EPA-670/2-74-003
October 1974
Environmental Protection Technology Series
MINE DRAINAGE POLLUTION CONTROL
DEMONSTRATION GRANT
PROCEDURES AND REQUIREMENTS
National Environmental Research Center
Office of Research and Development
U.S. Environmental Protection Agency
Cincinnati, Ohio 45268
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EPA-670/2-74-003
October 1974
MINE DRAINAGE POLLUTION CONTROL DEMONSTRATION
GRANT PROCEDURES AND REQUIREMENTS
By
Frank J. Zaval
Robert A, Burns
NUS Corporation
Rockville, Maryland 20850
Contract No. 68-03-0268
Program Element No. 1BB040
Project Officer
Eugene F. Harris
4-J i-iy c-iic: i. . lieu. j. j-o
Mining Pollution Control Branch (Cincinnati/ Ohio)
Industrial Waste Treatment Research Laboratory
F^i<=;on- TJp«w .T*»r-<3«=«\r Oftfll"?
Edison, New Jersey 08817
NATIONAL ENVIRONMENTAL RESEARCH CENTER
OFFICE OF RESEARCH AND DEVELOPMENT
U.S. ENVIRONMENTAL PROTECTION AGENCY
CINCINNATI, OHIO 45268
For lale by the Superintendent of Document*. U.S. Government
Printing Office, Washington, D.C. 20402
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REVIEW NOTICE
The National Environmental Research Center - Cincinnati has re-
viewed this report and approved its publication. The mention of
trade names or commercial products does not constitute endorse-
ment or recommendation for use.
ii
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FOREWORD
Man and his environment must be protected from the adverse-
effects of pesticides, radiation, noise and other forms of pol-
lution, and the unwise management of solid waste. Efforts to
protect the environment require a focus that recognizes the
interplay between the components of our physical environment—
air, water, and land. The National Environmental Research
Centers provide this multidisciplinary focus through programs
engaged in
• studies on the effects of environmental contaminants
on man and the biosphere, and
• a search for ways to prevent contamination and to re-
cycle valuable resources.
This report defines the grant procedures and requirements for
Section 107 Mine Water Pollution Control Demonstrations author-
ized by the Federal Water Pollution Control Act Amendments of
1972.
A. W. Breidenbach, Ph.D.
Director
National Environmental
Research Center, Cincinnati
iii
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ABSTRACT
This report is a presentation of procedures and requirements for
use by all individuals considering or participating in Section
107 grant demonstration projects authorized by the Federal Water
Pollution Control Act Amendments of 1972.
The report provides an interpretation of Section 107, defines
the procedures and requirements for grant applicants, and dis-
cusses all phases of demonstration projects, including monitoring
requirements and reports.
This report was submitted in fulfillment of Project Number
CI73-0088, Contract Number 68-03-0268, by NUS Corporation,
Cyrus Wm. Rice Division, under the sponsorship of the Environ-
mental Protection Agency.
iv
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CONTENTS
Page
Foreword
Abstract
List of Figures vii
Acknowledgements viii
Sections
I Introduction 1
II Interpretation of Section 107 4
III Grant Preapplication Coordination 9
IV Grant Application Requirements 12
V Feasibility Study 34
A. Jurisdictional Framework 38
B. Inventory and Characterization of
Project Site 40
C. Preliminary Engineering 43
D. Preparation of Implementation and
Operating Plans 47
E. Effectiveness of Project 48
F. Format and Contents of a Feasibility
Report 49
VI Engineering 51
A. General Engineering Procedures 51
B. Definitions and Coordinations 54
C. Engineering Design 56
D. Specifications 58
v
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CONTENT? (Cont'd.)
Sections Page
VII Construction 64
A. Construction Schedule and Monthly
Progress Reports 67
B. Progress Photographs 67
C. Signs 67
D. Contractor's Superintendent 68
E. Cleaning Premises 68
F. Work Completion and Acceptance 68
VIII Operation 70
Outline of Typical Operating and
Maintenance Manual 74
IX Monitoring 76
A. Water Characterization 76
B. Field Sampling Methods 81
C. Data Collection and Processing 85
D. Equipment 85
E. Other Evaluation Techniques 87
F. Post-Operational Monitoring 88
X Reports 92
A. Trip Reports 92
B. Conference Reports 92
C. Monthly Progress Reports 92
D. Quarterly Reports 92
E. Annual Progress Report 95
F. Feasibility Report 95
G. Final Report 95
vi
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FIGURES
No. Page
1 Grant procedures and requirements diagram 3
2 Preapplication coordination flow diagram 10
3 Application flow diagram 18
4 Feasibility study phase diagram 35
5 Engineering phase diagram 52
6 Construction phase diagram 65
7 System operation - typical tasks
and responsibilities 71
8 Monitoring plan diagram 77
9 Typical weir installations 82
10 Typical flume installation 83
11 Reports flow diagram 91
12 Typical format for trip reports 93
13 Typical format for monthly and quarterly
progress report title page 94
14 Expenditure versus time 96
15 Typical project bar schedule 97
vii
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ACKNOWLEDGEMENTS
This report was prepared by Cyrus Wm. Rice Division, NUS Corpora-
tion, for the Environmental Protection Agency. The report was
authorized by Messrs. Frank J. Zaval and Robert A. Burns with
the assistance of Patrick C. Falvey in specific areas involving
engineering and construction.
The guidance and assistance contributed by Messrs. Ronald D. Hillf
Eugene F. Harris and Donald J. O1Bryan were essential in identify-
ing the objectives and requirements for the Section 107 grants
program.
Interviews were conducted with state personnel and contractors
having a past experience with Federal Mine Water Pollution Con-
trol demonstration grants. These persons are to be complimented
for their contributions and cooperation. These contributors
were as follows:
Commonwealth of Kentucky
Robert E. Nickel
Chief Planner
David W. Kirtz
Research Coordinator
Clayton D. Smith
William F. Grier
State of West Virginia
Edgar N. Henry, Chief
John H. Hall
Assistant Chief
Department of Natural Resources
and Environmental Protection,
Office of Planning and Research
L. Robert Kimball, Consulting
Engineers, Lexington, Kentucky
Mayes, Sudderth & Etheredge,
Inc., Lexington, Kentucky
Division of Water Resources
Division of Water Resources
viii
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Commonwealth of Pennsylvania
Dr. John Demchalk
Assistant Chief
Robert Buhrman
Engineer
Edward R. Bates
Geologist
Dr. Archie M. Richardson
State of Ohio
Denis S. Case
Chief
Walter C. Roman
Research Coordinator
Robert A. Dunbar
R. N. Bhasin
Department of Environmental
Resources - Mine Area Restoration
Department of Environmental
Resources - Mine Area Restoration
Department of Environmental
Resources - Mine Area Restoration
Ackenheil and Associates
Geo Systems, Inc.
Department of Natural Resources
Division of Research
Department of Natural Resources
Division of Research
Dunbar Geological Engineers
Dunbar Geological Engineers
ix
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SECTION I
INTRODUCTION
The purpose of this report is to provide a potential applicant,
grantee or grantee contractor or subcontractor with specific in-
formation relative to the mine water pollution control demonstra-
tion program of the Environmental Protection Agency (EPA) under
Section 107 of the Federal Water Pollution Control Act Amendments
of 1972 (P.L. 92-500). The information provided in this report
has one aim—to better assist all parties in assessing and under-
standing the procedures and requirements for Section 107 grant
programs. Based on a more comprehensive understanding of EPA
objectives, policies and requirements, the consideration, appli-
cation and implementation of a project should result in the
demonstration of feasible engineering and economic mine water
pollution control abatement techniques.
It is the responsibility of an applicant or grantee to contact
the EPA to become aware of grant administration procedures and
requirements which are new or proposed and which may affect con-
sideration of an application or effective and timely completion
of a demonstration project.
The intent of Section 107 is to demonstrate comprehensive ap-
proaches to the elimination or control of mine water pollution
from active or abandoned mining operations. These approaches
should be feasible and practical from an engineering and economic
standpoint. The intent of Section 107 is not research or the
clean up of specific mine pollution areas, although these may be
an indirect result of the demonstration. All types of mining
operation and all types of abatement approaches are included
under Section 107. A demonstration project may include a single
point source treatment or may involve numerous abatement tech-
niques within all or part of a watershed or river basin. Al-
though the demonstration project objective is to demonstrate
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techniques for eliminating or controlling acid or other mine
water pollution, the project results may also demonstrate tech-
niques to eliminate or control air or solid waste pollutants.
A demonstration project can involve one or more phases and can
extend over a period of time of up to five years if construction
is undertaken. Figure 1 illustrates typical project phases,
funding periods, and acceptable time periods per phase. An ap-
plicant should submit a grant application for only the feasibil-
ity phase, with the intent that, if the abatement approach is
found feasible, a demonstration project may also be implemented.
In the event a feasibility study has been completed, a grant
application should be submitted for the demonstration project.
A demonstration project may or may not include an operational
phase, but will always include water quality/quantity monitoring
as a means of measuring effectiveness.
Subsequent sections of this report will discuss the various proj-
ect phases, in addition to an interpretation of Section 107,
grant application requirements, monitoring and reporting of proj-
ect status and results.
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PREAPPLICATION COORDINATION
APPLICATION
^
TOTAL
FUNDING
FROM GRANT
AW>
1
\RD
1
FEASIBILITY
r
FUNDING FEASIBILITY
ON
i
MONITORING
REPORTS
1
^
LY
' ^
r
ENGINEERING
^
r
CONSTRUCTION
1
FUNDING FOR
REMA
GR>
PER
^ 1
r
^;NG OPERATE
IOD 1
T
POST
DEMONSTRATION
MONITORING
r ^
1
MINIMUM
THREE
MONTHS
f
1
MAXIMUM
TWELVE
MONTHS
MAXIMUM
TWELVE
MONTHS
ESTIMATED
TWELVE
MONTHS
MINIMUM
TWELVE
MONTHS
f
1
MINIMUM
TWELVE
MONTHS
Figure 1. Grant procedures and requirements diagram.
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SECTION II
INTERPRETATION OF SECTION 107
The Federal Water Pollution Control Act Amendments of 1972 (Public
Law 92-500) was enacted by Congress on October 18, 1972. P.L.
92-500 replaced entirely the previous language of the Federal
Water Pollution Control Act, initially passed in 1956. Title I -
Research and Related Programs, includes Section 107, "Mine Water
Pollution Control Demonstrations," which is reprinted below;
MINE WATER POLLUTION CONTROL DEMONSTRATIONS
"Sec. 10?.(a) The Administrator in cooperation with
the Appalachian Regional Commission and other Federal
agencies is authorized to conduct^ to make grants for,
or to contract for, projects to demonstrate comprehensive
approaches to the elimination or control of acid or other
mine water pollution resulting from active or abandoned
mining operations and other environmental pollution affect-
ing water quality, within all or part of a watershed or
river basin, including siltation from surface mining.
Such projects shall demonstrate the engineering and eco-
nomic feasibility and practicality of various abatement
techniques which will contribute substantially to effec-
tive and practical methods of acid or other mine water
pollution elimination or control, and other pollution af-
fecting water quality, including techniques that demon-
strate the engineering and economic feasibility and
practicality of using sewage sludge materials and other
municipal wastes to diminish or prevent pollution affect-
ing water quality from acid sedimentation, or other
pollutants and in such projects to restore affected lands
to usefulness for forestry, agriculture, recreation or
other beneficial purposes.
"(b) Prior to undertaking any demonstration project
under this section in the Appalachian region (as defined
in section 403 of Appalachian Regional Development Act
of 1965t as amended), the Appalachian Regional Commission
shall determine that such demonstration project is con-
sistent with the objectives of the Appalachian Regional
Development Act of 1965, as amended.
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"(a) The Administrator, in selecting watersheds for
the purpose of this section, shall be satisfied that the
project area will not be affected adversely by the influx
of acid or other mine water pollution from nearby sources.
"(d) Federal participation in such projects shall be
subject to the conditions--
"(1) that the State shall acquire any land or interests
therein necessary for such projects; and
"(2) that the State shall provide legal and practical
protection to the project area to insure against any activ-
ities which will cause future acid or other mine water
pollution.
"(3) there is authorized to be appropriated $30tOOOfOOO
to carry out the provisions of this section, which sum
shall be available until expended."
The objective of the Federal Water Pollution Control Act is to
restore and maintain the chemical, physical and biological in-
tegrity of the Nation's waters. Consistent with the Act, Sec-
tion 107 provides for demonstration projects utilizing existing
technologies to eliminate or control water pollution from active
or abandoned mining operations. For purposes of Section 107,
the following terms are defined:
1. Mining - the extraction of minerals or fuels from the
earth.
2. Extraction - the process of severing a mineral or fuel
from the earth, to and including the crushing, grinding,
screening and refuse separation steps necessary to pro-
duce a standard salable product.
3. Mineral - any naturally occurring substance that is
neither vegetable nor animal.
Demonstration projects applicable under Section 107 can be under-
taken anywhere in the United States. The term "United States"
means the States, the District of Columbia, the Commonwealth of
Puerto Rico, the Canal Zone, Guam, American Samoa, the Virgin
Islands and the Trust Territory of the Pacific Islands.
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Section 107 of the Act has five interrelated subsections, dis-
cussed below to aid in further interpretation, as needed,
Subsection (a) - The Administrator of the Environmental Protection
Agency (EPA), in cooperation with the Appalachian Regional Com-
mission and other Federal agencies, is authorized to make grants
for or to contract for projects as defined under Section 107.
