units:
List of ineligible items (identify by bid item schedule, number and quantity),
-------
Page
Date
of
SUMMARY OF REVIEW
Summarize the apparent inadequacies revealed during the plan and specification
review process and describe the resolution of each. If necessary, summarize
pertinent conversations and cite specific correspondence with the consulting
engineer:
-------
Page of
Date
GENERAL INFORMATION
PROJECT NO: PROJECT NAME:
YES NO
__ Has an Environmental Impact Statement (EIS) been prepared
on this project?
Have all recommendations of the EIS been followed?
Is the treatment process suitable for the character and volume
of the sewage to be treated?
Have the components of the sewerage system been properly sized,
based on realistic population projections?
Will a minimum of primary treatment be provided during
construction?
has an organized, systematic, readily understood Basis of
Design been provided?
Has an I/I (infiltration/inflow) Analysis been completed?
If an I/I Analysis has not been completed, has the State certified
that the contributing sewer lines do not have excessive
infiltration/inflow?
Is shellfish growing a consideration? If yes, what protective
provisions have been made?
Will any of the contemplated construction be located in the flood
plain and subject to flooding? If yes, what is the frequency?
What reasonable protection has been provided?
Is the project in a designated flood hazard area as defined under
PL 93-234 (Flood Disaster Protection Act)? If yes, what amount of
insurance has been obtained by the applicant under this Act? $
Are permits to construct required from other Federal Agencies?
If yes, are these permits in the process of being secured?
-------
Page of
Date
ENGINEERING DRAWINGS AND
DETAIL SPECIFICATIONS
PROJECT NO: PROJECT NAME:
YES NO GENERAL
~ Have at least two brand names been used with the or equal clause?
BUILDINGS
Is an adequately equipped and stocked laboratory provided?
If not, have provisions been made to contract for labwork?
Is the space provided in the various buildings adequate?
Are heating, "lighting, and sanitary facilities adequat'e
in all buildings?
Are chemical storage and machine locations safe?
Have the restrictions on the use of mercury pursuant to
TB D-71-2 been complied with?
ENVIRONMENTAL CONSIDERATIONS
Have noise and odor control beer given proper attention and
provided for where necessary?
Has attention been devoted to a generally aesthetic appearance
of the facility?
RELIABILITY
Is standby power provided? If standby power is not provided,,
describe on an attachment the means of assuring continuous
operation.
Have multiple units and equipment been provided to the maximum
extent possible?
Can individual plant units be bypassed?
Are there adequate provisions for flexibility of operation?
SAFETY FEATURES
Is the plant fenced or otherwise enclosed?
Is the public water supply protected by a backflow
preventer?
Is mechanical ventilation provided where required?
Are railings and machine guards provided?
-------
Page
Date
of
PROJECT DESIGN DATA
PROJECT NO:
LOCATION:
PROJECT NAME:
DISCHARGE TO:
Scope of Project:
Degree of treatment (present): SS removal %; BOD5 Removal
Degree of treatment (proposed): SS removal %; BODs Removal
Is this project related or tandem to previous project(s):
Description of new or modified plant:
Type of Sewer System:
Separate^
Combined
PROJECT LOADING
1. Industrial Wastes - mgd
2. Industrial Wastes - B0?5
mgl
3. Industrial Wastes BQD$
Ib/day
4. Industrial Wastes - P.E.*
j
5. Domestic Population
Served
6. Domestic Average
Flow - mgd
! 7. Total Average Flow -
mgd (Items 1+6)
I
8. Raw P.E. (Before Treat-
ment (Items 4+5)
9. Effluent P.E. (After
Treatment)
J (Item 8) x (1-%BOD5 Removal)
Present Load
~
Start-up
Load
Design Year
(19 ) Load
Principal types of industrial wastes;
Permit Number
Permit effluent limitations
*P.E. = Total Ibs. BOD5/day
0.17
-------
Page of
Date
STREAM DATA
PROJECT NO: PROJECT NAME:_
1. Name of Receiving Stream
2. Estimated Minimum Daily Flow Duration Frequency_
3. Stream - Free Flowing ( ) Sluggish ( )
4. Distance Downstream to Nearest Community
5. Distance Downstream to Nearest Water Intake
6. Receiving Water Velocity
7. Salinity of Receiving Water
8. D.O., BOD and S.S. of Receiving Water_
14. Calculated Coliform/100 ml
15. Stream Classification
16. Water Quality Criteria_
9. Temperature range of Receiving Water °F
10. Temperature range of Effluent °F
11. Area of Mixing Zone
12. Trapping Level (Will Plume Reach Surface)
13. Dilution Ratio
17. Make computations to assure that the project effluent will not have a
detremental effect on the quality of the receiving stream.
