&EPA
United States
Environmental Protection
Agency
Office of Municipal
Pollution Control (WH-547)
Washington DC 20460
April 1985
Regulation
and Policy
A Guide to the Rules
Governing Grants Awarded
under the
Construction Grants Program
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TO: Users of the "Regulation and Policy Matrices" (Matrix)
This is a revised and updated version of the "Regulation and Policy
Matrix," published in December 1983.
Originally, the Matrix was to be updated by distributing to its holders
three-hole punched insert pages covering new and revised regulations and
policies issued during the interim period. However, due to the fact that, in
producing the Matrix, binding instructions were not followed, plans for keeping
the texts current could not be carried out. In addition, because the intro-
ductory and explanatory information in the front section of the Matrix needed
considerable rewriting and because the many changes to the regulations in 1984
and the publication of a new edition of the Handbook of Procedures required
extensive updating of the matrices covering those areas, it was decided that a
total reprinting of the Matrix at this time was was advisable. With this
revised, updated and reformatted text, future updatings can be achieved readily,
i.e., in the manner provided for in the original plan.
Accordingly, holders of the Matrix will receive updated information (i.e.,
three-hole punched insertable sheets) annually. A chronological digest of con-
struction grant regulations, promulgated between July 1, 1984 and June 30, 1985,
designed to supplement the 1984 edition of Title 40 of the Code of Federal
Regulations, will be distributed in August 1985. Concurrently, updated policy
matrices reflecting changes in allowable and eligible costs contained in other
(non-regulatory) documents issued during that period will also be distributed.
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REGULATION AND POLICY MATRICES
A Guide to the Rules Governing
Grants Awarded Under the
Construction Grants Program
Prepared for:
Municipal Construction Division
Office of Municipal Pollution Control
Office of Water
U.S. Environmental Protection Agency
Prepared by:
Contractor: Roy F. Weston, Inc.
Subcontractor: A.T. Bowyer, Inc.
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TABLE OF CONTENTS
Page
INTRODUCTION 3
METHODOLOGY 4
CODE OF FEDERAL REGULATIONS 5
A. Federal Reg ister (FR) 5
B. Bound CFR 6
USE OF REGULATION MATRIX 7
MATRIX KEY 8
INCLUDED REGULATIONS 9
POLICY MATRICES 10
A. Background 10
B. Use of Policy Matrices 12
C. Included Policy Issuances 12
HANDBOOK OF PROCEDURES 12
A. Handbook Updates 13
B. Use of Handbook Matrix 14
AUDIT RESOLUTION BOARD 14
BOARD OF ASSISTANCE APPEALS 15
USE OF REGULATION MATRIX (EXAMPLES) 15
REGULATION MATRIX 19
SUBJECT INDEX PROGRAM ISSUANCES S
POLICY MATRICES
All Regional Construction Grants Memorandum (CG) 1970-1971 M
Program Memorandum (PM) 1972-1973 A
Program Guidance Memorandum (PG) 1973-1976 T
Program Requirements Memoranda (PRM) 1976-1981 R
Handbooks of Procedures I
Audit Resolution Board (ARB) X
APPENDIX A - Board of Assistance Appeals - Subject Index and
Chronological Listing
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INTRODUCTION
The "Regulation and Policy Matrices" (Matrix) was developed in response to a
need for an improved method of identifying U.S. Environmental Protection
Agency's (EPA) regulations and policies applicable to grants awarded under
the Municipal Construction Grants Program. The problem of identifying
applicable regulations and policies arises most often at the time of audit,
which may take place anywhere from five to ten or more years after the initial
grant award. When a construction grant project is completed and the grant is
ready for closing out, auditors, Regional EPA, State, and, at times, Corps of
Engineer personnel are faced with the task of reviewing and confirming ( in
some cases reconfirming) that costs incurred and claimed by grantees and paid
by EPA are, in fact, allowable for grant participation. This task can become
quite burdensome recognizing that the statutes, regulations, policies and
guidance administered by EPA underwent significant changes over the ten year
span between 1972 and 1983 and, during that same period, more than 22,500
grants were awarded.
In addition, because of the potential impacts of wastewater treatment works
projects upon the environment and economy, grant recipients are required to
comply with 54 other Federal laws and Executive Orders, not the least of which
is the National Environmental Policy Act. Changes in these laws contributed
to the need to revise the program regulations, 40 CFR Part 35, at least 50
times since 1972. In addition, other regulations, which directly impact the
Construction Grants Program, (e.g., 40 CFR Parts 6, 25, 30, 33 and 403) have
also been revised on many occasions. This further complicated efforts to
determine which regulations were in effect at the time a specific grant was
awarded.
At a "Task Force Meeting on Audit Issues" held in August 1982, and attended
by EPA personnel from all Regions and Headquarters, it was recommended that
EPA "develop a matrix for illustrating grant requirements in relation to time
of grant award." It was felt that the advantages of the matrix were that it
would: (a) provide the grants program with a standard for systematically
applying requirements and retrieving data; (b) reduce resources needed in
researching and resolving issues; and (c) be readily updatable by adding
supplements.
The average length of time for an EPA grant-assisted project to proceed through
planning, design and construction is about eight years. Generally, audits of
projects are carried out after completion of construction — often many years
after some costs are incurred. Because during this extended period, the
regulations of the Agency will have undergone a vast number of changes, efforts
at determining which requirements were in effect at what time become increasingly
difficult. In addition, since many of the projects were undertaken during a
period when three separate grants were awarded (Step 1 for planning, Step 2 for
design, and Step 3 for construction), each of the separate grant awards may be
subject to different regulations. Further complicating cost reviews is the
fact that some regulations carried retroactive provisions.
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Accordingly, this Matrix was developed to clearly delineate the applicable
regulations and policies in effect at particular intervals of time — thus
providing construction grant staff and auditors with a comprehensive body of
information needed to effectively assess eligible and allowable costs during
the life of a grant project.
METHODOLOGY
In reviewing the available reference documents, the contractor's project
officer, Albert T. Bowyer, was faced with a large volume of source materials,
including Federal statutes and their legislative histories, Federal regula-
tions, program policy issuances (OS's, PC's, PPM's, etc.), Handbooks of
Procedures (MCD-03), guidance documents (Facilities Planning 1981, Construction
Grants 1982, etc.) Board of Assistance Appeals decisions, Audit Resolution
Board decisions, Federal court decisions, uncodified Headquarters policy
memoranda in response to specific project inquiries or requests, and technical
guidance documents (e.g., Innovative and Alternative Technology Assessment
Manual, Handbook for Sewer System Evaluation and Rehabilitation, etc.) After
careful study, it was decided that the Matrix would be limited to pertinent
portions of EPA regulations, codified policy issuances (PC's, PRM's, etc.),
the Handbook of Procedures, and Audit Resolution Board decisions. In addition,
it was also decided that since an index to Board of Assistance Appeals decisions
was already available, it should be appended to the Matrix in its existing form.
The draft Matrix was reviewed and edited by a special task force comprised of
Headquarters and Regional representatives. Albert L. Pelmoter, Chief, Program
Policy Branch, Municipal Construction Division and Project Manager for the
"Matrix," served as chairman, and Thomas J. Moran, Senior Engineer, Program
Policy Branch, served as task manager. Roger A. Janson, Chief, Grants
Operations Section, Region I, took the lead in coordinating Regional review
and followup, which greatly expedited and improved the overall review process.
As a result of this review, the Matrix was expanded to include 40 CFR Part 4
and its format was altered to further simplify its use.
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CODE OF FEDERAL REGULATIONS
As most users of this Matrix are aware, the Code of Federal Regulations (CFR)
is a codification of the general and permanent rules published in the Federal
Register by the executive departments and agencies of the Federal government.
The CFR contains 50 titles identified by subject or executive department;
for example, Title 3—The President; Title 10—Energy; Title 32—National
Defense, etc. In practically all cases involving the Municipal Construction
Grants Program, applicable regulations can be found in Title 40—Protection
of Environment. In a few instances, other titles may be of interest such as
Title 41—Public Contracts and Property Management which deals with the
application of Federal principles.
Title 40—Protection of Environment is further subdivided into chapters
(Chapter I concerns EPA), parts, subparts, sections, subsections, etc. In
referencing the regulations, the number of the title, part, section and/or
subsection is used. For example, 40 CFR 35.917-1 (beginning after February 11,
1974) means Title 40, Part 35, Section .917, Subsection 1. It is entitled
"Content of Facilities Plan."
A. Federal Register (FR)
The Federal Register is used by the Federal government to transmit infor-
mation to the general public and interest groups concerning the workings of
government. It is published daily during normal work days and contains, among
other things, regulations promulgated by the various agencies. Ideally, after
enactment of a Federal law, the implementing agency publishes in the FR a
notice of proposed rule-making. At this stage, the text of proposed rules and
regulations may be published in full or their availability may be announced.
Proposed regulations are often preceded by a preamble which indicates the basis
for the regulation (Federal law, Executive Order, court ruling, etc.) provides
background information, discusses alternative approaches considered and the
reason for promulgating the proposed rule, and sets forth a comment period
during which time interested parties may submit their comments in writing or at
public hearings. Proposed rules and regulations are not binding on Construc-
tion Grants Program grant applicants or grantees.
Proposed regulations are generally followed by interim regulations (in
seme cases interim/final) which, as the name implies, serve during the period
between enactment of a Federal law and the publication of "final" regulations.
Interim regulations, once promulgated, have the force and effect of law and
serve as official Agency policy until superseded or amended by the final
regulations. Interim regulations also include a preamble and undergo a
comment period.
Final regulations are published in the FR and represent the Agency's
final policies and procedures for implementing a federal law, executive order
or court order. Beginning with their effective date, they carry the full
force and effect of law. Changes to final regulations may be made only by the
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chief executive officer of the Agency and are effected by issuing revised
regulations (generally preceded by proposed and/ or interim) or the issuance
of a class deviation. Generally, final regulations also contain a preamble
which covers comments to proposed and interim regulations received from the
public and interest groups along with other considerations taken into
account as the regulations were finalized.
B. Bound CFR
Annually, Title 40 of the CFR is published in bound form by the General
Services Administration. Each edition reflects changes which have been made
to the regulations up to July 1 of the year published. (Copies are generally
not available until September or October allowing for publishing time.) The
bound copy of the CFR includes all appropriate regulations which appeared in
the Federal Register during the preceding twelve month period.
The bound CFR forms the basis for using the regulation matrix; hence,
familiarity with its content, user's guide and reference tables is of utmost
importance. It is recommended that users of this Matrix read the introductory
pages to a bound copy of a 40 CFR and review the tables on the last several
pages. It should be noted that seme limitations of the bound CFR are not
indicated in its introduction but must be understood in order to use the
regulation matrix effectively. For example, the bound CFR does not include;
1. Proposed regulations. Because they have no force or effect
in law, they are not included.
2. Preambles.
3. Class deviations. Where a temporary or permanent class
deviation from the regulations is granted by the chief
executive of the Agency, such deviations appear in the FR but
are excluded from the bound CFR. If the class deviation
eventually results in a change to the regulations, that change
will appear in the bound CFR.
4. Superseded regulations. If both interim and final regulations
are promulgated during the same CFR sutmiary year, only the final
regulations will appear in the bound CFR for that year.
A table of contents is included at the beginning of each "part" in the CFR
and is particularly useful in locating the section of interest. In addition, at
the beginning of each part or subpart the word "source" is shown followed by the
FR volume and page numbers and date. This identifies the specific FR issue in
which the regulation appeared. For example, the 1978 bound copy of 40 CFR Part
35 under Subpart E (page 349) reads:
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"Source: Sections 35.900 to 35.935-17, 39 PR 5253, Feb. 11, 1974;
39 FR 15760, May 6, 1974, unless otherwise noted.
Sections 35.936 to 35.959, 40 FR 58604, Dec. 17, 1975,
unless otherwise noted."
Thus sections 35.900 to 35.935-17 were published in volume 39 of the Federal
Register, beginning on page 5253, on February 11, 1974, and corrected on May 6,
1974, as noted on page 15760 of that FR. The phrase "unless otherwise noted"
means that some sections within the full range of 35.900-35.935-17 may have been
amended, and if so they will be followed by another citing. For example, at
the conclusion of 35.905-8 (page 352 in the bound CFR) the notation "[43
FR 17703, Apr. 25, 1978]" appears and means that this particular section was
amended in volune 43, page 17703, of the FR dated April 25, 1978.
It is very helpful to understand the "source" instructions since it may
be necessary to locate the original publication of the regulation and review
the preamble for a discussion of the subject under review.
Another helpful, although somewhat limited, table located in each bound
copy of the CFR is the index at the back of each volume entitled "List of CFR
Sections Affected." This index lists changes to the sections of 40 CFR
beginning with its original publication and indicates, by year, the section
number and FR volume and page numbers, when a particular section was added,
amended or deleted. Vfaere appropriate, instructive comments are provided.
However, only section numbers are listed; titles and the specific date the
change appeared in the FR are omitted. Therefore, it would be necessary
to know, for example, that 35.917-1 is "Contents of Facilities Plan" in order
to know that this particular subject had been modified. However, by using the
table of contents at the beginning of each part within the bound CFR, and the
index at the back, it is possible to identify the subject under review and
when it was changed.
USE OF THE REGULATION MATRIX
The regulation matrix is designed to overcome some of the limitations of the
bound CFR by providing for the efficient identification of regulations
applicable to a particular grant. It is not intended to answer specific
questions concerning allowable or unallowable costs. Rather, these questions
must be answered by the user after locating the applicable regulation(s) (or
other policy issuances discussed later) and reviewing them.
In order to fully understand the format of the regulation matrix, a brief
description of each column is provided below.1
Also see Matrix Key, page 8
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MATRIX KEY
oo
Date
Published
in P.R.
8/17/73
(P) 4/20/73
9/10/73
(P) 7/3/73
9/26/73
(P) 6/26/73
Affected Part and Sections
Part 133 - Secondary
Treatment Information
Sec. 133.100-133.104,
Final
Preamble FR p. 22298
.Part 35 - State and Local
AssJ
8/21/73
However
jtreactive
to"
Subpart E - Grants for
ction of Treatment
Works (FftPeML-Of 1972)
Sec. 35.901-35.935-
Appendix B
Final
Preamble FR p. 22524
Part 35 - State and Local
Assistance
Appendix A - Cost-
Effectiveness Analysis
Final<
Preamble FR p. 24638
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants - Eligibility
Requirements
Sec. 35.850-35.895
Final
Preamble FR p. 26882'
Effective
Date
8/17/734
10/10/73
9/26/73
Effective date of regulation; may or may
.not coincide with date published in
Federal Register
Affected part number and title within
'Title 40 of the Code of Federal Regulations
Inclusive sections within the part as
•published in the regulations
Date regulation published in the Federal
Register; may or may not coincide with
"effective date
Date earlier or later versions of the
regulation were published. Proposed (P);
• interim (I); or final (F) .
Indicates whether regulation is proposed,
'interim, interim/final or final
Indicates the first page number of the
.preamble to the regulation as it appeared
in the Federal Register
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Date Heading - Each page of the regulation matrix contains a date such as
1972, 1973...1983, etc. This date identifies which bound copy of 40 CFR is to
be used as the starting point in locating the applicable regulations. For
example, the page with the heading "1977" means that the user should begin
with the 1977 bound version of 40 CFR and note the changes to that publication
up to the date of grant award (examples using the regulation matrix are given
later).
Date Published in FR - Indicates chronologically the date the regulation
was published in the Federal Register. In addition, where there were other
editions of the same regulations, the date that the interim (I) or proposed
(P) regulations were published in the FR are also included.
Affected Part and Sections - The first listing indicates the affected
part of the CFR and its title. After the part, where appropriate, the subpart,
its title and a further subject description is shown.
An indication as to whether the regulation is "proposed," "interim,"
"final," a "class deviation," a "policy statement" or "information" follows,
after which the preamble page number is shown.
Finally, the section and/or subsection number and heading is given where
appropriate. When a signficant portion of the regulation has been revised, this
column will indicate the inclusive sections omitting the identification of each
section and/or subsection.
Effective Date - Indicates the date on which the particular regulation
became effective. Very often regulations are published in the FR but do not
become effective for a period of 30 to 60 days. At times, different sections
of the regulations, while published in the same FR, may have different
effective dates.
Comments - This column provides a brief commentary on significant aspects
of the regulation.
INCLUDED REGULATIONS
During the development of the Matrix, recommendations were obtained from EPA
regional personnel concerning which parts, subparts or policies should be
included. Since the primary purpose of the Matrix is to assist users in the
determination of allowable costs, only those Title 40 regulations which have a
direct bearing upon that issue were included, viz:
40 CFR Parts
4 - Uniform Relocation Assistance and Real Property Acgxiisitions
Policies Act of 1970
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6 - National Envirormental Policy Act
25 - Public Participation
29 - Intergovernmental Review of Environmental Protection Agency
Programs and Activities
30 - General Grant Regulations and Procedures
33 - Procurement Under Assistance Agreements
35 - State and Local Assistance
Subpart C - Grants for Construction of Wastewater Treatment
Works
Subpart D - Reimbursement Grants
Subpart E - Grants for Construction of Treatment Works -
Clean Water Act
Subpart I - Grants for Construction of Treatment Works
128)- Pretreatment Standards
403)
133 - Secondary Treatment Information
Applicable deviations from regulations
POLICY MATRICES
Four separate policy matrices have also been developed. Most of the documents
indexed in these matrices were issued as guidance memoranda by EPA Headquarters
to its regional offices between 1970 and 1980. While the memoranda did not
carry the weight of law or regulations, EPA regional (and State agency) personnel
were generally advised that the guidance set forth in these memoranda were to be
followed. For this reason, many eligibility/allowability decisions made by EPA
and State staffs were based upon information contained in these memoranda.
A. Background
From 1970 to 1972, the issued memoranda were referred to as "All Regional
Construction Grants Memorandum" (abbreviated CG) and numbered by calendar year
and sequence of issue, e .g., CG 70-1 was the first manorandum issued in calendar
year 1970. In 1972 the title "CG" was changed to "Program Memorandum" (PM) but
the same numbering system was continued.
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In May 1973, the memorandum issuance system title was changed to "Program
Guidance Memorandum" or "PG", and this series continued until May 7, 1976 when
the last PG (-68) was issued„
In July 1976 an entirely new system of field communications was introduced „
It included "Program Requirements Memoranda" (PRM's),, "Program Operation
Memoranda" (POM's) and "Transmittal Memoranda" (TM°s)o PRM's were used to
convey program policy specifically applicable to the Construction Grants Program
and were circulated both within and outside EPA» POM's, on the other hand, were
internal issuances which set forth periodic reporting requirements, ceilings,
quotas and other "housekeeping" i terns« Generally, these were of little interest
to those outside of EPAo TM's were transnittal memoranda which forwarded changes
(insertable replacement pages) to the Handbook of Procedures (MCD-03K A full
explanation of the PPM, POM and TM system was contained in the first PRM issuance,
namely, PPM 76-1 dated July 26, 1976o The PRM system used a fiscal year/
sequential numbering system» (Eog», PRM 78-1 is dated December 29, 1977»)
PRM 76-2, also issued on July 26, 1976, announced the cancellation of certain
outdated or superseded PG's and the re-labeling of the retained PG's as PRM's
beginning with the prefix 75-n» Accordingly, PRM's 75-1 through 75-40 were earlier
PC's which remained applicable to new or existing grants„
Responding to the concern for the apparent excessive number of policy
issuances and for the occasional retroactive application of certain rules and, in
an effort to provide for the more orderly dissemination of grant policy, EPA
announced, in PRM 81-1 (January 1, 1981), that future construction grant program
policy would be issued on an annual basis only» (A compendium of PRMs applicable
to grants awarded during FY 1981 was issued in early January 1981») Also, included
in PRM 81-1 was a listing of cancelled PRMs and an explanation of the reason for
their cancellation„ In additon, PRM 81-1 noted that certain PRM's were to be
discontinued or cancelled with the publication of (then pending) "Facilities
Planning 1981,,"
Facilities Planning 1981 (FRD-20), dated March 1981, included (as Appendix D)
the same listing of cancelled PRM's contained in PRM 81-1? however, it also
explained that several PRM's were not cancelled but rather were "integrated into
Facilities Planning 1981„" While it was intented, at that time, to issue a
companion document covering guidance for Step 2 (design) and Step 3 (construction)
activities, amendments to the Clean Water Act of 1977 necessitated a complete
restructuring of the regulations and guidance. The result was the publication
of a new guidance document, Construction Grants 1982 (CG-82)-Interim Final,
dated July 1982 <>
The stated purpose of CG-82 was to reduce the proliferation of Construction
Grants Program policy issuances to the maximum extent possible. It was to serve
as guidance, not regulation in disguise, and "oooupon publication, all PRMs and
POMs are cancelled „ Oo"<, The effect of this statement was to terminate the pre-
viously existing field communication system„
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B. Use of Policy Matrices
All CG's, PM's, PC's and PPM's cited are listed in the "Subject Index"
preceding the matrices, and each subject is classified into one or more of eleven
subject categories. The categories cover broad areas and are listed alphabetically
beginning with Administrative/Policy and ending with User Charge/Industrial dost
Recovery. Within each category, individual subjects are listed alphabetically;
and, in the adjacent column, the documents in which the subject is discussed are
identified.
Following this index, each policy matrix is shown listing the memorandun
number in the first column followed by the date of issuance. The third column is
the complete title of the memorandum.
Golunn four provides information regarding whether and when the memorandum
was cancelled (C), superseded (SS) or supplemented (SP), and also indicates
other documents which cover related information. The last column contains
comments to help the reader determine whether it is necessary to locate and read
the full memorandum.
The PG matrix has one additional column not included in the other matrices,
namely "Redesignated PRM No." As explained above, when the PRM system was intro-
duced, carried-over PCs were relabeled as PRMs and assigned new numbers — each
beginning with the prefix 75-.
C. Included Policy Issuances
As with the regulation matrix, the primary purpose of the policy matrices is
to assist users in the determination of allowable costs. For this reason, only
those policy issuances which have a direct bearing upon allowability are included.
Therefore, where sequential numbers are missing, it may be assumed that the
memorandum does not contain information concerning allowable costs.
HANDBOOK OF PROCEDURES
"The Handbook of Procedures - Construction Grants Program for Municipal Waste-
water Treatment Works" (MCD-03) was originally published in February 1976 and
was applicable to processing grants beginning July 1, 1975. An earlier edition,
which was published in 1967 after enactment of the 1966 Amendments to the
Federal Water Pollution Control Act, was never amended.
Each edition of the Handbook was written primarily to assist project officers
in performing their review of grantee documents. They were not intended to
introduce new program policies or requirements but rather to illustrate how
existing policies and requirements were to be implemented during review. In
general, the Handbook restated program policies which originated in other
memorandums, pamphlets, regulations, etc.
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One notable exception to the above, however, was the segment of the Handbook
which dealt exclusively with allowable and unallowable costs. In the 1976
edition, this section, found in Chapter VII, included a listing and brief
explanation of miscellaneous cost items, i.e., items for which questions
regarding their allowability arose regularly during project closeout. At the
time the Handbook was being prepared these items, as a group, were not addressed
in any other Agency document; therefore, it was decided to include them in the
Handbook. The interpretation of their allowability had been agreed upon by
program staff, field and headquarters, and had resulted from years of experience
in having made and defended these determinations. Over time, auditors have
frequently cited cost items listed in the Handbook because of their ease of
location and clarity, and, because the Handbook was the sole source of certain
empirically developed allowability determinations.
A. Handbook Updates
The 1976 edition of the Handbook was updated on three separate occasions,
namely:
Transmittal Memorandum No. 76-1 dated August 1976
Transmittal Memorandum No. 77-1 dated December 1976
Transmittal Memorandum No. 78-1 dated December 1977
For ease of reference, the bottom right of each revised page to be inserted
in the Handbook contained a notation like the following:
Revised: 1M 77-1
December 1976
The second edition of the Handbook of Procedures, dated 1980, replaced the
first edition and reflected laws, regulations and policies in effect as of
October 1, 1979. This edition was necessitated by the many significant amendments
to the Clean Water Act of 1977. As with the first edition, Chapter VII (entitled
"Financial Considerations") contained most of the information of interest to users
of this Matrix. The "Allowability of Miscellaneous Costs" section of Chapter VII
was expanded to include 42 specific cost items as compared with 35 in the first
edition.
The second edition was not updated; however, the facilities planning por-
tion (Chapter IV) was supplemented by the publication of Facilities Planning
1981 (FRD-20) dated March 1981.
The 1981 amendments to the Clean Water Act (P.L. 97-117 enacted December 29,
1981) contained so many sweeping revisions that it was necessary to completely
overhaul the implementing regulations; and, on May 12, 1982, new interim Part 35
Subpart I regulations were promulgated for the Construction Grants Program.
Appendix A to these regulations entitled "Determination of Allowable Costs"
replaced the corresponding sections in Chapter VII of the second edition of the
Handbook of Procedures. In addition, a supplementary guidance document, Con-
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struction Grants 1982 (OG-82), was also published in July 1982 and provided step-
by-step guidance for the preparation of construction grants project documents.
Many program operating changes occurred after the 1980 edition of the Hand-
book was published. These changes came about not only from the regulatory changes
noted above, but also from the fact that most of the day-to-day operations of the
program were now being conducted by the States under delegation agreements.
Accordingly, a third edition, containing considerable changes over the previous
edition, was published with an effective date of October 1, 1984. Again, for
purposes of this matrix, the key chapter in this Handbook is Chapter IX
"Financial Considerations." In the last section of that chapter, 40 CFR Part 35,
Subpart I, Appendix A, "Determination of Allowable Costs" is reproduced and
supplemented with clarifying information and examples where appropriate.
B. Use of Handbook Matrix
The Handbook matrix lists 68 specific subjects, all of which are also
included in the "Subject Index - Program Issuances." The columns following the
subject contain checkmarks "( /)" to indicate in which edition or TM the subject
can be found.
The column "TM No. 76-1" contains an asterisk which is explained at the end
of the matrix. In essence, the TM indicates that the list of allowable/unallow-
able costs is retroactively applicable to projects funded under P.L. 84-660
(1956 Federal Water Pollution Control Act) as well as those funded under
P.L. 92-500 (1972 amendments). However, where prior commitments had already
been made, these commitments should be taken into account when final allow-
ability determinations are made.
AUDIT RESOLUTION BOARD
The Audit Resolution Board (ARE) was established under EPA Order 2750.2A to
resolve cases in which the Inspector General is dissatisfied with the Action
Official's (usually the Regional Administrator) disposition of an audit funding.
The Board, meeting as necessary to consider cases referred by the Inspector
General, determines the official Agency position, and its decisions are final
and not subject to further review within EPA. The Board presently consists
of three voting officials: the Assistant Administrator for Administration
(Chairperson), the EPA General Counsel, and a Regional Administrator serving a
one year rotating term. In addition, the Inspector General and the Assistant
Administrator for the program involved serve in advisory roles.
As of July 24, 1984, the ARE had issued 14 decisions, with another case (ARB-5)
under further study, and two other cases (ARB-7 and -12) resolved by other means.
The ARB decision matrix indicates the decision number, date, title, effective
date and appropriate comments. By its very nature an ARB decision addresses
an issue which is difficult to resolve through a review of grant regulations
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or other policy memoranda. Therefore, if an issue under review has been the
subject of an ARE decision, that ARE decision and its supporting documents
should also be examined.