For the purposes of this document, Section 107 will apply only
to demonstration grants. Contracts under Section 107 are not
discussed in this report.
The primary objective of any Section 107 project is to demonstrate
comprehensive approaches to the elimination or control of mine
water pollution. Demonstration projects are limited to the con-
trol of acid or other mine water pollution resulting from active
or abandoned mining operations and include all forms of pollution
that affect water guality. Wastes such as sewage sludge materi-
als or other municipal wastes could be used under Section 107 if
their primary use would either diminish or prevent pollution from
mining activities or would result in restoration of affected land.
The words "contribute substantially" are used in Section 107 to
emphasize abatement technique selection and requirements for
acceptability. These words are used to ensure that any project
will be a true demonstration project rather than a project
merely utilizing an existing technology or technique for the
elimination or control of mine water pollution.
Demonstration projects may include restoration of affected lands.
Therefore, projects could include land reclamation, revegetation,
reforestation, and recreational developments.
Subsection (b) - With reference to projects within the Appala-
chian region, Section 403 of the Appalachian Regional Development
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Act of 1965, as amended, defines the Appalachian region as
certain counties (including any political subdivision located
within such area) in the States of Alabama, Georgia, Kentucky,
Maryland, New York, North Carolina, Ohio, Pennsylvania, South
Carolina, Tennessee, Virginia and West Virginia. The Adminis-
trator of the Environmental Protection Agency will be responsible
for coordinating with the Appalachian Regional Commission any
proposed demonstration project in accordance with the objective
of this Subsection.
Subsection (c) - It is the intent of Section 107 that acid or
other mine pollution be eliminated or controlled within the
demonstration project area. It is therefore paramount in the
selection of a watershed for the demonstration project that the
project area will not be adversely affected by acid or other mine
water pollution entering that area.
Subsection (d) - It is the responsibility of the State to provide
the site for the demonstration project. The type of interest
(easement, lease, permit, license, ownership, etc.) required by
this Subsection would be dependent upon the particular project.
It will be necessary for the Administrator of the Environmental
Protection Agency to determine what type of interest in the land
by the State will be necessary to ensure no interference with the
use of the land for project purposes for the life of the project.
The cost of obtaining easements, etc., are to be borne by the
State or its agent.
The State is to provide legal and practical protection to the
project area to insure against any activities that will cause
future acid or other mine water pollution. The appropriate laws,
rules and regulations of the State can be cited as reference.
The specific application of these laws, etc., to the project
area must be defined to insure compliance with the Act. The
legal and practical protection to be provided by the State will
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differ from project to project and will be determined on a case-
by-case basis by the Administrator of the Environmental Protec-
tion Agency.
Subsection (e) - Although funds to carry out the provisions of
Section 107 have been authorized, they must be appropriated.
Past fiscal year funding levels appropriated have been one to two
million dollars.
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SECTION III
GRANT PREAPPLICATION COORDINATION
All EPA demonstration grants are subject to the Code of Federal
Regulations (40 CFR 30 and 40 CFR 40). These regulations provide
applicants, grantees and the public a detailed statement of grant
award and administration requirements.
Preapplication coordination for all Section 107 applicants is
necessary to determine program interest and eligibility, to in-
sure conformance to objectives of the Act and Section, to insure
funding availability, etc. All applicants for demonstration
grants are encouraged to contact the EPA for information and
assistance prior to submitting a formal application. For pur-
poses of Section 107, applicants should contact the Mining Pollu-
tion Control Branch, National Environmental Research Center,
Cincinnati, Ohio. A flow diagram of the recommended steps for
preapplication coordination is illustrated in Figure 2.
Early contact with the EPA by an applicant would provide informa-
tion and assistance as follows:
1. Identification of demonstration needs and priorities
and specific demonstration objectives.
2. Identification of past and current grant demonstration
projects.
3. Identification of research and development program re-
sults which may assist the applicant in defining ap-
proaches and feasible abatement techniques.
4. Discussion of laws, rules, regulations, procedures,
assessments to be made, application forms, etc., for
developing demonstration projects, completing grant
applications, and conducting demonstration projects.
5. Discussion of the availability of funds for Section 107
demonstration grant projects.
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GRANT
INTEREST
I
EPA
CONTACT
OBJECTIVES
PROGRAM
NEEDS
DEMONSTRATION
HISTORY
REGULATIONS
PROCEDURES
PRIORITIES
FUNDS
SITE
TECHNIQUE
APPLICATION
Figure 2. Preapplication coordination flow diagram.
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The EPA generally requires a minimum of three months from sub-
mittal of a grant application through review and decision on that
application.
The preapplication meetings are defined as follows;
Meeting 1 - General informational session covering items
such as the above.
Meeting 2 - Discussion and/or review of applicant's specific
approach, abatement technique, and demonstration
plan.
Meeting 3 - General review of draft grant application.
It may be feasible, depending on the project, to combine Meetings
1 and 2 or 2 and 3.
Preapplication coordination with the EPA will not in any way in-
sure the approval of a grant application.
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SECTION IV
GRANT APPLICATION REQUIREMENTS
Section 107 applicants will receive from the EPA an Application
Kit for Grant, which will be reviewed during the initial preap-
plication coordination meeting. The instructions and forms
should be studied and carefully followed. The EPA should be
contacted to resolve any questions concerning the application,
since many items are not self-explanatory and an incomplete or
incorrectly completed application may result in delay in process-
ing the application. This section will describe the grant appli-
cation requirements specifically relative to Section 107.
Grant applicants are expected to understand and comply with
Regulations 40 CFR 30 and 40. Copies of these rules and regula-
tions and administration requirements should be obtained from
the EPA. The EPA Grants Administration Division should be con-
tacted or the Federal Register should be searched from the date
of the last published pertinent CFR to ensure that subsequent
regulations (interim or final) are understood or incorporated
prior to submission of an application. Concerning Title 40
regulations, specific items or definitions of importance to a
grant applicant include:
1. Eligibility - Grants for Section 107 demonstration
projects may be awarded to any responsible applicant
in accordance with 40 CFR 30.304.
In order to qualify, a prospective grantee must meet
the following standards:
a. Adequate financial resources for performance, or
ability to obtain such resources as required;
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b. The necessary experience, technical qualification
and facilities, or ability to obtain them (including
proposed subagreements);
c. The ability to comply with the proposed or required
completion schedule for the project;
d. A satisfactory record of integrity, judgment and
performance, including, in particular, performance
grants from the Federal Government;
e. The ability to conform to the Equal Opportunity
requirements of the Federal Government;
f. Otherwise, the qualifications and eligibility to
receive a grant award under applicable laws and
regulations.
2. Assistance - Grants for Section 107 demonstration proj-
ects are cost-sharing in accordance with 40 CFR 30.207.
Participation by a grantee in the cost of conducting a
demonstration project is mandatory. A contribution by
the grantee of not less than 5% of the allowable actual
project costs, excluding land acquisition costs, is con-
sidered minimum participation.
3. Project Officer - The EPA representative responsible
for monitoring and reporting on the project is the
Project Officer.
4. Duration - The demonstration grant budget period cannot
be in excess of two years, except in the case of proj-
ects involving construction. No demonstration grant
will be awarded by the EPA for a project in excess of
five years, except in cases where time extensions are
13
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necessary and the project can be continued without the
aid of Federal funds. For the purposes of a demonstra-
tion grant under Section 107, the term "construction" is
intended to include land reclamation, mine sealing, re-
vegetation, treatment works, etc.
5. Effective Date - The effective date of a grant is the
date that the Grant Agreement is signed by the grantee.
A Grant Agreement must be completed and returned to the
EPA within three weeks after receipt or within any exten-
sion of time as may be granted by the EPA. Receipt of
a written refusal or failure to return the properly
executed document within the prescribed time will result
in the automatic termination of consideration of the
grant offer by the EPA.
6. Cost Incurrence - No costs may be incurred prior to the
execution of the Grant Agreement by the EPA and the
grantee.
7. Time Extensions - If the initiation of actual work may
be delayed due to the negotiation of contracts or sub-
contracts, and if this delay will affect the expected
completion date of the project, a grantee must immedi-
ately inform the EPA in writing, defining the cause for
delay and requesting a revised starting date and proposed
completion date. The foregoing applies after initiation
when a demonstration project is delayed due to extreme
weather conditions, delivery of equipment, etc. Concur-
rence by the EPA will result in an amendment to the
Grant Agreement.
8. Contracts, Subcontracts and Purchases - Any contract
or subcontract under a Grant Agreement exceeding
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$25,000.00 shall receive a cost analysis by the EPA
prior to approval by the EPA Project Officer or grantee,
or execution of a contract or subcontract agreement.
Costs incurred by the grantee contractor or subcontrac-
tor prior to receipt of written approval from the EPA
Project Officer are unallowable. The grantee must en-
sure that the EPA personnel will have access to records
of the proposed contractor or subcontractor for the
purpose of cost analysis and audit.
A grantee must secure prior approval from the EPA Proj-
ect Officer for any proposed purchases of articles,
supplies, equipment, materials, and services having a
unit value exceeding $2,500.00.
9. Equipment, Materials or Supplies - Expenditures of
project funds for equipment, materials or supplies may
be allowed as direct project costs when such equipment,
materials or supplies are required for the conduct of
the project during the EPA grant support period. Ac-
countability for such purchased items is defined under
40 CFR 30.800. A grant applicant should understand all
aspects of ownership, vested interest, value assessments,
final sale, disposition and accountability for all
purchases of equipment, materials or supplies from proj-
ect funds. Agreement on the requirements of this regu-
lation should be made with the EPA prior to project
initiation.
10. Payment - EPA grant funds can be paid to a grantee in
advance or the grantee may be reimbursed periodically,
based upon estimated requirements or actual costs.
A written expenditures report for each budget period
must be submitted to the EPA within 90 days after the
end of each budget period within the project period,
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and within 90 days after completion of the demonstration
project. (In usual practice, an advance payment of the
funds is made for the first quarter, followed by pay-
ments based on requests for reimbursement for all future
grant funds.)
Payment by a grantee to contractors and subcontractors
should be defined in any agreement between these parties
11. Retention of Payment - The EPA may withhold payment of
grant funds of a sum equal to either 10% of the amount
of the grant or $10,000.00, whichever is greater, until
receipt of the final report. Such retention will be
dependent upon a specific demonstration project.
It is important that all grant applicants recognize that, as a
grantee, they will be subject to certain statutory requirements,
Executive orders, and policies and procedures regarding patents
and inventions, rights in data and copyrights. Information con-
cerning these important regulations can be found in 40 CFR 30
(Subparts C and D).
Any applicant submitting a grant application containing confi-
dential data should clearly indicate its desire for confidential
treatment of such data by the EPA. When an applicant desires
that certain data be considered confidential, the statement in-
cluded under 40 CFR 40.155 should be inserted on the cover sheet
of the application.
Specific regulations are defined under 40 CFR 30.604 concerning
public dissemination of information relative to the project
(publicity and publications), surveys and questionnaires, and
signs where the project work is visible to the public. These
regulations should be understood by the grantee and its con-
tractors or subcontractors.
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All applications for demonstration grants should be submitted in
an original and 14 copies to the Grants Operations Branch, Grants
Administration Division, Environmental Protection Agency, Wash-
ington, D. C. 20460. Figure 3 defines the typical application
process. Each application should include the following (these
forms, etc. are furnished in Application Kit for Grant)
1. Completed Grant Application/Proposal Receipt card
(EPA Form 5700-8)
2. Completed Application for Federal Assistance (EPA
Form 5700-12)
3. Completed clearinghouse notification
4. Completed Environmental Assessment (outline is provided)
5. Relocation Assistance and Real Property Acquisition
Information
6. Completed Assurance of Compliance - Title VI, Civil
Rights Act of 1964 (EPA Form 4700-1)
7. Completed Notice of Research Project (EPA Form 5760-1)
8. Written certifications, as defined in 40 CFR 40.135-2
(a) and (b), for applications involving human subjects
or laboratory animals
As previously defined in this report, the EPA will be solely re-
sponsible for coordination with the Appalachian Regional Commis-
sion when the proposed project will be located in the Appalachian
region.
Background information concerning each of the above parts of an
application will be discussed to assist an applicant in under-
standing the requirements and procedures necessary for prepara-
tion and submission of a grant application and for accountability
during a grant demonstration project.
The Grant Application/Proposal Receipt card, when completed,
permits the EPA to record the receipt of the grant application,
17
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GO
PART IV
PROJECT NARRATIVE STATEMENT
Principal investigator and
staff
Project objectives
Project site and description
Technique to be demonstrated
Relationship of technique to
state-of-the-art
Results and/or benefits expected
Technical approach
Detailed work plan including
monitoring
Wastes treatment and control
Facilities, equipment and sup-
plies available for project
Contractors and subcontractors
Responsibilities and working
arrangements
Detailed schedule of events
ENVIRONMENTAL ASSESSMENT
REPORT
Project identification
Description of project
Description of environment
Status of enforcement and
implementation plans
Probable environmental impact
Mitigating measures
Adverse effects which cannot
be avoided
Relationship between uses of the
environment, etc.