-------
Page of
Da te
SCREENING, GRIT REMOVAL
AND FLOW MEASUREMENT
Sar Screen
Total Area sq. ft. Effective Area sq. ft.
Space Between Bars inches Velocity fps
Slope of Screen Is Drainage Platform Provided?
Mechanical Screen: Capacity mgd Type
Method of Cleaning: Manual Mechanical
Disposal of Screenings Can screen be bypassed?
Ccmmi nuti ng Device
Type
Location Size inches Capacity mgd
Auxiliary Bar Screen
Grit Chamber
Mo. Chambers __________ Type
Cross-Section Area Each sq. ft. Total sq. ft. Length_
Linear Velocity in fps: Average Min. Max.
Method of Velocity Control
Detention Period: Present Flow: Seconds Design Flow: Seconds
Drain Provided
Method of Cleaning: Manual Mechanical
Disposal of Grit:
flow Measurements
Type Metering Device Location (Raw Sewage or Eff. )
Indicating and Recording Mechanism
roval bv State Enoineer:
Comments:
-------
Page of
Date
SEDIMENTATION TANKS
Type: Primary: Intermediate: Final:
Feed: End/center/peripheral
Number Tanks Shape of Tanks
Inside Dimensions: Length Width SWD Depth Diameter
Effective Volume Each Tank cu. ft. Total Volume cu. ft.
Recirculation Rate Design Flow (including recirculation mgd
Detention (Average 24-hr, flow): Present hrs. Design hrs.
Surface Loading: Present gpd/sq. ft. Design
Length of Overflow Weir ft.; Overflow Rate gpd/ft.
Is overflow Weir Adjustable? Type of Weir
Sludge Collection Equipment, Type
Scum Removal (Type):
Disposition of Scum
Sludge Removal by: Pump Gravity to
Approved by State Engineer:
Comments :
-------
Page of
Date
AERATION TANKS
Number Tanks Shape of Tanks_
Inside Dimensions: Length Width Depth Diameter
Net Volume Each Tank cu. ft. Total Volume cu. ft.
Percentage of Daily Flow of Return Sludge to Aeration Tank
Design Flow (exclusive of return sludge) mgd
BODs Loading ppm #/day
Required Air cu. ft./#BQD5/day
Furnished Air cu. ft./#BOD5/day (normally 150% of required air)
Detention Time (Average 24-hr. Flow): Design nrs.
Length of Overall Weir ft. Overflow Rate gpd/ft.
Equipment
Number Blowers Cap. Each cfm Total Cap cfm At Ibs.
Diffusers: Plates Fixed Tubes Swing Diffuser
Impingement Aerator Jet Aerator
Mechanical Aeration
Number 'Jnits Updraft Tube Down Draft Tube
Operated Intermittently by Time Clock
Sludge Return Pumps
No. Pumps Type Cap. Each gpm Total Cap. gpm
Rated Heads ft. Computed Heads ft.
Approval by State Engineer:
Comments:
-------
Page
Date"
of
TRICKLING FILTERS
Type (Standard or High Rate):
Number of Filters Dimensions: Dia. ft. Depth ft.
Surface Area: Each_
Depth of Media
sq. ft. Total
_sq. ft.
acres
ft. Volume of Media
cu. yds.
Average daily flow_
Recirculation
A. Quantity
B. Quantity
Total
_mgd
Hydraulic Loadings:_
BQDs Applied Sewage_
BOD5 Loading
Filter Material: Size
Soundness test specified:
Distributor: Type
Provisions for Flooding_
Recirculating Pumps
Pump No. Type
mgd.
mgd. returned from
mgd. returned from
_to_
to
jngd/acre
_ppm_
#/day
#/cy/day
_#/acre-ft./day
inches; Kind
No. Arms
_Air Channels Adequate
Capacity Rated Head
gpm ft.