BOARD OF ASSISTANCE APPEALS
The Board of Assistance Appeals (BAA) hears cases brought by grantees in accor-
dance with the EPA's disputes provisions (40 CFR Part 30, Subpart J, Disputes,
30.1100-30.1150 and 40 CFR 35.960) as supplemented by EPA Disputes Procedures
(Volume 44, Federal Register page 46770 dated August 8, 1979). The Board,
after reviewing briefs and other documents (from the grantee, EPA regional
office and other interested parties) and, when necessary, holding a hearing,
renders a decision.
Decisions handed down by the BAA are project specific but may include issues
which are applicable to other projects. From 1976 through November 1984, 269
decisions have been rendered by the BAA with approximately 90 percent of these
decisions emanating from construction grant projects. Generally, the decisions
are about seven pages long and, like judicial opinions, cite earlier decisions,
regulations, quotations from grantee and Agency briefs, etc.
The Office of General Counsel has prepared both a subject index and a chrono-
logical list of decisions (as of December 1984), both of which are included as
Appendix A to this publication. The subject index includes 13 major subjects
with multiple subheadings followed by the docket numbers. The chronological
listing includes the docket number, case name and date of decision. Because
BAA decisions are not cited as frequently as regulations, policy memoranda
guidance documents or ARB decisions when issues between EPA auditors and
construction grants personnel are raised, a separate matrix for BAA decisions
has not been prepared.
USE OF REGULATION MATRIX
EXAMPLE 1;
A grant is awarded on October 15, 1977. Using the regulation matrix, identify the
applicable regulations in 40 CFR Part 35, Subpart E.
1. Because the grant was awarded in October 1977, begin with the regulation
matrix dated "1977" (page 46).
2. The 1977 regulation matrix indicates that between July 1, 1977, and
October 15, 1977, only one change was made to Part 35, namely, a class
deviation dated August 31, 1977.
15
-------
3. A review of the description of the class deviation in the matrix indicates:
a. Only the subjects user charges and industrial cost recovery,
operation and maintenance manual and sewer use ordinance are
affected.
b. "Hie deviation is further limited to changes in the payment
limitations.
4. Unless the issue under review concerns the subjects discussed in the class
deviation, the 1977 edition of 40 CFR contains the applicable regulations
for Part 35, Subpart E.
5. In the event that it is desirable to review the preamble to the applicable
Part 35, Subpart E regulations (recall that preambles are not published
in the bound CFR), review page (331) in the 1977 edition of 40 CFR where
those regulations begin and note:
"Source: Sections 35.900 to 35.935-17, 39 FR 5253, Feb. 11, 1974;
39 FR 15760, May 6, 1974, unless otherwise noted.
Sections 35.936 to 35.939, 40 FR 58604, Dec. 17, 1975,
unless otherwise noted."
6. Sections 35.900 to 35.935-17 were originally published in the Federal
Register on February 11, 1974, with portions modified on May 6, 1974.
Sections 35.936 to 35.939 (procurement) were published on December 17,
1975. The regulation matrix for 1973 (pages 25-30) may be used to
determine when the proposed, interim and final regulations were
published and the page number for the preamble. In additon, the matrix
indicates that the May 6, 1974 changes to Part 35, Subpart E were
technical corrections. In like fashion, the matrix may be used to
determine additional information concerning the procurement regulation
(35.936-35.939) dated December 17, 1975. The identified Federal Registers
will include the desired preambles.
EXAMPLE 2;
A grant is awarded on May 1, 1974. An audit issue arises concerning the cost
incurred in purchasing land to be used as an integral part of the wastewater
treatment process. Using the regulation and policy matrices, identify the
applicable regulations in 40 CFR Part 35 and Part 4 as well as applicable policies,
1. Because the grant was awarded in May 1974, begin with the regulation
matrix dated "1973" (page 25 in manual).
2. The 1973 regulation matrix indicates that between July 1, 1973, and
May 1, 1974, twelve changes were made to the construction grants
regulations of which five were made to Part 35, Subpart E, and one change
to Part 4. Therefore, using 1973 as the base year could require the review
of 12 revisions.
16
-------
3. An alternate approach would be to use the 1974 edition of 40 CFR
as the base year and, using the 1973 regulation matrix, note changes
between May 1, 1974, and June 30, 1974. The effect of this approach
is to subtract later regulations after the date of grant award.
4. Using the alternate approach in item 3 above, the 1973 regulation
matrix indicates two changes to Part 35, Subpart E after May 1, 1974.
The matrix further describes the changes as technical corrections
(May 6, 1974) and a class deviation allowing the use of force
account labor (May 5, 1974). Since neither of these changes to
Part 35, Subpart E affects land acquisition, the applicable regula-
tions for Part 35, Subpart E, and Part 4 are those contained in the
1974 edition of 40 CFR.
5. If it is necessary to review the preamble to the applicable Part 35,
Subpart E regulations using the 1974 edition of 40 CFR, one must be
aware of the fact that it was the practice during the earlier years
to list the "source" at the beginning of the entire part rather than
at each subpart. Therefore, turn to page 155 of that edition and note:
"Source:
Subpart E (§§35.900 to 35.960) at 39 FR 5253,
Feb. 11, 1974; 39 FR 15760, May 6, 1974."
From this information, a description of the regulation may be reviewed
in the matrix or a copy of the appropriate Federal Register may be
reviewed. Using the identical procedures, it is noted that Part 4 was
amended on March 19, 1974, as shown both in the regulation matrix and on
page 37 of the 1974 edition of 40 CFR Part 4.
6. Using the Subject Index for the policy matrices and reviewing the
various subject headings, under Allowability/Eligibility the subject
land eligibility is listed. The progran issuances which discuss this
subject are:
PG-49 which was not dated
PG-67 dated 4/2/76
PRM 77-5 dated 12/15/76
PPM 78-4 dated 2/17/78
Handbook
The dates for three of the policy issuances are well after the date of the
grant award and, therefore, are not applicable (prudence may suggest
reviewing the appropriate matrix to ensure that the policy was not retro-
active) . While PG-49 is not dated, the PG matrix indicates PG-47 is dated
March 11, 1975, and PG-50 is dated June 6, 1975, and it may be reasonably
assumed that PG-49 was issued during 1975, and therefore not applicable.
The Handbook matrix includes the subject "Site Acquisition vs. Site
Preparation Cost" which is included in each edition. Looking up this
subject in the first edition of the Handbook, it is noted that its con-
clusions are based on the same four policy issuances cited above.
17
-------
7. Since the above policy issuances and Handbook references under the Subject
Index "land eligibility" are not applicable due to their dates of
publication, it is prudent to look for other possible subject headings
and note the dates. For example, possible policy issuance candidates are:
a. Easements, PRM 77-6, 5/4/77. Not applicable as issued after
grant award.
b. Allowable Costs, PG-64, 2/5/76. Not applicable as issued after
grant award.
c. Eligible Costs, CG 70-26, 11/9/70. Not applicable as it does not
cover land. (See CG matrix.)
d. Certificate as to Title to Project Site and Site Acquisition vs
Site Preparation Costs, Handbook. Generally not applicable as
Handbook issued after grant award. (See paragraph 8 below.)
By using this procedure and reviewing the policy matrices, it is possible
to determine if the subject under review is addressed in a policy issuance.
8. In the absence of specific policy guidance, it may be necessary to rely
upon the broad retroactivity statement given in both PG 64 and the first 1M
to the Handbook. That policy indicates that the cost items listed in the
Handbook and PG 64 are applicable to both P.L. 84-660 (1956) and P.L. 92-500
(1972) projects. However, the policy also states that, "In making eligibility
determinations, consideration should be given to commitments previously made
to grantees in the absence of prior National policy, pertinent statutes or
regulations."
18
-------
CODE OF FEDERAL REGULATIONS
1971
-------
1971*
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/24/71
(I) 11/25/71
(I) 3/19/74
11/25/71
Part 4 - Interim Regula-
tions and Procedures
Implementing the Uniform
Relocation Assistance and
Real Property Acquisition
Act of 1970
Sec. 4.1-4.263,
Appendix A
Interim
Preamble FR p. 16626
Title 40 - Protection of
Environment
Chapter I - Environmental
Protection Agency
Reorganization and
Republication
Preamble FR p. 22369
Subchapter B - Grants
Preamble FR p. 22369
8/24/71
N/A
The regulations provide for, "...the uniform and equitable
treatment of persons displaced from their homes, businesses
or farms by federal and federally-assisted projects and
establishes an equitable land acquisition policy for
federal and federally-assisted programs;" this publication
is the first major printing of these regulations by EPA
(no proposed regulations issued).
Under the authority of Reorganization Plan No. 3 of 1970,
"...a variety of activities related to pollution abate-
ment control were transferred to the Environmental Protec-
tion Agency. Regulations issued by the Environmental
Protection Agency were published in various titles of the
Code of Federal Regulations. Such regulations are being
reorganized and transferred to Chapter I of Title 40 -
Protection of Environment. All amendments to these
regulations are included in this republication through
November 4, 1971."
"Subchapter B, Title 40 is hereby reserved for all regu-
lations pertaining to Grants of the Environmental Protec-
tion Agency. Previously published grant regulations are
hereby removed from the Code of Federal Regulations, but
are retained in force as uncodified regulations. Grant
regulations thus affected are as follows: Title 18,
Part 601 - Grants for water pollution control..."
* The first bound copy of 40 CFR is dated January 1, 1972, i.e., there is no 1971 edition.
-------
1971 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
N)
o
11/25/71
(I) 8/24/71
(I) 3/19/74
11/27/71
(I) 6/9/72
(P) 8/1/73
(F) 5/8/75
Part 4 - Interim Regula-
tions and Procedures
Implementing the Uniform
Relocation Assistance and
Real Property Acquisition
Act of 1970
Part 30 - General Grant
Regulations and
Procedures
Sec. 30.100-30.1001-3
Interim
Preamble FR p. 22716
N/A
1/1/72
Part 4 (along with other parts of Title 40) republished in
the Federal Register without "substantive changes?" the
reprinting allows for the consolidation of many regulations
in one document.
Previously published regulations (grants for water pollu-
tion control, 18 CFR Part 601) revoked 11/25/71 but main-
tained as uncodified regulations and used provided not
inconsistent with this Part 30; new Part 30 effective for
previously awarded grants to the extent not inconsistent
with terms and conditions of such grants.
-------
CODE OF FEDERAL REGULATIONS
1972
-------
40 CFR Protection of Environment
Revised January 1, 1972
1972
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/20/72
(I) 1/17/73
(P) 7/17/74
(F) 4/14/75
6/9/72
(I) 11/27/71
(F) 5/8/75
Part 6 - Environmental
Impact Statements
Sec. 6.1-6.67
Proposed
Preamble FR p. 879
Part 30 - General Grant
Regulations and Pro-
cedures
Interim
Preamble FR p. 11650
30.102 Applicability and
scope
30.401 Statutory condi-
tions (g) and (h)
30.602 Payment
30.603 Grant related
income
30.901 Grant amendments
N/A
7/1/72
Proposed regulations implementing the National Environ-
mental Policy Act of 1969 in accordance with E.G. 11514 and
the Council on Environmental Quality's Guidelines of
4/23/71.
"This amendment, which does not substantially change the
provisions of Part 30, consists of technical revisions,
corrections or typographical errors and clarifications..."
Eliminates word "will" as a reference to future and makes
regulations applicable to all grants as of 7/1/72.
Requires compliance with OMB Circular A-95, i.e., clear-
inghouse comments, procedures.
Payments to be as provided, "by this subchapter and in the
grant agreement" rather than by "the regulation."
Changes reference to OMB Circular A-102 from A-96.
Changes reference to "authorized representative of grantee"
from "project manager on behalf of the grantee."
-------
1972 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/9/72
Part 35 - State and Local
Assistance
Interim
Preamble PR p. 11650
7/1/72
to
Subpart C - Grants for
Construction of Waste-
water Treatment Works
Sec. 35.800-35.850
10/18/72
1/17/73
(P) 1/20/72
(P) 7/17/74
(F) 4/14/75
The Federal Water
Pollution Control
Act Amendments of 1972
(FWPCAAof 1972),
PL 92-500
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.10-6.95
Interim
Preamble FR p. 1696
10/18/72
2/16/73
Previously published regulations (grants for water pollu-
tion control, 18 CFR Part 601) removed from CFR 11/25/71
but maintained as uncodified regulations and used pro-
vided not inconsistent with Part 30; new Part 35 may be
applicable to grants awarded prior to 7/1/72 by explicit
incorporation through grant amendment; all grants includ-
ing construction grants awarded after 7/1/72 subject to
revised Part 30 and new Part 35.
This publication of Subpart C represents the first
republication of regulations for the Construction Grants
Program under Title 40; Subpart C relates to grants for
construction of treatment works under Section 8 of the
Federal Water Pollution Act as amended, i.e., PL 84-660
projects; in general these regulations "constitute a more
explicit statement of prior regulations or of previously
uncodified policies, procedures and terms of the respec-
tive grants program."
The FWPCAA of 1972 represents a significant commitment
on the part of the federal government to abate water
pollution. The Act, among other things, introduces the
three-step grant process, expands the types of eligible
projects, increases the federal grant share to 75% and
commits billions of dollars to the restoration of the
nation's waters.
These regulations represent EPA's implementation of the
National Environmental Policy Act of 1969. Subpart E -
Guidelines for Preparation of Environmental Impact
Statements for Wastewater Treatment Works and Associated
Plans directly relates to the Construction Grants Program.
-------
1972 Continued
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
1/17/73
N)
U)
2/28/73
(F) 2/11/74
3/2/73
Part 6 - Continued
6.25 Applicability
(c) Retroactive
application
6.55 Procedures for
preparation of
impact statements
for plans
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.900-35.955
Interim
Preamble FR p. 5329
2/28/73
Special Note: User
Charge/Industrial Cost
Recovery
3/2/73
These regulations shall be applied to projects for which
grants were awarded prior to the publication of these
guidelines, "...when substantial funds have not been
released and modifications or alternatives to the project
are still available."
This section represents the first EPA regulatory require-
ment for grantees to prepare environmental assessments
and conduct a public hearing.
Subpart E only concerns grants awarded pursuant to the
FWPCAA of 1972 (PL 92-500) using fiscal year 1973 and later
contractual obligation authority; previous construction
grants regulations (Subpart C, 35.800-35.850) are applicable
to previously awarded construction grants and will remain
in effect; grants may not be awarded after 7/1/73 unless
the grantee demonstrates that the sewer system is not sub-
ject to excessive infiltration; grants awarded after 3/1/73
require grantee to adopt a user charge/industrial cost
recovery system; grants awarded prior to 3/2/73 are subject
to earlier regulations (35.835-5) concerning user charges;
promulgation of Subpart E represents the first publication
of regulations specifically for construction grants awarded
under the FWPCAA of 1972.
See final regulations published 8/21/73 but retroactive
to 3/2/73.
-------
1972 Continued
Date
Published
in F.R.
5/22/73
(F) 8/21/73
6/26/73
(F) 9/26/73
Affected Part and Sections
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Proposed
Preamble FR p. 13524
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants
Sec. 35.850-35.890
Proposed
Preamble FR p. 16826
Effective
Date
3/2/73
N/A
Comments
Proposed regulation concerns only user charge and indus-
trial cost recovery systems; preamble contains discussion
of use by grantee of recovered industrial funds; proposes
a retroactive effective date of 3/2/73 and states, "Any
grants awarded after 3/1/73, but prior to promulgation
of final regulations, will be subject to a special grant
condition incorporating these proposed regulations by
reference."
Discusses eligibility requirements for reimbursement
grants applicable to projects on which construction was
initiated after 6/30/66 but before 7/1/72 ; applications
must be received by EPA prior to 10/18/73.
to
-------
CODE OF FEDERAL REGULATIONS
1973
-------
40 CFR Protection of Environment
Revised July 1, 1973
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/3/73
(F) 9/10/73
7/9/73
(F) 11/8/73
8/7/73
(F) 2/11/74
(F) 5/8/75
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Appendix A - Cost-
Effectiveness Analysis
Guidelines
Proposed
Preamble FR p. 17736
Part 128 - Pretreatment
Standards
Sec. 128.100-128.140
Proposed
Preamble FR p. 19236
Part 30 - General Grant
Regulations and
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Proposed (but may be used
as special
condition)
Preamble FR p. 21342
N/A
Proposed guidelines which, "apply to...the selection of
the treatment works which will receive federal grant
assistance."
N/A
Proposed pretreatment standards for pollutants introduced
into publicly owned treatment works.
N/A
Proposed regulations implementing OMB Circular A-102,
Attachments A-0; any EPA "grant awarded after publication
of the proposed regulation/ but prior to the final regula-
tions, may be subject to a special grant condition incor-
porating these regulations by reference;" only section
35.935-3, Bonding and Insurance, in Subpart E is affected;
sixteen sections in Part 30 are affected.
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/17/73
(P) 4/20/73
8/21/73
(P) 5/22/73
to
9/10/73
(P) 7/3/73
9/26/73
(P) 6/26/73
Part 133 - Secondary
Treatment Information
Sec. 133.100-133.104
Final
Preamble FR p. 22298
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.901-35.935-13,
Appendix B
Final
Preamble FR p. 22524
Part 35 - State and Local
Assistance
Appendix A - Cost-
Effectiveness Analysis
Final
Preamble FR p. 24638
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants - Eligibility
Requirements
Sec. 35.850-35.895
Final
Preamble FR p. 26882
8/17/73
8/21/73
However
retroactive
to 3/2/73
10/10/73
9/26/73
Provides technical information on the level of effluent
quality attainable through application of secondary treat-
ment; refers to 4/20/73 FR proposed rulemaking for
description of purposes and intended use of regulation.
Final regulations concerning only user charge and indus-
trial cost recovery systems; appropriate sections between
35.901 and 35.935-13 are revised or added to conform with
these regulations; Appendix B provides guidelines for user
charge system; reprinted with final Subpart E regulations
on 2/11/74; while these regulations are effective
immediately, they are applicable to all grants awarded
after 3/1/73.
Cost-effectiveness analysis guidelines; no changes from
those proposed on 7/3/73; reprinted with final Subpart E
regulations on 2/11/74.
Discusses eligibility requirements for reimbursement grants
and expands eligible period to 1956 from 1966; establishes
9/30/73 as cutoff date for establishing project cost for
allocating appropriation for reimbursement grants.
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
10/15/73
(F) 1/29/74
11/8/73
(P) 7/19/73
1/29/74
(P) 10/15/73
2/11/74
(I) 2/28/73
(P) 8/7/73
(F) 5/6/74
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants; Proposed Priority
for Payment of Funds
Appropriated by PL 92-399
Sec. 35.875 and 35.880
Proposed
Preamble FR p. 28545
Part 128 - Pretreatment
Standards
Sec. 128.100-128.140
Final
Preamble FR p. 30982
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants
Sec. 35.850-35.895
Final
Preamble FR p, 3677
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
N/A
12/10/73
1/29/74
2/11/74
Applications received before 10/18/73 may be amended and
resubmitted; removes limitation in 35.880(a) concerning
the amount of grant.
Establishes requirements for pretreatment of nonresidential
wastes discharged into publicly owned treatment works.
Changes method of prioritizing funding of certain classes
of projects; extends deadline for submission of applica-
tions to 1/31/74.
This regulation represents the reprinting of the complete
Subpart E, including appendixes, and includes earlier
final regulations for UC/ICR systems (8/21/73) and cost-
effectiveness analysis guidelines (9/10/73); the regula-
tion replaces the interim Subpart E regulations (2/28/73)
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/11/74
Part 35 - Continued
Sec. 35.900-35.960,
Appendixes A and B
Final
Preamble PR p. 5252
to
00
and includes several major changes as described in the
preamble and following: after initial application, a basic
grant is awarded and subsequent related projects are funded
through amendment of the basic grant; Step 3 grants need
not result in an operable treatment works (PL 93*243,
2/28/73) but may be a "segment" as defined in the regula-
tions; new facilities planning requirements (35.917-.917-9)
are set forth but permit a transition period for full com-
pliance with the requirements, i.e., full compliance with
facilities planning requirements for Step 1 work initiated
after 4/30/74; after 10/31/74 a "plan of study" must be
approved prior to initiation of Step 1 work; new procedures
established to assure I/I requirements (35.927-5) are met
without unnecessary documentation and expense; new pro-
visions added to delineate EPA position with respect to the
initiation of project construction prior to grant assistance
for Step 1, 2 or 3, i.e., PL 92-500 clearly precludes the
type of reimbursement projects previously authorized under
former statute (Section 8 of FWPCAA) on which construction
was initiated after 6/30/72; "initiation of construction"
defined in 35.905-4; Section 35.925-18 sets forth proce-
dures which will phase out the possibility of a reimburse-
ment claim such as (a) eligible Step 1 or 2 work initiated
prior to 11/1/74 will be fully reimbursed in conjunction
with the next grant award, (b) prior approval required for
Step 1 or 2 work initiated after 10/31/74, (c) Step 1 or 2
work initiated after 6/30/75 must be preceded by grant
award or in the case of Step 1 work prior approval of a
plan of study and request from state for reservation of
grant funds; Section 35.930-6 added to clarify EPA is
only obligated for initial grant and grantee should
control costs and avoid overruns; increased grants
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/11/74
Part 35 - Continued
to
vo
3/19/74
(I) 8/24/71
(I) 11/25/71
Part 4 - Implementation
of the Uniform Reloca-
tion Assistance and Real
Property Acquisition
Policies Act of 1970
Sec. 4.100-4.608,
Appendixes A and B
3/19/74
Interim
Preamble FR p.
10362
due to overruns must be approved by states from allotted
funds; new section added (35.908) to encourage "processes
or methods which have been successfully demonstrated
under less than full scale conditions may be utilized in
the construction of treatment works" which differ from
interim regulations which allowed only processes which had
been demonstrated under comparable conditions; new sec-
tion added (35.938) to assure free and open competition
among bidders on Step 3 projects and to assure compliance
with nonrestrictive specifications provisions; regula-
tions (Subpart D) applicable to grants awarded under
Section 8 of the former FWPCAA remain in effect for grants
awarded prior to 1/1/73; Subpart E regulations applicable
only to grants awarded from FY 1973 and later contractual
obligation authority allotments in FWPCAA amendments of
1972 (PL 92-500).
Regulations superseded those published 8/24/71 and 11/25/71
and resulted from guidelines issued by OMB (Circular A-103,
5/1/72) plus experience to date by EPA; only change dis-
cussed in the preamble concerns Section 4.600 which has
been revised to indicate that the acquisition of easements
is subject to the policies and procedures governing land
acquisition; no final Part 4 regulation has been issued
as of March 1983.
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/6/74
(F) 2/11/74
5/7/74
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Technical Corrections to
2/11/74 Regulations
Final
Preamble FR p. 15760
35.917-7 State review and
certification of
facilities plan
35.935-12 Operation and
management
35.935-13 User charges and
industrial cost
recovery (b)(1)
35.938-5 Negotiation "g"
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.935 Procurement>
nonrestrictive specifica-
tions -2 (a)
Class Deviation
2/11/74
5/7/74
Technical and typographical corrections to final Subpart E
regulations published on 2/11/74.
Changes word "agreement" to "agement," the ending of the
word management. •
Adds section number and heading.
Changes word "precise" to "service."
Corrects spelling from "atuhorized" to "authorized."
Allows grantees to use force account (grantee employees)
for any Step 1, 2 or 3 work with EPA prior written
approval provided grantee demonstrates (1) he possesses
necessary competency and (2) work can be accomplished
more economically using force account.
-------
CODE OF FEDERAL REGULATIONS
1974
-------
40 CFR Protection of Environment
Revised July 1, 1974
1971
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/17/74
(I) 1/17/73
(F) 4/14/75
10/1/74
11/21/74
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.100-6.810
Proposed
Preamble FR p. 26254
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.912, .913,
and .940-1(q)
Final
Preamble FR p. 35334
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants - Cutoff Date for
Submission of Required
Information
Final
Preamble FR p. 40855
35.882 Cutoff date for
submission of
information
N/A
10/31/74
11/21/74
Published as proposed because of substantial changes to
interim regulations dated 1/17/73.
Direct costs associated with review functions carried out
by states are allowable costs and may be recovered from
grant allotments.
Earlier regulations extended date for receipt of reimburse-
ment grant application to 1/31/74; additional information
supporting those applications must be completed and sub-
mitted before 1/31/75 or no grant awarded.
Cutoff date 1/31/75.
-------
1974 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/14/75
(P) 1/20/72
(I) 1/17/73
(P) 7/17/74
5/8/75
(I) 11/27/71
(I) 6/9/72
(P) 8/7/73
5/8/75
5/9/75
(I) 2/8/77
(F) 6/30/78
Part 6 - Preparation of
Environmental Impact
Statements
Final (complete reprint)
Preamble FR p. 16814
6.504 Applicability
(c) Retroactive
application
6.512 Procedures for
implementing NEPA
Part 30 - General Grant
Regulations and Procedures
Sec. 30.100-30.1150,
Appendixes A, B, C
Final
Preamble FR p. 20232
Part 35 - State and Local
Assistance
Final
Preamble FR p. 20082
Part 33 - Subagreements
Proposed
Preamble FR p. 20296
4/14/75
6/10/75
6/10/75
N/A
Final regulations expanded criteria for decision concerning
preparation of EIS; issues include: coastal zones, wild
and scenic rivers; prime agricultural lands; wildlife
habitat; floodplains; revision of definition of primary and
secondary impacts; discussion of retroactive application;
wetlands; explanation of data required in environmental
assessments (energy, land use trends, population projec-
tions) ; consideration of endangered species.
New criteria for preparation of EIS not applicable to Step 2
or Step 3 grants awarded before 7/1/75 unless Regional
Administrator considers it appropriate; negative declara-
tions issued before 4/14/75 remain in effect.
Provides more detailed explanation of data required in
environmental assessments.
Major reprint, with changes, of Part 30; expands grantee
financial management and property management standards;
procurement policies and procedures of interim Part 30
deleted to be replaced by new Part 33 in near future;
disputes provisions set forth in new Subpart J; after
6/10/75 applicable to subsequent related grant projects;
may be made applicable to projects with grants before
6/10/75 by grant amendment.
Part 30 completely revised on this same date; this regula-
tion makes technical amendments to Part 35 to reflect
correct references to Part 30.
Does not apply to subagreements under grants for construc-
tion of treatment works, i.e., 35.938 applies to construc-
tion contracts and proposed new 35,937 will apply to
personal and professional services.
-------
1974 Continued
Date
Published
in F.R.-
5/9/75
(F) 12/17/75
Affected Part and Sections
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.937-35.939
Proposed
Preamble FR p. 20296
Effective
Date
N/A
Comments
Procurement of construction and professional services
applicable to Construction Grants Program; proposes to
delete earlier 35.938 through 35.939.
U)
-------
CODE OF FEDERAL REGULATIONS
1975
-------
40 CFR Protection of Environment
Revised July 1, 1975
1975
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/17/75
(P) 5/9/75
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972) -
Procurement Under Grants
for Construction of
Treatment Works
Sec. 35.936-35.939,
35.965, Appendix D
Final
Preamble FR p. 58602
35.936 Series General
Procurement
35.937 Series Architect/
Engineer Procure-
ment
See Below
3/1/76
3/1/76
Applicable only to grants for construction of treatment
works including A/E and construction services; Part 33
(when finalized) will apply to ancillary procurements such
as legal or accounting services; implements standards from
Attachment 0 to Federal Management Circular 74-7.
Consolidates procurement practices scattered in earlier
documents and adds new requiremnts; defines and includes
small purchases ($10,000 or less); allows states and local
governments to use their own procurement systems provided
they offer same protection as EPA regulations.