Irreversible and irretrievable
commitments
Alternatives to the project
Public objections
Agencies consulted
PART II
BUDGET
Cost category and program
element
Detail of direct costs
Budget by source
Estimates for balance of
project period
Forecasted cash needs by
quarter
LAND ACQUISITION
State agreements
Easements
Leases
Permits
Licenses
J
CLEARINGHOUSE NOTIFICATION
PART I
GENERAL INFORMATION
NOTICE OF RESEARCH PROJECT
ASSURANCE OF COMPLIANCE
CIVIL RIGHTS ACT OF 1964
GRANT APPLICATION/PROPOSAL
RECEIPT
PART III
CERTIFICATION AND AGREEMENT
SUBMISSION OF GRANT
APPLICATION
Grant application (proposal
receipt) Part 1.11,111. and IV
Land acquisition document
Environmental assessment report
Clearinghouse notification
Assurance of compliance
Notice of research project
Figure 3. Application flow diagram.
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initiate processing procedures, and notify the applicant that
the application has been received and the application number
assigned. The application number should be used in all corres-
pondence with the EPA (note number on upper right of page).
The planning and development clearinghouse(s) of the State (or
States), region (if one exists), or metropolitan area in which
the project is to be located must be notified by an applicant of
its intent to apply for Federal assistance. Information and
assistance concerning notification procedures should be obtained
from the appropriate clearinghouse(s). A copy of the applicant's
response(s) from the appropriate clearinghouse(s) must be
attached to the application at the time of submittal.
The EPA will provide to an applicant a copy of the regulations
governing the preparation of the necessary environmental impact
assessment for a proposed demonstration project and a copy of the
environmental assessment outline to assist the applicant in mak-
ing such an assessment. The environmental assessment, submitted
as a separate document by an applicant, will be utilized by the
EPA in preparing its Environmental Impact Statement required by
the National Environmental Policy Act of 1969, Executive Order
11514, and the Council on Environmental Quality's Guidelines of
April 23, 1971. The environmental assessment report to be com-
pleted by an applicant (and supported by the Application for
Federal Assistance) should include, as appropriate, the following
information:
1. Identification
a. Project title
b. Name and address of applicant
c. Date
d. Name, title and signature of authorized
representative of applicant
19
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2. Description of proposed project
a. Proposed project description
b. Purpose of project
c. Location of project
d. Project time schedule
e. Project interrelationship with other
projects or proposals in the project area
f. References for supporting documents
(feasibility - design studies)
3. Description of the environment
a. Location
b. Physical characteristics
c. Topography
d. Historical and archaeological sites
e. Geology
f. Seismology
g. Geography
h. Climatology and meteorology
i. Hydrology
j. Land and water uses (current)
k. Ecology - aquatic and terrestrial
1. Chemical and physical characteristics of air
and water in the vicinity of the proposed project
m. Present and anticipated level of economic develop-
ment
4. Definition or reference to any pending legal or
enforcement actions
a. Enforcement conference recommendations
b. Air or water quality standards
c. Implementation plans
d. Other legal or enforcement actions
e. Respective status or progress on each
20
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5. Probable impact of the proposed project on the
environment
a. Land use compatibility
b. Water use compatibility
c. Heat dissipation
d. Chemical wastes
e. Sanitary wastes
f. Solid wastes
g. Biological impact
h. Impact, adverse or beneficial, the proposed project
will have on the land use and economic and social
well-being
i. Aspects which could result in man-caused accidents
or natural catastrophes
j. Unknown or partially understood impacts relative
to the ecology
k. Construction noise, gaseous emissions, or other
areas of specific interest
6. Mitigating measures included in the proposed project
a. Measures to be initiated to protect or mitigate
the impact of the proposed project on the environ-
ment
b. Proposed investigations and continuous monitoring/
surveillance programs
c. Air or water quality or solid wastes impacts, in
accordance with local, State or Federal regula-
tions
7. Adverse effects which cannot be avoided should the
proposed project be implemented
a. Environmental impacts previously described in
(5) and (6) above, the relative values placed
upon those impacts, and analyses of who or what
is affected and to what degree
21
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b. Action(s) which would be taken if adverse
environmental effects became known through
(6.b) above
8. Relationship between local short-term uses of the
environment and maintenance and enhancement of
long-term productivity
a. Assessment of the construction and operation
of the proposed project
b. Immediate and long range beneficial uses of
natural resources
c. Actions to minimize short-term effects on the
environment due to construction, and anticipated
long-term effects, if any
d. Local short-term effects of air releases,
liquid discharges or solid wastes disposal on the
environment
e. Trends of similar activities on the environment
9. Any irreversible and irretrievable commitments
should the proposed project be implemented, in-
cluding a discussion and guantification, where
possible, of any irrevocable uses of resources
a. Resource extraction
b. Erosion
c. Destruction of archaeological or historical sites
d. Animal or plant habitat
e. Changes in land use (solid waste disposal, etc.)
10. Alternatives to the proposed project
a. Not proceeding with the project
b. Alternative site locations
c. Alternative processes
d. Alternative energy sources
e. Plant design alternatives
22
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f. Water sources
(1) Surface water development
(2) Groundwater development
(3) Improved water management practice
(4) Recycling of sanitary and industrial effluents
to industrial, agricultural, etc., users
11. Public objections, if any, to proposed project and
their resolution
12. Agencies consulted about the project, including
name, title and address of representative con-
tacted
a. Federal
b. State
c. Local
Section 107 provides that, for a demonstration project, the State
shall acquire any land or interests therein. Projects which in-
volve the acquisition of land must include documentation from the
State specifying land acquisition commitments. When a proposed
project results in the acquisition of land and displacement of
any person from his home, business, or farm, the State must in-
sure the EPA, at the time of application, of compliance with the
Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, P.L. 91-646. Procedures for complying with
the Act are defined in 40 CFR 4.1 et seq.
The Application Kit for Grant contains an Assurance of Compliance
Statement under Title VI, Civil Rights Act of 1964. This EPA
form must be executed and included as part of the application.
Each applicant for a Section 107 demonstration grant must com-
plete and submit as part of an application a Notice of Research
Project (NRP). This form, furnished with the Application Kit
23
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for Grant, shall contain the name and address of applicant,
name of applicant's project director, or principal investigator,
the project title and a summary of the proposed project (200
words or less), defining the objectives, technical approach and
work plan. Confidential data is to be omitted. If the proposed
grant project receives EPA approval, the NRP will be registered
at the Smithsonian Science Information Exchange and may be re-
leased to others who request references on research currently in
progress in specified subject fields. Additional information
may be obtained by writing to:
Smithsonian Science Information Exchange
1730 M Street, N. W.
Room 300
Washington, D. C. 20036
The Application Kit for Grant furnished to an applicant by the
EPA will contain the Application for Federal Assistance, with
instructions. The application, to be completed for Section 107
grant demonstration projects, shall consist of:
Part I General Information
Part II Budget Information
Part III Certification and Agreement
Part IV Project Narrative Statement
Usually, applicants for Section 107 grant demonstration projects
initially apply only for a grant to conduct a feasibility study,
as shown in Figure 1; however, they may make application for a
complete demonstration project. The selection of approach will
depend primarily on an assessment of the technical and economic
feasibility of a proposed project, and the ability of an appli-
cant to sufficiently define the various project phases (such as
engineering, construction, operation, monitoring, etc.) and de-
tail the budgets for such phases. When the feasibility and/or
24
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engineering for a proposed demonstration project has been pre-
viously ascertained or completed, an applicant can submit an
application for construction, operation (if applicable) and
monitoring. All demonstration projects must include monitoring.
Subsequent sections of this report define the general requirements
for each applicable project phase, including monitoring and re-
ports . Figure 1 also provides for an applicant the general period
of time for each project phase.
The narrative statement (Part IV) to be prepared by an applicant
must include all appropriate items defined under Part IV -
Narrative Statement, Research and Demonstration Grants (pages
8 of 13 and 9 of 13 of instructions). Each page of the narrative
statement should be numbered consecutively. Additional informa-
tion to be included in Part IV, or to be included in the project
planning, as applicable, is as follows:
1. Capabilities, experience, facilities, and biographies
of principal staff members and proposed contractors and
subcontractors. A consultant is considered a contractor
or subcontractor. Information should be provided on
specific capabilities and experience to perform the
proposed project work.
2. A detailed time schedule of events expressed as a bar
chart, with narrative description in text form.
3. Specifications for water sampling, including a defini-
tion of methods for collection (grab, composite, use
of automatic samplers, frequency of collection and
analyses, etc.).
4. Specifications for water analyses, including a defini-
tion of field and laboratory test methods to be utilized,
and the determinations to be completed (i.e., pH, tur-
bidity, mercury, specific conductance, dissolved iron,
etc.) .
25
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5. Detailed plans for conforming to any requirements im-
posed under Federal, State or local authority for pro-
viding required treatment for liquid, solid or airborne
wastes.
6. Discussion of specific responsibilities and proposed
working arrangements with contractors and subcontractors,
7. Discussion of project delays which may be encountered
due to extreme weather conditions; delivery of equip-
ment, materials and supplies; time availability of
contractors or subcontractors; and negotiation of con-
tracts or subcontracts.
8. Plan for preparation of photographs and slides to pro-
vide a pictorial history of the project.
Figure 3 provides a listing of the items to be included in Part
IV - Project Narrative Statement. An applicant should make an
assessment of the proposed demonstration project, prepare an out-
line, and obtain agreement on the Part IV items with the EPA
during the preapplication coordination meetings. In the event an
application is submitted only for a feasibility study, the
grantee must submit another application for a continuation grant.
To be eligible for a continuation grant, the grantee must:
1. Provide supportive information that the feasibility
study being conducted or completed justifies the demon-
stration project; and
2. Demonstrate satisfactory performance during all previous
budget periods; and
3. Submit a continuation application no later than 90 days
prior to the end of the budget period.
Allocation and alienability of costs to perform a grant demon-
stration project must be in compliance with 40 CFR 30.701. The
following regulations apply:
26
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1. To State and local governments, Office of Management
and Budget (OMB) Circular A-87.
2. To educational institutions, OMB Circulars Nos. A-21
(Revised) and A-88.
3. All others are governed by the Federal Procurement Regu-
lations, Title 41, Code of Federal Regulations, Chapter
1, Subpart 1-15.2.
Detailed budgets for Section 107 grants are to be prepared in
accordance with the instructions for Part II included with the
Application for Federal Assistance. These instructions must be
thoroughly understood by an applicant and the forms (Part II)
prepared as directed. The budget and supporting financial data,
quotations, etc., must be auditable by the EPA. Such an audit
includes contractors and subcontractors.
Part II of the application is divided into the following sched-
ules and sections :
1. Schedule A - Budget
Section A Budget by source
Section B Budget estimates for balance of
period
Section C Forecasted cash needs by quarter
Section D Budget by cost category or program
element
Section E Detailed itemization of direct costs
Section F Indirect costs
2. Schedule B - Budget (For construction projects and
other projects involving land acquisition, land de-
velopment, or the relocation of individuals and
businesses)
Section A Calculation of EPA grant (cost classi-
fication)
27
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Section B• Indirect costs
Section C Budget by funding source
After the work plan has been defined {Part IV of application),
the budget estimates should be prepared by identifying all ele-
ments of cost and specifying when it is anticipated that the
costs would be incurred. The budget by cost category and time
schedule can then be prepared.
The following will define some of the general requirements for
preparing the estimates and budgets in accordance with Part II,
Section D cost categories:
1. Personnel - Estimates of labor hours (person-months) per
individual or labor category should be determined based
on the work plan and schedule. Actual annual salaries
for identified individuals should be used. Less than
person-year efforts are determined by using monthly
or bi-monthly salaries. When a project extends over a
salary review period, the salary rate used may be ad-
justed in accordance with applicable Federal guidelines.
When a labor category is used, the salary must represent
the average salary or average of the range for all in-
dividuals in a specific labor category. Since many
grant demonstration projects extend over 12-month per-
iods, salaries used for the budget should reflect the
costs that may be incurred. This cost category is for
grantee personnel only. Item 6 defines personnel costs
for contractual services.
2. Fringe Benefits - The cost of fringe benefits can gen-
erally be determined to be a percentage of direct salary
costs. Fringe benefits generally include the cost of
sick leave, vacation and holiday pay; unemployment,
excise and payroll taxes; and contributions for social
28
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security, employment compensation insurance, retirement
benefits and medical and insurance benefits.
3. Travel - Estimates of travel and living expenses must
be defined by number of trips, person-days, destination,
purpose and unit costs per element. Travel and living
expenses include the following:
a. Auto mileage
b. Airline fare (coach travel)
c. Parking
d. Auto rental
e. Taxi
f. Motel or hotel
g. Meals
4. Equipment, Materials and Supplies - Quotations should be
obtained to budget the cost of equipment, materials and
supplies. Forward pricing estimates may be used when
such items are to be purchased 90 days or longer after
project initiation. Prices quoted for these items may
be established catalog or market prices if they are
commercial items sold in substantial quantities to the
general public in accordance with the criteria defined
in the Federal Procurement Regulations. Items such as
film, slides, etc., are included under this cost cate-
gory.
5. Construction - Quotation costs are to be itemized using
the cost categories in Part II, Schedule B, Section A.
Projects involving construction are subject to 40 CFR
40.145-3. Construction work will be performed by the
fixed-price (lump sum) or fixed-rate (unit price)
method, or a combination of these two methods, unless
some other method of contracting is approved in writing
by the EPA.
29
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6. Contractual Services - The grantee should select con-
tractors and subcontractors on a competitive basis
to the maximum practical extent consistent with the
objectives and requirements of the services to be per-
formed. Contracts or subcontracts may be awarded on a
fixed-price (FP) basis depending on the nature of work
to be performed. In any event, procurement practices
of the grantee organization shall be followed, and the
grantee is expected to obtain the lowest reasonable
costs.
