United States
Environmental Protection
Agency
Office of
Water Program Operations
How to Obtain
Federal Grants
to Build
Municipal Wastewater
Treatment Works
MCD-04
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NOTE
To order this publication, MCD-04, "How To Obtain Federal Grants
To Build Municipal Wastewater Treatment Works".
write to:
General Services Administration (8 FFS)
Centralized Mailing List Services
Bldg. 41, Denver Federal Center
Denver, CO 80225
Please indicate the MCD number and title of publication.
Acknowledgement
1 he Handbook was prepared by the Municipal Construction Division*
Water Program Operations, Office of Water and Hazardous Materials.
The basic organization of the Handbook and the initial drafts of the
text materials were prepared, under contract, by Ecol Sciences Inc.,
Vienna, Virginia, under the direction of Albert T. Bowyer. The reviewing
and editing of the Handbook, to validate its accuracy and ensure that it
properly and effectively conveyed current Agency policy, were performed
by the Construction Grants Handbook Review Committee comprised of
Stuart Peterson, Region I; Richard Salkie, Region H; George Collins,
Region IV; Ronald Ritter, Region VII: Harold P. CahilK Jack Washburn,
Albert Pelmoter, Royal Thayer and Evelyn Thornton, Headquarters, and
Thomas Ferry, EPA (retired). Albert L. Pelmoter, Chief, Policy and
Procedural Guidance Staff, Construction Operations Branch, Municipal
Construction Division, served as project manager for the development of
the Handbook.
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Foreword
1 he community which applies for construction grant funds is partici-
pating in the massive program of water pollution control and abatement
to which this Nation committed itself with the passage of the Federal
Water Pollution Control Act of 1972 (Public Law 92-500). This legis-
lation, however wide-ranging, has as its central theme the importance
of cooperation among local, State and Federal agencies charged with
the responsibility for restoring and preserving the quality of our Nation's
waters. In building and operating sewage treatment facilities, localities
are fulfilling their responsibility under the Act.
In providing Federal funds for the construction of certain treatment
facilities, the Act requires that the parties to this undertaking follow a
series of steps designed to insure that the best possible project results
from the time, effort and money expended.
This handbook has been prepared to assist municipal officials in this
effort. It contains a summary of the requirements of the Construction
Grants Program and the responsibilities that each participant bears,
omitting much of the detail. For that reason, applicants are urged to
establish and maintain ongoing contacts with their consultants and the
State and Federal agencies administering water pollution control pro-
grams. The greater the involvement in and understanding of the grant
process, the greater the chances of success.
John T. Rhett
Deputy Assistant Administrator
for Water Program Operations
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Contents
Page
Foreword '
Contents "
Introduction v
Flow Chart , vl
Appendix 31
PART I. SUMMARY
1.0 Preapplication Information 1
1.1 Applicant Eligibility 1
1.2 Types of Projects 1
1.3 Priority List 1
1.4 Three Step Construction Grant Process 1
1.5 State Water Quality Management Plan 1
1.6 Areawide Waste Treatment Management Plan 2
1.7 Facility Planning 2
1.8 Municipal NPDES Permits 2
1.9 Clearinghouse(s) 2
1.10 Preapplication Conference 2
2.0 Step 1 Application 2
2.1 Plan of Study 3
2.2 Clearinghouse Comments 3
2.3 Application, EPA Form 5700-32 3
2.4 Selection of Professional Engineer 3
3.0 Step 1 Facility Plan 3
3.1 Effluent Limitations 4
3.2 Existing and Future Situations 4
3.3 Alternatives 4
3.4 Infiltration/Inflow (I/I) Analysis 4
3.5 Sewer System Evaluation Survey 4
3.6 Environmental Assessment 4
3.7 Public Input 4
3.8 Historical and Archaeological Investigations 4
3.9 Selected Alternative 4
3.10 Service Agreements 4
4.0 Step 2 Application 5
4.1 Facility Plan 5
4.2 Application, EPA Form 5700-32 5
4.3 Selection of Professional Engineer 5
4.4 User Charges 5
4.5 Industrial Cost Recovery 6
4.6 Sewei I Tse Ordinance 6
4.7 Civil Rights Act of 1964 6
4.8 The Uniform Relocation and Land Acquisition
Policies Act of 1970 6
U 4.9 Service Agreements 6
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5.0 Step 2 Plans, Specifications and Estimates 6
5.1 Project Design 6
5.2 Project Specifications 7
5.3 Project Cost Estimates 7
5.4 Continuing Work 7
6.0 Step 3 Application 7
6.1 Application, EPA Form 5700-32 7
6.2 Plans, Specifications and Estimates 8
6.3 Selection of Professional Engineer 8
6.4 Assurances 8
6.5 Payment Schedule 8
7.0 Step. 3 Construction 8
7.1 Advertising for Bids 8
7.2 Receipt and Review of Bids 9
7.3 Changes in Grant Amount 9
7.4 Protests 9
7.5 Award of Construction Contracts 9
7.6 Preconstruction Conference 9
7.7 Change Orders 9
7.8 On-Site Inspections 9
7.9 Grants Payments 9
7,10 Audits 9
PART II. EXPLANATION OF SUMMARY ITEMS 10
8.0 Preapplication Information 10
8.1 Applicant Eligibility 10
8.2 Types of Projects 10
8.3 Priority List 10
8.4 Three Step Process 11
8.5 State Water Quality Management Plan 11
8.6 Areawide Waste Treatment Management Plan 11
8.7 Facility Planning 11
8.8 Municipal NPDES Permits 12
8.9 Clearinghouse(s) 12
9.0 Step 1 Application 13
9.1 Plan of Study 13
9.2 Application, EPA Form 5700-32 13
9.3 Selection of Professional Engineer 13
10.0 Step 1 Facility Plan 14
10.1 Effluent Limitations 14
10.2 Alternatives 14
10.3 Infiltration/Inflow (I/I) Analysis 15
10.4 Sewer System Evaluation Survey . 15
10.5 Environmental Assessment 16
10.6 Public Input 16
10.7 Historical and Archaeological Investigations 17
10.8 Selected Alternative 17
10.9 Service Agreements 17 ill
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11.0 Step 2 Application 18
11.1 User Charges 18
11.2 Industrial Cost Recovery 18
11.3 Sewer Use Ordinance 19
11.4 The Uniform Relocation and Land Acquisition
Policies Act of 1970 19
12.0 Step 2 Plans, Specifications and Estimates 19
12.1 Project Specifications 19
12.1.1 Contract Documents 20
12.1.2 Supplemental General Provisions 20
of Specifications
12.1.3 Equal Employment Opportunity 20
12.1.4 Davis Bacon Act 20
12.1,5 Flood Disaster Protection Act of 1973 21
12.1.6 Bonding/Insurance 21
12.1.7 Technical Provisions of Specifications 21
12.2 Plan of Operation 22
13.0 Step 3 Application 23
13.1 Payment Schedule 23
14.0 Step 3 Construction 23
14.1 Advertising for Bids 23
14.2 Receipt and Review of Bids 23
14.3 Changes in Grant Amount 24
14.4 Protests 24
14.5 Award of Construction Contracts 24
14.6 Preconstruction Conference 25
14.7 Change Orders 25
14.8 On-Site Inspection 25
14.9 Grant Payments 26
14.10 Audits 27
15.0 Other Program Elements 27
15.1 Allowable and Unallowable Costs 27
15.2 Cost Effectiveness 28
15.3 Force Account 28
16.0 References 29
16.1 P.L. 92-500—Federal Water Pollution Control
Act Amendments of 1972 29
16.2 Code of Federal Regulations 29
16.3 Other Publications 29
16.4 Program Guidance Memoranda 30
iv
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Introduction
handbook was written to give public officials a little help in
understanding the "in's and out's", the "do's and don'ts" and the
"what if's" involved in carrying out the Construction Grants Program.
Municipal officials obviously have many on-going responsibilities over
and above constructing a sewage treatment facility to keep them busy.
Therefore, EPA has summarized the many regulations, guidelines, tech-
nical bulletins and policy statements which govern the program in this
relatively short and, we hope, useful handbook.
Although municipalities will retain a competent consultant to assist
them with program details, the ultimate responsibility for project under-
takings lies with the municipal official. The construction of a sewage
treatment facility is a community enterprise and, while the professionals
can do the work, it is the community which benefits and, of course,
pays. Representatives of that community therefore need to know some
of the "basics" involved in the program so that the greatest benefits will
derive from the money spent.
This handbook will provide some of these "basics" so that municipal
officials can be more than "sidewalk superintendents". With it, they will
be able to ask the questions which will help to insure that the professionals
are doing the job they are paid to do and to assure themselves that the
documents necessary for grant awards are started and completed with
a minimum loss of time and effort.
The first section of the handbook is a summary of items which the
applicant must know, do or arrange to be done. Most of these entries
are followed by a reference number which calls attention to a more de-
tailed discussion of the topic in the second section. The items are pre-
sented in chronological order, starting at Step 1 and continuing through
final payment and audit of the project.
The handbook does not cover every situation nor reference every
pertinent regulation. It does, however, give responsible municipal officials
the background needed to become personally involved and to insure that
their project moves freely through the grant process.
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DIGITALLY
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Part I: A brief summary of information needed by local
officials to obtain a construction grant from the En-
vironmental Protection Agency to build wastewater
treatment faculties
1.0 PREAPPLICATION INFORMATION
NOTE: The following are items of general information which need to
to be understood before applying for a grant.
Ref.
1.1 Applicant Eligibility 8.1
To be eligible for Federal assistance the applicant must be a public
body created under State law and must have the legal authority for the
disposal of sewage, industrial wastes or other wastes. The applicant must
also have authority to plan, design, finance, construct, operate and main-
tain sewage treatment works.
1.2 Types of Projects 8.2
The following types of projects are eligible for assistance under P.L.
92-500 and are entitled to an EPA grant equal to 75% of the allowable
project costs.
a. Sewage Treatment Plants—new, expanded, upgraded; must pro-
vide at least secondary treatment.
b. Interceptor Sewers—new or rehabilitated.
c. Sewage Collection Systems—new, expanded or rehabilitated, in-
cluding pumping stations: the community must have been in existence
before October 18, 1972.
d. Combined Sewer Overflow Control Systems—reducing, storing,
treating, separating or disposing of wastewaters from combined storm and
sanitary sewer systems.
1.3 Priority List 8.3
Annually, each State is allotted a specific sum of money for construc-
tion grants. Projects are ranked in priority order by the States, on the
basis of specific criteria, to determine which will receive these funds. An
applicant's project must be on the State priority list to qualify for a grant.