Computed Head
ft.
_gpm
ft.
ft.
_gpm
ft.
ft.
_gpm
ft.
ft.
Approved by State Engineer:
-------
WASTE STABILIZATION PONDS
Locati on
Number of Ponds
Operation: Series
Parallel
Either
Surface Area: #1 _ #2 _ #3
Loading: _ _ Persons/Acre
Grit Removal Required
Total:
acres
#BOD5/ Acre/day
Screens Required
Provisions to Divert Surface Water
Provisions for Measuring Flow:
Provisions for Sampling:
Depth: Optimum Operating
Freeboard : _ ft .
Type of soil:
ft. Maximum
ft. Minimum
ft.
Are specifications adequate for compaction of embankments?
Top width of embankment ft. Erosion Protection
Embankment Slopes: Inner Horz.
Outer
Horz.
1
1
Vert.
Vert.
Depth of Submergence of Inlet_
Distance From Inlet to Outlet
_ft. Distance from Bank_
ft.
Is scour protection provided at inlet?__
Drawoff levels: Top Middle^
Bottom Drain
Is controlled overflow provided?
Bottom
Provision for effluent disinfection_
Appropriate Warning Signs
Fence provided
What provisions have been made to fill the ponds
Approval by State Engineer:
Comments:
-------
Kage of
Date
SLUDGE DIGESTION - SEPARATE
Single Stage or Primary Digestion Tanks
No. Tanks Dimensions Each: Diameter ft. Depth ft.
Volume Each cu. ft. Total Vol. 1st. Stage cu. ft.
Volume Per Capita (Design) cu. ft.
Second Stage Digestion Tanks
No. Tanks Dimensions Each: Diameter ft. Depth ft.
Volume Each cu. ft. Total Vol. 2nd. Stage cu. ft.
Volume Per Capita
First and Second Stage Digesters
Total Volume All Tanks cu. ft. Vol. Per Capita cu. ft.
Heated Un heated
Gas Disposal Aux Heat Heat Exchanger_
Type of Cover Pressure and Vacuum Relief on Cover
Is unvalved overflow provided?
Flame Trap Drip Traps Waste Burner
Sludge Withdrawal Line (Size) inches. Pumped Gravity
Circulation = Gas/Mechanical Supernatant Disposal
Recirculation Pumps or Sludge Pumps
Number Cap. Each gpm. Size Disch. Line inches
Rated Heads ft. Computed Heads ft.
Approval by State Engineer:
Comments:
-------
Page of_
Date
SLUDGE DISPOSAL
Sludge Drying Beds
Number of Beds Area of Each Bed_
Total Area
Area per capita: Present sq. ft.
Design sq, ft.
Gravel: Layer Depths Sizes
Sand: Depth___ inches
Underdrains: Size Spaced C-C
Freeboard Above Sand Suitable Splash Pad_
Beds Subject to Flooding Concrete Runners Provided
Is drainage from beds returned to plant for treatment?
Vacuum Filters
Type of Sludge to be Handled: Raw Digested
Number of Filters Size Capacity_
Total Area Chemical Treatment
Filtrate Disposal
Holding Tank
Lagoons
Will groundwater be protected from contamination?_
Number of Lagoons Total Volume of Lagoons_
How will sludge be disposed of?
Approval by State Engineer:
Comments:
-------
Page
Date
of
CHLORIMATION
Points of Application_
No. of Chlorinators
Type
Total Capacity lbs/24hrs.
Total Capacity Ibs/mg flow: Present
Chlorinator Room
Outside Door Only _
Design_
Type of Ventilation_
Scales Provided
Adequate Storage for Containers
Gas Masks Provided
Chlorine Contact Tank
No. of Tanks
Inside Dimensions_
Capaci ty
Detention Time
Can Tanks be drained?