The cost elements and general methods of preparing con-
tract or subcontract proposals are provided in the fol-
lowing example:
a. Direct Labor
Total
Estimated Rate/ Estimated Estimated
Hours Hour $ Cost $ Cost
Project Manager
Project Engineer
200
700
Chemical and San-
itary Engineer 1,500
Draftsman
Secretary
80
100
Total
9.00
8.00
7.25
5.00
3.25
Direct
1,800
5,600
10,875
400
325
Labor $19,000
30
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b. Labor Overhead
Total
Estimated Estimated
0.HjRate X Base J?ost $ Cost
Department or
Cost Center 85% $19,000 16,150 16,150
Subtotal $35,150
c. Other Direct Costs (see Reference A)
Travel $ 1,000
Per Diem or Subsistence 500
Printing or Reproduction 700
Communications 400
$ 2,600 2,600
Subtotal . $37,750
d. General and Administrative
8.0% of Cost Elements a, b, and c 3,020
Subtotal $40,770
e. Fee or Profit 3,262
Total Estimated Cost and Fee $44,032
(A) All Other Direct Costs should be itemized separately as
previously defined (note reference above).
The overhead rate and general and administrative ex-
pense percentages are determined from the contractor
or subcontractor financial reports in accordance with
Federal Procurement Regulations. The calculations are
based on the following:
31
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O.K. Rate (%) = Total Overhead
Direct Labor
G&A Rate (%) = General and Administrative Expense
Total Direct Costs and Overhead
Certain costs are non-allowable in calculating the above,
These include entertainment expense, special officer
life insurance policy payments, bad debts, and interest
expenses.
7. Laboratory Services - Laboratory analyses may be bud-
geted on a unit price basis as shown in the following
example:
Number of Unit Total
Determination Tests Price Price
pH 150 $ 1.50 $ 225
Turbidity 150 1.50 225
Mercury 150 10.00 1,500
Specific Conductance 150 1.50 225
Dissolved Iron 150 3.00 450
Total Price $2,625
Once the budget is prepared by cost category, it can then be
expanded by program element to complete Part II, Section D. A
forecast of the costs to be incurred can then be completed. The
applicant should determine at this time the proposed cost sharing
per cost category. In order to resolve equipment or materials
disposition at project completion, the applicant may decide to
propose that his cost share be used for purchase of these items.
The proposed disposition of equipment should be defined in the
application. In-kind contributions are considered part of a
grantee's cost share, except for land acquisition.
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In the event funding will be obtained from Federal sources in
addition to the EPA, the combined funds represent the Federal
share of allowable project costs. Proposed funding commitments
from Federal sources other than EPA should be submitted in writ-
ten form with the application.
Accounting for project funds includes receipts, grantee contri-
butions and expenditures, and contractor and subcontractor ex-
penditures, and must be in accordance with generally accepted
accounting principles and practices. Supporting records of
grant expenditures must be recorded in sufficient detail to show
that grant funds were used for the purpose for which the grant
was made (40 CFR 30.605). Any income derived from a demonstra-
tion project shall be in accordance with 40 CFR 30.603.
33
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SECTION V
FEASIBILITY STUDY
The purpose of the feasibility study is the collection of appro-
priate, meaningful data about a proposed demonstration project
(techniques and project site), the presentation of benefits to be
gained from the proposed project and the performance of suffi-
cient preliminary engineering to provide a reliable cost esti-
mate. It is not a study of alternatives but must be confined to
one project site and one proposed solution. While only one proj-
ect is to be considered by one feasibility study, such project
may include one or more individual control methods at one or more
locations within the project's watershed area.
The feasibility study will identify the problems that will be en-
countered during the implementation and operation of the project
and will document the proposed solutions to these problems. The
basic steps required for the preparation of a feasibility study
are outlined in Figure 4 and are discussed in more detail later
in this section. A suggested format for the documentation and
presentation of the feasibility study and supporting information
is presented at the end of this section.
As a first step in the preparation of the feasibility study, the
existing legal and jurisdictional system affecting the proposed
project must be analyzed. A legal and administrative framework
for the implementation and operation of the proposed project
must be identified and documented. This documentation should
include such pertinent data as enabling legislation, proposed
allocation of administrative responsibility, ownership and sur-
veillance. Additional legislation or administrative actions
that might be required for project implementation should be ini-
tiated immediately in order to be completed prior to the appli-
cation for demonstration grant funds.
34
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to
A. ANALYSIS OF LEGAL AND
JURISDICTIONAL FACTORS
fr
B. INVENTORY AND CHARACTERIZATION
OF PROJECT SITE
5.
6.
Determine the agencies responsible
for project implementation.
Ascertain legal basis for
administrative authority.
Determine existing and proposed
water quality standards. Deter-
mine adequacy of surveillance.
Determine site ownership and
mineral rights acquisition
requirements. Evaluate legal
authority for acquisition.
Establish that legal authority
exists to prevent future pollution.
Determine additional legislation
or revised regulations which will
be required.
Site investigations.
a. Characteristics of site
b. Locations of shafts, boreholes
and tunnels
c. Mine drainage effluent quality
d. Mine drainage quantity
e. Sources of mine water inflow
f. Mine drainage outfalls
g. Subsurface conditions
h. Topography
i. Geology
Characteristics of receiving waters.
a. Streamflow
b. Floods and lowflow characteristics
c. Rainfall and runoff relationships
d. Stream quality
e. Other mine drainage pollution
sources
f. Other non-mine drainage pollution
sources
Social and economic environment.
a. Population concentrations
b. Water uses including water supply
recreation, irrigation, etc.
c. Quality requirements of users
d. Potential impact of project on
expected water use.
Figure 4. Feasibility study phase diagram.
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C. PRELIMINARY ENGINEERING
D. PREPARATION OF IMPLEMEN-
TATION AND OPERATING PLANS
EVALUATION OF EFFECTIVENESS
1. Detailed project description.
a. Location plan
b. Site plans
c. Process chemistry
d. Treatment plant flow
diagrams
e. Preliminary operating
data
2. Facilities design.
a. Prepare preliminary plot
plans
b. Identify construction
materials
3. Design and install sur-
veillance facilities and
equipment.
4. Prepare design program.
a. Schedule
b. Costs
c. Personnel
d. Design criteria
1. Develop management plan and
identify responsibilities.
a. Project coordination
b. Design
c. Construction
d. Operation
e. Surveillance
2. Develop operating plan.
a. Schedule
b. Personnel
c. Maintenance
d. Supervision
e. Costs
3. Prepare construction program.
a. Schedule
b. Costs
c. Procurement
d. Supervision
Estimate project effectiveness.
a. Applicability of technique
b. Proportion of pollution to
be abated
c. Unit cost of abatement
d. Extent of streams to be
improved
e. Assurance of success
f. Compliance with standards
g. Increased recreation po-
tential of stream
h. Improved water supply
Estimate total project costs.
a. Land acquistion
b. Construction costs
c. Operating costs
d. Maintenance costs
e. Engineering costs
f. Administrative costs
Evaluate project effectiveness
in the light of project costs
and expected implementation
difficulties to determine
feasibility and desirability.
Figure 4. Feasibility study phase diagram.
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An inventory of the existing and expected physical and socio-eco-
nomic environment of the proposed project site must then be made.
This inventory should provide supporting data for the design of
the project and for the estimation of effectiveness, benefits
and cost. Data collected during the inventory phase must be in-
cluded in the supporting documentation of the feasibility study.
Based on the data collected in the inventory of physical condi-
tions, preliminary designs must be prepared to determine the
physical practicability of the project, as well as the cost of
development. Preliminary engineering should be based on sound
field survey data, including field and laboratory analyses of
water quality, subsurface investigations, and hydrologic and to-
pographic data. The expected impact of the project must be trans-
lated into measures of effectiveness, and project costs must be
documented. As a final step in the preparation of the feasibility
study/ plans for implementation and continued operation should be
prepared.
The desirability and feasibility of a mine drainage abatement
demonstration project will be determined by a combination of fac-
tors including:
1. Technical feasibility
2. Demonstration value
3. Wide applicability
4. Economics and public benefits
5. Political and jurisdictional factors
The dual criteria of desirability and feasibility are included
since a project or the aspect of a project might appear to be
feasible in the strict sense of the word, while the difficulties,
costs of the solution and limited application could outweigh the
value of the project. For example, if extensive legislative
changes are required to enable project implementation, these
37
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changes might be possible, but only with extensive delays and
political and economic costs that would be considered excessive
when evaluated in light of expected project effectiveness. The
rationale for determining that the project is feasible and de-
sirable should be included in the Conclusions and Recommendations
section of the Feasibility Report.
In performing the feasibility study, each of the applicable major
steps in this section must be addressed in adequate detail such
that the merits and demerits are clearly evident for the proposed
project. The study need not be limited only to the steps shown,
however.
A. JURISDICTIONAL FRAMEWORK
It is essential that the legal authority be clearly established
for the State or interstate agency or their agents to engage in
all facets of the demonstration project. The agencies concerned
with acquisition, design, construction and operation must be
identified, as well as the orders and regulations under which
they operate relevant to the proposed mine drainage demonstra-
tion project. How the project would operate under existing
legal authority is extremely important.
1. Cognizant Authority
Reference the legislation, regulations, or other orders which
the State or interstate agency has authorized for work in mine
drainage abatement. List the subagencies responsible for con-
tracting, administering and operating the proposed demonstration
project and the scope of their operations, as well as their
relevance to mine drainage. Discuss clearly the adequacy of the
present legal and administrative structure for accomplishing the
purposes of the project.
38
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2. Existing and Proposed Standards
Identify any present or proposed water quality standards for the
stream or streams involved. These should be referenced in the
text/ with relevant sections included in the report appendices.
Show how any stated quality requirements for treated effluents
are or are not relevant to the project. Discuss any proposed
higher public uses of the waters concerned and the criteria as-
sociated with such uses. Discuss how the project proposes to
affect the quality of the drainage in order to meet the subject
criteria. Discuss the applicability of existing water quality
and land use standards for the proposed uses. Discuss which
agencies are charged with surveillance and enforcement of stan-
dards and whether the capability and authority exist to accom-
plish the surveillance and enforcement required by the project.
3. Site Acquisition
Determine the legal authority by which the purchase of lands,
easements, condemnation, leases, or other access control tech-
niques for the proposed site may be applied. Discuss how and
when site acquisition will be accomplished within present legal
authority, as well as the duration of such acquisition.
4. Water and Mineral Rights
Determine what water and mineral rights are involved in the proj-
ect and how, when, and for what term the project would secure
such rights under existing legislation and regulations.
5. Prevention of Future Pollution
Specify clearly and in depth the State's provisions for legal
and practical protection to the demonstration area that will as-
sure the prevention of future mine drainage pollution from areas
39
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outside the proposed project site. Show how such protection
will be achieved under existing authority for the duration of
the proposed project, as well as for the post-demonstration
period.
B. INVENTORY AND CHARACTERIZATION OF PROJECT SITE
Analyze physical, economic and social conditions in the mine
drainage abatement program area in sufficient detail to gen-
erate the data required for planning, implementation and opera-
tion activities. Analysis of physical conditions will define
the site, surface and subsurface, and will provide constraints
on the abatement system selected. The inventory of water re-
sources will define pollution sources and levels in the project
area. Social and economic analysis will provide the basis for
forecasting water demands and evaluating beneficial effects.
1. Physical Conditions
Determine the location of the project area and its relevant
features on U. S. Geological Survey 7-1/2 minute topographic
maps. Complete surveys by ground parties or aerial photography,
or both, if necessary. Show at least the following for the
project:
a. Political jurisdiction such as county, municipality,
borough, township, city, etc., and area boundary.
b. Watershed boundary, if appropriate.
c. Location and official names of the receiving streams
influenced by the demonstration project.
In the event the project deals with a watershed survey, reclama-
tion or mining techniaues, the following should be considered
and reported, if applicable:
40
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a. The minerals mined; the mineral reserve to be owned,
leased or otherwise controlled by the project; and
whether that reserve will be mined or unmined.
b. The name, type of mine, status and surface areas mined
and affected by surface mining.
c. The location of surface subsidence areas resulting from
underground mines,
d. The name, type and status of deep mines; location of
mine openings and mine discharges; and maps of mine
areas.
e. The location of interconnections between adjacent deep
mines, as well as deep-mine/surface-mine intercepts.
f. The location of gas, oil and water wells and levels of
producing formations of each.
g. The location of boreholes and elevation of mineral
seams.
h. Subsurface geology indicated from boreholes and other
sources.
i. The location of geologic faults.
j. The location of any surface or subsurface water im-
poundments .
k. An analysis of the materials remaining that could con-
tribute to mine drainage pollution.
Show proof that the physical information obtained on the project
area from the foregoing survey is adequate for the project. Dis-
cuss the effect on the project of inadequacies, inaccuracies or
voids in the foregoing and how the proposed project will com-
pensate for such.
2. Water Resources
The quantity and quality of surface and subsurface water in the
project area must be known, as well as the quality and quantity
of existing mine water pollution. Since rainfall affects both
41
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of the foregoing, such information is also desired seasonally.
The following information should be reported, if applicable:
a. The mean low, mean, mean high, and high flow for a ten-
year period for each affected stream, as well as sea-
sonal variations in mean flow. The lack of this his-
torical information should be reported. Flow data
should be collected for high and low flow periods or
at least for one hydrological cycle.
b. Mean flow seasonally (at least one year) for each mine
water pollution source.
c. Annual withdrawals from any water wells and, if avail-
able, any record of variation in water table.
d. Quality of water in streams and wells, with particular
attention to those parameters reflecting mine water
pollution, as well as those covered by relevant stream
standards.
e. Quality of mine water discharges, with emphasis on
those parameters causing pollution in receiving streams
and subject to alteration by the proposed demonstration
project.
f. Rainfall data, including ten-year and one-year maximum
rainfall.
g. Frequency of sampling which will depend upon the con-
ditions for each project. One sample per month will
be considered as a minimum, with weekly sampling
preferred. The analyses of these samples should be
correlated with the historical data available.