1.4 Three Step Construction Grant Process 8.4
The construction grants process provides for projects in three steps, as
follows:
Step 1—A project to perform Preliminary Planning and Engineering
("Facility Plan")
Step 2—A project to prepare Detailed Plans and Specifications
Step 3—A project for Construction of Facilities.
1.5 State Water Quality Management Plan 8.5
Sometimes referred to as basin 303 (e) plans, these studies are carried
out by the States to determine the level of treatment required for every
sewage treatment plant within each river drainage basin in the State.
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Ref.
1.6 Areavvide Waste Treament Management Plan 8.6
Sometimes referred to as 208 plans, these studies are undertaken both
for designated areas—usually urban or metropolitan areas which have
particularly bad water pollution problems—as well as for non-designated
areas. Where these studies are completed, all projects must conform
with the study recommendations. If the studies are not completed, the
local or State 208 agency must have an opportunity to comment on
proposed sewage treatment projects in its area.
1.7 Facility Planning 8.7
Also known as 201 plans, these studies, prepared by the grantee, are
the first step (Step 1) in the construction grant process. They investigate
the specific requirements of a planning area defined by the State,
identify the water pollution problem, evaluate alternatives and recom-
mend a solution. Public participation in the decision making process is
required through public hearings.
1.8 Municipal NPDES Permits 8.8
Permits are issued by the States or EPA for existing or new waste
discharges under the National Pollution Discharge Elimination System
(NPDES). Meeting the treatment and time requirements specified in
the permit frequently prompts a municipality to apply for a construction
grant.
1.9 Clearinghouse(s) 8.9
The Federal Office of Management and Budget (OMB) Circular
A-95, requires that all projects being financed in whole or in part with
Federal funds be reviewed by a central State and/or regional clearing-
house.
1.10 Preapplication Conference N/A
To make certain that applicants clearly understand the requirements
they must meet to obtain construction prants, a preapplication conference
is held. At this conference, the roles of the consultant, the State and the
EPA in the grant process are explained. Most preapplication confer-
ences are conducted by the State; therefore, applicants should contact
their State agency as soon as possible to arrange for one. (A listing of
State Offices appears in the Appendix.)
As noted, the grant process for building sewage treatment facilities
has three steps. The first step, which is very involved, will be discussed
in considerable detail at the conference. Requirements pertaining to a
Step 1 project grant are summarized below.
2.0 STEP 1 APPLICATION
NOTE: To apply for a Step 1 grant, the following items must be sub-
mitted to the State agency. Application forms and kits are available
from the State and are usually furnished at the preapplication confer-
ences.
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Ref.
2.1 Plan of Study 9.1
A brief description is given of the scope of work to be undertaken in
planning the project, including problem areas and issues to be resolved.
Also, itemized costs of preparation must be shown and a work schedule
must be included.
2.2 Clearinghouse Comments 8.9
Comments concerning the proposed project are to be obtained from
the State and/or Regional Clearinghouse in accordance with paragraphs
1.9 above and 8.9 below.
2.3 Application, EPA Form 5700-32 9.2
Instructions for completing the application are printed on the form.
Part II-Section B, site information, is not required for a Step 1 grant.
Part V, Assurances, should be read carefully. A resolution authorizing
the official representative (Mayor, Councilman, etc.) to act on behalf
of the applicant must be included with the submission.
2.4 Selection of Professional Engineer 9.3
Copies of proposed contracts, or an explanation of how contracts for
professional services will be awarded, must be submitted to EPA for
review.
NOTE: The application and accompanying documents must be reviewed
and approved by both the State agency and EPA. DO NOT proceed
with any work on the project until approval to do so is received from
EPA. No payment may be made for work undertaken without EPA
approval. Applicants will be notified in writing when a grant is approved
and instructions will be provided as to procedures for accepting the grant
and executing the Grant Agreement (EPA Form 5700-20). The exe-
cuted Grant Agreement constitutes a contractual obligation between the
Federal government and the grantee.
Each Federally assisted project is subject to audit; therefore, it is
important that accurate financial records be kept. These records must
clearly identify all costs pertaining to the EPA grant assisted project,
must cover all funds received and disbursed, must distinguish between
allowable and nonallowable project costs, and must be made available
to EPA upon request.
Similarly, engineering consultants are required to maintain accurate
records identifying project costs claimed for Federal participation.
3.0 STEP 1: FACILITY PLAN
NOTE: After receiving a Step 1 grant, the grantee begins to prepare a
facility plan as prescribed in the taw and Federal regulations. Helpful
booklets entitled Guidance For Preparing A Facility Plan, May 1975, and
Model Facility Plan For A Small Community, September 1975, are
available from the State or EPA. Key elements of the plan are listed
below.
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Ref.
3.1 Effluent Limitations 10.1
The State or EPA establishes the level of treatment necessary for each
project and designates the type and quantity of pollutants which may
be discharged.
3.2 Existing and Future Situations N/A
The plan must describe the existing planning/service area and forecast
what the area will be like in the future.
3.3 Alternatives 10.2
Once the size and scope of the water pollution problem is defined, the
plan must show the various solutions to the problem with an evaluation
of each alternative.
3.4 Infiltration/Inflow (I/I) Analysis 10.3
For projects with existing sewers, the plan must show the amounts of
groundwater (infiltration) or stormwater (inflow) leaking into the
sewer system and how much of this leakage can be eliminated economi-
cally.
3.5 Sewer System Evaluation Survey 10.4
In those cases where the infiltration/inflow analysis indicates excessive
sewer leakage, investigations need to be carried out to locate the
specific leaks and to estimate the cost of correction.
3.6 Environmental Assessment 10.5
As a part of the facility plan, each alternative must be evaluated from
an environmental standpoint. The environmental impact is weighed
along with the engineering, cost, social and economic impacts of each
alternative. Where conflicts exist, reasonable trade-offs are made.
3.7 Public Input 10.6
At least one official public hearing must be held to obtain the public's
view of the proposed project. When necessary, accommodating revisions
to the proposed project are made.
3.8 Historical and Archaeological Investigations 10.7
Federal and State laws require the protection of valuable historic and
archaeological sites. Each State has a State Historic Preservation Officer
(SHPO) who will assist in defining the limits of any historical or archaeo-
logical investigations required.
3.9 Selected Alternative 10.8
After all the above factors are considered, one plan is selected and
described in detail.
3.10 Service Agreements 10.9
Where more than one municipality is to be served by the project, it
will be necessary for the lead municipality to negotiate service agree-
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Ref.
ments. Achieving agreement may be time consuming; therefore, such
action should be initiated as early as possible. Service agreements must
be drafted prior to the approval of the facility plan and be completed
before a Step 2 grant may be awarded.
NOTE: The completed facility plan is submitted to the Regional and/or
State clearinghouse(s) for comments. If negative comments are received,
an explanation must be given as to how the conflicts will be resolved.
The completed facility plan and clearinghouse comments (and explana-
tion if needed) are submitted to the State agency and to EPA. DO NOT
undertake additional project work until instructions to do so are received
from EPA.
Grantees will be notified in writing of facility plan approval and will
be given instructions for applying for a Step 2 grant.
Payments for work completed under the grant are to be requested,
using EPA Form 2550-16, in accordance with the payment schedule
in the Grant Agreement. (See 14.9)
4.0 STEP 2 APPLICATION
NOTE: The following items are necessary to apply for a Step 2 grant
and are to be submitted to the State agency.
4.1 Facility Plan 8.7
An approved facility plan, as described under Step 1, is required as a
part of the Step 2 application. If it has already been approved by EPA,
only a copy of the approval letter need be submitted.
4.2 Application, EPA Form 5700-32 9.2
Each item should be completed in accordance with instructions. Of
particular importance is the need to clearly explain the source of the
local share of project costs (general taxes, sewer revenue funds, etc.).
A copy of the resolution authorizing the official representative (Mayor,
Councilman, etc.) to act on behalf of the applicant and a statement
regarding availability of the proposed site, when applicable, must be
attached.
4.3 Selection of Professional Engineer 9.3
Copies of proposed contracts, or an explanation of how contracts for
professional services will be awarded, must be included.
4.4 User Charges 11.1
Grantees are required to develop a user charge system, applicable to
all users, covering operation and maintenance costs of the treatment
works. The charges must be sufficient to allow the treatment works to be
operated self-sufficiently.
Applicants are also required to submit a statement or resolution
indicating that a user charge system will be developed in accordance with
EPA regulations.
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Ref.
4.5 Industrial Cost Recovery 11.2
Industries served by the proposed project must pay their share of the
capital cost of construction funded by EPA. Also, each industry con-
tributing 10% or more of the sewage must submit a letter stating that it
will comply with the industrial cost recovery system developed for the
project and indicating its expected period of use of the facilities.
4.6 Sewer Use Ordinance 11.3
A copy of existing sewer use ordinances, or a letter of intent that such
ordinances will be enacted, must be included. The ordinances must
require that new connections be properly designed and constructed and
be free from storm water flow.
4.7 Civil Rights Act of 1964 N/A
EPA Form 4700-1, Assurance of Compliance, and EPA Form 4700-4,
Compliance Report, are to be completed.
4.8 The Uniform Relocation and Land Acquisition
Policies Act of 1970 11.4
If the project will require the acquisition of private property or the
displacement of persons, a statement or resolution indicating compliance
with this Act must be submitted.
4.9 Service Agreements 10.9
Service agreements must be drafted prior to the approval of the
facility plan and be completed before a Step 2 grant may be awarded.
NOTE: The application and accompanying documents must be reviewed
and approved by both the State agency and EPA. DO NOT proceed
with any work on the project until instructions to do so are received
from EPA. Grantees will be notified in writing when a grant is approved
and instructions will be provided as to procedures for accepting the grant
and executing the Grant Agreement (EPA Form 5700-20).
5.0 STEP 2: Plans, Specifications and Estimates
NOTE: A Step 2 grant is awarded to enable the applicant to design his
project and otherwise ready it (plans, specifications and estimates) for
bidding. Predesign conferences may be required by the State or EPA.
At these conferences the responsibilities of each party will be discussed
as well as the administrative and technical requirements of the project.
The following is a list of technical and administrative items to be
considered during this phase of the project.
5.1 Project Design N/A
The project, in addition to being designed in accordance with sound
engineering practice, must take into account those engineering and
environmental measures recommended in the approved facility plan.
Also, incompatible industrial wastes may not be introduced into the
6 municipal system but must be pretreated by the industry. Accordingly,
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Ref.
the design may not contemplate the handling of such wastes.
Projects with estimated costs in excess of $10,000,000, excluding the
cost of sewers, must be subjected to a value engineering (VE) analysis.
5.2 Project Specifications 12.1
The project specifications must comply with all Federal requirements.
Provisions which must be included in all specifications are furnished by
the State or EPA in a preprinted form. Generally, the consulting engi-
neer will be familiar with these provisions.