Regulations do not intend "bids" nor require grantees to
compare cost proposals from competing firms; price com-
petition is neither prohibited nor encouraged; small
communities (population 25,000 or less) exempt from
announcement and selection procedures; requires Appendix
C-l provisions (not published as yet) as part of subagree-
ment; prohibits cost-plus-percentage-of-cost and percentage-
of-construction-cost type subagreements; requires A/E to
submit cost and profit data to grantee; does not establish
ranges or ceilings on profits.
-------
1975 Continued
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
12/17/75
10
Ui
3/4/76
Part 35 - Continued
35.938 Series Construction
Procurement
35.939 Series Protests
Appendixes C-l and C-2 -
Required Subagreement
Provisions
Appendix D - EPA Transition
Policy - Consulting
Engineering Agreements
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972) -
Required Provisions for
Subagreements under Grants
for Construction of Treat-
ment Works
Appendixes C-l and C-2
Final
Preamble FR p. 9340
3/1/76
1/1/76
3/1/76
12/17/75
3/1/76
Restatement of 2/11/74 final regulations but adds section
on negotiations for change orders including cost review;
prompt progress payments; retainage policy; progress
payments for specifically manufactured equipment.
Delineates more precise procedures for handling protests.
To be included in A/E and construction subagreements when
published (3/4/76).
Finalizes and replaces interim policy of Program Guidance
Memorandum 53 issued 7/8/75; applicable only to grants
awarded under Subpart E of Part 35; however, in general,
some policies and procedures will be applicable to grants
under earlier legislation.
Publishes appendixes for inclusion in A/E and construction
subagreements after 3/1/76; provides exception for pre-
viously negotiated or solicited subagreements.
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
N/A
N/A
U)
5/20/76
Class Deviation
Sec. 35.935-13 User charges
and industrial cost
recovery (a)
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.937 Public Notice
Sec. 35.937-3 Evaluation of
Qualifi cations
Sec. 35.937-4 Solicitation
and evaluation
of proposals
Class Deviation
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.106(e)
Final
Preamble FR p. 20655
5/6/76
5/11/76
5/20/76
80% payment limitation - see 8/31/77 Federal Register
listing in this matrix.
Allows deviation from the announcement and selection pro-
cedures for A/E procurement for grants awarded after 3/1/76
and before 7/1/76 with certain time limitation concerning
time of receipt of application by state or EPA.
Technical amendment to Part 6; requires compliance with
OMB's Circular A-95, i.e., clearinghouse comments proce-
dures.
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/20/76
U)
-j
5/20/76
Part 30 - General Grant
Regulations and Procedures
Sec. 30.305-30.305-8
Final
Preamble FR p. 20655
30.135-3 Allowable Costs
30.135-8 Eligible Costs
30.135-22 Subagreements
30.225-3 Allowability
of Costs
30.710(d) Federal Cost
Principles
30.715-2 Indirect Costs
30.720 Cost Sharing -
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Final
Preamble FR p. 20655
5/20/76
5/20/76
Technical amendment to Part 30; amends Section 30.305 for
inclusion of OMB's Circular A-95, i.e., clearinghouse
comments procedures.
Those eligible, reasonable, necessary and allocable costs
permitted under appropriate federal cost principles, in
accordance with EPA policy, within scope of project and
authorized for EPA participation.
Those costs in which federal participation is authorized
pursuant to applicable statute.
Written agreement between an EPA grantee and another party
(other than another public agency); includes contracts and
"subcontracts;" deletes words "consultant agreements."
Deletes (c) related to cost sharing for foreign grants.
Adds "and subagreements" and "or 1-15.4 as appropriate."
Revises method for determining indirect costs for grantees
and reaffirms applicability of 41 CFR 1-15.2 and 1-15.4 for
determination of indirect costs for A/E firms.
Eliminates exception for cost sharing and requires grantee
to share project costs.
Technical amendments to Part 35.
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/20/76
oo
6/23/76
(F) 9/23/76
Part 35 - Continued
35.920-3 Contents of
Application
35.935-15 Utilization of
small and
minority
businesses
Appendix C-2 Required
Provisions - Consulting
Engineering Agreements
Appendix D-2 Required
Provisions - Construction
Contracts
Part 35 - 'State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Proposed
Preamble FR p. 25912
N/A
(a)(3) and (b)(8) - Requires compliance with OMB's Circular
A-95/ i.e., clearinghouse comments procedures.
Positive efforts shall be made by grantees to utilize small
businesses and minority owned businesses as sources of
supplies and services.
Editorial corrections; clause 10 "Price reduction for
defective cost or price data" changes limitation from
"$1,000,000" to "$100,000."
Editorial corrections.
Proposes that all construction grants projects with total
grant eligible cost of construction of $10 million or more,
excluding cost for interceptors and collector sewers, be
subjected to value engineering analysis as part of Step 2
grant. If adopted, applicable to projects for which
Step 2 grant applications are received on or after
10/1/76.
-------
CODE OF FEDERAL REGULATIONS
1976
-------
40 CFR Protection of Environment
Revised July 1, 1976
1976
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/8/76
U)
vo
7/12/76
9/20/76
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Final
Preamble FR p. 27966
Part "35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.938-6 Progress
payments to contractorsf'(c)
Class Deviation
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works 1FWPCAA of 1972)
Sec. 35.938-8 Required
construction contract
provisions (a)
Class Deviation
7/8/76
7/12/76
9/20/76
Gives EPA regional offices authority to extend date for
inclusion of Appendixes C-l and C-2.
Item (c) "Protection of progress payments made for
specifically manufactured equipment" contains two
limitations connected by the word "or;" the class deviation
eliminates the option and changes the word "or" to "and."
Eliminates the mandatory use of the "General Conditions"
portion of the "Contract Documents for Construction of
Federally-Assisted Water and Sewer Projects" and makes
it optional; future changes to Appendix C-2 will
incorporate appropriate conditions.
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
9/23/76
(P) 6/23/76
N/A
12/27/76
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Final
Preamble FR p. 41690
35.905-27 Value Engineer-
ing (VE)
35.920-3(b)(9) Contents of
Application
35.925-7 Design
35.926 Value Engineering
(VE)
35.935-18 Value Engineer-
ing (VE)
Class Deviation
Sec. 35.935-13 User charges
and industrial cost
recovery (a)
Part 30 - General Grant
Regulations and Procedures
Final
Preamble FR p. 56196
30.615-1 Method of Payment
(a)
10/26/76
9/30/76
1/1/77
Requires value engineering (VE) for all Step 2 applications
with projected total Step 3 grant eligible cost of $10
million or more excluding the cost of interceptors and
collectors sewers; applicable to all construction grants
projects for which Step 2 grant applications are certified
on or after 10/26/76.
Definition of VE.
Requires VE as part of Step 2 application for projects with
allowable cost greater than $10 million.
Requires VE as a limitation on award of grant.
Discusses proposal for VE and scope of analysis.
Makes VE a grant condition.
80% payment limitation - see 8/31/77 Federal Register
listing in this matrix.
Required changes to comply with OMB's Circular A-110.
"Payment for waste treatment construction grants will be
made on a reimbursable basis (see 35.845 and 35.945)."
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/27/76
12/29/76
Part 30 - Continued
30.620 Grant related
income (b)
30.620-2 Royalties
received from
copyrights and
patents
30.635-5 Property
reports (c)
30.810-1 Definitions (a)
30.810-7 Nonexpendable
personal property
acquired with
federal funds (a)
30.810-8 Expendable per-
sonal property
acquired with
grant funds
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972) -
Subagreements under Grants
for Construction of Treat-
ment Works; Technical
Amendments
Final - Appendixes C-l and
C-2 and related sections
of Subpart E
Preamble PR p. 56633
2/1/77
Grant related income (e.g., sale of byproducts or reports)
to be used to support or finance project.
Grantee has no other obligation to EPA for royalties
received.
Grantees shall submit annually an inventory of all federally
owned property in their possession.
Defines net invoice unit price of property.
Concerned with use of property.
If residual expendable property exceeds $1,000 at end of
project, compensate EPA for its share.
Comprehensive discussion of contents of Appendixes C-l -
Required Provisions Consulting Engineering Agreements, and
C-2 - Required Provisions - Construction Contracts; major
issues discussed: deviations from use of C-l or C-2 allow-
ed in extraordinary circumstances; reference in C-l and C-2
to regulations means those in effect on date of contract
execution; applicability to construction management contract
limited; C-l provisions apply only to grant eligible work,
not all work; added word "omissions" to engineer's
responsibility and limited liability for errors beyond
engineer's-control; limited liability for use of advanced
technology; engineer not guarantor or construction con-
tract; provision for change in cost if EPA requirements
change; modify termination for convenience; modify
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/29/76
Part 35 - Continued
35.925-20 Procurement
35.935-2 Procurement
35.935-4 State and Local
Laws
35.935-7 Access
35.935-11 Project changes
.35.935-15 Utilization of
sma^J. and minor-
ity businesses
35.937-10 Subagreement
payments -
architectural
or engineering
services
remedies provisions; payments per schedule or monthly;
retainage at option of grantee; audit report reviewed by
engineer only as related to engineer's work; defective cost
or pricing clause applicable only if contract exceeds
$100,000; allows grantee to specify percentage of sub-
contracting, otherwise 30%; reaffirms prohibition of
gratuities; prior subagreements may be renegotiated to
include new C-l if desired; adds clauses to C-2 formally
contained in mandatory "Contract Documents for Construc-
tion of Federally-Assisted Hater and Sewer Projects"
(class deviation from use of Contract Documents issued
9/20/76); between 9/20/76 and 2/1/77 grantees must assure
adequate safeguards.
Requires compliance with procurement provisions prior to
grant award.
Grant condition requiring compliance with procurement
requirements throughout project.
Deleted as covered in 35.936-2.
Places responsibility for assuring access on grantee.
Incorporates, for clarification, prior approval for
changes greater than $100,000.
Deleted as covered in 35.936-7.
Payments per schedule or monthly; retainage if any at
option of grantee.
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
1Comments
12/29/76
u»
2/4/77
(I) 4/25/78
(F) 9/27/78
Part 35 - Continued
35.938-6 Progress payments
to contractors
35.938-8 Required construc-
tion contract
provisions
35.945 Grant payments
Appendix C-l, Required
Provisions - Consulting
Engineering Agreements
Appendix C-2, Required
^Provisions - Construction
Contracts
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Appendix A - Cost-Effective-
ness Analysis Guidelines
Proposed
Preamble FR p. 6841
N/A
Changes "or" to "and" to provide more protection for
progress payments made for specifically manufactured
equipment.
Revised to require Appendix C-2 in contracts.
Revised to conform with other changes and Appendixes C-l
and C-2.
Revised and reprinted.
Revised and reprinted.
Proposed changes to guidelines provide detailed discussion
oft population forecasting; reserve capacity; staging of
construction; capacity beyond grant eligible cost-
effective capacity; interceptor sizing; average daily per
capita flows; service life of conveyance pipes (see 2/25/77
for correction).
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/7/77
(F) 6/26/78
2/8/77
(P) 5/9/75
(F) 6/30/78
2/10/77
Part 128 and Part 403 -
Pretreatment Standards for
Existing Sources and New
Sources of Pollution
Proposed
Preamble FR p. 6476
Part 33 - Subagreements
Sec. 33.001-33.750,
Appendix A
Interim
Preamble FR p. 8090
3/31/77*
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.925-18(a)(3)
Limitation upon project
costs incurred prior
to award
Temporary Class Deviation
N/A
This proposed regulation, "...sets forth four proposed
options reflecting various approaches to establishing and
enforcing pretreatment requirements;" the proposed options
will be subject to public written comments and a public
hearing; indicates that Part 128 will be replaced with a
new Part 403.
Applicable to all procurement except A/E and construction
contracts for grants program (35.936[a]); grants program
procurement must comply with 35.936-35.939; modeled after
Part 35 procurement regulations; *effective date changed
multiple times as follows: on 3/10/77 changed to 5/1/77;
on 5/2/77 changed to 6/30/77; on 6/29/77 changed to
10/1/77; on 10/3/77 changed to 3/1/78; on 3/13/78 changed
to 10/1/78; on 10/18/78 changed to 2/1/79; on 2/21/79
deferred until further notice.
Allows as eligible cost Step 2 design work begun before
Step 2 grant award under certain conditions with case-by-
case decision by Regional Administrator; deviation
expires 9/30/77.
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/25/77
(P) 2/4/77
(I) 4/25/78
(P) 9/27/78
ui
6/29/77
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Appendix A - Cost-Effec-
tiveness Guidelines
g(2)(c)
Correction
Preamble PR p.
11026
Part 35 - State and Local
Assistance
Technical Amendments
Final
Preamble PR p. 33034
Subpart C - Grants for
Construction of Waste-
water Treatment Works
35.835-2 B>asin Control
35.835-3 Regional and
metropolitan
pl'an
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
35.939 Protests
Sec. 35.939(b)(1), (f)(7),
(j) (3) and (k)
2/25/77
6/29/77
Changed word "of" to "or" to read, "...exceed 10 percent
of the total design flow of the treatment works exclusive
of the allowance or 25 percent..."
Regulation, "...issued to make technical amendments and
correct minor errors in 40 CFR Part 35. It makes no
substantial changes in regulation..."
Relates to grants for construction of treatment works
under Section 8 of the Federal Water Pollution Act, i.e./
grants authorized from legislation prior to the major
amendments of 1972 (PL 92-500 enacted 10/18/72).
Refers to 35.150-1 in effect at the time of grant award.
Refers to 35.150-2 in effect at the time of grant award.
Amends the time limitations and other procedural require-
ments for protests.
-------
CODE OF FEDERAL REGULATIONS
1977
-------
40 CFR Protection of Environment
Revised July 1, 1977
1977
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/31/77
cr»
12/27/77
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Class Deviation
Preamble FR p. 43880
35.935-13 User charges
and industrial
cost recovery
(a)
35.935-12 Operation and
maintenance (d)
35.935-11 Sewer use
ordinance and
evaluation/
rehabilitation
program
Clean Water Act of 1977
PL 95-217
See Below
5/6/76
9/30/76
8/24/77
12/27/77
Class deviations concern payment limitations for user charge
and industrial cost recovery systems, sewer use ordinance
and operation and maintenance manual for segmented or
multiple construction projects which have been awarded
grants.
Limits payments on Step 3 projects until UC/ICR systems
approved by EPA) deviation for ICR dated 5/6/76 clarifies
regulation for segmented or phased projects and limits 80%
payment until segment or phase becomes operational or
aggregate of all phases or segments is 80%; same deviation
applied to UC system on 9/30/76.
Limits payments on Step 3 projects until OSM manual and
sewer use ordinance approved by EPA; deviation for OfiM
manual and SUO dated 8/24/77 clarifies regulation for
segmented or phased projects and limits payment (80% for
SUO; 50% and 90% for O&M manual) as above.
The Clean Water Act of 1977 was enacted on this date and
introduced major amendments to the Federal Water Pollution
Control Act of 1972.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/23/78
4/25/78
(I) 5/18/78
(I) 6/2/78
(F) 9/27/78
4/25/78
(I) 5/18/78
(I) 6/2/78
(F) 9/27/78
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants
Sec. 35.850-35.880
Final
Preamble FR p. 7426
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Proposed regulations
implementing Clean Water
Act of 1977
Preamble FR p. 17690
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Interim/Final regulations
implementing Clean
Water Act of 1977
Preamble FR p. 17697
2/23/78
N/A
4/25/78
Based on the Clean Water Act of 1977 (amends the FWPCAA of
1972), projects on which construction was initiated after
6/30/72 but before 7/1/73 may be eligible for reimbursement
grants; applications must be received by 3/27/78; funds
not appropriated as of this date; other changes to this
subpart apply to new applications.
Preamble provides detailed discussion of innovative and
alternative technology considerations; recreational use
and pretreatment; interim/final regulations implementing
other provisions of the CWA of 1977 are published on this
same date as shown below; these proposed regulations
"...should be read with the interim/final regulations..."
Major issues discussed in the preamble include: state
priority; grant eligible categories; land eligibility;
individual systems; combined grants (Step 2+3); user charges
industrial cost recovery; Buy American; cost-effectiveness
analysis guidelines and reserve capacity; discount rate.
While the important subject of innovative/alternative tech-
nology is discussed in the proposed regulations of this same
date (see above), certain related subjects associated with
I/A are included in these interim/final regulations, e.g.,
land used for composting sludge, individual systems and
I/A cost preference.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
oo
Part 35 - Continued
Grant Eligible Categories
35.905-23 Treatment works
35.925-13 Sewage collec-
tion system
35.925-21 Storm sewers
Land Eligibility
35.905-23 Treatment works
35.940-3 Cost allowable,
if approved
Individual Systems
35.905-23 Treatment works
35,917-Kb) Contents of
facilities
plans
35.918 Individual systems
35.918-1 Additional limi-
tations on awards
for individual
systems
35.918r-2 Eligible and
ineligible costs
35,918-3 Requirements for
discharge of
effluents
Primarily discusses eligibility and justification require-
ments for sewage collection system projects particularly
with regard to density of residences per acre; grants for.
separate storm sewers are prohibited.
Land used for the temporary storage of treated wastewater
prior to land application and land used for composting
sludge is eligible for grant participation; limits expanded
land acquisition eligibility to projects which have not
received approval of facilities plans before 1.2/27/77*
Distinguishes between small "publicly" and "privately"
owned individual systems and relates definitions to cost
preference for alternative technology or unconventional
treatment works; principal residences or small commercial
establishments must be inhabited before 12/27/77 to be
eligible for grant; public body must apply for grant; land
for individual systems not eligible for grant; small sys-
tems may include septic or cluster systems and pressure
and vacuum sewers.
Items discussed include: - land, in-house systems, site
restoration and conveyance pipes.
Must meet best practical waste treatment technology (BPWTT)
for surface or subsurface disposal.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
vo
Part 35 - Continued
Combined Grants (Step 2+3)
35.903 (b) Summary of
Construction
Grants Program
35.909 Step 2+3 grants
35.920-3(d) Contents of
Application
35.930-1(a)(4) Types of
Projects
35.935-4 Step 2+3 grants
35.935-9 Project
completion
User Charges
35.905-26 User charge
35.929 Requirements for
user charge
system
35.929-1 Approval of the
user charge system
35.929-2 General require-
ments for all user
charge systems
35.929-3 Implementation of
the user charge
system
New optional provision for communities with population of
25,000 or less and projects $2 million or less ($3 million
in states with unusually high construction costs).
35.930-1(a)(5) deleted.
Allows grantees to use ad valorem taxes as a basis for
developing its user charge system provided a dedicated ad
valorem system was in use on 12/27/77; other limitations
on industrial and large commercial users discussed; if a
user charge system based on actual use has been approved,
may not now substitute a system based on ad valorem taxes;
after 6/30/79 no Step 3 grant awarded unless user charge
system approved, i.e., development of user charge system
becomes Step 2 activity rather than Step 3 activity; for
grants awarded after 4/25/78, user charge system must be
approved by 6/30/79 or no Step 3 grant.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
01
o
Part 35 - Continued
Industrial Cost Recovery
35.905-6 Industrial cost
recovery
35*905-8 Industrial user
35.928 Requirements for an
industrial cost
recovery system
35.928-1 Approval of the
industrial cost
recovery system
35.928-2 Use of industrial
cost recovery
payments
35.928-3 Implementation of
the industrial
cost recovery
system
35.928-4 Moratorium on
industrial cost
recovery payments
Exempts from industrial cost recovery (ICR) industrial user
which discharges the equivalent of 25,000 gallons per day
or less of domestic sanitary waste; permits portion of
recovery funds to be used for administration of ICR system;
places 18 month moratorium (until 6/30/79) on the collec-
tion of ICR payments; however, grantees must continue to
develop ICR systems during moratorium period; definition
of industrial user revised; neither moratorium nor 25,000
gallons per day limitation apply to users of individual
systems; after 4/25/78 payments withheld for noncompliance
with ICR requirements will be released; after 6/30/79 no
Step 3 grant awarded unless ICR system approved, i.e.,
development of ICR system becomes Step 2 activity rather
than Step 3 activity.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
(P) 2/4/77
(F) 9/27/78
Part 35 - Continued
Requirements for American
Materials (Buy American)
35.936-13(d) Specifications
35.938-9(b)(5) Subcontracts
under con-
struction
contracts
35.939(j)(6)(i) Protests
Appendix C-2, Clause 17
Required Provisions -
Construction Contracts
Cost-Effective Analysis
Guidelines and Reserve
Capacity
Part 35, Appendix A -
Cost-Effectiveness
Analysis Guidelines
Mo Step 3 grant, for which an application has been received
by EPA after 2/1/78, shall be made unless the specifications
give preference to domestic construction materials; in
general, domestic materials given 6% preference over foreign
made materials.
Cost preference (15%) applied to entire system where innova-
tive or alternative (I/A) technologies represent more than
50% of its cost; where I/A less than 50%, cost preference
only applied to replaced components (see proposed regula-
tions of this same date); may use state population forecasts
rather than Department of Commerce if year 2000 projection
does not exceed Department of Commerce by more than 5% or
exceed a 208 agency projection by more than 10%; requires
grantee to consider flow reduction methods except where
population is 10,000 or less or average daily base flow is
70 gallons/capita/day or less; discount rate at 6-5/8%;
for reserve capacity beyond that eligible for grant, grant
is based on cost-effective size rather than proportion of
cost-effective capacity to design capacity; state cost-
effectiveness guidelines may be used provided they are at
least as stringent as EPA's and have been subject to a
public hearing.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/18/78
(P) 4/25/78
(I) 4/25/78
(P) 6/2/78
(F) 9/27/78
01
ro
6/2/78
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Interim/Final
Preamble FR p, 21460
35.928(b) Requirements for
an industrial
cost recovery
system,
(a)(2), (b)
Appendix A - Cost-
Effectiveness Analysis
Guidelines
3. Applicability
35.909 Step 2+3 grants
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Proposed Technical
Amendments
Preamble FR p. 24248
5/18/78
N/A
Corrections made to the 4/25/78 interim/final regulations;
in several locations in the preamble and regulations, a
parenthesis was used, "(insert 90 days after effective
date);" this correction establishes those dates; in the
preamble FR p. 1700, 3rd column, 15th and 16th lines
insert 7/24/78.
Insert date 4/25/78.
Insert date 6/26/78.
Introductory paragraphs (b) and (b)(1) were omitted and
now added, i.e., limits Step 2+3 grants to communities
with population 25,000 or less.
The proposed technical amendments to the regulations are
numerous and are based on operating experience, PRM's and
deviations from existing regulations; the proposed amend-
ments are not derived specifically from the Clean Water
Act of 1977; this proposed regulatory change when coupled
with the 4/25/78 interim/final regulations forms the basis
for the final conformed version of the construction grants
regulations; the proposed regulations present the proposed
section, each of which is followed by a detailed explana-
tion; while these proposed regulations are not require-
ments, the discussion of the proposed change may be useful
in clarifying a particular issue as it appears in the
final conformed version of the Subpart E. regulations
published 9/27/78.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/26/78
(P) 2/2/77
6/30/78
ui
Part 403 - General Pretreat-
ment Regulations for Exist-
ing and New Sources of
Pollution
Final
Preamble FR p. 27736
Part 30 - General Grant
Regulations and Procedures
Final
Preamble FR p. 28484
30.135-22 Subagreements
30.345-4 Costs incurred
prior to execution
30.410-2 Executive Order
11988
30.410-5 Executive Order
11990
30.430 Noncompliance
30.610 Rebudgeting of funds
30.615-3 Withholding of
funds
30.620-3 Interest earned on
grant funds
30.615 Force account work
8/25/78
6/30/78
Replaces earlier pretreatment regulations (40 CFR Part 128);
applicable to publicly owned treatment works (POTW's) with
a design flow of 5 million gallons per day or more; funding
for development of a pretreatment program may be through
the Construction Grants Program; these final regulations
are a major reprint of EPA's pretreatment requirements.
These miscellaneous amendments include new provisions and
correct others to conform with revised regulations from
Part 35; selected amendments which impact the Construction
Grants Program are shown at left.
Revised definition.
Costs incurred prior to execution of grant agreement by EPA
are generally not allowable.
Concerns floodplains and requires evaluation to minimize
harm.
Mew section concerning protection of wetlands.
Revises sanctions against grantees for noncompliance.
Changes limits for notification of rebudgeting to $1,000
from $500; also modifies conditions for prior approval
prior to rebudgeting.
Removes a 10% limit and allows amount necessary to assure
compliance with grant conditions or regulations.
Reaffirms that interest earned on grant funds must be
returned to EPA; provides exceptions for states and tribal
organizations.
Adds reference to provisions in 35.936-14 - force account
work.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/30/78
Part 30 - Continued
30.705 Allowable costs
30.705-1 Payment to
consultants
30.715-2 Indirect costs
30.720 Cost sharing (c)
30.725-4 Requirements (c)
30.800 Financial
management
30.805 Records (c)
30.810-4 Title of property
30.810-5 Real property
(d)(2)(ii),
(d) (3)
30.820 Audit (b)
30.920-3 Grant termination
by EPA (d)
30.920-5 Annulment of
grant (a)(4),
(a) (5)
Requires costs to be authorized by applicable statutory
provisions.
New section limits payment for individual consultants to
equivalent of GS-18 rate; does not limit payment for
negotiated contracts with engineering or other firms.
Completely revises this section and provides guidelines
to be used for determining allowability of indirect costs.
Requires that grants from other federal government be
authorized by law or regulations for that specific purpose.
Changes limits for formal cost analysis to $150,000 from
$100,000.
Audits must conform to generally accepted auditing standards,
Restructures section and defines the three year retention
policy as beginning on the date of approval of the final
payment request.
Adds limit of $10,000 or more to requirements.
Revises conditions for repayment to federal government when
real property is sold which was originally purchased with
a federal grant.
Removes reference on timing of audit by EPA.
Adds new section (d) concerning the method of termination.
Allows EPA to "unilaterally" annul grant; also adds two
additional conditions under which a grant may be annulled.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/30/78
6/30/78
(P) 5/9/75
(I) 2/8/77
Ul
Ul
Part 30 - Continued
30.1100 Final disputes
decision
Part 33 - Subagreements
Final
Preamble FR p. 28484
33.005 Definitions
33.142 Payment to
consultants
33.410-4 Bid guarantee
performance bonds
33.510-5 Negotiation (d)
Deferred
Completely revises section and includes required language
for forwarding decision letter.
Note Part 33 effective date deferred until further notice.
Revises definition of subagreement.
New section limiting individual consultants daily rate to
equivalent of GS-18; does not affect negotiated contracts
with engineering or other firms.
Allows grantees to use their own bonding requirements if
approved by EPA and if government's interests are adequate-
ly protected; bonding companies must be properly licensed.
Eliminates requirements for A/E negotiations to be conducted
in accordance with the "Brook's Bill."
-------
CODE OF FEDERAL REGULATIONS
1978
-------
40 CFR Protection of Environment
Revised July 1, 1978
1978
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/7/78
(F) 2/16/79
en
8/7/78
(F) 2/16/79
9/27/78
(P) 4/25/78
(I) 4/25/78
(I) 5/18/78
(P) 6/2/78
Part 25 - Public Partici-
pation in Programs Under
the Resource Conservation
and Recovery Act, the Safe
Drinking Water Act, and
the Clean Water Act
Sec. 25.1-25.19
Proposed
Preamble FR p. 34794
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
N/A
Proposed new Part 25 regulations set forth procedures and
requirements for public participation including the forma-
tion of Citizens Advisory Group; item 7 in the preamble
discusses "Reimbursement of participation expenses."