Discuss the sources of the water resource data and their adequacy
for the project. Show how the project will compensate for in-
adequacies, inaccuracies, or voids in the foregoing. Present
water quality data on a loading basis to indicate kg per day
(pounds per day).
42
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3. Social and Economic Environment
State the population and major industrial activity and their
location in both the demonstration area and the downstream ad-
jacent areas. Project the probable changes in such social and
economic environments for the areas concerned.
Determine the water requirements for both quality and quantity
for municipal, industrial, recreational, agricultural and power
uses in the watershed and/or in the adjacent downstream area.
Discuss the changes that the social and economic environment
will require in utilizing the water resources of the area con-
cerned. Show whether the proposed mine water pollution control
project will aid in meeting these requirements; indicate what
changes in water utilization will be affected by the project.
C. PRELIMINARY ENGINEERING
Present sufficient details of the proposed mine drainage abate-
ment method, identifying the application to the proposed site,
capital and operating costs and past use, so that the effec-
tiveness and means of implementation and operation can be
clearly determined. Clearly show that the proposed project will
fulfill its purpose of demonstrating one or more workable mine
water pollution abatement or control methods. This is not a
research project with only problematical prospects of success.
Examples of information desired are given under each of the
following headings. Additional information should be supplied
whenever relevant.
1. Abatement Method Description
Describe the abatement or control method employed, including the
principle of operation. Give the supporting past pilot or field
43
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experience, the mine drainage control effected by the applica-
tion, and the interrelationship between methods when more than
one is proposed.
2. Preliminary Design
a. Drawings - Show in appropriate drawings and maps the
following:
(1) The location and outline of the area influenced
by the proposed abatement or control method and
the existing mine water pollution abated or con-
trolled.
(2) The points at which remaining drainage or treated
discharge will occur and the course taken by such
to the receiving streams.
(3) Topography of the area after project construction.
(4) In the case of treatment methods:
(a) Process flow sheet from point of collection
through process to discharge.
(b) General location plan, with controlling di-
mensions, grades and elevations.
(c) Plot plan locations of major units indicated
on the process flow sheet.
(5) In the case of mine sealing:
(a) The location of seals and grout curtains to be
constructed.
(b) The method of construction of the seals and
grout curtains.
(c) The extent of flooding of the mined out area,
including elevation of pool surface.
(6) In the case of backfilling, the profile of the
completed backfill, including its relation to the
cut, spoil bank, seam top and bottom, and previous
natural contour.
44
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(7) In the case of stream diversion:
(a) The plan and profile of streams after diversion.
(b) The cross-sections of the diverted channel.
(8) In the case of revegetation, a typical profile and
plan of the revegetated area.
b. Specifications - State at least the following for each
of the relevant abatement or control methods:
(1) The maximum, minimum and average design drainage
flows and quality to be handled by treatment methods.
(2) The unit dimensions, capacities and materials for
each flow sheet component for treatment methods.
(3) Materials for construction of seals, grout curtains
and diversion channels.
(4) Composition of soils used in backfilling, top
grading and revegetation.
(5) Estimated volume and method of movement of soils
in backfilling and top grading.
(6) Minimum, mean and ten-year maximum flows in diverted
stream channels.
(7) Types and sizes of plantings and seedings, distri-
bution, density and estimated survival.
(8) Soil preparation, including amount and type of
soil additives or fertilizer.
(9) Method of planting or seeding.
c. Expected Mine Water Quality and Quantity -
(1) Minimum average and maximum values for quantity of
discharge, if any, from each control method, in-
cluding brines, residues and sludges.
(2) Average and maximum values for each quality para-
meter, including all those required for effluent
or stream standards for all discharges, if any,
from each control method, including brines,
residues and sludges.
45
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(3) Analysis of the feedwater if treatment methods are
proposed.
d. Design and Construction Schedules - Prepare planning,
design, construction and startup schedules for the
remaining phases of the project. Include the operating
and monitoring schedule for the demonstration and post-
demonstration period.
e. Program Surveillance Measures - State the types of an-
ticipated results and the data collection means by which
the results are accumulated and evaluated during the
demonstration and post-demonstration period. Such
results must include costs, as well as quantitative
and qualitative performance of the project.
f. Program Emergency Procedures - State the significant
emergency events that may occur during the life of the
project and show both the impact on the project effec-
tiveness and the measures that are planned to correct
or prevent such emergencies.
3. Capital and Operating Costs
Cost data must be prepared and presented in sufficient detail
and accuracy to assure the financial resources needed for com-
pletion of the demonstration if it is funded.
a. Site Acquisition Costs - State all legal fees and
purchase or lease costs for land, minerals and water
rights.
b. Construction Costs - Identify all estimated equipment
purchase costs, construction costs and engineering
fees. Include the method and basis for the estimates.
46
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c. Operating Procedures - Prepare and present administra-
tive, purchasing, operating and maintenance procedures
for both demonstration and post-demonstration periods.
List estimated quantities of materials and supplies
required.
d. Personnel Requirements - Present the requirements for
administrative, operating and maintenance personnel,
including job description, experience level and expected
compensation range.
e. Operating Costs - Prepare estimated costs of operating
and maintenance for personnel, supplies and utilities.
Include allowances for purchasing, administration and
surveillance.
D. PREPARATION OF IMPLEMENTATION AND OPERATING PLANS
Plans and schedules in addition to those discussed under Pre-
liminary Engineering must be developed for the implementation
and operation of the proposed mine water abatement demonstration
project. These plans must include the schedules of required
action by the responsible agencies, as well as construction,
operation and maintenance budgets and financial programs. Pres-
ent the following information:
1. Project responsibility and schedules for acquisition,
design, construction, operation and surveillance.
2. Project operation and maintenance budget for demonstra-
tion periods.
3. Procedures and schedule for providing required project
personnel.
4. Plans for supervision of the entire project, including
the post-demonstration period.
47
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5. Responsibility for and schedule for remaining project
progress reports and final project evaluation report.
Report requirements and formats are discussed in greater
detail in Section X of this guide.
E. EFFECTIVENESS OF PROJECT
Projects which provide the most effective demonstrations or
important abatement methods will be considered under the demon-
stration grants program. All demonstration and other public
benefits that can be attributed to the project must be identified
and presented in an orderly manner for evaluation.
1. Demonstration Value
Provide the following measures of project effectiveness as appli-
cable:
a. The proportion of mine water pollution in the State or
area that might be abated by the project.
b. The proportion of mine water pollution that will be
abated at the project site.
c. The approximate unit cost of abatement of the polluted
discharge to be abated in terms of-dollars per thousand
gallons or other acceptable basis.
d. Annualized capital and operating costs per ton of mine
water pollutants removed. For acid mine drainage, this
should be dollars per ton of acid.
e. The extent of streams and/or lakes to be improved and
the degree of improvement provided by the project.
2. Public Benefits
The public benefits of the project should be stated and discussed
in terms of the location of the project relative to population
48
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concentrations, the visibility of the project and of the im-
proved water quality, and the extent of public interest in the
quality of the receiving waters. The following should be in-
cluded as applicable:
a. Increased recreational opportunity.
b. Increased industrial activity.
c. Increased agricultural activity.
d. Aesthetic improvement.
e. Improved habitat for fish and wildlife.
f. Compliance with quality standards.
g. Income from sales of water.
h. Reduced costs for water users.
F. FORMAT AND CONTENTS OF A FEASIBILITY REPORT
This section identifies the typical major items that should be
included in conducting a feasibility study to demonstrate methods
for controlling pollution from mine drainage under Section 107
of the Federal Water Pollution Control Act, as amended. In order
to provide uniformity, all feasibility studies will be presented
in the same format as outlined in the "Interim Specifications for
'OR & M GRANT1 Contract and In-House Reports," March 1973, as
amended at the date of the report preparation.
A typical feasibility report will contain the following items,
realizing, however, that common sense will dictate that all items
may not necessarily apply to all studies.
1. Cover
2. Title Page
3. Abstract
4. Table of Contents
5. List of Figures
6. List of Tables
49
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7. Acknowledgements
8. Conclusions
9. Recommendations
10. Body of Report
a. Introduction
(1) Scope and Purpose of the Project
(2) General Description of the Project
(3) Effectiveness of Project
b. Jurisdictional Framework
(1) Authority
(2) Standards
(3) Site Acquisition
(4) Water and Mineral Rights
(5) Prevention of Future Pollution
c. Inventory and Characterization
(1) Physical Conditions
(2) Water Resources
(3) Social and Economic Environment
d. Preliminary Engineering
(1) Abatement Method Description
(2) Preliminary Design
(3) Capital and Operating Costs
e. Implementation and Operating Plans
f. Effectiveness of Project
(1) Demonstration Value
(2) Public Benefits
11. References
12. Glossary of Terms, Abbreviations and Symbols
13. Appendices
50
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SECTION VI
ENGINEERING
The intent of this section is to define the recommended sequence
and identify the areas of responsibility for the required proj-
ect engineering tasks. The approved feasibility report serves
as the basic document for identifying the engineering require-
ments. The next logical step is the expansion of the engineer-
ing requirements presented in the Preliminary Engineering
Section of the Feasibility Report.
Since the demonstrations funded by Section 107 grants can cover
such a wide range of activity, it is impossible to present a
step-by-step format of engineering development for all projects.
The grantee should utilize as a guide those sections that re-
late to his specific project. A typical engineering phase
diagram is illustrated in Figure 5.
A. GENERAL ENGINEERING PROCEDURES
There are generally two methods of performing an engineering and
construction project. The first method is to employ an indepen-
dent Architect-Engineer (AE) to prepare the drawings and speci-
fications, obtain and evaluate construction bids and provide
construction management to the selected contract. The second
method is to employ an engineer-contractor on a total lump sum,
turnkey basis. The primary difference between the two methods
lies in the responsibility for the project. In the first, the
responsibility for process development and design engineering
of the system lies with the AE, while purchasing and installa-
tion is the responsibility of the contractor. With a lump sum
construction contract, the total responsibility is under single
management. Each method has its advantages, and the project
coordinator assigned to the demonstration grant must determine
which method suits the particular circumstance.
51
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to
FEASIBILITY
APPROVAL
GRANT
COORDINATOR
REGULATIONS
EASEMENTS
UTILITIES
ENGINEERING CONTRACT
PROJECT
ENGINEER
1
EPA
APPROVAL
DEFINITIONS
&
COORDINATION
DESIGN
ENGINEER
1. P & 1 Diagram
2. Location Plan
3. Survey
4. Cut & Fill
5. Power & Control
6. Arrangements
^.
ENGINEERING
DETAILS
1. Foundations
2. Piping
3. Structural
4. Electrical
CONSTRUCTION
ESTIMATE REVIEW
,
t
-V
\
I
I
orbUlrlV^A 1 lUNo
1. Construction
2. Equipment
1
_ £
PflKKTRI IPTION
Figure 5. Engineering phase diagram.
-------
The advantages of the first method, utilizing an AF, are:
1. A system of checks and balances is provided between the
engineering and construction of a project.
2. Independent engineering evaluations can be made of con-
struction bids and bids received on specified equipment.
3. Project costs can be appropriated on a basi,s of separate
engineering and construction contracts.
4. Provision is made for construction and equipment speci-
fications inquiry and evaluation during the engineering
phase, resulting in more definitive estimated costs.
This reduces the contractor's percentage of extras in
construction projects due to construction unknowns.
5. The bidding on the project is not limited to only those
contractors employing engineering staffs.
6. Agencies can purchase major equipment for contractor's
installation.
The advantages of the second method, engineer-contractor, are as
follows:
1. Project coordination is the responsibility of a single
company.
2. The grant coordinator is not required to maintain an
administration staff for the project.
3. The project can be scheduled over a shorter time, since
engineering and construction could be a simultaneous
effort.
Other considerations for selection of AE or engineering-contrac-
tor are:
1. Technical capabilities and availability of personnel for
project.
2. Past references and history of similar projects,
3. Completion performance references for past projects.
53
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If the Architect-Engineer method is selected, engineering work
can be performed by the fixed-price (lump sum) or fixed-rate
(unit price) method. Any other method of procurement must be
approved in writing by the EPA. Invitations for bids or requests
for proposals for the engineering services should be based on a
clear and accurate description of the technical requirements.
The grantee is expected to obtain the service at the lowest rea-
sonable cost consistent with the procurement practices of the
grantee organization.
B. DEFINITIONS AND COORDINATION
The first step in initiating the design engineering of a project
is to establish definitions and coordination procedures. The
definitions should include:
1. Agencies involved in the demonstration project. This
should include assignment of the project coordinator
and other State personnel, including their responsi-
bilities and designation of authority.
2. Assignment of the engineers, project manager, other
project personnel, their responsibilities and designa-
tion of authority.
3. Terminal conditions of project.
4. Contract details and any special work conditions (access
to sites, safety requirements, etc.).
5. Completion date of engineering tasks, with engineering
schedules defining the completion dates of specifica-
tions and drawings.
6. Limitations of drawings, including a definition of the
types of drawings to be developed.
54
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The coordination procedures should define:
1. Drawing sizes and types of material, such as vellum,
mylar and cloth, and who furnishes the drawing material.