Disposal of Drainage:
min. @ present
min. @ design
Sludge Removal
Approval by State Engineer:
Comments:
-------
Page
Date
of
SEWAGE PUMPING STATION
Location
Type Pumps Specified_
Type Pump Control
Alternator
Simultanious
Are Duplicate Units Provided?
Can max. flow be handled with largest unit out of service?
If not, explain alternate procedure
Maximum Flow Average Flow
Volume of the wet well
Minimum Flow
Detention time @ maximum flow
minimum flow
Does the fillet in the wet well have adequate slope?
Has a bar rack or sand trap been provided?
Is there a gate valve and a check valve on discharge?
Is there a gate valve on suction?
Is ventilation provided in the wet well? Dry well
Is standby power, automatic overflow or a detention pond provided?
Is an adequate alarm system included?
PUMP
No.
SIZE
(in.)
FRICTION
Head (ft)
,
STATIC
Head (ft)
CAPACITY
gpm
RATED
TDH
COMPUTED
TDH
CONSTANT/ f
VARIABLE I
SPEiZD I
'
!
Approval by State Engineer:
Comments:
-------
SEWERS
Location
Minimum Velocity from Sta. to Sta.
Design Capacity Required Capacity
Is the cover adequate in all cases?
What are infiltration/exfiltration limits?
MANHOLES
Maximum distance between manholes
Page of
Date
Type of Sewer: Sanitary Combined Storm
Cl assi f i cation: Col 1 ector Interceptor Outf all
Type of Pipe Type of Joint
Length of Sewer Diameter Slope
Design Velocity Required Velocity
If the cover is not adequate, where? Sta. to Sta._
What type joint test is required?
Diameter of Barrel Diameter of Cover
Are manholes provided at all changes in grade, size or allignment of sewers?_
Is outside plaster required? Paved invert?
Are corrosion resistant steps or ladders provided?
Are retainers and blocking provided where necessary?
Approval by State Engineer:
Comments:
-------
Page_
Date"
of
Design Flow_
Outfall Lcngth_
Diffuser Length_
Number of Ports
Depth of Discharge_
OUTFALL
mgd
ft. Diameter
ft. Diameter
jnches
inches
ft.
Approval by State Engineer:
Comments:
-------
Page of
Date
FORCE MAIN
Location
Hazen-Williams "C" factor used for Design_
Type of Pipe Size Pressure Class_
Type Joint Specified
Force Main Length Computed TDH Rated TDH_
Velocity Minimum Cover Provided
Are Blcw-Offs Specified? Air Relief Valves?
Are Thrust Blocks and Retainers Provided Where Necessary?_
Approval by State Engineer:
Comments:
-------
APPENDIX D
TRANSMITTAL MEMORANDA
-------
APPENDIX D
Handbook of Procedures
Construction Grants Program for
Wastewater Treatment Works
PROGRAM DIRECTIVES
Table of Contents
Memoranda
PRM 75-1 Use of Revenue Sharing Funds for Waste
Treatment Projects
PRM 75-2 Experience Clauses for Equipment Suppliers
PRM 75-3 Waste Stabilization
PRM 75-4 Standardized Construction Contract
PRM 75-5 Non-Restrictive Specifications
PRM 75-6 Adequacy of Treatment Certification
PRM 75-7 Sewer System Evaluation and Rehabilitation
PRM 75-8 Flood Disaster Protection Act of 1973 —
Public Law 92-234
PRM 75-9 Supplement to PG No. 25; Flood Disaster
Protection Act of 1973 (PL 93-234)
PRM 75-10 User Charges and Industrial Cost Recovery
System (ICR Portion Only. U/C Portion
Superseded by PG-37)
PRM 75-11 Approval of Reimbursement Projects Not
Previously Serviced by EPA
PRM 75-12 Obligation, Recovery and Reallotment of
Contract Authority Funds
PRM 75-13 Management of Construction Grants Funds
PRM 75-14 Grant Funds and Project Segmenting
PRM 75-15 Class Deviation — Use of Force Account
Work on Construction Grant Projects
PRM 75-16 Title II Regulations, Section 35.915(1)
Reserve for Step 1 and Step 2 Projects
PRM 75-17 Construction of Pretreatment or Treatment
Facilities for Municipal Utilities
Former