N/A
Proposed revisions to Part 35 to incorporate the require-
ments for public participation in the proposed Part 25.
Proposed
Preamble FR p.
34802
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Sec. 35.900-35.970;
Appendixes A, B, C-l, C-2,
D, E
Final
Preamble FR p. 44022
10/1/78
The publication of these final regulations represents a
major revision and reprint of the construction grants
regulations primarily implementing the provisions of the
Clean Water Act of 1977; they also represent a conformed
version of the regulations; the preamble to these regula-
tions should be reviewed for all grants awarded after "
10/1/78; because of the extensive changes only the major
subject areas discussed in the preamble are listed in the
left column opposite this comment; item 15, Technical
Amendments, contains a long list of changes to the regu-
lations by specific section; the technical amendments
should be reviewed carefully.
-------
1978 Continued
Date
Published
in F,R.
Affected Part and Sections
Effective
Date
Comments
9/27/78
en
Part 35 - Continued
Major Subjects Discussed
1. State Priority
2. Innovative and Alter-
native Technologies
3. Individual Systems
4. Cost-Effectiveness
Analysis Guidelines
and Reserve Capacity
5. Grant Eligible
Categories
6. Land Eligibility
7, Recreational Use
8. Combined Grants
(Step 2-1-3)
9. Pretreatment
10. Industrial Cost
Recovery
11. User Charges
12. Requirements for
American Materials
(Buy American)
13. Local Assistance
14. Miscellaneous Comments
15. Technical Amendments
-------
1978 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
11/15/78
(I) 10/7/77
tn
00
2/16/79
(P) 8/7/78
2/16/79
(P) 8/7/78
4/27/79
Part 133 - Secondary
Treatment Information
Regulation - Suspended
Solids Limitations for
Wastewater Treatment Ponds
Final
Preamble FR p. 53464
Part 25 - Public Partici-
pation in Programs Under...
The Clean Water Act
Sec. 25.1-25.14
Final
Preamble FR pv 10286
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Final
Preamble FR p. 10300
Part 30 - General Grant
Regulations and Procedures
and Part 35 - State and
Local Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 24926
N/A
Sets limits for suspended solids discharged from treatment
ponds (or subcategories for ponds) by individual state;
the chart included in this regulation was corrected in the
Federal Register on 11/27/78.
2/16/79
Reasonable out-of-pocket costs for advisory group members
are allowable for grant participation (item 15 in preamble)
2/16/79
Integrates and implements appropriate sections of Part 25,
Public Participation, into the Construction Grants Program
(Part 35)
2/15/79
Deviation allows advance payments for EPA share of the
cost of relocation assistance.
-------
1978 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/27/79
6/15/79
en
vo
6/18/79
Part 30 - Continued
30.615-1(a) Method of
payment
35.945 Grant payments
Part 125 - Criteria and
Standards for the
National Pollutant
Discharge Elimination
System
Subpart G - Criteria for
Modifying the Secondary
Treatment Requirements
Under Section 301(h) of
the Clean Water Act
Sec. 125.56-125.67
Final
Preamble FR p. 34784
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.100-6.905
Proposed
Preamble FR p. 35158
6/22/79
Implements amendments to the CWA to allow grant applicants
to present their case to EPA for less than secondary treat-
ment when discharging into marine waters; preamble contains
very extensive discussion of subject; an appendix identified
as Part G — Use of Title II Funds, addresses the use of
construction grants funds.
N/A
Proposed revisions to Part 6; provides uniform application
of National Environmental Policy Act to all federal agen-
cies in accordance with regulations promulgated by the
Council on Environmental Quality (40 CFR Parts 1500-1508);
allows for exemptions under the Construction Grants Program.
-------
1978 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/27/79
(7/5/79)
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Miscellaneous Amendments
Final
Preamble FR p. 37594
35.920-3 Contents of
application
(c) (2)
35.925-15 Treatment of
industrial
wastes
35.925-18 Limitation upon
project costs
incurred prior
to award (b)
35.930-1 Types of
projects (a)(1)
35.936-13 Specifications
(c)
35.945 Grant payments (g)
Appendix E - Innovative and
Alternative Technology
Guidelines
Paragraph 3b
Paragraph 6.3. (1) and (2)
10/1/79
6/27/79
10/1/79
10/1/79
10/1/79
10/1/79
6/27/79
Incorrect numbering of the items affected was corrected
in FR 7/5/79 p. 39338.
Adds requirement to include plat of property when Step 3
grant is solely for acquisition of eligible land.
Changes word "users" to "sources" and renumbers subpara-
graphs to (a) and (b) from (1) and (2).
Adds requirement for plat for acquisition of eligible land.
Defers certain requirements when grant is solely for
acquisition of eligible land.
Adds sentence, "No experience restriction will be per-
mitted which unnecessarily reduces competition or
innovation." This section proposed 9/27/78.
New paragraph (g) allows advance payment of relocation
assistance.
Changes reference to 35.930-5 from 35.930-6.
Excludes conventional sewer lines from present worth cost
when applying the 15% cost preference.
-------
CODE OF FEDERAL REGULATIONS
1979
-------
40 CFR Protection of Environment
Revised July 1, 1979
1979
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
8/8/79
8/22/79
Part 30 - General Grant
Regulations and Procedures
Subpart J - Disputes,
Appeal Procedures
Notice of New Procedures
with Request for Comment
Sec. 101-137
Preamble FR p. 46770
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 49303
35.928-4 Moratorium on
industrial cost
recovery payments
35.935-13 Submission and
approval of user
charge systems
(a)(2)(i)f (b)
35.935-15 Submission and
approval of
industrial cost
recovery system
6/29/79
8/13/79
This notice establishes new procedures for filing of
appeals by grantees and supplements Subpart J; establishes
an EPA Board of Assistance Appeals.
See further modification to this deviation dated 1/4/80
below.
Extends the date for collecting ICR payments to 12/1/79;
on 1/4/80 extended to 6/30/80.
Allows release of payments through 12/31/79 for grantees
who submitted user charge systems for approval prior to
5/1/79; previously no payments after 6/30/79 unless
grantee had approved user charge system.
Extends date for approval of ICR systems to 12/1/79;
specific dates for development and approval of ICR systems
depends on date of grant award; on 1/4/80 extended to
6/30/80.
-------
1979 Continued
Date
Published
in F.R.
1/4/80
1/22/80
Affected Part and Sections
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Effective
Date
1/4/80
1/22/80
Comments
Same as 8/22/79 class deviation except changes dates.
Same as 8/22/79 class deviation except clarifies and adds
35. 928-4 (c)
-------
CODE OF FEDERAL REGULATIONS
1980
-------
40 CFR Protection of Environment
Revised July 1, 1980
1980
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/11/80
11/3/80
a\
12/5/80
Municipal Wastewater Treat-
ment Works; Construction
Grants Limitations Pro-
vided by Section 316 of
the Clean Water Act
Policy and Procedures
Preamble FR p. 53382
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Appendix A - Cost-
Effectiveness Analysis
Guidelines
Proposed
Preamble FR p. 72984
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatmemt
Works (CWA of 1977)
Class Deviation
Preamble FR p. 81567
8/11/80
N/A
Allows EPA to withhold, condition or restrict grants where
the state implementation plan concerning air pollution is
not being implemented; item IV in a reprinted memorandum
addresses "allowable construction grants program costs
associated with implementation of this air pollution
policy."
Revised guidelines replace the 4% escalation factor for
natural gas with escalation factors for all fuels and
electricity.
10/21/80
Immediately implements provisions of PL 96-483.
-------
1980 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/5/80
12/24/80
Part 35 - Continued
35.909 Step 2+3 grants
(b) (2)
35.920-3 Contents of
application
(b) (8)(ii)
35.925-11 User charge and
industrial cost
recovery
35.928 Requirements for
an industrial cost
recovery system
through .928-4
35.935-15 Submission and
approval of
industrial cost
recovery system
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 84998
35.930-5 Federal share (b)
12/16/80
Raises dollar ceiling for combination Step 2*3 grants to
$4 million ($5 million in high cost states); for Step 2
projects which meet this qualification and already have
a grant, they may apply for and add a Step 3 grant.
Repeals all ICR requirements retroactive to 12/27/77;
1CR funds recovered between 3/1/73 and 12/27/77 to be
used in accordance with then applicable regulations;
existing work on ICR systems to be terminated and not
eligible for grant after 12/31/80.
Allows 85% grants for Step 1 projects which select
innovative or alternative technology projects.
-------
1980 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/13/81
1/19/81
tn
1/28/81
Part 30 - General Grant
Regulations
Sec. 30.810-1 Definitions
(d)
Class Deviation
Preamble FR p. 3017
Responsiveness Summary
and Preamble on Public
Participation Policy
FR p. 5736
1/14/81
1/19/81
Part 403 - General Pre-
treatment Regulations for
Existing and New Sources
of Pollution
Sec. 403.1-403.16;
Appendixes A, B, C, D
Final
Preamble FR p. 9404
Effective date later
deferred - FR p. 19936
3/13/81
Redefines "nonexpendable personal property" as property
with a useful life of at least two years and an acquisition
cost of $500 or more.
EPA's policy for public participation in all EPA programs
is set forth; the policy provides guidelines and supplements
Part 25 - Public Participation; item 16 in preamble
addresses "The Use of Public Funds to Assist the Participat-
ing Agency;" item D.3.b.(2)(b) of the policy allows for
reimbursing advisory group members of reasonable out-of-
pocket expenses that relate to their participation on the
advisory group; item F discusses financial assistance to
the public.
Pretreatment regulations modified to conform with court
actions; complete reprint and lengthy (35 pp.) preamble;
item II.A. of the preamble states, "The development of such
programs [locally-run pretreatment program] is fundable
through construction grants...;" also see class deviation
7/21/81 and proposed/final regulations 10/13/81 and
2/1/82 respectively; regulations dated 9/28/82 and based
on court decision made regulations effective retroactive
to 3/30/81.
-------
1980 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
(P) 3/2/82
(I) 5/12/82
(F) 3/28/83
5/18/81
(P) 11/6/81
Ol
Part 33 - Procurement
Regulations and
Part 35 - Grants for
Construction of Treatment
Works - Clean Water Act
Proposed Rulemaking
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
N/A
N/A
Proposed
Preamble FR p.
This proposed rulemaking sets forth a preliminary concept
paper for implementing OMB's procurement requirements
(Attachments 0 to OMB Circular A-102); encourages grantees
to use their own procurement systems if they meet federal
minimum requirements.
Proposed changes implement legislation enacted 1Q/21/80
(PL 96-483) and other changes EPA deems necessary; imple-
ments the 12/5/80 class deviation; however, proposed
changes, while extensive, were never finalized because of
legislative changes enacted on 12/29/81; portions of these
changes also are proposed in the new Subpart I regulations
(11/6/81).
27314
-------
CODE OF FEDERAL REGULATIONS
1981
-------
40 CFR Proection of Environment
Revised July 1, 1981
1981
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/27/81
ot
10/13/81
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 38355
35.920-3 Contents of
application
35.935-19 Municipal pre-
treatment
program
Part 403 — General Pre-
treatment Regulations for
Existing and New Sources
of Pollution
Final
Preamble FR p. 50502
Proposed
Preamble FR p. 50503
N/A
1/31/82
Suspends indefinitely the effective date of the pretreat-
ment program construction grants provisions until EPA makes
a final decision on pretreatment program requirements.
Effective date suspended until further notice.
Suspends the grant payment conditions; effective date
suspended until further notice.
EPA is to reinstate the effective date for the pretreatment
program construction grants provisions effective on 1/31/82;
however, EPA has also proposed that the effective date or
the regulations be modified before the effective date; see
regulations 9/28/82 which made regulations effective
retroactively to 3/30/81.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
11/6/81
(P) 5/12/81
(I) 5/12/82
CTl
CD
12/29/81
1/28/82
Part 35 - State and Local
Assistance
Subpart I - Grants for
Construction of Treatment
Works (CWA of 1977)
Sec. 35.2000-35.2350;
Appendix A - Determination
of Allowable Costs
Proposed
Preamble FR p. 55220
Municipal Wastewater Treat-
ment Construction Grants
Amendments of 1981
(PL 97-117)
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 4066
35.930-1 Types of projects
(a)(l), (a) (2)
35.909 Step 2+3 grants (b)
N/A
12/29/81
1/12/82
Proposed comprehensive revision to the Construction Grants
Program regulations; new Appendix A listing allowable costs
by type; this regulation was never finalized because of
the 12/29/81 amendments to the CWA.
The 1981 amendments were enacted on this date and introduced
major (elimination of Step 1 and Step 2 grants) amendments
to the Clean Water Act of 1977.
This class deviation implements important provisions of the
1981 amendments to the Clean Water Act immediately while
allowing time for complete revision of the construction
grants regulations.
Effective 12/30/81 Step 1 and Step 2 grants may not be
awarded but an allowance will be provided for planning and
design with Step 3 grants.
Raises combined Step 2+3 project cost limitation to $8
million; however, Step 2 allowable costs will be based on
the allowance determined by Step 3 construction costs.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/28/82
2/1/82
\D
3/2/82
(P) 4/6/81
(I) 5/12/82
(F) 3/28/83
Part 35 - Continued
35.936-13 Specifications
(a)
Part 403 - General Pre-
treatment Regulations
for Existing and New
Sources of Pollution
Final
Preamble FR p. 4518
403.3(i) Definition of
Interference
403.(n) Definition of
Pass Through
403.(e) Combined Waste-
stream Formula
403.7 Revision of
Categorical Pretreat-
ment Standards to
Reflect POTW Removal
of Pollutants
Part 33 - Procurement Under
Assistance Agreements
Sec. 33.001-33.1135
Proposed
Preamble FR p. 8960
1/31/82
Grantees may use one brand name (instead of two) followed
by the words "or equal."
The provisions of the pretreatment regulations.originally
published 1/28/81 in the Federal Register (FR p. 9404)
were postponed and later proposed to become effective on
1/31/82; all sections except those listed at left become
effective on 1/31/82; those at left deferred until further
notice; see regulations dated 9/28/82 which made regula-
tions effective retroactively to 3/30/81.
Deferred
Deferred
Deferred
Deferred
N/A
These proposed procurement regulations will eventually
replace the construction grants procurement regulations
(35.936-35.939); the regulations implement Attachment 0
to OMB's Circular A-102.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
Part 6 - Implementation of
Procedures on the National
Environmental Policy Act
Interim
Preamble FR p. 9827
6.103 Responsibilities
3/8/82
6.105 Synopsis of EIS
Procedures (b)
6.107 Categorical exclusions
6.400 Public involvement (f)
6.502 Applicability
6.503 Consultation during
the environmental
review process
6.504 Public participation
6.505 Limitations on actions
during environmental
review process
6.506 Criteria for preparing
EIS's and granting
categorical exclusions
6.507 Environmental review
process
6.508 Limits on delegation
to states
Amendments to Part 6 primarily provide for categorical
exclusions from substantive environmental review for certain
types of projects, i.e., for projects which are small
scale, minor and routine (e.g., replacement, minor rehabili-
tation, minor expansion, minor upgrading not resulting in
increasing the sizes of sewers or treatment plant); grantees
may be granted an exclusion and therefore will not have to
prepare an environmental information document as part of
facilities planning; sections affected by the implementa-
tion of the categorical exclusion are listed in the left
column.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
(P) 3/2/82
(F) 3/28/83
Part 33 - Procurement Under
Assistance Agreements
Sec. 33.001-33.1135;
Appendix A
Interim/Final
Preamble FR p. 20474
5/12/82
5/12/82
(P) 11/6/81
Part 35 - State and Local
Assistance
Subpart I - Grants for
Construction of Treatment
Works
Sec. 35.2000-35.2350;
Appendix A
Interim/Final
Preamble FR p, 20450
5/12/82
This procurement regulation is effective for projects
for which grants are awarded after 5/12/82; earlier pro-
curement regulations in 40 CFR Part 35, Subpart E, Sections
35.936, .937, .938 and .939 remain applicable to projects
for which grants were awarded prior to 5/12/82; the regu-
lation supplements new construction grants regulations
published this same date as Part 35, Subpart I; this regu-
lation is based on Attachment O to OMB's Circular A-102
and emphasizes use of grantee's procurement system if it
meets minimum federal standards; major issues discussed
in the preamble include: regulations not applicable to
facilities planning nor design as EPA no longer provides
grants for these activities; grantees receiving awards
prior to 5/12/82 may elect to use these regulations for
future procurements; procedures for grantees who cannot
certify their own procurement system as meeting require-
ments of Part 33; discussion of single material specifica-
tions and its restriction on competition; provision for
using same A/E who performed facilities planning and
design on grant assisted project (Step 3) without further
competitive procurement; discussion of interim procedures
concerning minority and women's businesses; this regula-
tion is a complete reprint and replaces earlier Part 33.
The publication of the interim/final regulations repre-
sents a major revision and reprinting of new construction
grants regulations and primarily implements provisions of
the "Municipal Wastewater Treatment Construction Grants
Amendments of 1981" (PL 97-117); they significantly amend
the Construction Grants Program, among other things,
eliminating facilities planning (Step 1) and design
(Step 2) grants and replacing the grants with an allowance
at the time of construction (Step 3) grant award. The
preamble to these regulations should be reviewed for all
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
Part 35 - Continued
Major Subjects Described
1. Effective Date
2. Allowance
3. Advances
4. Water Quality Emphasis
5. NEPA Compliance
6. Financial Capability
7. Phased Segmented Projects
8. Project Performance
grants awarded after 5/12/82. Because of the extensive
changes only the major subject areas discussed in the
preamble are listed in the left column opposite .this
comment. Appendix A to these regulations assembles in
one location a listing of allowable and unallowable project
costs. The preamble also contains a table which cross
references the new Subpart I (35.2000 series) to the
earlier Subpart E (35.900 series).
Subpart I regulations applicable to grants made after 5/12/82»
earlier grants continue to be subject to Subpart E.
An allowance for facilities planning and design will be
included with a construction (Step 3) grant} procurement
regulations (new Part 33) not applicable to facilities plan-
ning nor design.
Advances of allowance may be made to small communities with
decision solely by states.
State to emphasize priority water quality areas when pre-
paring project priority lists.
Grant applicant encouraged to obtain environmental review
of projects after completion of facilities planning and
before design.
Grant applicant to demonstrate financial capability before
award of grant assistance.
States to give priority to completing earlier phased/
segmented projects.
Grantees to certify after one year of operation that project
meets design specifications; grantee to procure A/E services
for first year of operation and costs for these services
allowable.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
u>
Part 35 - Continued
9. Step 2+3
10. Combined Sewer Overflow
11. Innovative and
Alternative (I/A)
Technology
12. State Certification
13. Collection Systems
14. Infiltration/Inflow
15. Compatible Industrial
Wastewater
16. Reconstruction Costs
17. Advanced Treatment
Reviews
18. Public Participation
Dollar ceiling limitation raised to $8 million; Step 2+3
grants to employ the allowance provisions.
Limited funds for specific state justified projects; after
9/30/84 no longer eligible for grants.
Approved I/A projects eligible for 20% additional grant
not to exceed 85% federal share.
EPA to act within 45 days after delegated state certifica-
tion of project compliance with regulations.
Project category not eligible for grant after 9/30/84 unless
Governor elects to approve.
Sets numerical limits for nonexcessive I/I; option for
grantee not to remove excessive I/I but grant limited to
capacity required for 120 gallons/person/day.
Establishes eligibility test which stipulates that grants
awarded, "...only if the treatment works would be eligible
for grant assistance in the absence of the proposed
industrial capacity."
EPA policy not to award "second time" grants for failed
projects built with federal grant except for qualifying
I/A projects.
Encourages grant applicants to obtain EPA headquarters
review of advanced treatment projects after completion of
facilities plans and before design is begun.
EPA prohibited from requiring compliance with public partici
pation regulations (Part 25) during facilities planning and
design; encourages voluntary compliance however.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections"
Effective
Date
Comments
5/12/82
5/12/82
Part 35 - Continued
19. Delegation
20. Project Schedule
21. Work by Debarred
or Suspended Persons
22. Project, Treatment Works
and Complete Treatment
System
23. Building
24. Appendix A: Allowable
Costs
Part 35 - State and Local
Assistance
Subpart I - Grants for
Construction of Treatment
Works
Appendix B - Allowance for
Facilities Planning and
Design
Proposed
Preamble FR p. 20471
N/A
In delegated state, the term "Regional Administrator" in the
regulations may be read "state agency."
Project schedule of key events to be included with applica-
tion for grant.
Grant applicants are to certify whether project work was
performed by debarred or suspended persons (40 CFR Part 32).
Clarifies terminology.
Term "building" used throughout regulations rather than
"construction" which has broader definition and includes
planning and design.
New appendix categories costs as: travel, subagreement
costs, facilities planning, small systems, equipment, etc,
Proposed procedures, including tables, for computing the
allowance for facilities planning and design based on
estimate of project building costs.
-------
1981 Continued
Date
Published
in F.R.
6/18/82
(F) 9/30/83
Affected Part and Sections
Part 30 - General Regula-
tions for Assistance
Programs
Sec. 30.100-30.1210;
Appendixes Ar B and C
Proposed
Preamble FR p. 26564
Effective
Date
N/A
Comments
This proposed regulation represents a major revision to
the regulations in order to simplify and make them more
readable; major changes concern: Federal Grant and
Cooperative Agreement Act; Patent Rights; Property
Management; Peer Review of Publications; and Debarment.
(Jl
-------
CODE OF FEDERAL REGULATIONS
1982
-------
40 CFR Protection of Environment
Revised July lf 1982
1982
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
9/28/82
1/7/83
(P) 3/8/82
Part 403 - General Pretreat-
ment Regulations for
Existing and New Sources of
Pollution
3/30/81
Final
Preamble FR p.
42688
Part 6 - Procedures for
Implementing the National
Environmental Policy Act
1/7/83
Interim/Final
Preamble FR.p.
1012
6.506 Criteria for prepar-
ing EIS's and grant-
ing categorical
exclusions
(c) (1) (ii) and (iii)
and (c)(2)(iii)
6.507 Environmental review
process
Based on a court decision the general pretreatment regula-
tions published in the Federal Register on 1/28/81 and
which were subsequently deferred on several occasions are
to become effective retroactively to 3/30/81.
The interim regulations dated 3/8/82 are revised for the
criteria related to categorical exclusion from substantative
environmental review.
Increases community size criterion to 10,000 from 3,500
population; removes reference to alternative technologies;
increases excess capacity to 30% from 20%.
Corrects an error in the 3/8/82 regulations which placed
responsibility for preparation of a formal environmental
assessment on grantee; responsibility for preparation
rests with EPA.
-------
1982 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/7/83
1/24/83
(F) 6/24/83
3/28/83
(P) 3/2/82
(I) 5/12/82
(F) 7/1/83
Part 6 - Procedures for
Implementing the National
Environmental Policy Act
Subpart E - Environmental
Review Procedures for the
Wastewater Treatment
Construction Grants
Program
Sec. 6.500-6.514
Proposed
Preamble FR p. 1014
Part 35 - State and Local
Assistance
Part 30 - General Regula-
tions for Assistance
Programs
Proposed
Preamble FR p. 3208
Part 33 - Procurement Under
Assistance Agreements
Sec. 33.001-33.1145
Appendix A
Final
Preamble FR p. 12922
N/A
This proposed regulation represents a reordering and
clarifying of Subpart E sections related to the Construction
Grants Program; the reordering reflects the 1981 amendments
which eliminated Step 1 and Step 2 grants and makes the
NEPA regulations follow more closely the grant processing
procedures; when finalized, will be applicable to projects
receiving grants prior to 12/29/81 since there is no sub-
stantative change in the environmental review process.
N/A
Based on Executive Order 12372, it is proposed to eliminate
the clearinghouse review process (commonly referred to as
the A-95 review) and replace it with a revised intergovern-
mental consultation process.
3/28/83
Finalizes the interim/final regulations published on
5/12/82; provides optional retroactive application if elect-
ed by grantees; major issues discussed in the preamble
include: quality assurance requirements for grantee con-
tractors; definition of MBE and HBE firms; grantee report-
ing requirements even though grantee may have certified
procurement system; reconfirmation of prequalified list
and prohibition against preference for local or in-state
bidders; no EPA mandated goals for MBE or WBE participa-
tion; grantee contractors must take MBE and WBE affirmative
-------
1982 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
3/28/83
Part 33 - Continued
oo
6/24/83
(P) 1/24/83
Part 29 - Intergovern-
mental Review of the
Environmental Protection
Agency Programs and
Activities
Sec, 29.1-29.13
Final
Preamble FR p. 29288
9/30/83
action steps only if contractor employes subcontractors;
discussion of brand name or equal; personal services rate
limited to GS-18 grade for EPA grant; subcontractor require-
ments not applicable to suppliers of materials or equip-
ment; discussion of procurement and negotiations for A/E
services including use of same A/E from Step 1 and Step 2;
provision for including labor standards provisions form;
eliminates verbal change orders; defective pricing clause
limits returned to $100,000 from $500,000; progress pay-
ments for manufactured equipment not mandatory; this
regulation is a complete reprint and replaces the interim
Part 33 (5/12/82). Minor technical and typographical
corrections 7/1/83.
This new Part 29 of Title 40 implements a new intergovern-
mental review process and replaces the procedures and
requirements contained in OMB's Circular A-95 (clearing-
house reviews). The new review process provides greater
flexibility, "...by relying on state and local processes
for state and local government coordination and review
of proposed federal financial assistance and direct federal
development." Among other things, the regulations allow
states to select the program to which the state review
process will be applicable, establish a "single point of
contact" for each state, and prescribe the federal ".review
and response procedures . The regulations implement and
satisfy requirements for Executive Order 12372, Inter-
governmental Cooperation Act of 1968 and Section 204 of
the Demonstration Cities and Metropolitan Development Act
of 1966. Also published on this same date is a listing of
"Programs and Activities Eligible for Intergovernmental
Review Under 40 CFR Part 29 and Subject to Section 204
of the Demonstration Cities and Metropolitan Development
Act" (FR p. 29304).
-------
CODE OF FEDERAL REGULATIONS
1983
-------
40 CFR Protection of Environment
Revised July 1, 1983
1983
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Connents
7-1-83
(F) 3-28-83
vo
9-30-83
Part 33 - Procurement Under
Assistance Agreements
Correction
Final
Preamble FR p. 30364
33.001 Applicability and
scope of this Part,
(g)
33.211 Recipient reporting
requirements, (e)
33.280 Payment to consult-
ants, (a)
33.1016 Labor standards
provisions
Appendix A, (b)(l)
Part 30 - General Regula-
tion for Assistance
Programs
Sec. 30.100-30.1235;
Appendixes A, B, C, D
Final
Preamble FR p. 45056
7-1-83
9-30-83
Minor technical and typographical corrections
are made to the 3-28-83 regulations as shown
below. Other changes not shown below include
minor items such as changing contract to sub-
agreement, singular to plural or vice versa, or
correcting reference numbers.
In the parenthetical exceptions delete "...§33.211
'Recipient reporting requirements'..."
Change word "offerers" to "offers."
In the parentheses delete the words "...contractors
and subcontractors..." and insert the word "...con-
sultants. .."
Add immediately after section heading, "(This
clause applies only when required by statue)."
After the word "official" insert the dependent
clause, "..., unless he instructs otherwise,..."