Standard drawing sizes are:
8-1/2" x 11" 24" x 36"
11" x 17" 36" x 48"
17" x 22" 30" x 42"
The drawing numbering system should be established in
conjunction with drawing size and field of endeavor.
2. Type and number of prints to be transmitted for refer-
ence, approval and construction. Many clients prefer
sepias, which are reproducible drawings. Prints can be
obtained from the sepia, thus eliminating the transmit-
tal of numerous prints by mail.
3. A numbering system for all distributions and copies of
correspondence, for record keeping purposes.
4. Monthly drawing progress reports.
5. Conference reports, written for all meetings and tech-
nical decisions.
6. Field trip reports.
7. Telephone messages.
8. Monthly billing and financial reports.
9. Engineering, procurement and construction schedules.
Such items as a CPA Schedule (critical path method)
should be used for complex projects.
The grant coordinator should be responsible for determining and
publishing the following:
1. Laws, ordinances and regulations pertaining to the proj
ect.
2. Sales taxes, use taxes.
55
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3. Permits, such as building, water discharge, sewage.
4. Easements, such as highway, ponds, utility, etc.
5. Stream, river and roadway crossings.
6. Property or land requirements for project, including
lease or purchase arrangements.
7. Trade union requirements, for both construction and
operation.
C. ENGINEERING DESIGN
The next engineering task is to develop the drawings which estab-
lish the treatment process or activity and the physical param-
eters for the design engineering. These drawings can be classi-
fied in the following basic categories.
1. Process ajid Instrumentation Flow Diagram
This is a schematic diagram identifying the flows, equipment
size, chemical treatment, water constituents, operation prin-
cipals, and final effluent discharge. The process flow diagram
developed for the feasibility study is used as the background
for developing and expanding this drawing.
2. Power and Control Diagram
This is a schematic diagram identifying the electrical and in-
strumentation modes for operation and monitoring related to the
treatment functions.
3. Location Plan or Plot Plan General Arrangements
This identifies the project location with respect to certain
boundary conditions such as roads, rivers, etc., and serves as
the index for the total engineering package. A site survey and
survey drawing may be required if elevations, boundary lines,
56
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bench marks, monuments, etc., are not properly identified through
available reference material. Bench marks or monuments are
established survey markers for referencing, with elevations and
coordinates inscribed on them.
4. Hydraulic Profile
This drawing identifies the slope of water flow through a treat-
ment system, indicating whether pumps are required or gravity
flow is compatible with equipment, lagoons and basins.
5. Cut and Fill Earthwork
This drawing sets the grade or yard elevation of the plant site,
with heights and levels of dike walls, dams, water levels, etc.
If the project is not complex, the hydraulic profile can be com-
bined with this drawing.
6. Electrical Single Line Diagram
This drawing establishes the complete electrical power require-
ments for the project.
Some projects demonstrating treatment techniques could require
a process flow diagram to identify the interrelationships of
various pieces of equipment.
Once the process flow diagram is completed and has been approved,
the equipment specifications can be written, submitted and
evaluated by the project coordinator and the project officer.
These specifications should be incorporated into the construc-
tion documents. In order for the engineering to proceed, pre-
liminary or certified equipment drawings must be available. In
the event of a lump sum turnkey construction contract, the con-
.tractor purchases the equipment; thus, preliminary drawings are
57
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used for the basis of engineering, and it is the contractor's
responsibility to backcheck equipment size with foundation
anchor bolt locations, pipe sizes, clearances, etc., to ensure
that the equipment will fit.
After the plot plan or location plan is approved, the secondary
general arrangement drawings can be drawn. These would show
chemical feed systems, control houses, mixing or pumping stations,
mine seals, reclamation techniques, etc. When these drawings
are completed, the budget estimate from the feasibility study
should be reveiwed and updated to determine whether costs are
still in line with the original grant estimate.
Once the general arrangement drawings are finished and approved,
the design detail drawings can be completed.
D. SPECIFICATIONS
When the engineering is partially finished, the construction
specifications can be written. Drawings and equipment purchase
specifications become part of the construction specifications.
The specifications should contain the following information,
as required:
1. Section A - Bidding Documents
2. Section B - General Conditions
3. Section C - General Requirements
4. Section D - Scope of Work
a. Site Work
b. Concrete
c. Metals
d. Carpentry
e. Specialties
f. Equipment
58
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g. Special construction
(1) Mine sealing
(2) Flooding maps
(3) Seal location
(4) Reclamation
(a) Plans
(b) Sections
(c) Revegetation
h. Mechanical
i. Electrical
The context of these items is defined as follows:
1. Section A - Bidding Documents
a. Instruction to Bidders
(1) Name and address for proposal submittal
(2) Numbers of copies required for submittal
(3) Last date of proposal acceptance
b. Invitation for Bids (defined in detail in Section VII,
Construction)
c. Bid Form
(1) Legal typed and signed name and address of bidders
(phone number)
(2) Date
(3) Taxes included
(4) Lump sum price
(5) Contractor's price on specific alternates
(6) Time of completion
(a) Number of days after award of contract to com-
mence construction
(b) Number of days from commencement of construc-
tion to completion of work
(7) Proposed subcontractors and subcontract amounts
(8) Unit price schedule for any particular work such
59
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as excavation (dollars/cubic yard), trucking
earth (dollars/cubic yard), foundations, etc.
(9) Length of time proposal shall remain firm (usually
60 days firm unless trade union contracts)
(10) Contractor's state of incorporation, partnership,
or individual
d. Representation and Certifications - Some States require
contractors to be registered, especially if from out of
state.
e. Bid Bond - Agencies may require a bid bond with con-
tractor's proposal. The grant coordinator should define
this requirement.
f. Affidavit of Individual Surety - If requested by the
grant agency, the contractor should furnish a surety
company bond conditional upon the faithful performance
of the contract and the payment of all obligations for
the project. The premium charge for such bond can be
borne either by the agency or contractor, and the pre-
mium assumption should be mutually agreed upon.
g. Construction Contract, Plans and Drawings
2. Section B - General Conditions
a. Responsibility of contractor
b. Definitions
c. Correlation and intent
d. Construction schedule and monthly progress reports
e. Indemnification
f. Damages
g. Risk of loss
h. Insurance
i. Protection of person and property
j. Permits and regulations
k. Guarantees
60
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1. Surveys
m. Inspection of site
n. Materials and workmanship
o. Contractor's shop drawings and "as built" drawings
p. Explosives and combustible materials
q. Progress photographs
r. Signs
s. Work completion and acceptance
t. Liquidated damages
u. Liens
v. Contractor's superintendent
w. Taxes
x. Approval of equipment and material manufacturers
y. Tests
z. Delivery of materials
aa. Terminations
bb. Contractor's default
cc. Payments of contractor
dd. Suspension of operations
ee. Cleaning of premises
3. Section C - General Requirements
a. Field offices
b. Temporary utilities
4. Section D - Scope of Work
a. Site Work - The site work should be clearly described
as to grubbing, clearing, grading, excavation, back-
filling, compaction, dewatering, and well pointing.
b. Cast-in-Place Concrete - The concrete work should be
installed and defined as follows:
(1) Concrete type at 28-day compressive strength.
Usual types are 2500, 3000, 3500 PSI concrete.
Samples should be taken every 40 cubic yards and
61
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tested in accordance with ASTM C-31 and C-39
standards. Generally, 3000 PSJ concrete is a
standard mix for industrial construction.
Slump test for determining proper cement mix;
generally, 3 inches + 1 inch test in accordance
with ASTM C-143 standards. Test reports should
be sent to grant agency for review. All concrete
work should conform to American Concrete Institute
(ACI) Code.
Masonry - Masonry should define type of block, brick
and mortar to be used for construction.
Metals - Metals should define type of steel to be used.
Structural strength steels are generally ASTM A-36
plain carbon steels.
Carpentry - Wood should conform to American Lumber
Standards and should generally include construction
grade Douglas Fir for wood framing.
Equipment -
(1) All equipment should be installed in accordance with
manufacturers' recommendations and in accordance
with the following:
(a) Local and State building codes
(b) State fire codes
(c) American Standards Institute
(d) American Society of Mechanical Engineers
(e) National Electric Manufacturing Association
(f) National Electric Code
(g) National Fire Protection Association
(h) American Society for Testing Materials
(i) Occupational Safety and Health Standards of the
Occupational Safety and Health Administration,
U. S. Dept. of Labor
62
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(2) Piping should be specified by the engineer with
regard to size, schedule, material, supports,
hangers, etc., cleaning and testing insulations.
g. Special Construction - Mine sealing.
h. Conveying or Material Handling Systems - Conveying or
material handling systems should include methods of
sludge removal, chemical storage and handling, raw
materials transport, etc.
i. Electrical and Instrumentation - The electrical design
should be in accordance with the previously defined
electrical codes. Minimum requirements and materials
should be specified by the standard specifications.
Upon completion of the engineering and before the completion of
construction, an operating and maintenance manual should be
prepared, incorporating:
1. Process and control maintenance procedures and catalogs
2. Equipment maintenance procedures and catalogs
3. Construction startup punch list
This manual is discussed in detail in Section VIII, Operation.
63
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SECTION VII
CONSTRUCTION
At this stage of the demonstration project, the engineering phase
will have been completed, construction and purchase specifica-
tions prepared, and approval received from the project officer
to initiate the construction phase. This section identifies the
recommended procedures and sequence of performance for the con-
struction tasks, as illustrated in Figure 6, Construction Phase
Diagram.
The approved construction specifications developed during the
engineering phase serve as the basis for determining the con-
struction procedures.
The methods used in initiating a construction project will be the
same regardless of whether an AE and contractor or engineering-
contractor arrangement is used. In either case, the construc-
tion specifications will be prepared by the consulting engineers
who performed the engineering phase.
The first step is the selection of qualified contractors. Quali-
fied contractors' names and addresses can be obtained from the
following:
1. Municipal, State or Federal purchasing agencies'
''approved bidders" lists.
2. Government publications advertising for bids.
3. Public announcements in newspapers and periodicals.
4. Consulting engineers who have personnal recommendations
or knowledge of qualified contractors.
A minimum of five contractors should be selected and a letter
of inquiry and "Request for Proposal" sent to each of them.
64
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ENGINEERING
APPROVAL
I
PRO,
COORD
1
IECT
NATOR
r
PURCHASING
J
BIDDING
CONTRACTORS
.
,
PREBID
MEETINGS
<
,
CONTRACTOR
PROPOSALS
SCHEDULES
FINAL
ACCEPTANCE
F
•«
k.
i
4
r
PROJECT
ENGINEER
k
SPECIFICATIONS
BID
EVALUATION
1
CONTRACT
1
PROJECT
OFFICER
CONSTRUCTION
1
REPORTS
PERIODIC
INSPECTIONS
4
-
Figure 6. Construction phase diagram.
65
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The selection of five contractors will provide an allowance in
the event some of the contractors decline to bid. The letter of
inquiry should state:
1. The inquiry letter return answer date.
2. Date, time and location for a pre-bid meeting with the
grant coordinator and/or the engineer.
3. Address and time where the contractor may obtain copies
of construction specifications, plans and drawings, etc.
4. Preliminary outlines of the project, with construction
completion time.
The return answer date should allow the contractors sufficient
time to obtain and determine the extent of construction speci-
fications and prepare any questions.
The contractors' pre-bid meeting should finalize:
1. Answers to all contractors' questions.
2. Final date of contractors' sealed bids acceptance.
3. Construction completion schedule.
4. Issuing of any deletions, corrections, or modifications
to construction specifications. Any changes to speci-
fications should be covered with a letter and "addendum"
to the specifications, to prevent any misinterpretation
of documents.
5. Examination of project site.
If publication announcements are used for obtaining contractors'
proposals, the same items as identified in the letter of inquiry
should be stated in the publication.
The grant coordinator and the engineer should evaluate the pro-
posals submitted on the basis of costs and conformance to speci-
fications, and any exceptions or alternatives.
66
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Based on the bid evaluation, a contractor is selected and a legal
contract signed.
A. CONSTRUCTION SCHEDULE AND MONTHLY PROGRESS REPORTS
Immediately after execution and delivery of the contract and be-
fore construction work is initiated, the contractor should submit
to the project coordinator an estimated construction progress
schedule in CPM or bar chart form, indicating the proposed start
date and completion dates of each of the various work subdivi-
sions. On or before the seventh calendar day of each month, the
contractor should be required to submit to the coordinator a
monthly progress report stating the percentages of the work com-
pleted on the last day of the preceding month. Progress reports
should list or update the tasks in the same order as presented
in the approved construction.
B. PROGRESS PHOTOGRAPHS
In order to better document and illustrate project progress, the
contractor should be instructed to furnish with the progress
report black and white photographs showing to the fullest extent
possible the work completed during the-previous month.
C. SIGNS
A project sign approved by the grantee and the project officer
should be erected on the site in a prominent location, as
directed by the project coordinator.
Any signs or advertisement which, in the judgment of the project
officer, are objectionable shall be immediately removed from the
project.
67
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D. CONTRACTOR'S SUPERINTENDENT
The contractor should be required to keep a competent superin-
tendent and any necessary assistants at the site throughout the
progress of the work. All directions given to the superintendent
should be as binding as if given to the contractor. Such direc-
tions should be confirmed in writing to the contractor.
The contractor's superintendent and/or any of his assistants
should be promptly replaced in the event he or they prove to be
incompetent and/or unsatisfactory to the resident engineer.