5.3 Project Cost Estimates 12.1
The consultant is to prepare detailed construction cost estimates based
upon the scope of work as reflected in the project plans and specifica-
tions. This estimate is used to judge the reasonableness of the bids
received.
5.4 Continuing Work N/A
While the following items need not be completed until the construc-
tion (Step 3) phase of the project is underway, work on them during the
design phase should be maintained to insure their timely completion.
a. Plan of Operation 12.2
A plan for the efficient operation and maintenance of the facilities
must be. developed.
b. User Charge and Industrial Cost Recovery Systems H.l
These systems may be complex and require substantial time to com-
plete.
NOTE: Completed plans, specifications and estimates must be submitted
to the State for review and approval prior to being sent to EPA. DO
NOT undertake additional project work or advertise for bids until
instructions to do so are received from EPA.
Grantees will be notified in writing of plan and specification approval
and will be given instructions for applying for a Step 3 grant.
Payments for work completed under the grant are to be requested
(using EPA Form 2550-16) in accordance with the payment schedule
in the Grant Agreement. _^
6.0 STEP 3 APPLICATION
NOTE: The following items are required for a Step 3 grant and are to
be submitted to the State agency.
6.1 Application, EPA Form 5700-32 9.2
Each item should be completed in accordance with instructions. For
Step 3 projects, the site information required in Part II-Section B of
the application form is necessary. Also, the source and method of fund-
ing the local share of project costs should be clearly explained. A copy
of the resolution authorizing the official representative (Mayor, Council-
man, etc.) to act on behalf of the applicant must be included.
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Ref.
6.2 Plans, Specifications and Estimates 12.0
Approved plans, specifications and estimates suitable for bidding, as
described under Step 2, must be included. If the plans, specifications
and estimates have previously been approved by EPA, submit only
a copy of the approval letter.
6.3 Selection of Professional Engineer 9.3
Copies of proposed contracts, or explanation of how contracts for
professional services will be awarded, must be included.
6.4 Assurances N/A
In addition to the assurances contained in Part V of the application,
additional assurances as described below are necessary when applying
for a Step 3 grant. Some of the assurances may not be applicable to a
particular project.
a. Flood Disaster Protection Act of 1973 12.1.5
For projects which include structures to be located in a flood hazard
area delineated by the Department of Housing and Urban Development,
grantees must participate in the flood insurance program.
b. Sewer Use Ordinance 11.3
A copy of existing sewer use ordinances, or a letter assuring that such
ordinances will be enacted, must be included. The ordinances must
require new connections to be free from storm water flows.
c. Plan of Operation Schedule 12.2
A schedule for readying the facility for operation (staffing, training,
purchase of chemicals, etc.), must be included.
d. Sewer System Rehabilitation Scheduling 10.3
If the sewers leak excessively and it was determined that the leakage
can be corrected by rehabilitating the sewers, a construction schedule
for the rehabilitation work must be included.
6.5 Payment Schedule 13.1
A realistic grant payment schedule is to be submitted with the applica-
tion.
NOTE: The application and accompanying documents must be reviewed
and approved by both the State and EPA. DO NOT advertise for bids
nor proceed with any additional project work until instructions to do so
are received from EPA. Grantees will be notified in writing of a grant
offer and instructions will be provided for acceptance of the grant and
execution of the Grant Agreement (EPA "Form 5700-20).
7.0 STEP 3 CONSTRUCTION
NOTE: The primary activity of the Step 3 phase is the construction of
the approved project. To insure that the project is properly constructed,
financed, operated and maintained, will involve the grantee in numerous
activities. Important among them are the following:
7.1 Advertising for Bids 14.1
8 Only after receiving the Step 3 award may grantees advertise for bids.
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Ref.
7.2 Receipt and Review of Bids 14.2
Grantees must receive, review and tabulate the bids and submit
copies of bid material and recommendations for award to EPA (through
the State where required) for approval. DO NOT award contracts prior
to receipt of authorization to do so from EPA.
7.3 Changes in Grant Amount 14.3
Depending on the price of the lowest acceptable bid, the grant may
need to be increased or decreased. The State must approve and certify
all grant increases before they may be considered by EPA.
7.4 Protests 14.4
If any contractor or equipment supplier lodges a protest against the
bidding procedures, grantees must attempt to resolve the protest using
advice from their legal counsel. Also, grantees must notify the State
and EPA of each protest and how it was resolved.
7.5 Award of Construction Contracts 14.5
After the bids have been reviewed and approved by the State and
EPA and after having received authorization to do so from EPA, con-
struction contracts may be awarded.
7.6 Preconstruction Conference 14.6
A preconstruction conference may be held to discuss the responsi-
bilities of all participants, including the grantee, the grantee's consultant,
the contractors, the State and EPA.
7.7 Change Orders 14.7
During construction it may be necessary to modify the project.
Changes to the construction contract are generally made by the use of
change orders which must be approved by the State and EPA.
7.8 On-Site Inspections 14.8
The State or EPA will periodically make on-site inspections to moni-
tor construction procedures and to review project related documents.
7.9 Grant Payments 14.9
Grant payments may be made in accordance with the payment sched-
ule contained in the grant agreement. However, payments may not
exceed 50%, %Q% or 90% of the grant amount until certain program
requirements are fulfilled. These include the development of a system
of user charges, an industrial cost recovery system, a plan of operation,
etc.
7.10 Audits 14.10
Records and documents of the project must be maintained as they
are subject to an audit by EPA to substantiate project expenditures.
NOTE: Other program elements are covered in 15.0 and 16.0.
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Part II: Explanation of items summarized in Part I
8.0 PREAPPLICATION INFORMATION
8.1 Applicant Eligibility
An eligible applicant is: "a city, town, borough, county, parish, dis-
trict, association, or other public body (including an intermunicipal
agency of two or more of the foregoing entities) created by or pursuant
to State law, or an Indian tribe or an authorized Indian tribal organiza-
tion, having jurisdiction over disposal of sewage, industrial wastes, or
other wastes, or a designated and approved management agency under
Section 208 of the Act." This definition excludes a special district, such
as a school district, which does not have as one of its principal responsi-
bilities the treatment, transport, or disposal of liquid wastes.
8.2 Types of Projects
The types of projects eligible for a 75% Federal grant include sewage
treatment plants, interceptor and outfall sewers, trunk and collection
sewers, and overflow control facilities for combined sewer systems. It is
the policy of EPA and the States to consider the construction of treat-
ment facilities and needed interceptor sewers as more urgent than the
other types of projects.
To be eligible for a Federal grant, the project must have as its prin-
cipal purpose the treatment of domestic wastes from an entire com-
munity or region. Therefore, treatment facilities for power plants, air-
ports, mass transportation or drinking water plants are not eligible for
a grant under P.L. 92-500.
8.3 Priority List
Each year each State is apportioned a sum of money (allotment or
allocation) for construction grants. Grants from these funds are made
directly by EPA for those projects which the State determines are
entitled to priority for a grant over other eligible projects in the State.
The State system of determining priority of projects must give considera-
tion to:
a. the severity of pollution problems;
b. the existing population affected;
c. the need for preservation of high quality waters;
d. national priorities;
e. any additional factors considered pertinent by the State.
Each project which is to receive a grant must be certified by the State
as entitled to priority for such grant over other projects in the State.
Only projects so certified by the State may receive a construction grant.
States may reserve up to 10% of their alloted funds for Step 1 and
Step 2 projects which are found to be highly important to the State's
program but which did not appear on the priority list.
States will provide interested persons with information concerning
their priority systems as well as details on the ranking of particular
projects. Priority lists must be subject to a public hearing at which time
communities, concerned with the funding of a project, may make their
interests known.
10
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8.4 Three Step Process
Public Law 92-500 provides for the funding of projects in three steps,
namely:
Step 1—Planning and Preliminary Design
Step 2—Plans, Specifications and Estimates
Step 3—Construction
Federal grants are available for each of these types of projects. How-
ever, the award of a grant for one step does not commit EPA to fund
subsequent steps.
For projects on which work was started prior to June 30, 1975 without
an EPA grant, the applicant should contact the State agency or EPA
to determine the extent to which the work may be eligible for grant
funds.
8.5 State Water Quality Management Plan
The law requires all States to prepare water quality management
(river basin) plans for the waters within the State. The basin planning
process may establish the water quality standards to be achieved for each
water body within the river basin. One result of these studies is the
classification of streams or rivers into "water quality limited" or
"effluent limited" segments.
On "effluent limited" stream segments, all sewage treatment works
must provide a minimum of secondary treatment (approximately 85%
pollution removal). On "water quality limited" stream segments, all
treatment works must provide a still higher degree of treatment in order
to meet water quality standards.
It is the State's responsibility to prepare the basin plans and advise
each applicant of the level of treatment (effluent limitation) required.
Sewage treatment works constructed with Federal funds must comply
with this requirement.
8.6 Areawide Waste Treatment Management Plan
Areawide waste treatment management plans (often. referred to as
208 plans) are prepared for areas having more serious pollution prob-
lems. Generally these are urban-industrial areas and are designated for
study by the Governor.
Plans prepared under section 208 of the law not only study the pollu-
tion discharges from sewage treatment facilities but also the pollution
caused by rainfall runoff and other sources. These plans examine alterna-
tives for solving or controlling all forms of water pollution and may
recommend broad based control measures beyond the construction of
sewage treatment plants.
EPA may give grants to planning agencies to carry out these studies.
The completed plans will designate one or more agencies to implement
its recommendations. Since only those agencies designated in the plan
are eligible for a construction grant, prospective applicants should first
determine, by contacting the State agency, whether their proposed proj-
ect is located in an areawide waste treatment management planning area.
8.7 Facility Planning
Preparation of a facility plan is the first step of the three part con-
struction grants process. Through the plan, specific recommendations 11
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12
for the treatment plant site, size, type of process, method of effluent and
sludge disposal, interceptor sewer routing and other steps necessary for
constructing the project are developed.
Ideally, the State water quality management plan (item 8.5 above)
establishes the level of treatment necessary for each sewage treatment
facility, the areawide waste treatment management plan (item 8.6 above)
designates the facility planning area, and the implementing agency
prepares a facility plan to develop a specific project which is cost effec-
tive and environmentally sound. The State agency will designate the
boundaries of the facility planning area in cases where they have not
been designated by areawide waste treatment management plans. When
the boundaries encompass more than one political jurisdiction, service
agreements or other contractual arrangements may be necessary between
jurisdictions. Negotiations must begin early to assure the timely com-
pletion of the project.
Cases will arise in which facility planning areas and areawide waste
treatment management planning areas overlap. Coordination and co-
operation are essential to avoid duplication.