Major reprint of Part 30, "implementing Federal
Grant and Cooperative Agreement Act and using
plain English;" effective date for Subpart L,
Disputes, is 11-1-83; eliminates most EPA internal
operating procedures and most of the detailed pro-
cedures that explained how recipients comply with
specific requirements; includes a table showing the
relationship between former and revised Part 30;
among the subjects discussed in the preamble which
-------
1983 CONTINUED
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comnents
9-30-83
Part 30 - Continued
11-16-83
(P) 9-20-84
Part 133 (Proposed)
Preamble FR p. 52258
N/A
oo
o
1-30-84
1-30-84
2-10-84
Part 403 (Final)
Preamble FR p. 5131
2-10-84
have a direct bearing on the Construction Grants
Program are: records retention; access to records;
property management; project changes; interest
charges paid to the government; noncompliance
action taken by EPA; appeal and disputes procedures
including the elimination of the Board of Assistance
Appeals; quality assurance as related to wastewater
treatment works and the collection of environ-
mentally related data. The regulation is written
in a new question/answer format.
This proposed rule, including a request for
comnents, amends the secondary treatment informa-
tion regulation. The proposed rule change to the
1981 amendements which relates to eligible cost is:
Added to the category of eligible facilities are
those secondary treatment plants which use the
trickling filter (TF) or waste stabilization
pond (WSP) treatment process and provide significant
biological treatment of wastewater, but cannot
consistently meet secondary treatment requirements.
This notice sets forth EPA's policy on ensuring
that all publicly-owned treatment works (POIW)
comply with the statutory requirements and com-
pliance deadlines in the Clean Water Act, whether
or not they receive Federal funds. EPA's goal is
to obtain compliance by POTWs as soon as possible,
and no later than July 1, 1988.
Pursuant to a court order, this rule suspended
the pretreatment regulatory definitions of "new
source," "interference" and "pass through." A
technical correction was also made clear that the
pretreatment fundamentally different factors (PDF)
-------
1983 CONTINUED
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Coiments
2-10-84
2-17-84
(P) 11-6-81
(I) 5-12-82
oo
Part 403 - Continued
Part 35, Subpart E revised
by new Subpart I (Final);
Appendix A, "Determinations
of Allowable Costs"
published as interim
final rule.
Preamble FR p. 6224
Major Subjects Described
1. Project Performance
Standards
2-17-84
2. Allotment; Reserves
3. Grant Application
4. Failure to Act
variances provision is not available for toxic
pollutants. PDF variances are only possible for
non-toxic pollutants regulated in a categorical
pretreatment standard.
Revisions to the interim final regulation pub-
blished on May 12, 1982 (and described in the
CFR 1981 section, p. 72) are as follows:
§35.2218. Requires grantee to certify that pro-
ject performance standards have been achieved
(instead of whether the project is capable of
achieving performance standards) within a year
after the project has been put into use for its
intended purpose. If the project is not affirma-
tively certified, the grantee must provide a
corrective action report.
Clarifications were made to the "Allotment;
reallotment" section (§35.2010) and the
"Reserves" section (§35.2020).
§35.2040. Grant application section was expanded
to include advances of allowance, field testing
and marine CSO projects.
§35.2042. Certified grant applications automa-
tically approved if Regional Administrator fails
to act within 45 days after receipt.
-------
1983 CONTINUED
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Garments
5. Reserve capacity
6. Donestic wastewater
7. Grandfathered phases
or segments
00
ro
8. Land acquisition
9. Advance of allowance
10. Grantee's respons i b i -
lity
11. Appendix A (allowable/
unallowable costs)
(a) Mercury seals
§35.2123. Clarification was made to limitation on
reserve capacity after 1990.
§35.2125. Grant will be awarded only to a project
whose principal purpose is for treatment of
domestic wastewater, not industrial wastewater.
Cost of interceptors serving almost exclusively
industrial users is not allowable.
§35.2152. All grandfathered phases or segments
(those receiving 75% funding) must be described
in a facilities plan approved by the RA before
October 1, 1984, and must be built in logical
sequence assuring expeditious operation and
compliance with the enforceable requirements
of the
§35.2210. Regional Administrator dees not have
to approve price of land acquisition but must
determine that acquisition requirements have been
followed.
§35.2300. Section added to cover grants to States
for advance of allowances.
§35.2350. EPA provision of technical or legal
assistance does not release grantee from its
obligations.
Appendix A provides that:
Preamble, p. 6232. Mercury seals are no longer
listed as an unallowable cost but must be reviewed
case-by-case;
-------
1983 CONTINUED
Date
Publi shed
in F.R.
Affected Part and Sections
Effective
Date
Comments
oo
CO
2-17-84
2-17-84
(b) Plan of operation
(c) Legal defense
(d) Mitigation
(e) Land
(f) Replacement parts
(g) Additions
(h) Corrective action
report
Part 35
(Notice)
Preamble FR p. 6254
Part 35 (Proposed rule for
new section, 35.2205)
Preamble FR p. 6113
2-17-84
90 days
after
publica-
tion as
a final
rule
(SA.l.i. and j. Plan of operation, start-up,
and training services are allowable costs;
§A.2.c. Legal and administrative costs of defense
against claims are unallowable unless particular
requirements are met;
SB.2.a. Mitigation costs for aesthetic problems
are generally unallowable;
§D.2.b. Cost of land in excess of just compensa-
tion is unallowable;
§E.l.g. Replacement part is allowable if it is a
critical or major systems component which involves
long lead-time procurement;
SH.l.d. If additions are demonstrated not to be
caused by the grantee's mismanagement or the
improper action of others (e.g., the grantee's
engineers or contractors), the costs are allowable
under limited conditions; and
SH.2.1. Cost of a corrective action report is
unallowable.
Notice sets forth Agency policy that CG applicants
demonstrate their financial and management capabi-
lity to construct, operate and maintain (including
equipment replacement) a wastewater treatment
system.
This rule proposes to specify that the maximum
increase to a grant will be five percent of the
initial allowable project cost.
-------
1983 CONTINUED
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Contents
4-11-84
Class deviation from
40 CFR §35.935-9
Preamble FR p. 14341
3-30-84
00
-pa.
5-21-84
Policy for Review of Advance
Treatment (AT) Projects
(Notice)
Preamble FR p. 21462
5-21-84
6-12-84
Policy on Municipal
Sludge Management
Preamble FR p. 24358
6-12-84
§35.935-9 requires Regional Administrators (RAs)
to annul or terminate grants for wastewater
treatment construction projects which grantees
do not begin constructing within 12 months of a
grant. RAs are permitted to approve a six-month
extension when justified by the grantee in
writing. This deviation waives the requirements
that RAs annul or terminate those projects which
violated §35.935-9. However, RAs (or delegated
States) shall review each project subject to this
deviation to determine whether any part of the
delay was due to grantee mismanagement and
disallow any cost increases attributable to
unjustified delays.
This notice covers program policy and technical
procedures for Agency review of advanced treat-
ment (AT) projects proposed for funding under the
construction grants program. AT projects are
treatment projects designed to meet effluent
requirements more stringent than secondary treat-
ment. Approval for AT projects will be given only
if it is determined that AT is required and will
definitely result in significant water quality
and public health improvements.
This policy establishes the Federal regulatory
rule on sludge management in relationship to State
and local governments. EPA will actively promote
those municipal sludge management practices that
provide for the beneficial use of sludge while
maintaining or improving environmental quality and
protecting public health.
-------
SUBJECT INDEX
PROGRAM ISSUANCES
-------
SUBJECT INDEX
PROGRAM ISSUANCES
(CG's, PM's, PC's, PRM's, Handbooks)
Administrative/Policy
Applicant Assurances
Audits
Civil Rights
Clearinghouse Review
Easements
Grant Payments
Grant Percentage
Increase Grants
Policy and Guidance
Preapplicat ion
Preconstruction Lag
Processing Period
Project Management
Retainage
Retroactive Application
Tine Schedules
Alienability/Eligibility
Acquisition of Privately or
Publicly Constructed Waste
Treatment Facilities
Administration Building
Advanced Treatment
A/E Costs (Study)
CG 70-20, 10/13/70
CG 71-18, 8/20/71
CG 71-15, 7/26/71; PG-59, 2/11/76
CG 70-3, 1/21/70
PRM 77-6, 5/4/77
PG-9, 7/20/73
PG-13, 6/11/73
PG-8, 7/17/73
PG-1, 5/16/73
CG 71-22, 12/22/71
PRM 78-12, 6/12/78; PRM 80-3, 5/30/80
PG-11, 6/12/73
CG 71-17, 8/20/71
PG-43, 11/13/74
PRM 80-6, 7/21/80
CG 70-2, 1/6/70
CG 71-16, 8/16/71, Handbook
Handbook
PRM 79-7, 3/9/79
PRM 80-2, 12/20/79
S-l
-------
SUBJECT INDEX (Continued)
Alienability/Eligibility (Continued)
AE Services
Aesthetics
*Allowable Costs
Assistance with State and
Federal Regulations
Bid Bond Forfeiture
Biological "Seeding"
Bond Costs
Bonus Payments
Building Maintenance Equipment
Certificate as the Title to
Project Site
Change Orders
Claims (defense)
Claims (settlements)
Collection System Maintenance
Equipment
Computers
Cost Control
Crossover Sewers
Handbook
Handbook
PG-64, 2/5/76
Handbook
Handbook
Handbook
CG 70-5, 2/13/70; CG 70-25, 11/11/70; Handbook
Handbook
Handbook
Handbook
Handbook
Handbook
Handbook
Handbook
Handbook
PG-57, 9/8/75
Handbook
Defects in Plans and Drawings
(Subagreements for Correction of) Handbook
Delays
Demolition
Demolition of Existing
Structures
Disaster Grants
Handbook
Handbook
Handbook
CG 71-24, 12/27/71
* Basis for list of allowable costs as contained in the Handbook of Procedures,
First Edition.
S-2
-------
SUBJECT INDEX (Continued)
Alienability/Eligibility (Continued)
Eligible Costs
Eligibility of Laboratory
Chemicals
Federal Facilities
Federal Statutory Procedures
(Compliance with )
Field Surveys to Identify
Cultural Resources
Financial Reports and Studies
First Year of Operation (A/E)
Flood Disaster
Flood Insurance
Force Account
Fringe Benefits
Funding
Funding Sewers
Funding Waste Load
Furnishings (incl. Draperies,
Furniture, and Office Equipment)
Grantee Employee Salaries and
Benefits
Grantee Employees Transportation
Grantee Training Workshops
Groundwater Monitoring
Facilities
I/I Costs
Individual Systems
Industrial Facilities (Servicing
by Municipality)
CG 70-26, 11/9/70
CG 70-19, 9/29/70; Handbook
PG-62, 12/29/75; Handbook
Handbook
PG-52, 7/7/75; Handbook
Handbook
Handbook
PG-25, 3/1/74; PG-25A, 11/4/74
PG-54, 7/8/75; PRM 76-5, 8/16/76
PG-34, 5/7/74
Handbook
PM 72-16, 7/25/75
PRM 77-8, 6/21/77; PRM 78-9, 3/8/78
PRM 79-11, 9/5/79
Handbook
Handbook
Handbook
Handbook
Handbook
PM 72-19, 8/17/72; CG 71-23, 12/30/71, Handbook
Handbook
CG 71-3, 2/25/71, Handbook
S-3
-------
SUBJECT INDEX (Continued)
Alienability/Eligibility (Continued)
Infiltration/Inflow
Inspection
Interceptor Sewers
Labor Charges and Related Costs
Laboratory Equipment, Chemicals
and Supplies
Land Eligibility
Liquidated Damages
MBE and WBE Liaison
Mobile Equipment
Multiple Purpose Project
NEPA Requirements
New Habitation Capacity or
Establishments on Environmentally
Sensitive Land
O & M Manual Costs
Plan of Operation (and O&M
manual)
Pretreatment Program
Processing Period
Procurement
Professional Liability
Insurance
Project Eligibility
Protests (Procurement) (Legal
and Engineering Services)
Public Liaison Services
Public Participation (On-Site
Visits)
Handbook
Handbook
CG 70-23, 10/23/70
Handbook
Handbook
PG-49 (no date); PG-67, 4/2/76; PRM 77-5,
12/15/76; PRM 78-4, 2/17/78; Handbook
PG 70-24, 11/5/70; Handbook
PRM 80-7, 8/29/80, Handbook
Handbook
PRM 77-4, 12/3/76
PM 72-20, 9/11/72
Handbook
PM 72-5, 1/24/72
Handbook
Handbook
PG-11, 6/12/73
Handbook
Handbook
CG 70-18, 9/29/70
Handbook
Handbook
Handbook
S-4
-------
SUBJECT INDEX (Continued)
Allowability/Eligibility (Continued)
Rate Studies Handbook
Recreation, Industrial PRM 77-1, 11/23/76
Redesign/Replanning Costs
Resulting from Changes in Federal
Requirements Handbook
Replacements Parts
Handbook
Restoration of Streets and Rights-
of-Way Handbook
Revenue Sharing Funds
Royalties and Patents
Safety Equipment
Secondary Treatment
Septic Tank Wastes
PG-3, 6/25/73
PRM 79-2, 11/13/78; Handbook
Handbook
CG 71-20, 12/31/71; PM 72-4, 2/2/72
CG 71-25, 12/30/71
Services (Non-engineering; Required
during Construction by State or
Local Law) Handbook
Shop Equipment
Site Acquisition vs. Site
Preparation Costs
Site Screening
Small and Orisite Systems
Small Systems
Special Assessment Districts
(Establishment of)
Startup Services
State Grants
Handbook
Handbook
Handbook
Handbook
PRM 79-8, 5/31/79
Handbook
PRM 77-2, 11/29/76; Handbook
CG 70-21, 10/13/70; CG 70-22,
10/15/70; CG 71-7, 2/19/71;
CG 71-14, 6/30/71
S-5
-------
SUBJECT INDEX (Continued)
Allowability/Elibibility (Continued)
Step 2+3 Grants
Storm/Combined Sewers
Subagreenents (bu iIding)
Supplemental Grants
Tools
Transportion of Liquid or
Dewatered Wastes
Travel Costs
TV Eligibility
Uniform Relocation Assistance
and Real Property Acquisition
Policies Act of 1970
(Compliance with)
Utilities
Water Treatment
Women's Business
Discount Rate
PRM 78-7, 2/17/78
CG-61, 12/16/75
Handbook
CG 71-4, 1/21/71
Handbook
Handbook
Handbook
PM 72-10, 4/28/72
Handbook
PM 72-12, 5/16/72; Handbook
PG-36, 6/5/74; PG-36A, 9/17/74
PRM 80-4, 1/31/81
PG-60, 8/11/75; PRM 78-2, 1/26/78;
PRM 79-4, 11/17/78; PRM 80-1,
11/26/79; PRM 81-2, 11/19/80
Environmental Impacts/Public Participation
Cultural Resources
Environmental Effects
Erosion Control
NEPA Requirements
Piggybacking
Presentation of Costs
Public Hearing
PG-52, 7/2/75
PG-50, 6/6/75
PRM 78-1, 12/29/77
PM 72-20, 9/11/72
PG-58, 9/ /75
PRM 76-3, 8/16/76
PG-10, (no date)
S-6
-------
SUBJECT INDEX (Continued)
Planning
Basin Planning
Comprehensive Plans
Facility Plans
Flood Hazard
201 and WQM Planning
Plans, Specifications and Design
Buy American
Chlorine Safety
Construction Incentive
Contract Documents
Cost Control
Des ign/Construct
Equipment Prequalifications
Erosion Control
Escalation Clauses
Experience Clause
Grout
Mercury Seals
Nonrestrictive Specifications
Project Sign
Safety Specifications
Value Engineering
Wage Rates
PM 72-2, 1/11/72
CG 71-21, 11/23/71
PG-51, 6/25/75
PG-15, 9/11/73
PG-47, 3/11/74; PG-66, 2/9/76
PRM 78-3, 2/17/78; PRM 80-5, 7/9/80
PRM 79-1, 10/23/78
PRM 79-5, 12/28/78
PG-17, 5/17/73; PG-17A, 4/15/75
PG-57, 9/8/75
PG-5, 5/31/73
PRM 79-10, 7/12/79
PRM 78-1, 12/29/77
PG-44, 12/9/74
CG 71-8, 3/15/71; PG-14, 7/11/73
PRM 78-11, 5/11/78
CG 71-1, 1/12/71
PM 73-1, 2/21/73; PG-19, 11/2/73;
PG-19A, 8/8/75
CG 71-5, 1/21/71
PM 72-6, 2/6/72; PM 72-14, 5/19/72
PG-45, 12/11/74; PG-63, 1/20/76
CG 71-6, 2/17/71
S-7
-------
SUBJECT INDEX (Continued)
Procurement
A/E costs
Buy American
Contract Award
Debarment
Engineering Agreements
Engineering Fees
Escalation Clauses
Reject All Bids
Program Issuances
Cancellation PC's
1969 Issuances
1970 Issuances
1971 Issuances
PRM's
Program Issuances
Reimbursement Projects
Treatment/Technical Guidance
Adequacy of Treatment
Advanced Treatment
Best Practical Waste Treatment
Technology (BPWTT)
Chlorine Safety
Dredge and Fill
PRM 80-2, 12/20/79
PRM 18-3, 2/17/78; PRM 80-5, 7/9/80
CG 70-17, 6/18/70
PG-56, 8/5/75
PG-53, 7/8/75
PG-42, 10/23/74
PG-44, 12/9/74
PRM 78-8, 2/13/78
PRM 76-2, 7/26/76
CG 70-1, 1/2/70
CG 71-2, 1/20/71
CG 71-26, 12/31/71
PRM 81-1, 1/7/81
PM 72-1, 1/6/72; PRM 76-1, 7/26/76
CG 71-9, 3/31/71; PG-18, 10/30/72; PG-22, 12/21/73;
PG-30, 4/17/74; PG-40, 9/24/74; PG-40A, 10/18/74;
PG-40B, 11/13/74; PG-40C, 12/4/74; PG-40D, 2/28/75
PM 72-18, 8/17/72; PM 72-21, 10/6/72
PRM 79-7, 3/9/79
PG-27, 3/30/74; PG-27A, 4/10/75
PRM 79-1, 10/23/78
PRM 76-4, 10/14/76
S-8
-------
SUBJECT INDEX (Continued)
TreatmentAechnical Guidance (Continued)
Emergency Operation
Infiltration/Inflow
Land Treatment
Ocean Discharges
Plan of Operation
Project Segmenting
Secondary Treatment
Septic Tank Wastes
Sludge Disposal
Snail Systems
Stabilization Ponds
User Charge/Industrial Cost
Recovery
03 71-13, 6/15/71
PM 72-17, 8/11/72; PM 72-19, 8/17/72;
PG-24, 2/7/74; PG-26, 3/15/74; PRM 78-10, 3/17/78
PRM 79-3, 11/15/78
PM 72-8, 4/19/72
PRM 77-3, 11/29/76
PG-33, 5/10/74; PM 72-3, 1/13/72;
PM 72-15, 6/2/72
CG 71-20, 12/31/71; PM 72-4, 2/2/72
03 71-25, 12/30/71
PM 72-22, 11/2/72
PRM 79-8, 5/9/79
PG-16, 9/11/73
PG-28, 4/5/74; PG-37, 7/9/74; PG-38, 7/16/74;
PG-65, 5/17/76; PRM 78-6, 2/17/78
S-9
-------
ALL REGIONAL CONSTRUCTION
GRANTS MEMORANDUM (CG)
1970 - 1971
-------
ALL REGIONAL CONSTRUCTION
GRANTS MEMORANDUM (CG)
1970
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
70-1
70-2
1/2/70
1/6/70
70-3
70-5
1/21/70
2/13/70
70-17
6/18/70
70-18
70-19
9/29/70
9/29/70
All-Region Memoranda of
1969
Approval of Construction
Grant Projects Which Will
Not Meet Standards,
Enforcement, or Other
Implementation Schedules
Bureau of the Budget
Circular No. A-95, Trans-
mi ttal Memorandum No. 1
Uniform Determination of
Bon$ Issue Costs for
Construction Grants
Change in Construction
Grants Program Handbook,
Re "Advertising and
Award of Contract"
Project Eligibility
Eligibility of Chemical
Costs for Waste Treatment
Plant Start-Up
Advises regions that 47 CG's were issued during
1969.
Projects which are ready to proceed but which will
obviously not meet time schedules set forth in
water quality plans or enforcement actions may be
approved with a disclaimer included in the grant
offer; projects which do not meet treatment stand-
ards are not to be approved.
Amends Circular A-95 to clarify responsibilities
in overlapping clearinghouse areas.
Provides guidance on computing eligible bond costs
(printing, advertising, issuing -and other costs
subsequent to the bond election) including a formula
to be used where state or other federal funds are
also employed.
Modified procurement procedures to require nego-
tiation with all responsible bidders (not just low
bidder) when change is required in bids to reduce
costs to affordable level.
Sets forth timing criteria for award of impact
grants.
Allows reasonable amount of laboratory chemicals
to be included in project as eligible cost.
-------
CG 1970 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
70-20
10/13/70
70-21
10/13/70
State and Local Assur-
ances Under 601*35
of Regulations
Section 8, Federal Water
Pollution Control Act:
Inadequate State Funds
to Match Federal
Allocations
70-22
10/15/70
i
ro
70-23
10/23/70
70-24
70-25
11/5/70
11/11/70
Retroactive Eligibility
for Increased Section 8
Grants
Guidelines for Determin-
ing Eligibility of Inter-
ceptors and Pumping
Stations
Deductions for Liquidated
Damages When Computing
Final Project Eligible
Costs
Interest on Bond Discounts
Requires grant applicants to assure proper operation
and maintenance of completed treatment works; re-
quired paragraph to be made part of grant offer
and acceptance form.
Higher percentage grants (40-50% as distinct from
30% grants) may continue to be made in states that
have heretofore provided matching grants even if
the state has run out of state funds provided
sufficient evidence exists to demonstrate that
state plans to provide matching grants at some
point in future (e.g., new appropriation by state
government).
Increased federal grants may be made where the state
enacts a matching grant program either from the
effective date of the program or the beginning of
the current fiscal year.
Guidelines suggest criteria for determining whether
a sewer line is an interceptor (eligible for grant)
or trunk or lateral sewer (ineligible for grant).
Collected liquidated damages are to be disregarded
when computing eligible project costs and resulting
federal grant; this changes former policy as con-
tained in Construction Grants Handbook of Procedures,
Interest on bond discounts are not to be considered
as part of the cost of construction; grantee sold
bonds to construction contractor as means of payment
on a particular project.
-------
CG 1970 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
70-26
11/9/70
Legal, Administrative and
Fiscal Costs of Section 8
Projects
Administrative costs attributable to construction
of treatment works are eligible for grant participa-
tion; general administrative costs for municipal
affairs are not eligible; also reiterates earlier
decision concerning ineligible costs for interest
on borrowing, costs to prepare financial statements
for bonds or bonding, fees for bond counsel, tax
assessors and tax collectors.
i
GO
-------
ALL REGIONAL CONSTRUCTION
GRANTS MEMORANDUM (CG)
1971
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-1
1/12/71
71-2
71-3
71-4
71-5
71-6
71-7
1/20/71
2/25/71
1/28/71
1/21/71
2/17/71
2/19/71
71-8
3/15/71
Grant Eligibility of
Conversion of Mercury
Seals on Trickling
Filters
All-Region Memoranda
of 1970
Industrial Wastes
State Matching Grants
on EPA Supplemental
Projects
Revisions to Project
Sign Details
Enforcement of Labor
Standards
Basis of State Partici-
pation in Haste Treat-
ment Construction
Grants Program
Experience Clause for
Equipment Suppliers
(SP) 6/30/71
CG 71-14
Grants may be awarded for converting mercury seals
on trickling filter type treatment works to mechani-
cal seals; new mercury seals are not eligible for
grant participation.
Advises regions that 26 CG's were issued during 1970.
Supplements interim guidelines and sets forth policy
concerning eligibility of projects where a substan-
tial amount of flow is from one or more industries.
Discusses source of funding where EPA grants are
supplemented by Economic Development Administration
(Department of Commerce) grants.
Provides detailed drawing of required project sign
which reflects a change of name for EPA.
Responsibility for reviewing and checking construction
contractor's payroll forms is transferred to grantees.
Discussion of state's obligation to make a matching
grant in order for applicant to qualify for higher
percentage EPA grant; state need only agree to
provide financial assistance to all applicants.
Effective immediately experience clauses for equip-
ment suppliers and materials are to be discouraged
for grant projects; recommends bonding where addi-
tional warranties are required; in exceptional
cases, experience clause may be used if justified.
-------
CG 1971 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71^9
3/31/71
71-13
6/15/71
i
en
71-14
6/30/71
71-15
7/26/71
71-16
8/16/71
Special Procedures for
Administering the Grant
Funds to be Allocated
from the $200 Million
of FY 1971 Appropriated
Funds Earmarked for
Reimbursement or Severe
Local and Basinwide
Water Pollution Problems
Wastewater Treatment
Facilities, Emergency
Readiness and Operating
Program and Procedures
Basis of State Partici-
pation in Haste TReat-
ment Construction Grants
Program
Changes in Filing and
Approval Requirements for
Form T-128, Compliance
Report
Use of Section 8, FWPCAA
Funds to Reimburse Munici-
palities for the Purchase
of Privately-Owned Treat-
ment Facilities
Provides special procedures for payments (examples
provided) to reimbursable projects recognizing a
short time interval for obligation of funds.
Transmits guidelines describing the scope of an
emergency operating program which should be included
as a part of the O&M manual.
Clarifies CG 71-7 (2/19/71) indicating that a state's
matching grant cannot be a loan but some form of
obligation "to pay" by the state.
Advises states and EPA offices to carefully review
project information to insure that discrimination
is not practiced with regard to a grantee's treat-
ment works project.
Grant funds may not be used to purchase existing
privately-owned treatment facilities.
-------
CG 1971 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-17
8/20/71
71-18
71-20
8/20/71
12/31/71
71-21
11/23/71
71-22
12/22/71
71-23
12/30/71
71-24
12/27/71
Project Management During
Construction
Final Audit of Facilities
Construction Projects
Secondary Treatment Require
ments of 18 CFR 601.25 as
Amended July 8, 1971
Joint EPA-HUD Supplemen-
tary Guidelines for Hater
Quality Management
Planning
Preapplication and Pre-
design Review for Waste
Treatment Works
Construction Projects
Predesign Investigation
of Sewer Infiltration
Problems
FWPCAA - Disaster Relief
Eligibility of Projects
Damaged by Disasters for
FWPCAA Grants
Transmits guidelines defining federal-state-local
roles in project management; subjects discussed
include: preconstruction conference, responsibility,
change orders, inspections and reports.
Sets forth procedures between audit and EPA regional
offices for requesting and processing audits.
Grants may be made for projects providing less than
secondary treatment where grantee commits to pro-
vide secondary treatment in accordance with an
acceptable schedule.
Transmits additional guidelines for determining if
a project conforms with a comprehensive plan and is
therefore eligible for an additional 10% EPA grant.
Sets forth new procedures for review of projects by
states and EPA prior to submission of grant applica-
tion; procedures intended to accelerate future grant
awards.
Sets forth guidelines for infiltration studies; costs
for such studies are eligible design costs; costs
for correction (i.e., construction) are eligible
provided such work is not considered routine
maintenance.
Projects damaged as a result of a disaster are
eligible for EPA grants and may be given higher
priority by states; all other conditions and limita-
tions of grants must be met.