E. CLEANING OF PREMISES
The contractor should at all times maintain the entire premises
free of rubbish and debris caused by his work and his employees,
or by his subcontractor. Prior to final acceptance, the con-
tractor should remove from the premises all items such as
temporary office and storage sheds, fence material, construction
tools, and equipment used during construction.
F. WORK COMPLETION AND ACCEPTANCE
The grant agency should consider the work completed, including
final acceptance and final payment, only when all construction
work is finished, and all equipment and systems, if any, are
in operating condition satisfactory to the project coordinator
and the project officer. Sufficient functional tests or in-
spections should be conducted to determine that the work meets
all requirements of the specifications.
Such inspections should be made as soon as practicable. The
conditions of any tests must be mutually agreed upon by the
grant agency, project officer, and the contractor. If inspec-
tions or tests indicate that the work or any part thereof is
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not as represented and/or contracted for, or if any portion of
the work fails to operate to the satisfaction of the grantee, or
if any defects are disclosed by any of the aforementioned tests,
the grantee should refuse to accept that work. The contractor
should be required to make good any defective portions of the
work at his own expense before final acceptance.
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SECTION VIII
OPERATION
This phase is for those projects requiring extended periods of
equipment or systems operation and is the "proving time" of the
concept originally thought feasible, engineered, built and put
on-line. In order to maximize the demonstrative abilities of
each system, continuous, efficient "on-line" time during this
phase is imperative. A carefully preplanned operating scheme
will insure this effort. This section attempts to point up
those tasks that should be considered.
A preliminary operating and maintenance plan and a budget will
have been developed during the feasibility study. The require-
ment in this phase is to expand and refine in detail these
tasks and responsibilities.
One of the first and most important tasks will be to write the
operating and maintenance manual. This should be completed in
time for the start of operator training. An outline of a
typical operating and maintenance manual is presented at the
end of this section.
The operating tasks and personnel responsibilities for program
implementation, as developed during the feasibility study,
should be reviewed in detail and re-evaluated. This can best
be accomplished during the construction phase of the project,
since it is at this time that revisions to the engineering and
design drawings are finalized. System operational changes may
become evident during the startup and testing phase of the
system.
The tasks assigned to each individual should be defined in de-
tail in order to identify each required task and clarify the time
element involved. Figure 7 defines typical tasks and responsi-
t
bilities.
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TASKS
RESPONSIBILITY
FREQUENCY
1. Operating and
maintenance manual
2. System startup
3. Operator training
4. System operation
5. Inspect all mechanical
and electrical equipment
6. Record operating
supplies usage
7. Reorder supplies
8. Schedule equipment
maintenance
Design Engineer
Design Engineer
Design Engineer
System Operator
•*
System Operator
State Field Office
State Main Office, Design Engineer
EPA
System Operator
State Main Office
System Operator. State Field Office
During startup
Construction
During startup
Daily
Daily
Weekly
Monthly
Quarterly
Daily
As required
As required
Figure 7. System operation - typical tasks and responsibilities
-------
The job descriptions of operating and maintenance personnel,
which will have been established earlier in the project, should
also be reviewed at this time for possible minor revision.
The operator will have definite assigned activities that should
be conducted hourly, daily, weekly and monthly. These activities
should be clearly defined.
Preventative and routine maintenance assignments identified and
carried out will assure continued operation of the facility.
The scope and assignment of these responsibilities will be a
function of the magnitude of the system. It is highly possible
that a plant operator can make routine daily maintenance in-
spections, then call for contract maintenance or an on-site re-
pairman.
The remaining area of responsibility is the control of materials
and supplies. A method should be developed to continuously
record the inventory of operating and maintenance supplies, with
order points developed for the reordering of economical bulk
quantities.
Other areas of consideration in planning the operating phase are
itemized as follows:
1. Safety
System components and personnel must be protected
throughout construction, testing and operation of the
project. Items to be considered for personnel safety
may include:
a. Protective clothing, goggles, face shields, hard
hats, safety shoes, rubber gloves.
b. First aid kits, stretchers, blankets.
72
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c. Eyewash stations.
d. First aid and medical assistance availability.
2. Fire Protection
Items to be considered for fire protection may include:
a. Municipal fire company availability.
b. Hand fire extinguishers and water hoses.
c. Planning of fire fighting procedures.
3. Supervision and Control
Systems and operation must be carefully supervised and
controlled. Site and operating inspections should be
scheduled at the start of the operation phase to insure
qualified supervision and/or approval by EPA, State and
designer personnel.
A data acquisition system and analysis program should be formu-
lated for the collection of operating information to enable
monitoring daily operations. This information, properly logged,
will be utilized for documenting the effectiveness of the proj-
ect.
Cost records should cover operation, maintenance and supplies,
so that a detailed cost analysis can be made.
With the above, the system can be evaluated and the project
effectiveness determined for inclusion in the project final
report.
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OUTLINE OF TYPICAL OPERATING
AND MAINTENANCE MANUAL
Title Page
Table of Contents
Introduction
This section should discuss the content of the manual, briefly
identifying the type, purpose and capacity of the system.
Section I; The System
1. Description; This subsection should describe the sys-
tem with reference to equipment, pumps, and instrumenta-
tion, but without detailing process conditions.
2. System and Operating Principles; This subsection
should describe the theory and principles of the sys-
tem, system variables and their effects. It should
also discuss unit control. Graphs and data may be
included for establishing operating variables.
Section II; Starting Procedure
This section should describe the overall startup plan. It should
go through process procedures step by step, in narrative form,
giving full details and noting special precautions.
Section III; Shutdown Procedure
1. Normal Shutdown: This subsection should describe the
overall shutdown plan for intentionally taking the sys-
tem out of service.
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2. Emergency Procedures; Special emergency procedures,
precautions, and automatic showdown should be described
in detail.
Section IV: Appendix
1. Standards; Standard instructions, descriptions, equip-
ment lists, and tabulations should, be included in this
subsection.
2. Drawings; This section should include drawings per-
tinent to the system and of interest to the operator
such as: a plot plan or layout, process flow sheet,
an anticipated operating conditions sheet, instrumenta-
tion flow sheet, equipment drawings and data sheets.
75
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SECTION IX
MONITORING
Monitoring is a critical part of all demonstration projects, it
is essential to document changes in water quality and quantity,
as well as physical changes to the project area, in order to
satisfy the requirements of demonstrating and evaluating the
effectiveness of a given technique. The purpose of this section
is to assist in planning and initiating a monitoring program.
Figure 8 illustrates a typical monitoring program plan.
A. WATER CHARACTERIZATION
1. Selection of Sampling Points
The design of a sampling program will vary with each demonstra-
tion project. The sampling stations can be classified as primary
or secondary.
A primary sampling station is the one located such that it
accurately reflects the quality of water leaving the project
area and permits the successful measurement of stream flow. This
station is the key to the documentation of water quality before,
during and after construction and to the evaluation of the tech-
nique being demonstrated.
At the primary station, flow is usually measured continuously.
This data should be backed up with weekly grab samples. The
frequency of sample collection can be decreased if a definite
correlation between sample data is established.
As a rule, these stations will be expensive, on the order of ten
thousand dollars ($10,000.00); therefore, serious consideration
must be given to this item in the preparation of the grant budget.
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WATER
CHARACTERIZATION
I
SAMPLE
POINTS
PRIMARY
I
SECONDARY
CONTINUOUS
Conductivity
Flow
PH
I
GRAB
SAMPLES
1
LABORATORY
DETERMINATION
FIELD
DETERMINATION
CHEMICAL
PHYSICAL
BIOLOGICAL
ANALYSES
I
RAINFALL
DATA
ACQUISITION
1
DATA
CORRELATION
i
SOIL
ANALYSES
VEGETATION
ANALYSES
Figure 8. Monitoring plan diagram.
77
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Secondary sampling sites are those located at selected key points
in the project area for the purpose of recording the water
quality and flow of special interest streams. In most cases,
grab samples only will be collected at these locations. Second-
ary sites would be used to periodically record seasonal varia-
tions, changes resulting from construction disturbances and
special problem areas, and to isolate results from any one tech-
nique .
Since these sites will be used to establish baseline data, it is
important that the locations of both the primary and secondary
stations provide representative samples. Tributaries immediately
above the station, special seepages and other influences in the
immediate vicinity of a station should be avoided.
2. Water Quality Data
Measurement of the chemical, physical and biological (if appro-
priate) properties of the affected water is dependent on the
type of mining operation causing the pollution, the control
technique being used and the geographical location of the site.
A complete analysis of the water at each sampling site performed
early in the project during the feasibility study will facilitate
the selection of parameters to be studied throughout the demon-
stration. The following analyses are recommended, but in no way
limit the tests which should be performed.
a. Physical Properties
Temperature (at time of sampling), turbidity and solids,
both total and filterable.
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b. Chemical Properties
Acidity, alkalinity, aluminum, arsenic, cadmium, cal-
cium, chemical oxygen demand, chloride, chromium,
copper, cyanide, fluoride, hardness, iron, lead, mag-
nesium, manganese, mercury, nitrate, organic carbon,
pH, potassium, sodium, specific conductance, sulfate
and zinc.
c. Biological Properties
Fecal coliform, to be determined if appropriate.
The following references are suggested for procedures
in performing chemical analyses:
"Methods for Chemical Analysis of Water and Wastes,"
EPA - AQCL, Cincinnati, Ohio 45268 (1971).
"Standard Methods for the Examination of Water and
Wastewater," 13th Edition APHA - AWWA - WPCF (1971).
"Book of ASTM Standards," Part 23 (latest edition).
"Manual on Water," ASTM Special Technical Publication
No. 442.
Any laboratory analyses performed in support of Section 107
grants shall use approved EPA methods whenever possible. The
ability of the supporting laboratory to provide reliable data
shall be demonstrated by satisfactory performance on reference
samples provided to the contractor by EPA's Methods Development
and Quality Assurance Research Laboratory (MDQAEL), Cincinnati,
Ohio 45268. Internal laboratory control shall conform to
practices recommended by MDQARL as required by the project offi-
cer.
79
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3. Water Quantity Data
The basic function of a stream monitoring station is to record
water quantity data. The stream gaging function can be carried
out through the use of a control device and a water-stage re-
corder. Prom these, a stage-discharge relationship or rating can
be determined. The selection of stream gaging sites depends on
two factors: the objectives of the demonstration and the
physical land features necessary to meet these goals.
Factors influencing the choice of the site include:
1. Presence of impermeable material
2. Stream gradient
3. Stream alignment
4. Character of stream banks
5. Depth of channel
6. Topography and drainage at the site
7. Gaging station design
8. Accessibility
The most common types of control are weirs and flumes, which are
recommended for small streams and discharges. Larger streams
may require cross sectioning and gaging with current meters to
establish a stage-discharge curve. In either case, available
flow meters can record either stage or total flow and can oper-
ate on-line current, batteries or springs.
The following publication, available from the U. S. Government
Printing Office, Washington, D. C., is a good reference for
water monitoring:
"Field Manual for Research in Agricultural Hydrology,"
Agriculture Handbook No. 224, Agricultural Research
Service, U. S. Department of Agriculture.
80
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The U. S. Geological Survey can also be of assistance in planning
a stream gaging station.
A weir is an overflow structure built across an open channel and
used to measure the rate of flow of water. The weir, when pro-
perly set and maintained, is considered one of the most accurate
methods of measuring water flow.
Where heavy sediment-laden flows are common, flumes should be
used. A flume is a stabilized channel with access to a stilling
well. Flumes must also be used where the gradient of the stream
is particularly low.
Weirs or flumes are constructed of various materials, such as
treated wood, concrete blocks and metal. Concrete, because of
its strength and performance, is probably the most widely used.
The materials of construction should be selected based on the
corrosive nature of the waters being monitored. Typical weir and
flume installation are illustrated in Figures 9 and 10.
During the planning and design stages of a monitoring program,
it is imperative that the grantee budget funds and manhours for
the operation and maintenance of the monitoring stations.
Serious consideration must be given to providing for winter
operation, access to remote areas, sediment control, maintenance
and periodic inspections.
B. FIELD SAMPLING METHODS
Stream compositions are determined by collecting samples of the
water and analyzing them for various constituents. An accurate
analysis will determine the correct composition of a sample;
however, this composition may not be the same as the stream
composition unless a representative sample is collected. There-
fore, proper sampling techniques are as important as accurate
analyses in obtaining reliable data.
81
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CONCRETE STRUCTURE
WOOD STRUCTURE
Figure 9. Typical weir installations
82
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Figure 10. Typical flume installation,
83
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The type of sample that should be collected depends on the vari-
ability of the stream composition. A grab sample, which is a
single portion of water collected at a specific instant in time,
represents only the stream composition at the time of sampling.
This type of sample is not suitable for streams with highly
variable compositions. These streams should be sampled by
blending a number of grab samples collected over a length of
time. The resulting composite sample represents the average
stream composition during the sampling period. Compositing also
reduces the effects of variations in the sampling technique.
Good collection techniques must be used to obtain truly repre-
sentative samples. Both the container and the sampling device
must be clean and free from contaminants. The sampling device
should be rinsed with sample water prior to the collection of
the actual specimen. The sample should be collected preferably
from the center of the stream, to avoid trapping bottom sedi-
ment, floating scum or debris in the sample.
Samples should be analyzed as soon after collection as possible,
since they can deteriorate during storage. When samples cannot
be analyzed immediately after collection, they must be properly
preserved. For example, acid can be added to samples which will
be analyzed for metals. Refrigeration can also be used. In any
event, even when properly preserved, samples must not be stored
for long periods of time.