Many areawide waste management plans are in the development stage.
The preparation of facility plans rhould not await the completion of
such plans, but 208 planning agencies should have the opportunity to
comment on facility plans.
Later items in this handbook describe specific topics of a facility plan
in more detail. Further information is provided in the EPA publication,
Guidance For Preparing A Facility Plan, Revised—May, 1975, and;
Model Facility Plan for a Small Community—September, 1975.
8.8 Municipal NPDES Permits
P.L. 92-500 established the National Pollution Discharge Elimination
System (NPDES) as the enforcement mechanism for achieving water
quality standards. The NPDES permits issued under the system are
applicable to all municipal discharges and the municipalities must com-
ply with their provisions. Where basin, areawide waste management or
faclity plans have been established, the permits will require compliance
with such plans.
The NPDES permit may contain limitations, conditions or schedules
which will require the municipality >to undertake the construction of a
wastewater treatment facility.
8.9 Clearinghouse(s)
Applicants for construction grants for wastewater treatment facilities
are required to comply with the Office of Management and Budget
(OMB) Project Notification and Review System (Circular A-95). This
system is established to provide for early contact between applicants and
governmental agencies and to insure coordination between related
projects.
Prior to submission of a Step 1 grant application, and after the com-
pletion of a draft facility plan, applicants are required to obtain com-
ments from the State and/or Regional clearinghouse (s). The applicant
is to include copies of these comments with the application package. If
the comments are adverse, the applicant is to submit a statement explain-
ing how the comments were considered.
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9.0 STEP 1 APPLICATION
9.1 Plan of Study
A plan of study outlines the work to be done in preparing a facility
plan. It should be brief and generally follow the format suggested in
the "Model Plan of Study," a supplement to the Guidance For
Preparing A Facility Plan. Unique features of the project which will
require special attention, such as water-short areas, recreational areas,
economically depressed areas, etc., should be addressed.
The plan of study is reviewed by both the State and EPA to insure
compliance with municipal permit conditions, previously approved water
quality management plans, interstate agreements and other applicable
requirements.
Once approved, the plan of study is incorporated into the grant agree-
ment along with a schedule for the completion of the specific tas.ks and
itemized costs for each of these tasks. From the schedule of tasks and
costs, a payment schedule is developed and made part of the Grant
Agreement.
9.2 Application, EPA Form 5700-32
The application form contains instructions for its preparation and
assurances with which the applicant must comply. The application must
be accompanied by a formal resolution of the governing body designat-
ing, by name and title (Mayor, City Manager, City Clerk, etc.), the
authorized representative to act in behalf of that body in all matters
related to the grant process. This person must be an official of the
governmental unit rather than the consulting engineer or other profes-
sional consultant. The resolution should specifically authorize the repre-
sentative to make application, submit other documentation as required,
accept the grant offer and act for the governing body in all grant related
matters. In the event that the representative is replaced, a resolution
naming the new representative must be submitted.
9.3 Selection of Professional Engineer
The most common contracts (subagreements) are the engineering
contracts between the municipality and the consulting engineer. Detailed
requirements and procedures for obtaining professional services are
presented in 40 CFR 35.936 and 35.937 published December 17, 1975 in
the Federal Register.
Essentially the regulations require that the need for architectural/
engineering (A/E) services be advertised so that qualified firms may
offer their services. (This does not apply to communities under 25,000
population.) At least three firms which display acceptable professional
qualifications to do the work are requested to submit proposals for the
project. Proposals may or may not include costs for professional services.
Professional fees are negotiated so that the professional receives a fair
and reasonable profit and the municipality obtains competent services
at a fair cost.
A cost review is to be conducted by the applicant with costs being
presented to EPA in a prescribed form. Additional cost breakdowns may
be required by EPA for a particular project to establish reasonableness
of the costs. 13
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If the applicant is satisfied with the services of the firm selected to do
the Step 1 or Step 2 work, the same firm may be used for additional
work, providing the firm has the capability and resources to cany out
such work on schedule and a fair fee can be negotiated. Likewise, the
grantee may terminate the A/E contract if the contractor fails to
perform.
Various types of contracts are acceptable but cost-plus-percentage-
of-cost and the percentage-of-constraction-cost types of contracts are
prohibited. Generally, separate fee negotiations should be conducted for
each Step 1, Step 2 and Step 3 grant.
Grantees must show evidence of making "positive efforts" to allow
small businesses and minority owned businesses to compete for sub-
agreements and contracts.
In cases where subagreements for professional services predate the
implementation of the procurement regulations, the transition policy
as described in Appendix D of the regulations (12/17/75), will be used.
All work initiated after 6/30/75, in order for it to be eligible for grant
funds, must be approved in advance by EPA.
It is recommended that applicants contact the State agency or EPA
before executing contracts if there are any questions to be resolved.
10.0 STEP 1 FACILITY PLAN
10.1 Effluent Limitations
The degree of treatment which must be provided by a particular
treatment plant is dictated by the effluent limitations. The effluent limita-
tions are established by the State (or, in some cases, by EPA through
the NPDES permit). The effluent limitations may require that the plant
discharge not over 20 milligrams per liter (mg/1) of biochemical oxygen
demand (BOD), 12 mg/1 of suspended solids (SS), and a dissolved
oxygen of 5.0 mg/1. If the sewage entering the treatment plant has a
BOD of 200 mg/1 and SS of 240 mg/1, the grantee would be required to
provide 90% BOD removal, 95% SS removal and the addition of oxygen
to the effluent before discharge. The effluent limitations will vary accord-
ing to the nature of the receiving waters and would also be different if
the effluent were to be used to recharge the groundwater or to be dis-
posed of on land. The effluent limitations determine the type of treat-
ment works and the operational efficiency required and- are, therefore,
of considerable importance.
10.2 Alternatives
An important aspect of a facility plan is the investigation and evalu-
ation of various alternative solutions to the water pollution problems.
In the case of sewage treatment plants these alternatives will include
an evaluation of the existing facilities. This evaluation will determine
whether the operation of the existing plant can be improved enough
to provide the required level of treatment, thus precluding the need for
new construction. If this is not practicable, alternatives such as size,
location, type of process, phasing of construction, rehabilitation, etc.
should be considered.
14 Best practical waste treatment technology (BPWTT) must be taken
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into consideration and includes, as a minimum, an evaluation of the
following three waste treatment management techniques.
a. biological or physical-chemical treatment and discharge to receiv-
ing waters,
b. treatment and reuse,
c. land application techniques.
For sewers, alternates (including size, type and routings) must be
considered.
Initially the most feasible alternatives are identified and, through a
preliminary screening process, the best alternatives are selected. These
alternatives are then evaluated on the basis of engineering, environ-
mental, cost, and ability-to-be-implemented considerations. This process
results in the selection of the most cost effective solution. A "no-action"
alternative must also be considered. The entire process of evaluating
these alternatives must be explained and described in the facility plan.
10.3 Infiltration/Inflow (I/I) Analysis
For projects which have existing sewers, it is necessary to prepare an
infiltration/inflow (I/I) analysis as a part of the facility plan. In-
filtration is groundwater which leaks into the sewers, whereas inflow is
storm water which enters the sewers. The distinction is made between
the two types of flows because infiltration is more constant depending
on the groundwater level, while inflow is more of a peaking phenomenon
related to above ground precipitation. Inflow occurs at distinct points
and may therefore be economical to correct. Infiltration is more gen-
erally distributed (if one joint in an old pipe has deteriorated and is
leaking, other joints in the same reach of pipe may also be leaking)
and may be quite costly to correct.
The I/I analysis must quantify the infiltration and inflow and esti-
mate how much it would cost to remove part or all of the I/I from the
system. Also, the cost of transporting and treating the I/I must be
estimated and the most economical combination between I/I removal
or treatment must be determined. Since infiltration and inflow take up
valuable capacity in the sewer pipes, pumping stations and treatment
plants, it is generally economical to remove some of these excessive
flows. Therefore, in the I/I analysis, a preliminary determination must
be made of the amount of excessive I/I to be removed and the amount
to remain in the system. The amount of I/I which may be economically
removed is designated "excessive." An alternate approach would be
to determine possible excess infiltration and proceed with treatment
plant design based on assumed elimination of inflow and nominal infiltra-
tion of 1000 gallons per day per inch of pipe diameter per mile of
sewer.
If the amount of excessive I/I is great, it will be necessary to more
accurately estimate the cost of removal by performing a sewer system
evaluation survey. DO NOT proceed with a sewer system evaluation
survey until receiving authorization to do so from EPA.
10.4 Sewer System Evaluation Survey
An evaluation survey is the second step in the sewer system evalua-
tion and is conducted only if the infiltration/inflow analysis concludes
that excessive infiltration/inflow exists. Grant funds for conducting a 15
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sewer system evaluation survey may be obtained by requesting an
increase in the Step 1 grant.
Cost of rehabilitation of sewers is eligible for grant participation.
However, some States, due to allotment constraints and other high
priority needs, do not certify sewer system rehabilitation projects for
grants.
Sewer System Evaluation is the subject of an EPA Guidance booklet
dated March. 1974. Generally, the evaluation survey consists of some
or all of the following:
a. a physical survey of the system;
b. smoke bomb, air pressure testing or rainfall simulation by flooding
sections of storm sewers;
c. selected sewer system cleaning;
d. visual (e.g., television) inspection of selected sewer sections;
e. the preparation of a report of needed rehabilitation of the sewers.
Generally, grantees would not inspect the entire sewer system using
TV cameras. TV inspection is very expensive and must be justified to
obtain Federal funding.
The evaluation survey will identify specific sections of the sewer
system which are to be rehabilitated--grouted, sealed, lined, replaced
or otherwise repaired. Rehabilitation carried out under contract is sub-
ject to the same requirements as other construction contracts or
subagreements.
10.5 Environmental Assessment
The National Environmental Policy Act of 1969 (NEPA) requires
all Federal agencies to prepare environmental impact statements (EIS)
for projects which have significant adverse environmental effects or
environmental impacts which are likely to be highly controversial.
Therefore, to allow EPA to decide if an EIS is to be prepared, grantees
are required to prepare an environmental assessment (EA), as a part
of the facility plan, which includes an environmental inventory, an
evaluation of the alternatives and proposed mitigative measures. The
EA is similar in content to an EIS and is required for all projects.
If, after reviewing the completed facility plan (which contains the
environmental assessment), EPA decides that the proposed project does
not warrant the preparation of an environmental impact statement, EPA
will issue a "negative declaration" and appropriate public notices. Oh
the other hand, if EPA decides that an EIS is warranted, a "notice of
intent" will be issued and made public. EPA will then prepare a draft
EIS extracting as much information as possible from the EA.