-------
CG 1971 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-25
12/30/71
Septic Tank Waste Disposal
71-26
12/31/71
All-Region Memoranda
of 1971
Grants may be made for.treatment facilities, whether
separate facilities or portions of larger treatment
works, to treat septic tank wastes; grantees must
insure however that septic waste haulers pay a fair
share of capital and O&M costs.
Advises regions that 26 CG'a were issued during 1971.
-------
PROGRAM MEMORANDUM (PH)
1972 - 1973
-------
PROGRAM MEMORANDUM (PM)
1972
PM ft
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
72-1
1/6/72
72-2
72-3
1/11/72
1/13/72
72-4
72-5
72-6
2/2/72
1/24/72
2/6/72
Field Communications
Grant Conditions
Concerning Basin Plan-
ning
Project "Splitting"
July 13, 1971
Regulations
Cost of Municipal Haste
Water Treatment Plant
Operation and Mainten-
ance Manuals
Safety and Health
Regulations
(SP) 6/2/72
PM 72-15
(SS) 4/19/72
PM 72-8
(SP) 5/16/72
PM 72-14
Announces change from previous "All Regional Construc-
tion Grants Memorandum11 (CG's) to new mechanism
entitled "Program Memorandum" to communicate program
policy and directives to regional offices from
headquarters.
Deletes an earlier requirement for inclusion of a
specific paragraph concerning confonnance with basin,
regional or metropolitan plan in grant offers;
requirements now set forth in regulations.
Grant awards may be made for portions (splitting,
segmenting, phasing) of projects where an integral
treatment works plan is approved and where good
cause exists for such "splitting."
Provides further clarification and guidance to the
regulation (7/13/71) which requires a minimum of
secondary treatment (85% removal of BOD's) for
award of grant assistance.
Provides cost curves to assist (i.e., guidance)
regional offices in establishing the reasonableness
of costs to prepare operation and maintenance manualsi
these costs are allowable for grant participation.
Transmits copy of safety and health regulations
promulgated by the Department of Labor which should
(not must) be included in project specifications
by reference.
-------
PM 1972 Continued
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
72-8
72-10
4/19/72
4/28/72
72-12
5/16/72
i
ro
72-14
5/19/72
72-15
6/2/72
72-16
7/25/72
Definition of "Open
Ocean Waters"
Eligibility of Television
Surveillance System Costs
(SP) 8/17/72
PM 72-19
Allowability of Costs of
Removal and Replacement
of Telegraph and Utility
Lines
Application of Labor
Department Health and
Safety Regulations
Project "Splitting"
Region I Questions
and Answers
Defines exemption from secondary treatment regula-
tions (7/13/71) for ocean discharges.
Television inspection costs are allowable for grant
participation but must be proportioned based on need
for startup (eligible), ratio of interceptors
(eligible) to collection sewers (ineligible) and
operation and maintenance uses (ineligible); case-
by-case decisions.
Costs to remove and replace in kind telegraph and
utility lines necessary to the construction of
treatment works are allowable for grant participa-
tion; reverses an earlier decision from the Office
of General Counsel, Department of Health, Education
and Wei fare dated 3/31/66.
Labor Department standards (contract work hours and
safety) must be included in contract between grantee
and construction contractor; construction contractor
responsible to comply with "Occupational Safety and
Health Act of 1970."
Strengthens the necessity for demonstrating that a
project must be split into segments; requires a firm
schedule for completion of the entire system result-
ing in an operable treatment works.
Attaches answers to nine questions raised by Region I;
subjects includes definition of initiation of a pro-
ject, grant shares (percentages) based on pending
legislation, use of various FY funds and other funding
decisions.
-------
PM 1972 Continued
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
72-17
8/11/72
72-18
72-19
8/17/72
8/17/72
i
CO
72-20
9/11/72
72-21
10/6/72
72-22
11/2/72
Extraneous Flow in Waste
Treatment Systems
Clarification of 40 CFR
35,835-4, Adequacy of
Treatment
Infiltration/Inflow
Grant Costs
(SP) 10/6/72
PM 72-21
NEPA Aspects of the Award
and Administration of EPA,
State and Local Assist-
ance Grants
40 CFR 35.835-4,
Adequacy of Treatment
Handling and Disposal of
Sludges from Waste Water
Treatment Facilities
Policy indicates that extraneous flows (infiltration/
inflow) must be either removed or treated (minimum
of secondary treatment) or combination of both
depending on the results of a cost-effectiveness
analysis.
Provides technical clarification concerning an accept-
able level of treatment to be eligible for grant award.
Defines the sequential procedural steps for sewer sys-
tem evaluation studies indicating that reasonable costs
essential for the studies are eligible for grant par-
ticipation; indicates I/I studies may be performed by
force account; these guidelines will be used until
formal regulations are published.
Provides detailed guidance and legal opinions concern-
ing the implementation of the National Environmental
Policy Act (NEPA) to the Construction Grants Program;
in general an environmental review and decision by EPA
should precede grant award; also includes discussion
of grant amendment, termination and other EPA actions
including allowable costs and financial liability.
Indicates studies underway to define more accurately
"secondary treatment;" requirements in PM 72-18
(8/17/72) should be used as a design goal rather than
an inflexible standard until the issue (do waste
stabilization ponds and trickling filters satisfy
secondary treatment requirements?) is resolved.
Provides technical guidelines concerning the disposal
of sludge (raw sludge not to be applied to land nor
landfills) and -the treatment of sludge liquids.
-------
PROGRAM MEMORANDUM (PM)
1973
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
73-1
2/21/73
Selection of Materials
or Equipment
Discusses equipment and material (particularly
for sewer pipe) specifications and conditions under
which grant participation will be limited to lowest
costing product or if justified by grantee more
expensive equipment or material.
-------
PROGRAM GUIDANCE MEMORANDUM (PG)
1973 - 1976
-------
PROGRAM GUIDANCE MEMORANDUM (PG)
1973-1976
PG #
1
3
5
Dated
5/16/73
6/25/73
5/31/73
Title
Grants for the Construc-
tion of Wastewater
Treatment Works
Use of Revenue Sharing
Funds for Waste Treat-
ment Projects
Grants for the Con-
struction of Waste-
water Treatment Works
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 6/11/73
PG-13
(SP) 5/31/73
PG-5
f\J J
(C) 7/26/76
PRM 76-2
(C) 1/7/81
PRM 81-1
(C) 7/26/76
PRM 76-2
Redesig-
nated
PRM No.
75-1
Comments
This guidance document is long and supple-
ments the interim construction grants
regulations (40 CFR Part 35, Subpart E)
published 2/28/73; Appendix B is a summary
policy and guidance statement addressing
the specific requirements which will apply
in the immediate future; relevant guidance
areas discussed include i facilities plan-
ning, secondary treatment, infiltration/
inflow, cost-effectiveness guidelines, user
charges and industrial cost recovery, pre-
treatment, plans and specifications require-
ments, environmental assessments and a
tabular summary of construction grants
requirements.
Revenue sharing funds may not be used for
the local share of grant eligible project
costs; may be used, however, for unallow-
able or ineligible items associated with
the project.
Supplements and further clarifies item IX
"plan and specification requirements" of
PG-1 with regard to Step 2+3 grants; pro-
hibits "design/construct" grants until
guidelines are issued.
-------
PG 1973 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
8
7/17/73
7/20/73
10
None
i
rv>
11
6/12/73
13
14
6/11/73
7/11/73
Utilization of Contract
Grant Authority Under
Title II of PL 92-500
to Increase Grants
Awarded Under Section 8
of the Former Federal
Water Pollution Control
Act
Revised Policies and
Procedures for Grants
Class Deviation from
Regulation 40 CFR
35.925-8
Wastewater Treatment
Works Construction
Grants Extended
Administrative Pro-
cessing Period
Supplemental Funding,
Grant Percentage,
Section 202A
Experience Clauses
for Equipment
Suppliers
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
CO 1/7/81
PRM 81-1
75-2
Contractual obligation authority grant funds
authorized under the 1972 amendments may not
be used to increase grants for projects
awarded grants under previous legislation;
a separate section of the 1972 amendments
sets aside funds for this purpose (reim-
bursement projects).
Primarily concerns in-house policies and new
forms to be used by grantees when requesting
payment; payment only made after costs have
been incurred, i.e., no advance payments.
Deviation is granted from the 30 day notice
concerning a public hearing where adequate
notice has been given for public partici-
pation; the deviation expires 7/31/73.
Grant award period for FY 73 extended to
7/31/73t however, no grant awarded after
7/1/73 unless grantee demonstrates that the
project is not subject to excessive
infiItration/inflow.
Supplements PG-1 and cancels policy in item
XI "Supplemental funding;" all grants must
be at the 75% level.
In general restates earlier policy (CG 71-8
3/15/71) indicating that restrictive exper-
ience clauses are not allowed; if used for
good reason, alternate equipment must be
considered if supplier is willing to furnish
bond or cash deposit against failure.
-------
PG 1973 Continued
PG #
15
16
17
17A
18
19
19A
Dated
9/11/73
9/11/73
5/17/73
4/15/75
10/30/73
11/2/73
8/8/75
Title
Flood Hazard Evalua-
tion Guidelines
Waste Stabilization
Ponds
Standardized Construc-
tion Contract Documents
Standardized Construc-
tion Contract Documents
Reimbursement
Nonrestrictive
Specifications
Nonrestrictive
Specifications
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(C) 7/26/76
PRM 76-2
(C) 1/7/81
PRH 81-1
(SS) 4/15/75
PG-17A
(C) 1/7/81
PRM 81-1
(SP) 12/21/73
PG-22
(C) 7/26/76
PRM 76-2
(SS) 8/8/75
PG-19A
(C) 1/7/81
PRM 81-1
Redesig-
nated
PRM No.
75-3
75-4
75-5
Comments
Transmits "Flood Hazard Evaluation Guide-
lines for Federal Executive Agencies,"
May 1972 , for information purposes.
Reinforces that stabilization ponds which
receive grants must provide a minimum of
secondary treatment or be upgraded
accordingly.
Transmits copies of standardized construc-
tion documents (advertisement, bid bond,
agreement, etc.) for optional use by
grantees.
Provides optional standardized contract
documents for use with construction con-
tractors; not mandatory but grantees
encouraged to use.
Provides guidance to supplement regulations
concerning processing of reimbursable
projects, i.e., projects initiated between
1966 and 1972 at less than the full grant
percentage.
Reinforces open and free competition; two
brand names "or equal" to be used in speci-
fications; prefer use of performance
speci f ications .
Reinforces that proprietary products may
only be specified when justified; requires
that if product description is used, two
brands must be provided followed by the
words "or equal."
-------
PG 1973 - 1971 Continued
PG ft
22
24
25
25A
26
27
27A
Dated
12/21/73
2/7/74
3/1/74
11/4/74
3/15/74
3/20/74
4/10/75
Title
Reimbursement
Sewer System Evaluation
and Rehabilitation
Flood Disaster Protec-
tion Act of 1973
(Public Law 93-234)
Supplement to PG No. 25;
Flood Disaster Protection
Act of 1973 (PL 93-234)
Sewer System Evaluation
Best Practicable Waste
Treatment Technology
Best Practicable Waste
Treatment Technology
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 4/17/74
PG-30
(C) 7/26/76
PRM 76-2
(SP) 3/15/74
PG-26
(C) 1/7/81
PRM 81-1
(SP) 11/4/74
PG-25A
(C) 1/7/81
PRM 81-1
(SS) 8/16/76
PRM 76-5
(C) 1/7/81
PRM 81-1
(C) 7/26/76
PRM 76-2
(SP) 4/10/75
PG-27A
(C) 7/26/76
PRM 76-2
Redesig-
nated
PRM No.
75-7
75-8
75-9
Comments
Based on new legislation, application cutoff
date and reimbursement computation date
extended; no action to be taken on projects
between 1956 and 1966.
Provides additional guidance and flexibility
for a determination by the state or EPA
whether excessive I/I does or does not
exist.
Requires projects in designated flood hazard
areas in which federal flood insurance is
available to obtain such insurance in order
to be eligible for a grant.
Supplements PG-25 allowing exemption for
structures costing $10,000 or less and sewer
lines or other buried structures; applicable
only to Step 3 grants.
Transmits "Guidance for Sewer System Eval-
uation" to assist grantees and engineers.
Transmits technical guidance in a document
entitled "Alternative Waste Management Tech-
niques for Best Practicable Treatment."
Revises technical requirements to achieve
BPWTT particularly with regard to land
application techniques.
-------
PG 1974 Continued
PG ft
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
28
30
4/5/74
4/17/74
33
5/10/74
34
5/7/74
36
6/5/74
36A
9/17/74
User Charge and Indus-
trial Cost Recovery
System
Approval of Reimburse-
ment Projects Not
Previously Serviced by
EPA
Grand Funds and
Project Segmenting
(C) 7/9/74
PG-37
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
75-10
75-11
75-14
Class Deviation - Use
of Force Account Work
on Construction Grants
Projects
Construction of Pretreat-
ment or Treatment Facili-
ties for Municipal
Utilities
Eligibility of Wastewater
Treatment Facilities at
Municipally Owned Water
Treatment Works for
Construction Grants
(C) 1/7/81
PRM 81-1
(SP) 9/17/74
PG-36A
75-15
75-17
(C) 8/6/82
CG-82
75-18
Permits use of ad valorem tax base system
for UC (cancelled in PG-37 on 7/9/74); ICR
charges may be allocated on a systemwide
basis.
Sets forth additional guidance for projects
constructed without an EPA grant prior to
10/18/72; collection sewer projects not
eligible for reimbursement grants.
Allows project segmenting even though seg-
ment does not result in operable project;
no EPA commitment for future grant; grantee
must agree to make entire project operable;
grants for segments must be at 75%.
Allows force account work on Step 1, 2 or 3
projects without dollar limitation; requires
grantees to justify use by demonstrating
competency and economy.
Treatment facilities at municipal water
treatment utilities to dispose of sludge or
other wastes from water treatment no longer
eligible for grant after 7/1/74; earlier
grants before 6/30/74 not affected by this
decision.
Provides additional explanation of why waste
treatment projects at municipal water treat-
ment utilities are not eligible for con-
struction grants under PL 92-500.
-------
PG 1974 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
37
7/9/74
38
7/16/74
Cancelling PG-28, User
Charges and Industrial
Cost Recovery System
User Charge Systems
(SP) 7/16/76
PG-38
(C) 1/7/81
PRM 81-1
(C) 1/7/81
PRM 81-1
75-19
75-20
40
9/24/74
Obligations and Payments
for Construction Grant
Reimbursement Projects
(C) 7/26/76
PRM 76-2
i
en
Reverses earlier decision to allow UC system
based on ad valorem taxes (see PG-25,
4/5/74)i ICR provisions unchanged.
Pending projects are to be advised ad valoren
tax based user charge system is not accept-
able; existing grant projects to be advised
that ad valorem based user charge system
must be changed or grant may be withdrawn.
This PG and those which supplement it (40A,
B, C and D) primarily discusses internal
procedures, schedules, payments and contact
with states and grant applicants concerning
obligations and grants for reimbursable
projects using $1.9 billion appropriated
under section 206(a) PL 92-500. However,
other items concerning eligibility are also
discussed. All five PC's should be read as
a group. First round payments to be made
based on 50% of applicant's claim for those
applicants which had received a previous
grant; older "woodwork" projects which had
not received a grant to be processed second-
ly » internally establishes cutoff date of
11/30/74 for submission of information and
documentation from applicant to be eligible
for a grant.
-------
PG 1974 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
40A
10/18/74
40B
11/13/74
40C
12/4/74
Obligations and Payments
for Construction Grant
Reimbursement Projects
Construction Grants
Reimbursement Projects
Eligible Costs, Printouts,
Corrections to PG-40A
40D
2/28/75
Obligations and Payments
for Construction Grant
Reimbursement Projects
Second Round
Reimbursements
(C) 7/26/76
PRM 76-2
(C)
7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
Cutoff date for submission of documentation
by applicants extended to 12/31/74; in-
cludes forms to be completed noting percent-
age of construction completed as of 1/31/74.
Reimbursable eligible costs are for con-
struction completed as of 1/31/74; total
grant entitlement (subtracting existing
grants made before 1/31/74 limited to 50%
or 55%; reiterates guidance stated in PG-22
(12/21/73); eligible work completed after
1/31/74 is not acceptable for computing
reimbursement with current $1.9 billion
appropriation; total federal assistance from
all sources (Farmers Home Administrati6n,
Economic Development Administration, etc.)
may not exceed 80% of eligible project costs;
cutoff date for submission of documentation
by applicants on "woodwork" projects
extended to 1/31/75.
Concerns review and confirmation by regional
offices of computer printout sheets pro-
duced by headquarters; advises that cutoff
date of 1/31/75 was published in FR on
11/21/74 (p. 40855).
Based on the number of projects (4222) and
the amount of funds appropriated for reim-
bursement ($1.9 billion) in the final EPA
grant, percentage for each project is
68.709%; first round reimbursements were
limited to 50% of eligible project costs for
construction completed by 1/31/74; reimburse-
ment grants may now be increased (in some
cases, decreased) to 68.709%.
-------
PG 1974 - 1975 Continued
PG #
42
43
44
45
47
49
Dated
10/23/74
11/13/74
12/9/74
12/11/74
3/11/75
N/A
Title
Engineering Services for
Wastewater Treatment
Facilities, Revision of
Fee Structure
Policy Re Retention of
Payments
Escalation Clauses in
Construction Grants
Projects
Use of Value Engineer-
ing in the EPA Construc-
tion Grants Program
Relationship Between
201 and 208 Planning
Eligibility of Land Ac-
quisition Costs for Land
Treatment Processes
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SS) 7/8/75
PG-53
(C) 7/26/76
PRH 76—2
(C) 1/7/81
PRM 81-1
(C) 1/7/81
PRM 81-1
(SS) 1/20/76
PG-63
(SS) 2/9/76
PG-66
(SP) 4/2/76
PG-67
(SP) 12/15/76
PRM 77-5
(C) 8/6/82
CG-82
Redes ig-
nated
PRM No.
75-22
75-23
75-25
Comments
Prohibits engineering contracts based on
"percentage of construction costs" and
suggests other acceptable types of con-
tracts; transmits Attachment O to OMB '3
Circular A- 10 2 and indicates that these
procedures should be followed.
Emphasizes need to make prompt payments to
construction contractors and provides 10%
retainage until 50% project completion;
thereafter reduced to 5% and lower after
project substantially complete; may be
applied retroactively.
Restates that escalation of cost clauses
are not authorized for construction grants
projects.
VE is grant eligible when approved in ad-
vance; redesign resulting from VE is grant
eligible when approved in advance; A/E
contracts requiring redesign may be renego-
tiated from percentage-of-construction
type contracts.
Establishes coordination procedures be-
tween facilities planning and areawide
wastewater treatment management plans while
both are in the process of development.
Guidance on determination of land eligibili-
ty (and ineligibility) for land treatment
(effluent not sludge) systems.
oo
-------
PG 1975 Continued
PG ff
50
51
52
53
54
56
57
Dated
6/6/75
6/25/75
7/2/75
7/8/75
7/8/75
8/5/75
9/8/75
Title
Consideration of Second=
ary Environmental Effects
in the Construction
Grants Process
Questionnaire for
Review of Facilitiy Plans
Field Survey to Identify
Cultural Resources
Affected by EPA
Construction Grants
Projects
Interim Guidance =
Consulting Engineering
Agreements = Title II
Construction Grants
Program
Flood Insurance Require=
ments Effective
July 1, 1975
EPA Procedures in
Initiating Debarment
Actions Against Grantee
Contractors
Cost Control
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 3/81
FP=81
(C) 8/6/82
CG=82
(C) 7/26/76
PRM 76=2
(SP) 3/81
FP=81
(C) 8/6/82
CG=82
(C) 7/26/76
PRM 76=2
(SS) 8/16/76
PRM 76=5
(C) 1/7/81
PRM 81=1
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
Redesig=
nated
PRM HOo
75=26
75=27
75=28
75=29
75=30
Comments
Provides guidance on the evaluation of
secondary (growth enducing) environmental
effects of projects in order to assure
uniform national application 0
Transmits a sample facilities plan review
checklist to be used as guidance 0
Provides guidance on the conduct of field
surveys to identify cultural resources?
indicates eligibility of survey costs to
be made on a case=by=case basis and
reasonableness 0
Provides interim guidance based on pro=
posed regulations dated 5/9/75 and concerns
A/1 contracts and clauses for inclusion
in agreements o
If designated as a flood=prone community ,
grantee must be participating in the flood
insurance program to be eligible for granto
Lists four conditions for initiating debar=
ment proceedings 0
Reemphasizes that projects are to be cost
effective and provides guidance for evai~
uating projects including °°gold plating00
and value engineering 0
I
IO
-------
PG 1975 Continued
PG «
58
59
60
61
62
Dated
9/ /75
2/11/76
8/11/75
12/16/75
12/29/75
Title
Facilitating EIS Prepara-
tion with Joint EIS/
Assessments (Piggybacking)
Compliance with Title VI
in the Construction
Grants Program
Discount Rate
Grants for Treatment and
Control of Combined Sewer
Overflows and Storm-
water Discharges
Allowable Costs for Con-
struction of Treatment
Works That Jointly Serve
Municipalities and
Federal Facilities
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 3/81
FP-81
(C) 8/6/82
\^>ff f ** / ^f f **rmf
CG-B2
V*V7 W *•
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(SP) 12/3/76
PRM 77-4
(op) 3/81
\wJT / ~/ wj.
PP— 81
* * O J»
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
Redesig-
nated
PRM No.
75-31
75-32
75-33
75-34
75-35
Comments
Provides procedures and guidance for the
early identification of projects which may
require the preparation of an environmental
impact statement and procedures for con-
ducting a joint ElS/environmental assess-
ment statement where an acceptable consult-
ant is hired by grantee.
Requires grantee to comply with the Civil
Rights Act; discrimination in providing sewer
service is not to be practiced.
Revised discount rate 6-1/8% effective for
all new facilities planning starts.
Combined sewer projects must demonstrate
that they are cost effective compared with
other alternatives; stormwater projects
generally not fundable except under unusual
circumstances; multipurpose projects to be
proportioned and grant based on pollution
control portion only.
Federal facilities required to pay their
proportional share of design (after 12/29/75)
and construction except if federal 'contribu-
tion is 25,000 gallons/day or less or 5%
or less of the total design flow.
-------
PG 1976 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM Mo.
Comments
63
1/20/76
64
2/5/76
65
5/17/76
66
2/9/76
67
4/2/76
Value Engineering in the
EPA Construction Grants
Program
(C) 8/6/82
CG-82
75-36
Allowability/Eligibili ty
of Miscellaneous Costs
(C) 7/26/76
PRM 76-2
User Charge System:
Plan and Schedule
(C) 8/6/82
CG-82
75-37
Relationship Between
201 Facility Planning
and Water Quality Manage-
ment (WQM) Planning
Eligibility of Land
Acquisition Costs for the
Ultimate Disposal of
Residues from Wastewater
Treatment Processes
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(SP) 12/15/76
PRM 77-5
(C) 8/6/82
CG-82
75-38
75-39
VE mandatory for all Step 2 projects after
7/11/76 with total estimated costs of $10
million or greater; encouraged on other
projects; redesign costs to implement VE
recommendations eligible for grant; VE
training costs may be eligible.
Provides detailed guidance on allowability
of costs applicable to both earlier (PL 84-
660) and later (PL 92-500) projects; lists
35 specific examples (indirect, direct,
studies, reports, etc.).
Emphasizes that grantees are to submit with
a Step 2 application a realistic and de-
tailed plan and schedule for the development
and implementation of a user charge system
during Step 3 construction.
Provides guidance for coordination between
the two planning efforts (facilities plan-
ning and WQM planning) in order to assure
conformity and preclude delays.
Provides detailed guidance concerning the
eligibility of land for disposal of resi-
dues (sludge, grit, ashes) including costs
which are not allowable.
-------
PROGRAM REQUIREMENTS MEMORANDA (PRM)
1976 - 1981
-------
PROGRAM REQUIREMENTS MEMORANDA (PRM)
1976-1981
PRM*
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
76-1
76-2
76-3
7/26/76
7/26/76
8/16/76
76-4
10/14/76
76-5
8/16/76
77-1
77-2
11/23/76
11/29/76
Construction Grants
Program Issuances
Cancellation of Certain
Program Guidance
Memoranda (PGM)
Presentation of Local
Government Costs of
Wastewater Treatment
Works in Facility Plans
Coordination of Construc-
tion Grants Program with
EPA-Corps of Engineers
Section 404/Section 10
Permit Programs
Flood Insurance
Requirements
Treatment Works for
Recreational Parks,
Industrial Parks and
Institutions
Grants Eligibility of
Start-up Services
(C) 1/7/81
PRM 81-1
(C) 1/7/81
PRM 81-1
(SP) 6/21/77
PRM 77-8
(SP) 3/81
FP-81
(SP) 3/81
FP-81
(C) 1/7/81
PRM 81-1
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
Initiates and explains new PRM and POM system and
provides conversion from earlier PG and CG systems.
Lists cancelled PG's and where appropriate reason
for cancellation; renumbers and cross references
remaining PG's as PRM's all beginning PRM 75-1, -2...
Requires full public disclosure of all project costs
and annual or monthly costs to users*
Grantees with projects impacting wetlands or navig-
able waters should consult with the Corps of
Engineers concerning permits.
Requires Step 3 grantees to participate in flood
insurance program where applicable in order to be
eligible for grant; supersedes PG's 25, 25A and 54.
Municipal treatment works are to have priority over
projects solely for recreation and industrial parks
and institutions; if new, parks not eligible; if
existing, possibly eligible.
Generally treatment plant start-up services are
eligible for grant participation; includes limita-
tion of services and also discusses retroactive
application.
-------
PRM 1977 Continued
PRMf
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
77-3
11/29/76
77-4
12/3/76
77-5
12/15/76
ro
77-6
5/4/77
77-8
6/21/77
Plan of Operation for
Municipal Wastewater
Treatment Facilities
Cost Allocations for
Multiple Purpose
Projects
Grant Eligibility of
Land Acquisition by
Leaseholds or Ease-
ments for Use in Land
Treatment and Ultimate
Disposal of Residues
Easements
(C) 8/6/82
CG-82
Funding of Sewage
Collection System
Projects
(SP) 3/81
FP-81
(SP) 2/17/78
PRM 78-4
(C) 8/6/82
CG-82
(C) 5/30/80
PRM 80-3
(C) 1/7/81
PRM 81-1
(SS) 3/8/79
PRM 78-9
Guidance for preparing a plan of operationj pre-
liminary plan of operation should accompany plans
and specifications at the conclusion of Step 2
projectsi includes sample plan of operation and
other considerations .
Provides rationale and mathematical equations for
proportioning costs on projects with multiple
purposes (e.g., treatment/flooding/drainage/solid
waste disposal, etc.)} supplements PG-61.
Costs of leasing land or of obtaining an easement
on land for land treatment processes or ultimate
disposal of sludge are grant eligible if several
conditions are satisfied) supplements PG-49 and
PG-67.
All new Step 2 work hereafter shall include pre-
liminary easement-related work to avoid future
delays; however, grantees not to purchase eligible
land before Step 3 award.
Provides guidance on eligibility of sewers with
regard to date of substantial habitation (10/18/72)i
density criteria; evaluation of other alternatives;
requires additional work during facilities planning;
parts effective immediately and may be retroactive
to projects which have not received approval of
facilities plans.