Designation
PG-3
PG-14
PG-16
PG-17A
PG-19A
PG-20
PG-24
PG-25
PG-25A
PG-28
PG-30
PG-31
PG-32
PG-33
PG-34
PG-35
PG-36
Revised: TM 76-1
August 1976
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Former
Memoranda Designation
PRM 75-18 Eligibility of Wastewater Treatment PG-36A
Facilities at Municipally Owned Water
Treatment Works for Construction Grants
PRM 75-19 User Charges and Industrial Cost Recovery PG-37
System
PRM 75-20 User Charge System PG-38
PRM 75-21 Overruns, Reserves and Priority Lists PG-41
PRM 75-22 Policy Re Retention Payments PG-43
PRM 75-23 Escalation Clauses in Construction Grant PG-44
Projects
PRM 75-24 Large City Problem in State Priority List PG-46
PRM 75-25 Eligibility of Land Acquisition Costs PG-49
for Land Treatment Processes Under Title II
of the Federal Water Pollution Control Act,
as Amended
PRM 75-26 Consideration of Secondary Environmental PG-50
Effects in the Construction Grants Process
PRM 75-27 Field Surveys to Identify Cultural Resources PG-52
PRM 75-28 Flood Insurance Requirements Effective 7/1/75 PG-54
PRM 75-29 EPA Procedures in Initiating Debarment Actions PG-56
Against Grantee Contractors
PRM 75-30 Cost Control PG-57
PRM 75-31 Facilitating EIS Preparation with Joint PG-58
EIS/Assessments (Piggybacking)
PRM 75-32 Compliance with Title VI in the Construction PG-59
Grants Program
PRM 75-33 Discount Rate PG-60
PRM 75-34 Grants for Treatment and Control of Combined PG-61
Sewer Overflows and StdYvnwater Discharges
PRM 75-35 Allowable Costs for Construction of Treatment PG-62
Works that Jointly Serve Municipalities and
Federal Facilities
Revised: TM 76-1
August 1976
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Cr
Former
Memoranda Designation
PRM 75-36 Value Engineering in the EPA Construction PG-63
Grants Program
PRM 75-37 User Charge System: Plan and Schedule PG-65
PRM 75-38 Relationship Between 201 Facility Planning PG-66
and Water Quality Management (WQM) Planning
PRM 75-39 Eligibility of Land Acquisition Costs for PG-67
the Ultimate Disposal of Residues from
Wastewater Treatment Processes
PRM 75-40 Priority List Supplement to FY 1977 PG-68
Construction Grants Guidance
PRM 76-1 Construction Grants Program Issuances
PRM 76-2 Cancellation of Certain Program Guidance
Memoranda (PGM)
PRM 76-3 Presentation of Local Government Costs of
Wastewater Treatment Works in Facility Plans
PRM 76-4 Coordination of Construction Grants Program
with EPA-Corps of Engineers Section 404/Section
10 Permit Programs
PRM 76-5 Flood Insurance Requirements
PRM 77-1 Treatment Works for Recreational Parks,
Industrial Parks, and Institutions
PRM 77-2 Grant Eligibility of Start-up Services
PRM 77-3 Plan of Operation for Municipal Wastewater
Treatment Facilities
PRM 77-4 Cost Allocations for Multiple Purpose Projects
PRM 77-5 Grant Eligibility of Land Acquisition by Leasehold
or Easements for Use in Land Treatment and Ultimate
Disposal of Residues
G-299
Revised: TM 77-1
December 1976
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Memoranda
PRM 77-6 Easements
PRM 77-7 Management of State Project Priority Lists
PRM 77-8 Funding of Sewage Collection System Projects
PRM 77-9 Reallotment of Recovered Funds
Revised: TM 78-1
October 1977
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. DATE:
TRANSMITTAL MEMORANDUM:
SUBJECT:
FROM: Deputy Assistant Administrator for Water Program Operations
TO: Regional Administrators
ATTN: Water Program Directors
Purpose:
Discussion:
Effective Date:
Authority:
Filing Instructions:
*U.S. Government Printing Office: 1976-677-717/297 Region 8
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