A variation of this procedure is used for those projects which are
known in advance to have significant or controversial environmental
impacts. In such cases, and with all parties agreeing, a facility plan and
an environmental impact statement will be prepared simultaneously. This
procedure, known as "piggybacking", is intended to save time and money
yet satisfy all the requirements of the construction grants program.
10.6 Public Input
Public participation is required to aid the grantee in selecting a plan
which will be cost effective, environmentally compatible, and have the
16 widest public acceptance and opportunity for implementation.
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Issues involved in solving water quality problems and in the expendi-
ture of large Federal sums are often sensitive and may come under
attack from varied interests. Although the primary responsibility for
carrying out water pollution control and abatement programs rests in
governmental agencies, public involvement in the decisions and imple-
mentation is necessary and desirable. The intent of public participation
is to foster a spirit of openness and a sense of mutual trust between the
public and governmental agencies in efforts to restore and maintain
the integrity of the Nation's waters. The facility plan must contain a
summary of the measures taken to provide for, encourage, and assist
public participation in the plan selection. The summary must also dis-
close the public response to the alternatives presented and how sig-
nificant responses were incorporated into the plan.
In addition to any informal meetings or other forms of public par-
ticipation, a formal public hearing must be held prior to plan selection.
Reports, documents or other data to be discussed at the hearing must
be available to the public at convenient times and places approximately
15 days prior to the hearing. Also, the hearing must be announced
through the news media at least 30 days prior to the hearing.
10.7 Historical and Archaeological Investigations
To comply with the requirements of the National Historic Preserva-
tion Act of 1966, Executive Order 11593, and other applicable State and
Federal laws, it is necessary that an investigation be made of the im-
pacts a project may have on historical or archaeological sites. These
investigations may vary from literature searches to field surveys. The
initial step, once the project scope is determined, is to contact the State
Historic Preservation Officer (SHPO) to obtain specific advice as to the
extent of investigations necessary.
The SHPO may recommend that qualified professionals be hired for
"walk-through" or "windshield" preliminary investigations. The reason-
able costs-for these investigations are eligible for grant participation,
but EPA must be advised at each successive stage before additional
costs are incurred.
10.8 Selected Alternative
After all investigations and alternatives are evaluated as part of
the facility plan, one alternative is selected and described in greater
detail. The selected plan describes the project for which Step 2 detailed
design and Step 3 construction grants may be requested by the appli-
cant. The depth of detail used to describe the selected plan will vary
with the size and complexity of the project. The amount of detail should
be discussed with and agreed upon by the State and EPA before com-
pleting the facility plan.
Cost estimates of the selected plan must be accurate and are to be
used in completing the application (EPA Form 5700-32) for a Step 2
grant.
10.9 Service Agreements
If a project involves more than one political jurisdiction, it will be
necessary to work out service agreements. These agreements will in-
clude financial arrangements and require each jurisdiction to enforce 17
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the requirements for user charges, sewer system rehabilitation, industrial
cost recovery, sewer use ordinances, etc. The details of the service
agreements will vary from project to project. Because the time re-
quired to complete service agreements can be long, action on them
should be initiated as early as possible during the preparation of the
facility plan. Service agreements must be drafted prior to approval of
the facility plan and be completed before the award of a Step 2 grant.
If wastes from a Federal facility to be treated in a proposed mu-
nicipal waste treatment plant make up more than 5% of the design flow
or total more than 250,000 gallons per day, EPA cannot participate in
the construction costs attributable to such wastes. EPA will however
participate in the costs of related Step 1 Facility Planning; and Step 2
costs if the Step 2 grant received State certification prior to December
29, 1975.
11.0 STEP 2 APPLICATION
11.1 User Charges
User charges are fees paid by users of the facilities to cover the
operation and maintenance costs of the system. Industrial, commercial
and residential users are charged a proportionate fee based on the
wastewater treatment service provided. At the time of this writing
(April, 1976), a user charge (UC) system based on the use of "ad
valorem" taxes is not an acceptable basis for proportioning the charges.
However, legislation is pending before Congress to allow the use of ad
valorem taxes for this purpose. Grantees should investigate this matter
before completing a user charge system.
At the time of a Step 2 grant application, applicants must submit
a statement or resolution acknowledging their awareness of the need
for preparing a user charge system in accordance with the regula-
tions (40 CFR Part 35 Subpart E, and Appendix B) and a procedural
schedule for completing such a system. While preparing the detailed
project design (Step 2 grant), grantees should also be working on the
user charge system. EPA may not pay more than 50% of the Step 3
grant until evidence of the timely development of the system is received.
Also, no more than 80% of the grant may be paid until the user
charge system is approved by EPA. By the time the project is com-
pleted and ready to operate, an approved user charge system must be
ready to be implemented.
11.2 Industrial Cost Recovery
Industrial cost recovery (ICR) is a system which recovers from in-
dustrial users of the wastewater treatment facilities that portion of
the Federal grant which relates to the industry's proportionate share
of the capital cost of the project. The repayment period may extend
for as long as 30 years. Half of the recovered funds are kept by the
grantee (to be used primarily for expansion and reconstruction) and the
other half is returned to the Federal government.
At the time of a Sten 2 grant application, each industry contributing
10% or more of the sewage must submit a letter of intent to comply
with the industrial cost recovery system developed for the project.
18 While industries contributing less than 10% of the total are not re-
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quired to submit letters of intent, it is necessary for the grantee to
assure EPA that all industrial users will be charged their proportionate
share. Grant payments are limited to 50% of the Step 3 grant until
evidence of the timely development of the TCR system is submitted
(similar to the user charge requirements) and to 80% of the Step 3
grant until the industrial cost recovery system is approved.
11.3 Sewer Use Ordinance
Applicants for a Step 3 grant must submit a current sewer use or-
dinance or a letter of intent to enact such an ordinance. The sewer use
ordinance must prohibit new sources of inflow (illegal connections from
sump pumps, foundation drains, roof leaders, etc.) from being con-
nected to the sewer system, require proper design and construction
techniques for new connections and inquire pretreatment or the elimi-
nation of wastes which will interfere wi'h the plant's operation. No more
than 80% payment of the Step 3 grant nay be made until the ordinance
is approved by EPA.
11.4 The Uniform Relocation and Land Acquisition Policies
Act of 1970
Projects which entail the acquisition of private property or the
displacement of persons are subject to the provisions of the Uniform
Relocation and Land Acquisition Policies Act of 1970 (40 CFR Part 4
addresses these requirements). Basically, the Act establishes procedures
for equitable settlement in such cases. Although the actual cost of land
purchased for the project is generally not eligible for grant participation
(except in certain cases when the land is an integral part of the treat-
ment process), certain costs associated with complying with this Act
may be eligible. The Step 2 grant application must include a statement
or resolution assuring that the grantee will comply with the applicable
provisions of this Act and a time schedule of compliance.
12.0 STEP 2 PLANS, SPECIFICATIONS AND
ESTIMATES
12.1 Project Specifications
The end product of the Step 2 detailed design is a set of plans (draw-
ings), specifications and detailed construction cost estimates which are
suitable for bidding and construction purposes. Since large sums of
public funds will be spent on constructing the project, it is of the
utmost importance that the plans, specifications and estimates be as
complete and accurate as possible. Plans, specifications and estimates
must be submitted to obtain the final Step 2 grant payment and ap-
proved plans and specifications must be submitted to obtain a Step 3
grant.
The provisions of many Federal, State and local laws must be satisfied
when advertising for and constructing public works projects. To assist
grantees in satisfying most of these requirements, EPA has prepared
a standard set of inserts which must be included in every construction
contract. Copies of these documents may be obtained from the State
or EPA. Key elements of the Federal requirements to be included in the
contract documents are highlighted below. 19
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12.1.1 Contract Documents
The contract documents must contain the following six items:
• A statement of work, including drawings and specifications, and
a required time-for-completion schedule;
• the terms and conditions of the construction contracts;
• an explanation of method of bidding, method of evaluating bid
prices and the basis upon which award of the contract will be made;
• the criteria for evaluating bidders;
• a statement indicating that the project is partially funded with
Federal money but that the government is not a party to the contract;
• copies of 40 CFR 35.936, 35.938 and 35.939.
12.1.2 Supplemental General Provisions of Specifications
The requirement for supplemental general provisions in the specifica-
tions is satisfied by including Appendix C-2 of 40 CFR Part 35 in the
specifications. This appendix includes conditions relating to the fol-
lowing subjects.
audit and access to records;
price reduction for defective cost or pricing data;
contract work hours and safety standards;
equal employment opportunity;
utilization of small and minority business;
a covenant against contingency fees;
anti-kickback regulations;
gratuities;
patents;
copyrights and rights in data;
a clean air and water clause.
12.1.3 Equal Employment Opportunity
The Equal Employment Opportunity (EEO) provisions of the law
must be followed and made a part of the specifications where contracts
are greater than $10,000. In areas having an approved home-town or
an imposed plan, the contract specifications must contain the specific
provisions of the plan as published by the Secretary of Labor in the
Federal Register. Home-town plans are agreements reached between the
local contractors, trade unions, minority groups and governmental agen-
cies which are approved by the Secretary of Labor and include the goals
for hiring and training of minority groups. In such cases all contractors
must agree to abide by the provisions of the plan.
In non-home-town plan areas, contractors will be required to comply
with the provision of Executive Order 11246 and engage in affirmative
action directed at promoting and insuring EEO in their work force.
Contracts in excess of $500,000 may require special provisions. EPA
regional office will provide specific instructions for such cases.
12.1.4 Davis Bacon Act
Construction contracts in excess of $2,000 are subject to the pro-
visions of the Davis-Bacon Act. This Act requires that contractors pay
employees minimum wage rates as established by the Department of
20 Labor. These rates are specified in Wage Determinations issued for
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specific projects and reflect prevailing wages paid workmen in various
crafts in a given locality. Area or General Wage Determinations, ap-
plicable to projects in larger metropolitan areas, are published peri-
odically in the Federal Register. Wage Determinations are valid for
120 days and, along with any pertinent modifications, must be included
in the bidding and contract documents.
12.1.5 Flood Disaster Protection Act of 1973
If the proposed project includes structures with a value of more than
$10,000 which will be located in an area formally designated as a flood
hazard area by the Department of Housing and Urban Development
(DHUD), those structures must be insured under the flood insurance
program administered by DHUD. In this instance, "structure" generally
refers to a "building" having four walls and a roof. Such insurance, if
required, must be maintained during both construction and the useful
life of the structure.
Other provisions of this Act may be applicable to certain projects and
should be taken into consideration during the preparation of the
facilities plan.