-------
PRM 1978 Continued
PRM
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
78-1
12/29/77
78-2
78-3
1/26/78
2/17/78
co
78-4
2/17/78
78-6
2/17/78
78-7
2/17/78
Erosion and Sediment
Control in the
Construction Grants
Program
Discount Rate
Buy American
Grant Eligibility of
Land Acquired for
Storage in Land
Treatment Systems
Industrial Cost
Recovery » Guidance
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(SS) 7/9/80
PRM 80-5
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
Combined Step 2 and
Step 3 Construction
Grant Awards
(Step 2+3)
(C) 1/7/81
PRM 81-1
Provides guidelines and general principles for
erosion and sediment control to be used in project
planning, design and construction; may be applied
retroactively.
Revised discount rate 6-5/8% effective 10/1/77j
to be used in new facilities plans.
Step 3 projects must include "Buy American" pro-
visions (preference to domestic construction
materials) in construction contracts.
Land acquired (not lease nor easement) for storage
after 12/27/77 is eligible for grant participation;
supplements PG-49, PG-67, and PRM 77-5.
Implements the ICR moratorium concerning repayment
of federal share of recovered ICR funds; exempts users
of 25,000 gal/day from ICR; releases withheld grant
payments based on noncompliance with ICR provisions;
grantees may collect ICR payments and must continue
to develop ICR system.
Allows combined Step 2+3 grants for communities with
population of 25,000 or less and project costs $2
million ($3 million in high cost states) or less.
-------
PRM 1978 - 1979 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
78-0
78-9
2/13/78
3/8/78
78-10
78-11
78-12
3/17/81
5/11/78
6/12/78
79-1
10/23/78
Rejection of All Bids:
Guidance for EPA
Concurrence Functions
Funding of Sewage
Collection System
Projects
(C) 8/6/82
CG-82
(SP) 3/81
FP-81
Infiltration/Inflow
Program Guidance
Toxicity of Chemical
Grout for Sewer
Rehabilitation
Preconstruction Lag
Management
Safety Requirements
for the Design and
Operation of Chlori-
nation Facilities Using
Gaseous Chlorine
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(SP) 5/30/80
PRM 80-3
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
All bids may be rejected only with good cause and EPA
concurrence; grant may be limited to federal share
of lowest bid if resolicitation is undertaken.
Provides guidance on eligibility of sewers with
regard to date of substantial habitation (10/18/72);
removes density criteria from eligibility deter-
mination but allows density criteria for evaluation
of alternatives to conventional sewerss requires
conventional sewers to be justified based on public
health, groundwater pollution or point source pollu-
tion; applicable to all projects containing collec-
tion systems.
Optional simplified procedures for I/I determination;
less than 1500 gallons/in, diameter/day considered
nonexcessive infiltration.
Notice of alert that a certain grout used in reha-
bilitating sewers may be toxic and exposure by
workers should be completely avoided.
Strengthens procedures to avoid construction delays
and sets conditions for terminating grant.
Sets forth good engineering practices for safety in
design and operation of chlorination facilities;
applicable to all new grants and where practicable
on existing grants.
-------
PRM 1979 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
79-2
11/13/78
79-3
11/15/78
73
\
tn
79-4
79-5
11/17/78
12/28/78
79-7
79-8
3/9/79
5/9/79
Royalties for Use of or
for Rights in Patents
Revision of Agency
Guidance for Evaluation
of Land Treatment
Alternatives Employing
Surface Application
Discount Rate
Construction Incentive
Program
Grant Funding of Projects
Requiring Treatment More
Stringent than Secondary
Small Wastewater Systems
(C) 8/6/82
CG-82
(SP) 3/81
FP-81
(C) 1/7/78
PRM 81-1
(C) 8/6/82
CG-82
(SP) 9/5/79
PRM 79-11
(SP) 3/81
FP-01
Royalties to be avoided where possible but if
justified are allowable for grant participation;
procedures and criteria for justification are set
forth in this PRM.
Land treatment must be given very serious considera-
tion during facilities planning; three systems must
be evaluated; applicable to new facilities plans and
those not presently approved) emphasizes agency's
commitment to land treatment; pretreatment prior to
land application to comply with EPA design manual
or possibly unallowable for grant.
Revised discount rate 6-7/8% effective 10/1/78; to
be used on new facilities plans.
Incorporates a voluntary construction incentive
clause in Step 3 projects; provides formula for com-
puting financial reward for realized savings;
applicable to projects with Step 3 eligible cost of
more than $10 million.
Projects providing greater than secondary treatment
are to be justified and receive special review at. -
EPA regions (less than $1 million) or EPA head-
quarters (more than $1 million).
Sets forth agency policy for funding privately and
publicly owned small systems; guidelines for expen-
sive projects; coordination with FmHA; lists other
eligible and ineligible costs for small systems.
-------
PRM 1979 - 1980 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
79-10
79-11
7/12/79
9/5/79
80-1
80-2
11/26/79
12/20/79
80-3
5/30/80
80-4
7/17/80
Qualifications of Major
Items of Equipment
Funding of Waste Load
Allocations and Water
Quality Analysis for
POTW Decisions
Discount Rate
Step 2 and Step 3
Architect/Engineer Level
of Effort Study
Management Reforms to
Reduce the Time Inter-
val Between Step 3
Grant Award and
Initiation of
Construction
Implementation of Women's
Business Enterprise
Support Program
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
(SP) 8/29/80
PRM 80-7
(C)
8/6/82
CG-82
Sets forth procedures for prequalifying equipment
without restricting free and open competition.
Grant funds may be used to conduct waste load allo-
cation studies where treatment more stringent than
secondary is proposed; requires EPA and state
approval.
Revised discount rate 7-1/8% effective 10/1/79i to
be used on new facilities plans.
Announcement of a study to help determine reason-
ableness of A/E design and inspection costs for
grant assisted projects; distributes publication
from EPA Dallas regional office concerning level
of A/E effort for design and inspection services.
Sets forth policies and procedures to reduce the
time delay between Step 3 grant award and initia-
tion of construction for four problem areas, namely,
acquisition of real property (including easements),
local funding requirements, service agreements
(intermunicipal) and cultural resource investiga-
tions.
Establishes a 2% national goal for participation
by women-owned firms in the Construction Grants
Program; reasonable WBE liaison services allowable
for grant participation.
-------
PRM 1980 - 1981 Continued
PRM ft
80-5
80-6
80-7
81-1
81-2
Dated
7/9/80
7/21/80
8/29/80
1/7/81
11/19/80
Title
Buy American
Retroactive Application
of Program Requirements
Grant Eligibility of
Minority Business Enter-
prise and Women's
Business Enterprise
Liaison Services
Issuance of Program
Requirement
Memorandum
Discount Rate
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
Comments
Sets forth a three-step procedure for evaluating
the application of the Buy American provisions;
discusses the 50% rule and 6% price preference.
States agency policy on retroactive application of
requirements; in general new requirements do not
apply to Step 3 projects under construction or
likely to be under construction in six months; new
requirements will only apply to existing projects.
where necessary to implememt new laws or correct
serious program deficiencies.
States policy under which MBE and WBE liaison
services are eligible for grant participation.
Cancels many previous PRM.ts; identifies those to
be cancelled upon publication of Facilities
Planning 1981 (FP-81) .
Revised discount rate 7-1/8% effective for all
new facilities plans started 60 days after date
of PRM, i.e., 1/19/81.
JO
I
-------
HANDBOOK OF PROCEDURES
-------
1975-1984
Handbook of Procedures
Allowable and Unallowable Costs
Acquisition of Privately or Publicly
Constructed Waste Treatment Facilities
Administration Building
AE Services
Aesthetics
Assistance with State and Federal Regulations
Bid Bond Forfeiture
Biological "Seeding"
Bond Costs
Bonus Payments
Building Maintenance Equipment
Certificate as to Title to Project Site
Change Orders
Claims (defense)
Claims (settlements)
Collection System Maintenance Equipment
Computers
Crossover Sewers
Defects in Plans and Drawings (Subagreements
for Correction of )
Delays
Demolition of Existing Structures
Federal Facilities
Federal Statutory Procedures (Compliance with)
Field Surveys to Identify Cultural Resources
Financial Reports and Studies
First Year of Operation (A/E)
Fringe Benefits
Furnishings (incl. Draperies, Furniture, and
Office Equipment)
First
Edition
7/75
X
X
X
X
X
X
X
X
X
X
X
X
X
TM No.
76-1*
8/76
X
TM No.
77-1
1/77
TM No.
78-1
2/78
Second
Edition
10/79
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Third**
Edition
10/84
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
-------
HANEBOOK (Continued)
Allowable and Unallowable Costs
Grantee Employee Salaries and Benefits
Grantee Employees Transportation
Grantee Training Workshops
Groundwater Monitoring Facilities
Individual Systems
Industrial (Planning) (Use of Facilities)
Infiltration/Inflow
Inspection
Labor Charges and Related Costs
Laboratory Equipment, Chemicals and Supplies
Liquidated Damages
MBE/WBE Liaison Services
Mobile Equipment
New Habitation Capacity or Establishments on
Environmentally Sensitive Land
Plan of Operation (and O&M manual)
Pretreatment Program
Procurement
Professional Liability Insurance
Protests (Procurement) (Legal and Engineering
Services )
Public Liaison Services
Public Participation (On-Site Visits)
Rate Studies
Redes ign/Replanning Costs Resulting from
Changes in Federal Requirements
Replacement Parts
Restoration of Streets and Rights-of-Way
Royalties and Patents
Safety Equipment
First
Edition
7/75
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
TM No.
76-1*
8/76
TM No.
77-1
1/77
TM No.
78-1
2/78
Second
Edition
10/79
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
Third**
Edition
10/84
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
-------
HANDBOOK (Continued)
Allowable and Unallowable Costs
Services (Non-engineering; Required during
Construction by State or Local Law)
Shop Equipment
Site Acquisition vs. Site Preparation Costs
Site Screeening
Small and Onsite Systems
Special Assessment Districts (Establishment
of)
Start-up Services
Subagreements (building)
Tools
Transportation of Liquid or Dewatered Wastes
Travel Costs
Uniform Relocation Assistance and Real
Property Acquisition Policies
Utilities
First
Edition
7/75
X
X
X
X
X
X
X
TM No.
76-1*
8/76
X
TM No.
77-1
1/77
X
X
TM No.
78-1
2/78
X
X
Second
Edition
10/79
X
X
X
X
X
X
X
X
Third**
Edition
10/84
X
X
X
X
X
X
X
X
X
CO
* TM 76-1 contains a revision to the general "Allowability Determinations" and reads, "The cost items listed below
are applicable to both PL 84-660 and PL 92-500 projects. In making eligibility determinations, consideration
should be given to commitments previously made to grantees in the absence of prior National policy, pertinent
statutes or regulations."
** Only those allowable/unallowable costs which are expanded in the Handbook are listed here. "Appendix A" costs
(from 2/17/84 regs), which are repeated verbatim in the Handbook but not annotated, have been omitted.
-------
AUDIT RESOLUTION BOARD DECISIONS
-------
AUDIT RESOLUTION BOARD DECISIONS (ARE)
1980-1984
ARB
Decision
Number
Dated
Title
Comments
2/21/80
1A
1/19/81
x
i
2/21/80
2/21/80
Allowable Base for Determining
Design Fees as a Percentage
of Construction Cost
Applicability of Paragraph B5
of Appendix D to both PL 84-660
and PL 92-500 Projects
(Clarification of Decision on
ARB-1)
Allowability of Bond Costs
Claimed Under PL 92-500
Unaudited Costs Allowed to
Match Costs Questioned in
Final Audit Report
Limits the base for computing design fees on grants
awarded under Subpart E to the low, responsive,
responsible bid for construction plus (or minus) the
cost of change orders approved before 12/17/75
where construction was initiated prior to that date;
not applicable if final payment was made before
12/17/75.
Concludes that the policies and procedures contained
in Appendix D to 40 CFR Part 35 Subpart E entitled
"EPA Transition Policy - Existing Consultation
Engineering Agreements" is equally applicable to
grants awarded under PL 92-500 and section 8 of
Public Law 84-660.
Bond costs (other than interest) such as expenses to
prepare the prospectus, printing, advertising,
issuing, etc. are allowable project costs on Step 3
grants awarded on or before 2/5/76; bond costs under
PL 92-500 grants awarded after 2/5/76 are not eligible
for grant participation.
Additional costs may be claimed by grantee after final
audit; however, the additional costs not considered in
determining allowable costs until the additional costs
are subjected to audit.
Effective immediately on all cases for which EPA has not yet rendered a final determination.
-------
ARB 1980 - 1984 Continued
ARB
Decision
Number
Dated
Title
Comments
1/19/81
X
I
1/19/81
11/3/81
11/3/81
Unsupported Service Charges
Clarification of Construction
Grants Regulation 40 CFR
35.925-18 ("Limitation upon
project costs incurred prior
to award")
Allowability of Unsupported
Grantee Claims
Improper Renegotiated
Engineering Subagreement
Costs - Interim Audit Report
No. P2bw9-01-0019-91234
Service charges (as used here, refer to a predeter-
mined percent of actual direct nonsalary items such
as special consultants, printing, communication,
travel) are allowable for grant participation only if
supported by accounting records; many times, a
separate pool for these costs is not maintained and
they are additionally invoiced as part of the over-
head (duplicate billing).
Planning and design costs falling within the transi-
tion provisions of 40 CFR 35.925-18(a)(2) and (a)(3)
may be reimbursed under the next awarded grant
regardless of step, i.e., it is not necessary to award
individual PL 92-500 Step 1 and Step 2 grants.
Reinforces the necessity by the grantee of maintaining
records which fully disclose the amount and dis-
position of grant funds and facilitate an effective
audit in order for costs to be allowable for grant
participation.
Grantee renegotiated a pre-existing percentage-of-
construction-cost contract into a fixed-price contract
without adequate negotiation and cost review; there-
fore, costs allowable for grant participation are
limited to incurred costs plus the dollar profit
specified in the contract.
Effective immediately on all cases for which EPA has not yet rendered a final determination.
-------
ARE 1980 - 1984 Continued
ARE
Decision
Number
Dated
Title
Comments
10
3/11/82
11
3/11/82**
Effect of a Region's Prior
Approval of Construction
Grant Specifications Upon the
Agency's Ability to Disallow
Unreasonable Costs
Allowability of Undocumented
Overtime Charges
X
GO
13/14
2/24/84
Criteria for assessing the
allowability of aesthetic
features and landscaping on EPA
construction grant projects
Unreasonable costs (in the instant case, aesthetic
features) are not allowed for grant funding; EPA's
review and approval of plans and specifications does
not absolve the grantee of its responsibility to
properly design and construct the project nor make
unallowable costs allowable; in the instant case,
the ARB found for the grantee.
Engineer used a cost-multiplier type contract but
credited professional employees with compensatory time
in lieu of overtime pay; engineer's records could not
substantiate that employees used compensatory time and
therefore costs are not allowable for grant
participation; reinforces documentation and record
requirements of ARB decision #4.
Aesthetic features and landscaping allowable if the
item is generally allowable item under regulations
and there is connection between project and: (1)
conformity of facility to surrounding areas (e.g.
building style, landscaping; (2) conformity to
standard design and construction practices for
similar facilities; (3) necessity for public
acceptability, avoid environmental degradation
or safety; and/or (4) cost-effectiveness.
* Effective immediately on all cases for which EPA has not yet rendered a final determination.
** Effective for all grants awarded prior to issuance of the Handbook of Procedures.
-------
ARE 1980 - 1984 Continued
ABB
Decision
Number
Dated
Title
Comments
13
(Addendum
No. 1)
2/24/84
Allowability of sprinkler,
gate, steps and sidewalk
X
I
-p*
13
(Addendum
No. 2)
16
4/18/84
7/24/84
Blue Plains Administrative
Building
Eligibility of Costs Incurred
for Alleged Economic Develop-
ment Purposes
Costs for lawn sprinkler system, electronically con-
trolled entrance gate, and second set of steps and
sidewalk are allowable. The first two items were
determined to be functional items with probable
justification as labor-saving and cost-effective. The
third item was determined not inconsistent with
standard design practices for such structures.
Aesthetic features allowable because of highly visible
location of facility and its public nature.
Sewer lines were constructed in undeveloped areas.
ARE concluded that there is not sufficient basis to
pursue recovery of appropriate portion of grant
because of absence of clear statutory, regulatory
or policy guidance in effect at the time of grant
identifying the limits of allowable costs for future
growth.
Effective immediately on all cases for which EPA has not yet rendered a final determination.
-------
APPENDIX A
BOARD OF ASSISTANCE APPEALS DECISIONS
SUBJECT INDEX AND CHRONOLOGICAL LISTING
-------
DRAFT
Assistance Appeals Subject Index*
Current as of February 6, 1985
Alienability of Costs for Grant Funding
Accounting Method
76-16t
79-08t
79-34t
80-73tt
82-61t
Allocation
78-0 4t
80-13t
80-61tt
82-74tt
Direct
7 9-0 9 t
80-25tt
80-102t
81-92t
79-09t
tt 80-18tt
80-64tt
t 82-79t
Costs
79-29t
80-28t
t 81-17tt
82-12t
79-18t tt
80-26tt
80-69tt
82-131t
80-Olt
80-57tt
81-18
82-122t
79-29t
80-31t
80-85t
83-99t
80-09tt
80-65tt
81-58tt
83-45t
79-43t tt
80-56tt
81-03t
80-12tt
80-70tt
81-71t
83-129ttt
80-Olt
80-60tt
81-57t
80-17tt
80-81t
81-89t
Documentation
76-16t
79-4 3t
80-54t
80-101t
77-06t
tt 80-22t
80-64tt
80-114tt
81-62ttt 81-63tt
81-79tt
81-98t
82-15tt
82-44t
82-92
82-122t
83-74t
Federal
75-23t
82-61t
81-84t
81-102tt
82-19t
82-47
82-93t
82-90tt
83-75t
77-22t
80-28t
80-72tt
81-02t
81-72tt
81-89t
81-112t
82-20t
82-48t
82-96t
82-125ttt
83-87t
79-09t
80-29tt
80-77t
81-03t
81-73tt
81-92t
81-113
82-28ttt
82-53t
82-97t
83-45t
79-29t
80-41t
80-81t
81-42t
81-74t tt
81-93tt
82-10t
82-29t
82-79t
82-113t
83-58t
79-36t
80-51t
80-97t
81-47tt
81-77t
81-97t
82-12t
82-37tt
82-86tt
82-119t
83-60t
Cost Principles
80-13t tt
80-54t
80-76t
80-83tt
81-89t
Force Account
79-18t
80-55tt
81-06t
81-99t
83-75t
tt 80-09tt
80-57tt
81-31tt
81-109t
80-10tt
80-64tt
81-43t
82-44t
80-13t tt
80-94tt
81-74t tt
82-54t
80-36tt
80-101t
81-77t
82-73
80-49tt
80-113t
81-86tt
83-71
* Key: Pending appeals are designated by docket numbers with-
out symbols. Decisions and other determinations of the Board
of Assistance Appeals are designated by docket numbers with the
following symbols:
t Decided Appeal
tt Ruling on Procedural/Jurisdictional Motion or Order
ttt Reconsidered Appeal
-------
-2-
Fringe Benefits
77-22t
80-113t
82-86tt
79-08t
81-21t
79-09t
81-79tt
79-34t
82-15tt
Incurred After Completion Date
79-43t tt 80-54t
81-23t 81-26tt
81-109t 82-06t
83-33t 83-41t
83-134 83-141t
80-62tt
81-54t
82-77t
83-45t
Incurred Before Grant Award
75-17t 75-36t
80-39t tt 80-62tt
82-65t
76-Olt
80-113t
80-94tt
81-57t
82-99t
83-60t
79-08t
81-20tt
80-54t
82-73
80-101t
81-89t
83-106t
83-74t
79-10t
81-78t
indirect Costs
General Municipal Administrative Expenses
80-85t
82-79t
80-109t
81-107t
82-131t
83-78t
79-43t tt
81-79tt
78-14t
80-54t
81-23t
82-28ttt
82-103tt
83-122t
78-17t
80-79t
81-35t
82-32tt
82-106t
83-125
78-19t
80-80t
81-36t
82-37tt
82-125ttt
79-08t
80-85t
81-67t
82-53t
83-05ttt
79-43t tt
80-106t
81-84t
82-73
83-74t
80-51t
81-03t
81-89t
82-97t
83-97t
Generally
78-12tt
80-113t
81-43t
83-138
79-04tt
81-03t
81-74t tt
80-26tt
81-06t
81-89t
Indirect Cost Rate
80-70tt
82-64t
80-80t
83-75t
81-03t
80-27tt
81-08tt
82-lltt
81-36t
80-30tt
81-38t
82-12t
80-65tt
81-40tt
82-94t
81-76tt 81-107t
Interest Against the Government
80-50tt 80-54t 81-37t 81-42t
83-112t
Outside Scope of the Project
77-13t 80-51t 80-79t 80-80t
81-99t 81-115tt 82-17t
82-06t 82-133t tt
81-54t 81-89t
Overhead
80-07t
81-97t
80-17tt
82-56
80-52t
82-61t
80-81t
83-97t
81-03t 81-21t
Profit
80-07t
81-49t
80-30tt
82-64t
80-65tt
82-93t
80-81t
81-21t 81-36t
-------
-3-
Reasonableness
79-18t
80-23t
80-97t
81-98t
83-19t
83-89t
Audits
Access
78-06t
Record
77-06t
8 0-0 It
80-97t
81-89t
82-96t
tt 79-36t
80-39t tt
81-02t
82-23t
83-58t
8 3- 9 It
to Records
Retention
78-06t
80-13t tt
81-03t
81-92t
83-87t
79-43t
80-52t
81-03t
82-79t
83-59t
79-15t
80-22t
81-38t
81-98t
tt 80-Olt
80-54t
81-49t
82-96t
83-72t
79-18t tt
80-23t
81-62ttt
82-20t
80-07t
80-63t
81-77t
82-99t
83-74t
79-29t
80-28t
81-77t
82-46tt
80-13t
8 0-7 6 t
81-89t
82-119t
83-78t
79-36t
80-54t
81-81tt
82-79t
Board of Assistance Appeals
Burden
75-16t
78-19tT
8 0-0 It
80-26tt
80-60tt
of Proof
75-38t
78-20tt
80-07t
80-39t tt
80-61tt
80-116tt 81-02t
81-62ttt 81-66t
82-24t
82-99t
83-33t
83-97t
Cost of
80-54t
Issues
82-26t
82-105t
83-45t
83-99t
Appeal
80-80t
on Appeal
76-20t
79-09t
80-13t
80-52t
80-64tt
81-21t
81-74t
82-28tt
82-106t
83-60t
83-106t
80-97t
77-21t tt
79-18t tt
tt 80-18tt
80-54t
80-69tt
81-23t
tt 81-98t
t 82-53t
82-125ttt
83-74t
tt83-112t
81-36t
78-14tt
79-25t
80-22t
80-55tt
80-80t
81-35t
81-107t
82-79t
83-05ttt
83-75t
83-124t
78-15tt
79-36t
80-23t
80-56tt
80-85t
81-36t
82-19t
82-86tt
83-09tt
83-91t
tt
80-28t 81-79tt 81-89t 82-65t 83-106t tt83-122t
Jurisdiction
Bid Protests
75-37t
79-42tt
82-03t
Deviations from Regulations
77-13t
80-79t
78-Olt
80-110tt
79-48tt
81-54t
80-22t
81-77t
80-40tt
82-110t
-------
-4-
Equitable Powers
75-07t
79-49t
80-22t
Final Disputes Decision
81-77t
77-21t tt
80-85t
81-89t
82-28ttt
83-131tt
79-18t tt
80-97t
81-96t
82-60t
83-132tt
79-48tt
80-113t
81-103tt
82-125ttt
83-133tt
80-13t t
81-36t
81-108t
83-05ttt
83-137tt
82-03t
82-26t
80-53tt 80-79t
81-74t tt 81-79tt
82-02tt 82-16tt
83-106t tt83-126tt
83-139tt
Generally
78-14tt
80-22t
80-64tt
81-62ttt
83-133tt
78-19t
80-26tt
80-69tt
81-79tt
79-48tt
80-55tt
80-80t
81-96t
79-49t
80-56tt
80-105t
82-26t
80-Olt
80-60tt
80-113t
82-65t
80-18tt
80-61tt
81-33ttt
83-45t
Notice of Appeal
78-Olt 78-23tt 79-18t tt 79-25t 80-13t tt 83-05ttt
Parties to Appeal
79-38tt 80-80t 80-103tt 82-61t
Reconsideration
74-08ttt
80-26tt
80-64tt
82-57t
74-09ttt
80-39t tt
80-69tt
82-74ttt
75-05ttt
80-55tt
81-23t