The samples should be taken frequently enough to adequately
record the variation of stream composition. During the initial
phase of the monitoring program, samples should be collected at
least weekly. As stream quality becomes more defined, the
sampling schedule and the chemical analyses to be performed
must be determined with and approved by the project officer.
Key parameters will be measured frequently; other parameters
less frequently. The designation of key parameters will be
84
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determined in conjunction with the project officer. Factors
such as rainfall and seasonal variation should also be con-
sidered when scheduling sampling activities.
C. DATA COLLECTION AND PROCESSING
EPA is developing an automatic data acquisition system which will
record field data, process it by computer, and print out water
quality reports. Strict adherence to the output capability
suggested for the data recorder will allow all demonstration
projects to be handled by the EPA system. The result will be
uniform water quality reports for every project. However, not
all projects will require the use of this system. The decision
concerning the use of this facility will be finalized by the proj'
ect officer and the grantee.
D. EQUIPMENT
1. pH Unit
The unit should be suitable for use in acid mine drainage and
should consist of a completely submersible pH sensor assembly
and a transmitter unit.
a. Sensor Assembly
(1) Acid mine water submersible
(2) 5.9 meters (20 ft) of cable, minimum
(3) Automatic temperature compensation
(4) Amplifier circuitry at the sensor
b. Transmitter Unit
(1) Sensitivity and accuracy: 0.1 pH unit minimum
(2) Recorder output: 0-100 mV
(3) Ambient temperature: 6°C to 50°C; humidity to
100%
(4) All solid state electronics
85
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The recorder output must be 0-100 mV for the unit to be compat-
ible with other units and recorders used on EPA projects. The
pH unit should have output adjustments to allow a 100-mV full
scale reading to represent 10 pH units.
2. Conductivity Unit
The unit should be suitable for use in acid mine drainage and
should have a completely submersible probe. It shall consist
of a conductivity probe and a transmitter analyzer.
a. Probe
(1) Acid mine water submersible
(2) 5.9 meters (20 ft) of cable, minimum
(3) Automatic temperature compensation
b. Transmitter Analyzer
(1) Sensitivity and accuracy: + 1% full scale
(2) Ambient temperature: 6°C to 50°C
(3) Recorder output: 0-100 mV full scale
(4) All solid state electronics
The recorder output must be 0-100 mV for the unit to be compat-
ible with other units and recorders. The actual conductivity
range will depend on the probe constant, and should be selected
to fit the conductivity of the individual sample site.
3. Strip Chart Recorders
These are to be used to record pH, conductivity and staxje. The
units should be single-channel d-c recorders with:
a. Input signal: 0-100 mV
b. Chart quick review
c. Response time: 1.0 second
d. Accuracy: +2%
86
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Single pen, dual channel recorders are not recommended as backup
units.
4. Water Level Gaging Equipment
The unit should be designed to provide reliable, accurate,
short-range measurements of water level. The sensing element
should be unaffected by acid water or scale buildup, or should
be the noncontact type. It must be capable of complete submer-
sion in acid mine drainage, in the event of a flood. The unit
may consist of an electronics package and a sensor, if avail-
able.
a. Electronics
(1) Maximum range: 0-3 meters (0-10 ft)
(2) Output: 0-100 mV full scale, suitable for field
calibration and adjustable to provide full scale
output over any span of measurement of 24.8 cm
(7 in.) or more
(3) Accuracy: 1% of range
(4) Resolution and linearity: 1%
(5) Operating temperature: -1°C to 50°C
E. OTHER EVALUATION TECHNIQUES
1. Rain Gage
While not a part of the water quality monitoring station, a re-
cording rain gage is essential for documentation of water move-
ment. At least one gage is necessary; however, the size and
topography of the demonstration area may dictate the installa-
tion of several strategically located units in order to record
representative precipitation. The units should be equally
spaced over the project area or placed at major irregularities
87
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in the terrain, such as each side of a steep mountain or inside
a narrow valley.
2. Soil Analyses
Projects relating to reclamation techniques or spoil and refuse
benefaction will require a soil sampling and testing program.
Representative soil samples should be collected after grading.
The samples should be analyzed for lime and fertilizer require-
ments to establish neutralization and nutrient requirements.
Following the treatment, the testing can be conducted again to
verify the success of the treatment prior to planting.
3. Vegetation Inspections
After the land has been formed, treated and planted in restora-
tion projects, the success of the demonstration must be docu-
mented. This can be accomplished by periodic inspections to
record pictorially and statistically the degree of vegetative
growth and cover. The statistical documentation can be recorded
using a weight of vegetation and percent of cover technique.
F. POST-OPERATIONAL MONITORING
Annual inspections and interim reports of some project sites may
be required in order to evaluate the long range effectiveness of
the demonstrated technique. Projects in this category are those
dealing with land restoration, refuse and spoil control, ground-
water quality control, sediment control, sludge disposal, mine
sealing and deep mining techniques.
The annual inspections may consist of recording the chemical and
physical characteristics of project waters and soils, vegetative
88
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survival in general and species survival in particular. Reports
of these inspections should be forwarded to the EPA.
These steps should be considered early in the project planning,
and provisions should be made to permit access by EPA for such
inspections for a period of ten years.
89
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SECTION X
REPORTS
Project reports are used for conununicating the data and opinions
relating to the demonstration project, and for planning and
decision making. The flow and interrelationship of the various
types of reports is illustrated in Figure 11.
There are two basic types of reports for demonstration projects.
The first includes project or phase completion reports, along
with feasibility and final reports. These reports will be pre-
pared in accordance with "Interim Specification for OR & M
Grant, Contract and In-House Projects," March 1973, as amended
at the date of preparation of the report.
The second type includes annual progress reports, quarterly and
monthly progress reports, trip reports and conference reports.
These are discussed in detail in this section.
All measurements are to be expressed in metric units. For the
convenience of engineers and scientists accustomed to using the
British system, British unit values should be given in paren-
theses after the metric unit values. The expression of measure-
ments by both systems of units is encouraged. Engineering
drawings can be prepared and submitted using British units.
Project reporting will vary to some extent for each grant and
will include all or some of the above mentioned reports. The
type and distribution will usually be defined in the Grant
Special Offer Conditions. It is imperative that consideration
be given to this phase of the project early in the planning
stage in order to allocate funds and assign responsibilities.
90
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TRIP
REPORTS
CONFERENCE
REPORTS
OTHER
ACTIVITY
REPORTS
MONTHLY
REPORTS
QUARTERLY
REPORTS
I
FEASIBILITY
REPORT
1
ANNUAL
REPORTS
' 1
P
DRAFT
FINAL
REPORT
FINAL
REPORT
Figure 11. Reports flow diagram,
91
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A. TRIP REPORTS
This is an optional item; however/ the use of individual trip
reports is recommended on projects with tasks requiring exten-
sive travel and survey type investigations. The reports will
prove invaluable in reviewing past activities while preparing
quarterly and annual reports and for publishing activities
during the interim periods of the formal report requirements.
A typical format for trip and conference reports is illustrated
in Figure 12.
B. CONFERENCE REPORTS
This is also an optional report, but is recommended as a means
of reporting discussions and decisions during project meetings.
C. MONTHLY PROGRESS REPORTS
The monthly reports should be letter type reports and should
dover work status, work progress, difficulties encountered
during the reporting period, remedial actions taken, and activ-
ity anticipated during the subsection report period. Issue date
to the project officer and other designated addresses will be
the 15th of the month, beginning after the first full month of
grant performance.
D. QUARTERLY REPORTS
The detailed quarterly report will summarize all work performed
during the preceding months. This report will be issued by the
15th of the month, in lieu of a monthly report for that month.
The quarterly report is in essence a summary and expansion of
the monthly progress reports. A typical format for a quarterly
report title page is illustrated in Figure 13.
92
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Identification of issuing agency or company
Section 107 — Demonstration Project
Project No
Trip Report No..
Conference Report No.
DATE:
LOCATION:
PURPOSE:
DISCUSSION:
1.0
Submitted By:
Figure 12. Typical format for trip reports
and conference reports.
93
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QUARTERLY REPORT
Months - Year
Section 107 — Demonstration Project
Project No
PROJECT TITLE
Grantee
Project Officer:
Project Director:
Project Coordinator:
Project Manager:
NOTE: Discussion starts on 2nd page.
Figure 13. Typical format for monthly and quarterly
progress report title page.
94
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A description of equipment, techniques, materials to be used
or evaluated, and analytical data for the reported quarter
should be included, along with project expenditures and changes
of personnel concerned with the project.
A graph of planned and actual expenditures versus time should
be included. The time span displayed should be based on the
grant year period. A typical expenditure versus time graph is
illustrated in Figure 14.
The detailed, bar-type project time schedule should be updated
and reissued each quarter as part of this report. See Figure 15
for a typical bar schedule.
E. ANNUAL PROGRESS REPORT
The annual progress report will present in a clear, concise
format all information, results and opinions resulting from the
work undertaken during the preceding year. The term "year" in
this case is based on the anniversary date of the grant, as
opposed to a fiscal or calendar year. The format for this re-
port should be similar to and an expansion of the quarterly
reports.
F. FEASIBILITY REPORT
The feasibility report content and format are described in de-
tail in Section V.
G. FINAL REPORT
The final report will contain all useful information, results
and data acquired in the performance of the project work. The
work will be explained in such detail that others may reproduce
the work, equipment and processes, and all significant results,
conclusions and recommendations will be presented.
95
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\D
500 -
678
TIME - QUARTERS
15 16
Figure 14. Expenditure versus time.
-------
GRANT YEAR
CALENDAR YEAR
PHASE/QUARTER
1. FEASIBILITY
II. ENGINEERING
III. CONSTRUCTION
IV. OPERATING
V. MONITORING
VI. ADM. & REPORTS
1
1974
1
2
3
4
2
1975
1
I I
2
3
4
3
1976
1
2
1
3
4
4
1977
1
2
A A A
1
1
A
1
3
4
Al
r1\FEASIBILITY REPORT /2\ ANNUAL REPORTS /3\ FINAL REPORT
Figure 15. Typical project bar schedule.
-------
In order to provide uniformity, all final reports will be pre-
sented in the format as outlined in the "Interim Specifications
for OR & M Grant, Contract and In-House Reports," March 1973,
as amended at the date of the report preparation.
A typical final report will contain the following items, as
applicable:
1. Cover
2. Title Page
3. Table of Contents
4. List of Figures
5. List of Tables
6. Acknowledgments
7. Conclusions
8. Recommendations
9. Body of Report
a. Introduction
(1) Scope and Purpose of the Project
(2) General Background
(3) Description of Various Phases
(4) Theoretical Approach to Problem Solution
b. Design
(1) Engineering Approach to Problem Solution
(2) Plans and Drawings
(3) Cost Evaluation
c. Construction
(1) Methods
(2) Schedules
(3) Costs
d. Operation
(1) System Operation
(2) Results
(3) Costs
(4) Evaluation
98
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e. Monitoring
(1) Program Philosophy
(2) Data Presentation
(3) Evaluation
10. References
11. Glossary
12. Appendices
99
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TECHNICAL REPORT DATA
(Please read Instructions on the reverse before completing)
1. REPORTNO.
EPA-67Q/2-74-OQ3
2.
3. RECIPIENT'S ACCESSIOWNO.
4. TITLE ANDSUBTITLE
Mine Drainage Pollution Control
Demonstration Grant Procedures and
Requirements
5. REPORT DATE October 1974
Issuing Date
6. PERFORMING ORGANIZATION CODE
7. AUTHOR(S)
Frank J. Zaval, Robert A. Burns
8. PERFORMING ORGANIZATION REPORT NO.
9. PERFORMING ORGANIZATION NAME AND ADDRESS
NUS Corporation
Four Research Place
Rockville, Maryland 20850
10. PROGRAM ELEMENT NO. ~~
IBB040/ROAP 21 AGC/TASK04
11. CONTRACT/GRANT NO.
68-03-0268
12. SPONSORING AGENCY NAME AND ADDRESS
National Environmental Research Center
Office of Research and Development
U. S. Environmental Protection Agency
Cincinnati, Ohio 45268
13. TYPE OF REPORT AND PERIOD COVERED
Final
14. SPONSORING AGENCY CODE
15. SUPPLEMENTARY NOTES
16. ABSTRACT
This report is a presentation of procedures and requirements for use
by all individuals considering or participating in Section 107 grant
demonstration projects authorized by Federal Water Pollution Control
Act Amendments of 1972.
The report provides an interpretation of Section 107, defines the pro-
cedures and requirements for grant applicants, and discusses all phases
of demonstration projects, including monitoring requirements and
reports.
This report was submitted in fulfillment of Project Number CI73-0088,
Contract Number 68-03-0268, by NUS Corporation, Cyrus Vim. Rice Divi-
sion, under the sponsorship of the Environmental Protection Agency.
7.
KEY WORDS AND DOCUMENT ANALYSIS
DESCRIPTORS
b. IDENTIFIERS/OPEN ENDED TERMS
c. COSATI Field/Group
*Grants
Financing
Water pollution
Mining engineering
*Mining research
Requirements
Reclamation
*Mine drainage
pollution
Grant procedures
Demonstration
13B
Z. DISTRIBUTION STATEMENT
Release to Public
19. SECURITY CLASS (ThisReport)
21. NO. OF PAGES
110
20. SECURITY CLASS (Thispage)
Unclassified
22. PRICE
EPA Form 2220-1 (9-73)
100
U. S. GOVEKMMENT PHINTING OFFICE: 1975-657-590/5338 Region No. 5-11
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