12.1.6 Bonding/Insurance
For construction contracts in excess of $100,000 the following mini-
mum bonding and insurance requirements must be a part of the
specifications:
• 5% bid bond;
• 100% performance bond and 100% payment bond;
• fire and extended coverage, workmen's compensation, public lia-
bility and property damage and "all risk" insurance as required by local
or State law;
• flood insurance, as required, during and after construction.
For contracts less than $100,000, bonding and insurance requirements
shall be in accordance with local or State practices.
12.1.7 Technical Provisions of Specifications
The following items must be addressed in the plans and specifications
for the project.
Safety Precautions: Occupation Safety and Health Act (OSHA) and
applicable State and local requirements must be complied with.
Mitigative Measures: Mitigative measures required by the environ-
mental assessment or impact statement must be complied with. Examples
might be soil erosion control, hours of operation, backfilling and seeding,
structural design for buildings in a flood plain, etc.
Bypassing: Bypassing of flows during construction must be prevented
where possible.
Reliability and Flexibility: Proposed facilities are to be reliable and
provide for flexibility in operation. This may be accomplished by pro-
viding for standby power, ample pumping capacity to insure continuous
operation when the largest pump is out of service, etc.
Component Identification: Equipment, piping, switches, instruments,
etc. must be clearly marked for ease of identification.
Public Water Supply: Public water supplies must be protected by 21
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adequate backflow prevention devices (double check valves, air gap,
etc.).
Chemical Storage: Chemicals must be properly stored in a curbed area
large enough to hold the entire volume in the event of an accidental
spill. Also, adequate safety protection gear must be provided for plant
personnel.
Ventilation: Adequate ventilation must be provided in all areas where
necessary (for example wet well, dry well, chlorine room, chemical stor-
age area, etc.).
Laboratory Facilities: Laboratory facilities must be sufficient to give
the plant operator control over the operational efficiency of the treat-
ment plant. Additionally, facilities must be adequate to conduct sampling
and testing as required by the NPDES permit or the State agency.
Emergency Alarms: Adequate alarms must be provided to warn of
failures or dangers.
Use of Mercury: Mercury may not be used for trickling filter seals.
Other uses of mercury require special review and approval.
Sewers: Sewers must be tested for infiltration. They must maintain
minimum scouring velocity and have adequate capacity during peak
flow periods.
Equipment: Except where based upon performance specifications, at
least two trade names must be specified for all major items of equipment.
Operation & Maintenance: In selecting equipment and components,
the consultant should give careful consideration to those which can be
operated and maintained with the least effort.
Shellfish Waters: Appropriate measures to protect shellfish must be
included where applicable.
Pretrealment: Incompatible industrial wastes must be pretreated where
applicable.
Project Sign: A project sign must be displayed indicating EPA grant
support.
12.2 Plan of Operation
A plan of operation is required for all treatment facilities. The plan
should be, in large measure, a sequential listing of actions needed to
ready the plant and its personnel for operation when construction is
complete. Matters such as staffing and training requirements, operation
and maintenance procedures, reports, laboratory testing, etc. must be
considered in the plan. In short, the plan must detail the "who, when
and where" of facility operation and maintenance.
The Operation and Maintenance Manual (prepared in conjunction
with the Plan of Operation) is especially important since it provides
plant personnel with detailed instructions for assuring efficient opera-
tion and proper maintenance of all plant components (including off-
site pump stations, etc.). This manual should discuss how the facility
is to be operated so as to meet effluent standards contained in the
NPDES permit and other State and Federal requirements. Grant pay-
ments are limited to 50% of the Federal share of Step 3 costs until the
draft manual or evidence of its timely completion is submitted. No more
than 90% of the grant may be paid until the manual is approved.
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13.0 STEP 3 APPLICATION
13.1 Payment Schedule
For each of the three "step" grants it is necessary to prepare a pay-
ment schedule for disbursement of grant funds. In establishing payment
schedules, necessary State and Federal reviews need to be taken into
account. Since the schedules establish the maximum amount of grant
funds to be paid out during a specific period, it is important that they
be prepared with care.
Once a payment schedule is established, any change will require the
written approval of EPA. Payment procedures are explained in the
section Grant Payments (14.9).
14.0 STEP 3 CONSTRUCTION
14.1 Advertising for Bids
Grantees must not advertise for bids until authorization to do so is
received from EPA. When authorization is received, grantees must
circularize the proposed project as widely as possible in order to get the
best possible price. Preference for local contractors may not be shown.
Generally, advertisements should be placed in newspapers, journals or
other public notification and solicitation periodicals. If the estimated
project cost is more than $10 million, advertisements for bids should be
in journals having nationwide circulation. The advertisement must in-
dicate where copies of the bidding documents, including the plans
and specifications, may be obtained. Generally, at least 30 days is al-
lowed for receipt of bids. The regulations, 40 CFR 35.938-4, which
are included in the project specifications, contain additional specific re-
quirements for advertising. These same bidding requirements also apply
to sewer system rehabilitation work where necessary.
14.2 Receipt and Review of Bids
Bids must be received sealed and be opened publicly. The grantee, ir.
reviewing them, must insure that all legal requirements are met and
prepare a recommendation for award. Bid documents are forwarded,
generally through the State, to EPA for approval. DO NOT award
construction contracts until EPA approval to do so is received. As a
minimum, the following documents are to be submitted to EPA after
bids are received:
a. a certified bid tabulation of all bids received;
b. two copies of the proposal form and bonds from the apparent low
bidder;
c. a statement from the grantee (authorized official) indicating the
names of the bidders to whom contracts are to be awarded and the
amount of the contracts;
d. proof of advertising indicating the circulation and time for re-
ceipt of bids;
e. a copy of each addendum issued during the bidding period and
acknowledgement of receipt by the apparent low bidder;
f. signed copies of the certification by the apparent low bidder re-
garding compliance with EEO requirements.
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g. if award is to be made to other than the low bidder, justification
indicating why the low bidder is not responsive or responsible;
h. a revised cost estimate as necessary;
i. other documents required to conform with applicable State and
local laws and ordinances.
In reviewing the bids, grantees should recommend that the contracts
be awarded to the lowest responsive, responsible bidder. If there is
reason to award a contract to other than the lowest bidder, advice
should be obtained from legal counsel concerning such action. A full
explanation, including the legal opinion, must be submitted to EPA
for review. DO NOT award contracts until authorization to do so is
received from EPA.
Rejection of all bids and readvertisement of the project may be done
only for good cause.
14.3 Changes in Grant Amount
Grants may be increased or decreased at any point throughout the
entire 3 step process where such action is warranted and justified.
Grant changes require State approval and certification and the process-
ing of a Grant Amendment. To minimize grant increases and decreases,
each Step 3 grant may include an allowance for contingencies. The
amount of the contingency will vary in accordance with the size and
type of project and, where applicable, State policy.
Generally, if a grant increase is needed, it occurs because bids were
higher than the engineer's estimate. In such cases, bid material must be
submitted through the State to EPA with the request that the grant be
increased. The State is under no obligation to approve the request nor
is EPA obliged to increase the grant but will generally do so if the
increase is justified and funds are available.
14.4 Protests
The award of construction contracts may result in protests from un-
successful bidders, equipment suppliers or others. If a protest is received,
the procedures outlined in the regulations, 40 CFR 35.939, must be
followed. It is the grantees' responsibility to resolve protests. The resolu-
tion may vary from a protest without merit to the more complex case
involving potential litigation.
Advice should be sought from legal counsel whenever protests are
lodged. Grantees must advise the State and ,EPA of a protest, its foun-
dation and method of resolution.
14.5 Award of Construction Contracts
After EPA has reviewed the bid information, it will authorize the
award of the contracts providing all requirements have been satisfied.
Grantees should inform EPA of the date of the contract award or notice
to proceed.
At the time of award, a preconstruction conference should be con-
ducted to insure that each party understands his responsibilities.
24
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14.6 Preconsfrucfion Conference
A preconstruction conference should be held with the grantee, con-
tractor, State agency and EPA participating. The primary objective of
the preconstruction conference is to discuss the responsibilities of each
party in the project and to clarify any questions. Subjects to be discussed
may include: posting and payment of minimum wages; equal employ-
ment opportunities; record keeping and requirements for on-site inspec-
tions by EPA or the State; processing of invoices and grant payment
requests; processing and required approvals of change orders; etc.
14.7 Change Orders
A change order is the required method of modifying the construc-
tion contracts after work has begun and may result in a cost increase
or decrease.
Contracts may need to be modified because of minor errors'in the
plans and specifications or emergency changes required to protect life
or property. Prior approval by EPA of minor or emergency change
orders is not required.
Project changes which will substantially alter the design or scope of
the project, type of treatment, location, size, capacity or quantity of
any major component, or which will require additional Federal funds,
must receive prior approval from the State and EPA before being ex-
ecuted. Approved change orders resulting in construction cost increases
are ordinarily paid out of the contingency allowance of the project.
Where the change order or combination of change orders exceeds the
contingency allowance, grantees may request an increase in the grant
amount.
Change orders must be justified and are not to be used to circumvent
the bidding requirements. The increased cost resulting from a change
order must be reasonable and, when appropriate, grantees must nego-
tiate with the contractor to insure that the price is fair.
14.8 On-Site Inspection
EPA or the State may conduct on-site project inspections to insure
that the project is being managed properly, is on schedule, and is being
constructed in accordance with approved plans, specifications and
change orders.
On-site project inspections are made during construction (interim)
and at the completion of construction (final). The frequency of interim
inspections will depend upon the size and complexity of the project.
a. Interim Inspections—At the time of an interim inspection, the
inspector will determine that:
• competent and adequate supervision and inspection is being pro-
vided and an appropriate inspector's log is kept;
• approved plans, specifications and change orders are available at
the project site;
• construction conforms to approved plans, specifications and change
orders, and is on schedule;
25
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• the engineer's estimate of work-in-place agrees reasonably with
actual observed construction;
• reasonable tests of materials and equipment are being conducted
and noted in logs or reports (e.g., slump tests of concrete);
• equipment delivered to the site is being properly protected and
stored;
• the required project sign is appropriately displayed;
• a wage rate decision is prominently displayed and agrees with con-
tract documents;
• project accounting records are maintained which distinguish be-
tween allowable and non-allowable costs, and are supported by receipts
or certified contractor invoices;
• safety provisions are being followed in accordance with OSHA
requirements;
• special construction techniques or practices are being employed
in accordance with the grant agreement;
• the operational staff has been hired and is being trained in accord-
ance with the plan of operation;
• the operation and maintenance manual is being prepared;
• user charge and industrial cost recovery systems are being prepared;
• wastewater treatment during construction is being provided;
• a procedure is employed to call to the attention of the authorized
representative any deficiencies in design or construction.
b. Final Inspections—In addition to the items above, the inspector
will generally seek to determine that:
• the facilities are complete, operating and, in the case of a treatment
plant, will meet the effluent limitations required by the NPDES permit;
• the facilities conform to approved plans, specifications and change
orders;
• all equipment is operational and performing satisfactorily;
• the appropriate operation and maintenance staff has been hired
and instructed in the startup and operational procedures;
• the laboratory facilities are complete and sufficient to conduct
appropriate tests;
• the operation and maintenance manual is readily available and
procedures are being followed;
• the accounting records are adequate and are available for audit;
• the user charge system, industrial cosf recovery system and sewer
use ordinance, if not previously approved, are completed.