82-122t
75-06ttt
80-56tt
81-33ttt
83-129ttt
79-36t
80-60tt
81-74t tt
80-18tt
80-61tt
82-37tt
Standard of Review
79-49t
82-26t
80-Olt
82-30t
80-39t tt
82-74ttt
81-57t
82-79t
81-66t
82-96t
81-115tt
83-09tt
Procedures
Deadlines
74-13tt 76-21tt 83-106t tt83-129ttt
Dismissal
74-l3tt 81-80tt 83-05ttt
Generally
80-85t 80-110tt 81-16t 82-23t 83-05ttt
Panel Appointment
80-89t tt 80-98tt
Clean Air Act
77-06t 78-06t 79-09t 79-29t 80-28t 80-77t 81-38t
81-62ttt 81-79tt
-------
-5-
Clean Water Act
Wastewater Treatment Works Construction Grants
Abandonment of Treatment Works
81-02t
Acquisitions
Land
76-Olt
80-54t
81-55tt
82-74ttt
77-20t
80-85t
81-67t
80-Olt
80-97t
81-68tt
80-31t
81-02t
82-19t
80-38tt
81-42t
82-23t
Treatment Works
74-08ttt
76-18t
74-09ttt
78-26t
75-05t tt 75-06t tt 76-Olt
81-19t 81-119tt
Additions to Treatment Works
75-0 It
81-58tt
75-25t
82-24t
78-26t
82-66tt
80-76t
80-117tt 81-35t
Advanced Wastewater Treatment
78-07 81-96t
Alternative Technology
Applicable Regulations
81-62ttt 82-47
83-59t 83-72t
Architect/ Engineer ing
79-10t
80-Olt
80-38tt
80-79t
80-110tt
81-31tt
81-77t
82-37tt
82-77t
82-97t
83-39t
83-60t
83-97t
Bond Costs
74-13tt
81-86tt
79-15t
80-04tt
80-39t tt
80-80t
81-05tt
81-32tt
81-80tt
82-49tt
82-80t
82-106t
83-41t
83-67t
83-108
79-36t
82-19t
82-81
83-73t
Services
79-18t tt
80-07t
80-52t
80-85t
81-06t
81-36t
81-97t
82-53t
82-86tt
82-113t
83-45t
83-72t
83-122t
80-Olt
82-92
83-106t
tt
82-110t
83-110t
83-45t
79-33t
80-13t tt
80-63t
80-89t tt
81-20tt
81-43t
81-98t
82-56
82-90tt
83-llt
83-50
83-74t
83-127
79-43t tt
80-1 4tt
80-64tt
80-94tt
81-21t
81-49t
82-17t
82-57t
82-94t
83-33t
83-58t
83-78t
83-141t
79-47t
80-22t
80-72tt
80-104tt
81-22t
81-58tt
82-20t
82-65t
82-96t
83-35tt
83-59t
83-87t
80-09tt
80-54t
81-32tt
-------
-6-
Collectors and Interceptors
74-12t 75-09t 75-10t 75-llt 75-12t 75-13t
75-14t 75-15t 75-16t 75-17t 75-21t 75-39t
76-20t 77-02t 77-17tt 77-18t 78-12tt 79-25t
79-49t 80-22t 80-105t 81-04T 81-98t 82-55t
83-05ttt 83-06t
Cost Effectiveness
75-0 It
81-19t
75-05t tt
81-106t
Crossover Sewers
77-09tt
80-54t
79-33t
82-74ttt
79-43t tt
83-05ttt
Duplicative Costs
77-22t 79-33t 79-34t 79-38tt
81-02t 81-58tt 81-74t tt 82-19t
82-105t 82-125ttt 83-35tt 83-43t
Eligibility of Applicant
75-07t 78-26t 83-05ttt
Industrial Cost Recovery
79-49t
80-22t
83-12t
80-07t
82-28ttt
81-02t
80-54t
82-79t
Industrial Sources
75-30t
79-49t
81-99t
Initiation of Construction
74-07t
75-38t
77-15tt 78-26t
81-114tt
Innovative Technology
82-110t
Landscaping
81-32tt 81-34tt 81-101tt
Legal Fees
Claim Defense
82-05 82-26t 83-44
Claim Prosecution
78-14tt 78-19t
83-130
83-05ttt 83-93
83-131tt
-------
-7-
Equal Access to Justice Act
80-80t
Generally
79-36t 80-Olt 80-04tt 80-54t
80-104tt 81-32tt 81-36t 81-42t
82-05 82-53t 82-77t 82-80t
80-80t 80-97t
81-95tt 81-9 81
82-119t 83-05ttt
Municipality
75-03t
Operation and Maintenance
79-38tt 80-26tt 81-21t 81-89t
82-103tt 83-45t 83-109t 83-112t
81-112t 82-17t
83-129ttt
Plans and Specifications
80-04tt 80-63t 80-64tt 80-80t
81-94tt
Pollution Control Need
75-1It
82-17t
80-22t
82-24t
81-50tt
81-66t
81-69t
81-106t
Project Inspection
78-06t 79-36t
81-23t
81-98t
82-77t
83-39t
83-78t
81-26tt
81-106t
82-99t
83-41t
83-134
Redesign Costs
79-43t ft
83-73t
80-38tt
83-74t
Regionalization
74-08ttt 74-09ttt
78-14tt 78-15tt
80-Olt
81-32tt
81-107t
82-106t
83-43t
83-141t
80-80t
83-112t
80-26tt
81-43t
81-109t
82-113t
83-45t
81-33ttt
83-140t
75-05t tt 76-17tt
78-19t 78-20tt
80-109t
81-44tt
82-20t
82-131t
83-60t
82-94t
77-19tt
81-84t
81-06t
81-89t
82-57t
83-33t
83-74t
83-12t
78-08tt
Reimbursement for Pre-Award Costs
74-07t 74-13tt 75-25t 76-18t
77-15tt
80-39t tt
Replacement of Treatment Works
77-02t 79-38tt 79-49t 82-110t
83-135t
-------
-8-
Sewer Use Ordinance
80-54t 80-79t 81-ll2t
States
Approval
75-Olt 80-89t 82-66tt 83-135t
Certification
80-89t tt 81-54t 82-65t
Delegation to State Agencies
75-03t 80-79t 81-54t 82-17t 82-74ttt 82-118t
83-126t 83-137tt
Priority List
80-89t tt 81-19t
Street Repair
77-21t tt 81-47tt 81-115tt 83-43t 83-61 83-62
83-137tt
User Charge System
76-04t 80-95tt 80-116tt 83-39t 83-112t
79-12t 79-18t tt
80-07t 80-13t tt
80-81t 80-97t
81-54t 81-56
81-89t 81-98t
82-26t 82-47
82-133t tt 83-129ttt
Grant Administration
Amendments
77-13t 80-03t 80-89t tt 80-116tt 81-69t 81-114tt
83-135t
Annulment
81-106t
Breach
81-16t 81-114tt
Estoppel
74-07t
79-34t
80-22t
81-03t
81-62ttt
81-112t
82-61t
83-135t
75-25t
79-36t
80-50tt
81-33ttt
81-66t
81-114tt
82-64t
75-37t
79-47t
80-52t
81-37t
81-69t
82-06t
82-74ttt
78-23tt
79-49t
80-54t
81-50tt
81-77t
82-19t
82-92
-------
-9-
Characterization
Contract
76-02t 80-105t 81-114tt 83-59t
Cooperative Agreement
Trust
79-18t tt 80-13t tt 80-23t
83-112t
82-53t
83-09tt 83-74t
Conditions
81-16t
81-58tt
De-Obligation of Grant Funds
81-105tt
In-Kind Contributions
81-27tt
Matching Funds
81-16t 81-65tt
Project Changes
Generally
77-13t 79-43t tt 80-03t 80-54t
81-23t 81-54t 81-107t 82-23t
80-105t
81-22t
Grant Amount
Decrease
81-103tt
Increase
78-14tt 78-19t
80-116tt 81-23t
82-119t 82-131t
Prior Approval
78-14tt 78-19t
80-79t 81-98t
83-74t
78-17t
81-54t
83-110t
79-10t
81-99t
79-36t
81-107t
83-135t
79-18t tt
82-26t
80-79t
81-112t
79-36t
82-66tt
80-89t tt
82-66tt
80-13t tt
82-79t
-------
-10-
Schedule
Recoupment of Grant Funds
76-02t 78-06t 79-12t 79-18t tt 80-Olt 80-13t tt
80-28t 80-97t 81-03t 81-45tt 81-56 81-75t
81-79tt 81-92t 81-98t 82-18tt 82-28ttt 82-53t
82-125ttt 83-106t tt
Suspension
80-03t
Termination
76-02t 81-114tt 82-118t 83-76tt
Withholding of Grant Funds
80-83tt 80-104tt
Grant Related Income
Generally
81-68tt 82-106t
Interest on Grant Funds
Earned
79-18t tt 80-13t tt 80-50tt 80-57tt 80-58tt 80-71tt
80-83tt 81-37t 81-52tt 81-58tt 82-06t 82-53t
82-133t tt 83-124t
Imputed
79-18t tt 80-13t tt 81-86tt 81-102tt 81-106t
Grant Types
Advance Payment
80-50tt 81-37t 82-06t 82-133t tt
Reimbursement
80-50tt 81-37t 82-06t 82-44t 82-133t tt
-------
-11-
Grantee's Management Responsibilities
Financial Management
81-16t 81-114tt
Project Management
79-10t 79-36t
80-109t 81-02t
82-23t 82-131t
83-106t tt 83-112t
Grantor's Responsibilities
81-69t 81-78T 82-03t
82-80t
79-38tt
81-33ttt
83-09tt
80-52t 80-54t
81-115tt 82-05
83-19t 83-33t
80-80t
82-17t
83-66tt
Subagreements
Change Orders
75-37t 79-18t tt
80-26tt 80-40tt
81-21t 81-33ttt
81-98t 81-107t
82-53t 82-60t
83-21t 83-52
83-130
Compensation
79-18t tt 79-43t tt
80-54t 80-80t
81-97t 81-98t
83-33t 83-59t
Contract Clauses
Escalation Clause
79-36t
80-75tt
81-35t
82-03t
82-103tt
83-59t
80-Olt
81-21t
81-106t
83-67t
80-07t
80-83tt
81-39tt
82-16tt
82-105t
83-60t
80-13t tt
81-36t
82-90tt
83-89t
80-14tt
80-94tt
81-71t
82-36tt
83-09tt
83-91t
80-39t tt
81-62ttt
82-96t
83-122t
80-19tt
80-101t
81-86tt
82-45tt
83-12t
83-110t
•
80-52t
81-77t
83-llt
82-60t
Generally
76-15t 80-23t 81-97t
Contractor1 s Failure to Perform
80-54t
83-60t
81-23t
83-67t
81-89t
83-74t
83-06t
82-131t
83-09tt 83-45t
Cost and pricing Data
79-15t 80-52t 80-81t
-------
-12-
Generally
80-17tt 80-23t 80-81t 81-08tt 81-22t
Interest on Fees Paid
80-54t
Minority and women's Business Enterprise Requirements
81-96t 82-03t
Procurement
Formally Advertised
75-37t 82-03t 82-19t 82-106t 83-106t ft
Negotiated
75-37t 82-03t
Types
Cost Plus
Fixed Fee
81-22t 81-21t 81-23t 81-49t 82-20t
83-138
Multiplier
79-43t tt 80-52t 81-21t
Percentage of Construction Cost
79-18t tt 79-43t tt 79-47t 80-39t tt 80-52t
80-85t 81-16t 81-22t 81-97t 81-98t
81-112t 82-96t 82-106t 82-112t 83-llt
83-33t 83-41t 83-58t 83-59t 83-67t
83-72t 83-78t
Percentage of Cost
80-13t tt 80-16tt 80-34tt 80-55tt 80-68tt
80-71tt 80-85t
Fixed Price
80-30tt 80-39t tt 80-52t 81-49t 81-69t 81-77t
82-65t 83-106t tt83-122t
Uniform Relocation and Real Property Act
77-20t
-------
CHRONOLOGICAL LIST OF ASSISTANCE APPEALS DECISIONS
Docket No.
76-04
75-01
76-01
75-30
75-37
77-18
75-03
77-20
76-02
75-06
74-08/74-09
77-02
75-05
75-14
78-01
78-23
76-21
76-16
76-18
77-21
77-22
AND OTHER SELECTED DETERMINATIONS
Assistance Appeal Case Name
City and Borough of Juneau, Alaska
City of Warren, Michigan
City of Arnold, Missouri
City of Washington, Missouri
City of Spokane, Washington
City of Sycamore, Illinois
Kansas Turnpike Authority
City of Columbia, South Carolina
Brooklawn Dairy Farm
City of Casselberry, Florida
Western Monmouth Utilities Authority
Wheaton Sanitary District
Uwchlan Township Municipal Authority
City of Terre Haute, Indiana
Village of Deer Creek, Illinois
City of Kansas City, Kansas
(Ruling on Motion)
Harriman, Tennessee
Cowlitz County, Washington
Heart of the Valley Metropolitan
Sewerage District, Wisconsin
City of McEwen, Tennessee
(Ruling on Motion)
City of Fairfield, California
Date of Decision
7-28-76
5-25-77
6-30-77
8-15-77
11-30-77
12-29-78
3-02-79
4-27-79
5-08-79
8-08-79
9-21-79
10-04-79
11-26-79
12-21-79
1-04-80
1-17-80
1-23-80
1-24-80
2-28-80
3-05-80
3-05-80
-------
-2-
Docket No.
75-07
79-38
74-12/75-15
75-06/74-08
74-09/75-05
75-19
75-13
79-34
75-12
77-13
75-17
75-25
75-21
75-10
79-15
75-39
80-31
75-41
75-06/74-08
74-08/75-0.5
79-33
78-17
80-48
80-103
Assistance Appeal Case Name
Rice Water Supply and Sewer Services
Corporation, Rice, Texas
Louisville and Jefferson County M.S.D.,
Kentucky (Order)
City of Fort Wayne, Indiana
City of Casselberry, Florida, et al.,
(Reconsideration)
City of Batavia, Illinois
City of Columbus, Ohio
City of Olympia, Washington
Stark County, Ohio
Village of Elburn, Illinois
City of Willoughby, Ohio
City of Miama Beach, Florida
City of Joliet, Illinois
City of Maple Heights, Ohio
Sacramento Regional County Sanitation
District, California
Sanitary District of Elgin, Illinois
City of Sanborn, Iowa
Village of Milan, Illinois
City of Casselberry, Florida, et al.
(Reconsideration)
Clarksville, Tennessee
City of Columbus, Ohio
Town of Hampton, New Hampshire
The City of Orlando, Florida
Date of Decision
3-20-80
3-25-80
4-01-80
4-18-80
4-28-80
5-22-80
5-22-80
6-16-80
6-20-80
7-01-80
7-15-80
7-21-80
7-24-80
7-29-80
9-02-80
9-15-80
9-30-80
10-01-80
11-07-80
12-12-80
12-12-80
12-12-80
-------
-3-
Docket No.
75-36
75-38
80-103
80-23
79-18/80-13
77-06
75-23
79-12
79-49
75-11
79-42
79-16
80-106
81-103
81-108
75-09
80-77
80-105
76-15
80-83
79-36
80-76
Assistance Appeal Case Name
Hiwassee Utilities Commission
Douglas County Sewer Improvement
District, No. 1, Nevada
Orange County, Florida (Formerly known
as The City of Orlando, Florida)
(Order)
City of Reno, Nevada
County Sanitation Districts of
Los Angeles County
City of Gary Indiana Air Pollution
Control
Campbell, Ohio
City of Olathe, Kansas
Carlstadt Sewerage Authority
City of Springfield, Ohio
Mt. Pleasant, Michigan
City of Clyde, Ohio
Laurel, Mississippi
Ocean County Utilities Authority
(Order)
Cape May Center Municipal Utilities
Authori ty
Maryville, Tennessee
St. Joseph County Health Department,
South Bend, Indiana
City of Wichita, Kansas
City and Borough of Juneau, Alaska
Midway Community Services District
Spring City, Tennessee
Contra Costa County Sanitation District
Pittsburg, California
Date of Decision
12-09-80
12-16-80
1-26-81
2-10-81
2-10-81
2-20-81
3-06-81
3-18-81
4-13-81
4-18-81
5-15-81
6-12-81
7-16-81
11-20-81
11-30-81
3-24-82
4-01-82
4-16-82
4-26-82
4-26-82
4-29-82
4-29-82
-------
-4-
Docket No.
75-16
80-63
80-116
80-81
81-06/81-43
80-101
80-109
81-23
81-67
81-35
81-115
77-21
79-08
81-54
76-20
79-09
80-97
82-16
78-26
79-43
80-113
79-25
79-36
Assistance Appeal Case Name
Pewaukee, Wisconsin
Clark County, Nevada
Laurel, Mississippi
San Francisco Clean Water Program
Northeast Sacramento County
Sanitation District
Town of Clark Hills, Indiana
Town of Valdese, North Carolina
City of Montague, California
City of Angels, California
Montgomery County, Ohio
Village of Monroe, Ohio
City of McEwen, Tennessee
Indiana State Board of Health
Upland, Indiana
City of Richland, Missouri
City of Flint, Michigan
Keystone - Mt. Rushmore Sanitary
District, South Dakota
Joint Meeting of Essex and Union
Counties, New Jersey
City of Casselberry, Florida
Bolinas Community Public Utility
District
City of Fort Wayne, Indiana
City of Youngs town, Ohio
Spring City, Tennessee
Date of Decision
5-05-82
5-11-82
5-17-82
5-28-82
6-23-82
6-30-82
6-30-82
6-30-82
6-30-82
7-30-82
7-30-82
8-02-82
8-25-82
8-26-82
8-30-82
8-30-82
8-30-82
8-30-82
8-31-82
8-31-82
8-31-82
9-02-82
9-29-82
(Reconsideration)
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-5-
Docket No.
77-15
81-02
81-33
81-19
80-85
81-69
81-89
74-08/74-09
82-24
79-10
80-22
80-54
80-79
81-96
82-53
79-48
78-06
80-18/80-26
80-55/80-56
80-60/80-61
80-61/80-69
81-33
Assistance Appeal Case Name
Metropolitan Sanitary District of
Greater Chicago
Town of Tonasket, Washington
City of East Ridge, Tennessee
Atlantic City Municipal Utilities
Authority
Crystal Bay General Improvement
District, Nevada
Big Sandy Public Service District
City of Rohnert Park, California
Western Monmouth Utilities Authority,
New Jersey
(Rulling of Motion)
Modesto, California
Lake County, Illinois, Public Works
Department
Calhoun County Department of Public
Works, Calhoun Coutny, Michigan
Mendocino City Community Services
District, California
Leadsville Public Service District,
West Virginia
Sioux Falls, South Dakota
City of Coffeeville, Mississippi
Northglenn, Colorado
(Ruling on Motion)
City of Anderson, Indiana
East Bay Dischargers Authority
(Ruling on Motion)
East Ridge, Tennessee
(Recons iderat ion)
Date of Decision
9-30-82
9-30-82
9-30-82
10-28-82
10-29-82
10-29-82
10-29-82
11-01-82
11-23-82
11-30-82
11-30-82
11-30-82
11-30-82
11-30-82
11-30-82
12-02-82
12-21-82
12-22-82
12-22-82
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-6-
Docket No.
80-07
81-23
81-79
79-18/80-13
80-50/81-37
82-06/82-133
80-52
81-16
82-19
81-03
81-114
82-03
82-17
80-28
81-36
81-77
81-98
82-20
80-39
81-49
81-78
81-92
Assistance Appeal Case Name
Pima County, Arizona
City of Montague, California
(Recons ideration)
Metropolitan Sewer District of
Greater Cincinnati
County Sanitation Districts of
Los Angeles
(Ruling on Motion)
County of Sacramento, California
City of Greenfield, California
City of Rockwood, Tennessee
Town of Cusick, Washington
Muskegon County, Michigan
Department of Public Works
Summit County, Ohio
Allegan County, Michigan
Marquette County Department of
Public Works
Lake County, Indiana
Roads End Sanitary District
Chagrin Falls, Ohio
City of St. Charles, Missouri
City of Cambridge, Nebraska
City of Rocky Mount, North Carolina
Red Sulphur Public Service District
City of Oberlin, Ohio
State of Michigan, Department of
Natural Resources
Date of Decision
12-23-82
12-23-82
12-28-82
12-29-82
12-30-82
12-30-82
1-06-83
1-10-83
1-31-83
1-31-83
1-31-83
1-31-83
2-24-83
2-28-83
2-28-83
2-28-83
2-28-83
3-31-83
3-31-83
3-31-83
3-31-83
82-30
City of Seattle, Washington
3-31-83
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-7-
Docket No. Assistance Appeal Case Name Date of Decision
81-110 Monticello, Minnesota 4-27-83
(Order)
81-107 Naperville, Illinois 4-27-83
82-23 Town of Mantachie, Mississippi 4-27-83
80-80 Humboldt Bay Wastewater Authority and 4-28-83
Winzler & Kelly
82-37 City of Bakersfield, California 4-28-83
(Order)
79-29 Regional Air Pollution Control 4-29-83
Agency, Dayton, Ohio
78-14/78-15 City of Maitland, Florida, e_t al. 5-03-83
78-19/78-20 (Order)
81-97 Metropolitan Waste Control Commission, 5-11-83
Minnesota
82-44 Okanagon County, Washington 5-13-83
81-112 City of Spencer, West Virginia 5-31-83
80-03 Fallbrook Sanitary District, Calif. 6-07-83
82-93 Tranquillity Public Utility District 6-07-83
80-98 Sewerage Commission - Oroville Region 6-27-83
(Ruling on motions)
82-57 Webster Springs Public Service District 6-27-83
82-54 Metropolitan Waste Control Commission, 6-29-83
Twin Cities Area
82-77 Jeffersontown Water and Sewerage 6-29-83
Commission
82-29 lona - Bonneville Sewer Dist. 6-29-83
79-33 Louisville and Jefferson County 6-30-83
Metropolitan Sewer District
79-43 Bolinas Community Public Utility 6-30-83
District (Reconsideration)
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-8-
Docket No. Assistance Appeal Case Name Date of Decision
82-12 Western Michigan Shoreline Regional 7-22-83
Development Comm.
81-80 Wayne County Dept. of Public Works 7-22-83
(Order)
82-10 City of Troy, Missouri 7-27-83
80-51 San Berdardino County, California 7-28-83
81-57 Grand Forks, North Dakota 7-28-83
82-80 Harrison Township, Pennsylvania 7-28-83
82-113 Uwchlan Township Municipal Authority 7-28-83
81-109 City of Stockbridge, Georgia 7-29-83
82-60 City of Flint, Michigan 7-29-83
83-19 Pacific City Sanitary District, Oregon 7-29-83
81-19 Atlantic City Municipal Utilities 8-03-83
Authority (Reconsideration)
81-42 Joseph City Sanitary District, Arizona 8-10-83
81-71 Wood County Parks and Recreation 8-10-83
Commission, Waverly, West Virginia
82-37 City of Bakersfield, California 8-10-83
82-48 Russian River County Sanitary District 8-10-83
Sonoma County, California
82-94 Maryland Environmental Services 8-10-83
82-97 Dushore Sewer Authority, Pennsylvania 8-16-83
74-13 MSD of Greater Chicago (Order) 8-17-83
82-57 Webster Springs Public Service 8-17-83
District (Reconsideration)
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-9-
Docket No. Assistance Appeal Case Name Date of Decision
80-39 City of Rocky Mount, North Carolina 8-29-83
(Reconsideration)
81-38 City of Toledo, Ohio 8-31-83
81-99 Louisville and Jefferson County MSD 8-31-83
81-24 City of Coronado, California (Order) 9-16-83
78-04 Occoquan Woodbridge Sanitary District 9-20-83
79-47 City of Kansas City, Kansas 9-30-83
82-119 Amity Township Municipal Authority, 9-30-83
Pennsylvania
82-122 Genesee - Lapeer - Shiawassee 9-30-83
Region v Planning Development
Commission
80-41 Pima Association of Governments, 10-17-83
Arizona
82-112 Town of Poseyville, Indiana 10-21-83
82-105 Gloucester County Utilities Authority, 10-27-83
New Jersey
82-110 City of Elkhart, Indiana 10-28-83
81-22 Wheeling Sanitary Board, City of 10-31-83
Wheeling, West Virginia
80-80 Humboldt Bay Wastewater Authority and 11-17-83
Winzler & Kelly
80-01 Colorado River Sewage System Joint 11-30-83
Venture
81-21 City of Boise, Idaho 11-30-83
81-84 Metropolitan Waste Control Commission 11-30-83
81-62 City of Stubenville, Ohio 11-30-83
(Order)
82-55 Kent County, Michigan 11-30-83
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-10-
Docket No. Assistance Appeal Case Name Date of Decision
83-126 Nassau County, New York 12-28-83
(Order)
83-137 Nassau County Department of Public 12-29-83
Works (Order)
82-118 Jefferson County Water District, 12-29-83
No. 10, Nederland, Texas
82-28/82-125 Klickitat County, Washington 12-30-83
83-33 City of Omro, Wisconsin 12-30-83
83-132 Carroll Township Authority, Virginia 12-30-83
(Order)
82-26 Town of Hanover, New Hampshire 1-13-84
(Order)
83-06 City of Hoquiam, Washington 1-13-84
78-14/78-19 City of Maitland, Florida 1-30-84
City of Orlando, Florida
(Order)
81-66 Greenbrier Public Service District No. 1 2-08-84
No. 1, West Virginia
82-96 South East Regional Reclamation Authority 2-29-84
83-139 Metropolitan Waste Control Commission, 3-01-84
Minnesota (Order)
82-79 Houtzdale Borough Municipal Sewer 3-03-84
Authority (Order)
82-86 Grafton, West Virginia (Order) 3-20-84
83-130 Attleboro, Massachusetts (Order) 3-20-84
81-62 City of Steubenville, Ohio 3-22-84
(Recons ideration)
82-61 East-West Gateway Coordinating Council 3-22-84
83-106 Bradford Pennsylvania Sanitary Authority 3-22-84
(Order)
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-11-
Docket No. Assistance Appeal Case Name Date of Decision
83-133
82-74
74-07
83-99
83-45
82-131
83-87
82-64
82-28/82-125
83-55
83-12
83-131
82-05
82-122
83-43
83-109
8 3- 1 28
83-09
83-05
83-66
82-131
81-27
Ocean County New Jersey Utilities
Authority (Order)
City of Merced, California
City of New York, New York
City of Camden, South Carolina
City of Stamping Ground, Kentucky
Sanitation District No.l of Campbell &
Kenton Counties, Kentucky
Minersville Sewer Authority
University of Cincinnati, Ohio
Public Utility Klickitat County, WA
Pennridge Wastewater Treatment Authority
Village of Glen Ellyn, Illinois
City of Springfield, Massachusetts
Detroit water & Sewerage Department
Genesee-Lapeer Shiawassee
(Reconsideration)
Mil ford, Delaware
Kansas, Department of Health and
Environment
City of Syracuse, Nebraska
The Joint Meeting of Essex and Union
Counties, New Jersey
City of Valdez, Alaska
Ringtown Borough Municipal Authority,
Pennsylvania
Sanitation District No. 1 of Campbell &
Kenton Counties, Kentucky (Order)
Kitsap County, Washington
3-30-84
4-03-84
4-10-84
4-25-84
4-25-84
4-30-84
5-03-84
5-09-84
5-11-84
5-21-84
5-25-84
5-29-84
6-11-84
6-18-84
6-29-84
6-29-84
7-18-84
7-23-84
7-25-84
7-31-84
7-31-84
8-16-84
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-12-
Docket No. Assistance Appeal Case Name Date of Decision
82-26 Town of Hanover, New Hampshire 8-24-84
83-67 City of Marion, North Carolina 9-10-84
83-130 Attleboro, Massachusetts 9-10-84
(Order)
83-74 City of Columbus, Mississippi 9-20-84
(Order)
83-91 Borough of Ramsey, New Jersey 9-24-84
83-110 City of Morehead, Kentucky 9-25-84
81-74 Metropolitan Waste Control Commission, 9-27-84
St. Paul, Minnesota
83-97 City of Prestonsburg, Kentucky 10-09-84
83-89 City of Kennewick, Washington 10-12-84
83-140 City and County of San Francisco, 10-12-84
Cali fornia
82-74 City of Merced, California 10-19-84
(Recons ideration)
83-21 Godfrey Township Utility Board, 10-26-84
Illinois
83-11 City of Alma, Georgia 10-31-84
83-73 Greenwood Metropolitan District, 10-31-84
Greenwood, South Carolina
81-106 City of Jackson, Mississippi 11-01-84
83-112 City of West Point, Kentucky 11-02-84
83-129 Freeport Sewer District, Maine 11-02-84
83-60 Town of Kennard, Indiana 11-08-84
83-141 Greenwood Metropolitan District, 11-09-84
Greenwood, South Carolina
83-05 City of Valdez, Alaska 11-21-84
(Reconsideration)
81-74 Metropolitan Waste Control Commission, 11-30-84
St. Paul, Minnesota
(Reconsideration)
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-13-
Docket No. Assistance Appeal Case Name Date of Decision
83-59 Arlington County, Virgina 11-30-84
83-122 City of Itasca, Texas 11-30-84
83-129 Freeport Sewer District, Maine 12-06-84
(Recons iderat ion)
83-74 City of Columbus, Mississippi 12-18-84
82-99 City of Baytown, Texas 12-19-84
83-106 Bradford Sanitary Authority, 12-19-84
Pennsylvania
80-89 Upper Allegheny Joint Sanitary 12-26-84
Authority, Pennsylvania
82-65 City of Coppell, Texas 12-28-84
83-39 Pound, Virginia 1-23-85
83-72 City of Lawrence, Kansas 1-23-85
83-135 New Orleans, Louisiana 1-23-85
83-124 Northeast Ohio Regional Sewer 1-24-85
District
83-78 Princeton Sanitary Board, 1-25-85
West Virginia
83-41 Accident, Maryland 1-29-85
82-106 Fulton County, Georgia 1-30-85
83-58 City of Medford, Wisconsin 1-31-85
83-75 City of Fort Wayne, Indiana 2-06-85
• U.S. GOVERNMENT PRINTING OPPICEi 1985-<»7i>-269t21221
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