Deficiencies noted during the inspections must be corrected. Delay in
correcting deficiencies may delay grant payments:
14.9 Grant Payments
Grant payments are made in accordance with the payment schedule
(see item 13.1) contained in the Grant Agreement. Payment requests
may be submitted on the basis of project funds expended (cash) or on
the basis of project costs incurred (accruals), and will be submitted on
EPA Form 2550-16. Supporting documents (vouchers, reports, etc.)
26 may or may not be required depending on the complexities of the pay-
-------
ment and the policies of the State and EPA region in which the project
is located. Regional Offices will inform grantees of the kind of support-
ing documents needed for interim grant payments.
Only those allowable costs for which project funds have been ex-
pended or for which project costs have been incurred may be considered
in determining the amount of a payment.
EPA must limit grant payments to a certain percentage until specific
program requirements are satisfied. The grant limitations for Step 3
grant payments are briefly summarized below.
a. Operation and Maintenance Manual—No more than 50% of the
Federal share may be paid until a draft O&M manual is submitted, and
no more than 90% may be paid until the manual is approved by EPA.
b. User Charge System—No more than 50% of the Federal share
may be paid until the grantee has submitted adequate evidence of the
timely development of a user charge system, and no more than 80%
may be paid until the system is approved by EPA.
c. Industrial Cost Recovery System—No more than 50% of the Fed-
eral share may be paid until the grantee has submitted adequate evidence
of the timely development of an industrial cost recovery system, and
no more than 80% may be paid until the system is approved by EPA.
d. Sewer Use Ordinance—No more than 80% of the Federal share
may be paid until a sewer use ordinance (s) has been submitted and
approved by EPA.
e. Sewer Evaluation and Rehabilitation Program—In the case of ex-
cessive sewer infiltration, no more than 80% of the Federal share may
be paid unless the grantee is complying with the sewer system evaluation
and rehabilitation schedule agreed upon with EPA.
f. Final Inspection—Final payment may not be made until the final
inspection has been completed and EPA has determined that the treat-
ment works has been satisfactorily constructed in accordance with the
grant agreement and approved plans and specifications.
14.10 Audits
By accepting a Federal grant for a Step 1, 2 or 3 project, grantees
agree that their accounts, documents, records and papers, as well as
•those of subcontractors, will be accessible to EPA, the Comptroller Gen-
eral of the United States, or any authorized representative.
Auditors will review the project's management, accounting, procure-
ment and property control records to insure that all costs claimed or
incurred are eligible for grant participation. They will also review the
project for compliance with all applicable grant provisions and condi-
tions. Grantees will be notified well in advance of the audit so that all
pertinent documents may be assembled for the auditor. _
15.0 OTHER PROGRAM ELEMENTS
15.1 Allowable and Unallowable Costs
Certain costs incurred during the planning, design and construction
of wastewater treatment facilities are defined in the law or regulations as 27
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being eligible for EPA grant participation. The most obvious of these are
the construction costs. However, other costs associated with the project
may or may not be eligible for EPA grant participation. The item by
item listing of these eligible costs would require many pages and is not
included here.
Generally, to be eligible for grant participation, project costs must:
a. be necessary and reasonable and not a normal expense of munici-
pal administration;
b. be authorized (or not prohibited) and be consistent with Federal,
State and local laws and regulations;
c. be consistent with policies and regulations which are applicable
to both Federally assisted activities and other activities of the unit of
government of which the grantee is a part;
d. not be included in the costs allocable to any other Federally fi-
nanced program.
15.2 Cost Effectiveness
The term cost effectiveness is used two ways in the construction
grants program. In its broadest sense it includes the effectiveness of a
project in achieving a desired goal (eliminating water pollution) by
taking into account and weighing alternative actions (monetary costs,
environmental impacts, social concerns and political considerations).
Trade-offs between each of these considerations must be made but the
most cost effective solution is the one which satisfies most of these
considerations.
In the more limited use, cost effectiveness is used only with regard
to monetary considerations. For example, it may be more cost effective
(cost less money) to replace several hundred feet of broken sewers
than to treat the resulting infiltration at the treatment plant.
15.3 Force Account
Some of the planning, designing or construction of a project may be
accomplished by using municipal employees. Generally, however, EPA
prefers that the grantee use outside consultants or contractors to accom-
plish project work. In cases where it is desired to use municipal forces,
it will be necessary to obtain the prior written approval of EPA to do so.
Applicants wishing to use force account procedures must certify that:
a. municipal employees possess the necessary skills and experience to
accomplish the work;
b. the work can be done more economically by the use of municipal
employees rather than consultants;
c. emergency conditions dictate that municipal employees be used.
If EPA approves of the force account method, the grantee will be
notified in writing of such approval and will be advised as to what
records to keep and what administrative costs are eligible for grant
participation.
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16.0 REFERENCES
Several types of references are available which can be of assistance
to applicants.
To familiarize the applicant with the more commonly used references,
the following is presented:
16.1 P.L. 92-500—Federal Water Pollution Control Act
Amendments of 1972
P.L. 92-500 has four parts, each of which is called a "Title." Title II—
Grants for Construction of Treatment Works, is the title under which
EPA is authorized to award construction grants.
Each title is divided into sections. For example, the infiltration/inflow
analysis (Step 1 grant) is required by Section 201 of the law. Section 208
establishes the requirement for Areawide Waste Treatment Management
plans.
16.2 Code of Federal Regulations
After laws are enacted, it is often necessary for the administering
agency to establish rules and regulations to implement the law. The
resulting regulations are published in the Federal Register, become
official policy and essentially carry the same weight as the law itself. The
many regulations must be categorized and the term applied to each
subject area is "Title." (Title 40 covers the subject "Protection of En-
vironment." Title 12 is "Banks and Banking." Title 22 is "Foreign
Relations:")
The titles are divided into Chapters. Chapter I, of Title 40, concerns
the Environmental Protection Agency. Each chapter is subdivided into
subchapters. Subchapter B concerns "Grants and Other Federal Assist-
ance." The subchapters are subdivided into "Parts." Part 35 concerns
"State and Local Assistance." Parts may be divided into Sections which
are grouped into subparts. Subpart E covers "Grants for Construction
of Treatment Works—Federal Water Pollution Control Act Amend-
ments of 1972" and encompasses the 35.900 series.
Thus when reference r made to 40 CFR 35.917 it should be under-
stood that the reference is to Title 40 of the Code of Federal Regula-
tions, Part 35, Section 900, paragraph 917, "Facility Planning (Step 1)."
16.3 Other Publications
Periodically EPA publishes other documents which may be of assist-
ance such as Guidelines or Guidance, Technical Bulletins and Reports,
and Research Reports. Information regarding the subjects and avail-
ability of these publications may be obtained by contacting:
General Services Administration (8FFS)
Centralized Mailing List Services
Bldg. 41, Denver Federal Center
Denver, CO 80225
Also, EPA has published a "Handbook of Procedures: Construction
Grants Program for Municipal Wastewater Treatment Work" for use by 29
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State and EPA officials. Copies of these handbooks have been sent to
engineering consultants and are available at GSA in Denver on a
limited basis to others with responsibilities for construction grants
projects.
16.4 Program Guidance Memoranda
These are policy clarification and regulation interpretation statements
developed by EPA construction grants headquarters staff and distributed
to its ten regional officer Most of the information in these PGM's has
been integrated into the newly published Handbook noted above.
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Appendix
U.S. Environmental Protection Agency
Region, Administrator & Address
Region I
John A.S. McGlennon
Environmental Protection Agency
John F. Kennedy Federal Building
Room 2203
Boston, Massachusetts 02203
617 223-7210
(Maine, N.H., Vt., Mass., R.I., Conn.)
Region II
Gerald M. Hansler
Environmental Protection Agency
26 Federal Plaza, Room 1009
New York, New York 10007
212 264-2525
(N.Y., N.J., P.R., V.I.)
Region HI
Daniel J. Snyder
Environmental Protection Agency
6th & Walnut Streets
Philadelphia, Pennsylvania 19106
215 597-9814
(Pa., W.Va., Md., Del., D.C., Va.)
Region IV
Jack E. Ravan
Environmental Protection Agency
345 Courtland St., NE
Atlanta, Georgia 30308
404 526-5727
(N.C., S.C., Ky., Tenn., Ga., Ala., Miss.,
Fla.)
Region V
George R. Alexander, Jr.
Environmental Protection Agency
230 S. Dearborn Street
Chicago, Illinois 60604
312 353-2000
(Mich., Wis., Minn., 111., Ind., Ohio)
Region VI
John C. White
Environmental Protection Agency
1201 Elm Street
1st International Building
Dallas, Texas 75270
214 749-1962
(Texas, Okla., Ark., La., N.Mex.)
Region VII
Jerome H. Svore
Environmental Protection Agency
1735 Baltimore Avenue
Kansas City, Missouri 64108
816 374-5493
(Kansas, Nebr., Iowa, Mo.)
Region VIII
John A. Green
Environmental Protection Agency
1860 Lincoln Street, Suite 900
Denver, Colorado 80203
303 837-3895
(Colo., Mont., Wyo., Utah, N.D., S.D.)
Region IX
Paul DeFalco, Jr.
Environmental Protection Agency
100 California Street
San Francisco, California 94111
415 556-2320
(Calif., Ariz., Nev., Hawaii, T.T. of the
Pacific, Guam)
Region X
Donald P. Dubois
Environmental Protection Agency
1200 6th Avenue
Seattle, Washington 98101
206 442-5810
(Wash., Ore., Idaho, Alaska)
State Water Pollution Control Agencies
Region I
Connecticut
Joseph N. GUI
Commissioner
Dept. of Environmental Protection
Room 117, State Office Bldg.
165 Capitol Avenue
Hartford, Connecticut 06115
PHONE: 203-566-2110
New Hampshire
Mr. William A. Healy,
Executive Director
NH Water Supply & Pollution
Control Commission
P.O. Box 95—165 Loudon Rd.
Concord, New Hampshire 03301
PHONE: 603-271-3505
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Maine
William R. Adams, Jr.
Commissioner
Dept. of Environmental Protection
Ray Office Building
Hospital Street
Augusta, Maine 04333
PHONE: 207-289-2591
Massachusetts
Thomas C. McMahon, Director
Div. of Water Pollution Control
Dept. of Environmental
Quality Engineering
100 Cambridge Street
Boston, Massachusetts 02202
PHONE: 617-727-3855
Rhode Island
Carleton A, Maine
Asst. Director for Environmental
Health Services
Chief, Div. of Water Supply &
Pollution Control
Dept. of Health
75 Davis Street
Providence, Rhode Island 02908
PHONE: 401-277-2235
Vermont
Reginald A. LaRosa
Director
Environmental Engineering Division
Agency of Environmental Conservation
State Office Building
Montpelier, Vermont 05602
PHONE: 802-828-2761
Region II
New Jersey
Anthony R. Ricigliano, P.E.
Assistant Director
Public Wastewater Facilities Element
Division of Water Resources
Dept. of Environmental Protection
P.O. Box 2809
Trenton, New Jersey 08625
PHONE: 609-292-7762
New York
Frank Bogedain, Director
Bureau of Sewage Program
Division of Pure Waters
Dept. of Environmental Conservation
50 Wolf Road
Albany, New York 12233
PHONE: 518-457-7498
Puerto Rico
Lorenzo Iglesias, Assoc. Director
Air and Water
Environmental Quality Board
P.O. Box 1148
Santurce, Puerto Rico 00910
PHONE: 809-725-8692
Virgin Isalnds
Pedrito Francois, Director
Div. of Natural Resources
Management
P.O. Box 578
St. Thomas, Virgin Islands 00801
PHONE: 809-774-6880
Region III
32
Delaware
N.C. Vasuki, Director
Div. of Environmental Control
Dept. of Natural Resources &
Environmental Control
Tatnall Building
Dover, Delaware 19901
PHONE: 302-678-4765
District of Columbia
John Brink, Chief
Bureau of Air & Water Quality Control
Dept. of Environmental Services
Environmental Health Admin.
614 H St., N.W.
Washington, D.C. 20002
PHONE: 202-629-3748
Maryland
Donald H. Noren, Director
Environmental Health Admin.
P.O. Box 13387
201 W. Preston Street
Baltimore, Maryland 21203
PHONE: 301-383-2740
Pennsylvania
Walter A. Lyon, Director
Bureau of Water Quality
Management
Dept. of Environmental Resources
P.O. Box 2063
Harrisburg, Pennsylvania 17120
PHONE: 717-787-2666
Virginia
Eugene T. Jensen, Executive
Secretary
State Water Control Board
Commonwealth of Virginia
2111 N. Hamilton Street
Richmond, Virginia 23230
PHONE: 804-786-1411
West Virginia
John Hall, Chief
Div. of Water Resources
Dept. of Natural Resources
1201 Greenbrier Street
Charleston, West Virginia 25311
PHONE: 304-345-2107
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Region IV
Alabama
James W. Warr
Chief Administrative Officer
Water Improvement Commission
State Office Building
Montgomery, Alabama 36133
PHONE: 205-832-3370
Florida
John Mottcher, Chief
Div. of Environmental Programs
Dept. of Environmental Regulation
2562 Executive Center Circle, East
Tallahassee, Florida 32301
PHONE: 904-488-4807
Georgia
Gene B. Welsh, Chief
Water Protection Branch
Environmental Protection Div.
Dept. of Natural Resources
270 Washington St., S.W.
Room 820
Atlanta, Georgia 30334
PHONE: 404-656-6593
Kentucky
William S. Forester
Acting Director
Div. of Water Quality
Dept. for Natural Resources &
Environmental Protection
U.S. 127 South
Frankfort, Kentucky 40601
PHONE: 502-564-3410
Mississippi
Glen Wood, Jr., Executive Director
Air & Water Pollution Control
Commission
P.O. Box 827
Jackson, Mississippi 39205
PHONE: 601-354-2550
North Carolina
W. E. Knight, Acting Director
Div. of Environmental Management
Dept. of Natural & Economic
Resources
P.O. Box 27687
Raleigh, North Carolina 27611
PHONE: 919-829-4740
South Carolina
John E. Jenkins, P.E.
Deputy Commissioner
Environmental Quality Control
Dept. of Health & Environmental
Control
2600 Bull Street
Columbia, South Carolina 29201
PHONE: 803-758-5631
Tennessee
John W. Saucier
Div, of Water Quality Control
Dept. of Public Health
621 Cordcll Hull Dldg.
Nashville, Tennessee 37219
PHONE: 615-741-2275
Region V
Illinois
Michael P. Mauzy, Manager
Environmental Programs
Illinois Environmental Protection
Agency
2200 Churchill Road
Springfield, Illinois 62706
PHONE: 217-782-2027
Indiana
Oral H. Hert, Technical Secretary
Stream Pollution Control Board
1330 West Michigan Street
Indianapolis, Indiana 46206
PHONE: 317-633-5467
Michigan
William Turney, Acting
Executive Secretary
Chief, Bureau of Environmental
Protection
Water Resources Commission
Stevens T. Mason Building
Lansing, Michigan 48926
PHONE: 517-373-2682
Minnesota
Louis J. Breimhurst, Director
Div. of Water Quality
Minnesota Pollution Control Agency
1935 West County Road B2
Roseville, Minnesota 55113
PHONE: 612-296-7354
Ohio
Ned Williams, Director
OH Environmental Protection Agency
P.O. Box 1049
361 East Broad Street
Columbus, Ohio 43216
PHONE: 614-466-6686
Wisconsin
Anthony Earl, Secretary
Dept. of Natural Resources
P.O. Box 450 .
Madison, Wisconsin 53701
PHONE: 608-266-2747
33
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Region VI
Arkansas
S. Ladd Davies, Director
Dept. of Pollution Control
& Ecology
8001 National Drive
Little Rock, Arkansas 72209
PHONE: 501-371-1701
Louisiana
James F. Coerver, Director
Health & Human Resources
Administration
P.O. Box 60630
New Orleans, Louisiana 70160
PHONE: 504-527-5112
New Mexico
Thomas E. Baca, Director
Environmental Improvement Agency
P.O. Box 2348
Santa Fe, New Mexico 87503
PHONE: 505-827-5271, ext. 201
Oklahoma
Charles Newton, Director
Water Quality Services
State Dept. of Health
P.O. Box 53551
Oklahoma City, Oklahoma 73105
PHONE: 405-271-5205
Texas
Hugh Yantis, Exec. Director
Water Quality Board
P.O. Box 13246
Capitol Station
Austin, Texas 78711
PHONE: 512-475-3926
Region VII
Iowa
Joseph E. Obr, Director
Water Quality Management Div.
Dept. of Environmental Quality
P.O. Box 3326
3920 Delaware Street
Des Moines, Iowa 50316
PHONE: 515-265-8134
Kansas
N. Jack Burris, Chief
Water Quality Program
Div. of Environment
Dept. of Health & Environment
Building 740
Topeka, Kansas 66620
PHONE: 913-296-3825
Missouri
James P. Odendahl
Director of Staff
Clean Water Commission
Div. of Environmental Quality
P.O. Box 1368
Jefferson City, Missouri 65101
PHONE: 314-751-3241
Nebraska
Robert Wall, Acting Chief
Water Pollution Control
Dept. of Environmental Control
P.O. Box 94563
State House Sta.
Lincoln, Nebraska 68509
PHONE: 402-471-2186
Region VIII
Colorado
Frank J. Rozich, Director
Water Quality Control Div.
Department of Health
4210 E. llth Avenue
Denver, Colorado 80220
PHONE: 303-388-6111
Montana
Donald G. Willems, Chief
Water Quality Bureau
Dept. of Health & Environment
Sciences
Cogswell Building
Helena, Montana 59601
PHONE: 406-449-2406
South Dakota
Richard L. Howard, Chief
Water Quality Control
Dept. of Environmental Protection
State Office Building #2
Pierre, South Dakota 57501
PHONE: 605-224-3351
Utah
Calvin Sudweeks, Director
Bureau of Water Quality
Bureau of Environmental Health
44 Medical Drive
Salt Lake City. Utah 84113
PHONE: 80f-328-6146
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North Dakota
Norman L. Peterson, Director
Div. of Water Supply & Pollution
Control
Dept. of Health
State Capitol
Bismarck, North Dakota 58505
PHONE: 701-224-2386
Wyoming.
Arthur Williamson, Administrator
Water Quality Division
Dept. of Environmental Quality
Hathaway Building
Cheyenne, Wyoming 82002
PHONE: 307-777-7781
Region IX
Arizona
Dr. Ronald L. Miller, Chief
Bureau of Water Quality Control
Room 200
1740 West Adams Street
Phoenix, Arizona 85007
PHONE: 602-271-3453
California
Larry Walker, Division Chief
Manager, Clean Water Grant Program
State Water Resources Control Board
Division of Water Quality
P.O. Box 100
Sacramento, California 95801
PHONE: 916-445-7972
Guam
O.V. Natarajan K
Environmental Protection Agency
Government of Guam
P.O. Box 2999
Agana, Guam 96910
PHONE: 646-8863
Hawaii
Dr. James Kumagi, Dep. Director
for Environmental Health
Dept of Health
P.O. Box 3378
Honolulu, Hawaii 96801
PHONE: 808-548-6410
Nevada
Ernest Gregory, Acting Administrator
Department of Human Resources
Environmental Protection Services
201 So. Fall Street, Room 120
Capitol Complex
Carson City, Nevada 89710
PHONE: 702-885-4670
American Samoa
Donald Graf
Environmental Quality Commission
Government of American Samoa
Office of the Governor
Pago Pago, American Samoa 96799
PHONE: 633-4116
Trust Territory of the Pacific Islands
Nacha Siren, Director
Div. of Environmental Health
Dept. of Health Services
Trust Territory of the Pacific Islands
Saipan, Mariana Islands 96950
PHONE: Via 00-0422
Region X
Alaska
Jon Scribner
Division of Air & Quality Control
Dept. of Environmental Conservation
Pouch O
Juneau, Alaska 99801
PHONE: 907-586-5371
Idaho
Dr. Lee Stokes, Administrator
Dept. of Health & Welfare
Division of Environment
Statehouse
Boise, Idaho 83720
PHONE: 208-384-2390
Oregon
Harold Sawyer, Administrator
Water Quality Division
Dept. of Environmental Quality
1234 S.W. Morrison Street
Portland, Oregon 97205
PHONE: 503-229-5324
Washington
John F. Spencer, Asst. Director
Office of Water Programs
Washington State Dept. of Ecology
Olympia, Washington 98504
PHONE: 206-753-3893
* U.S. Government Printing Office: 1977-778443
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