&EPA
United States
Environmental Protection
Agency
Office of Water
Program Operations (WH-547)
Washington DC 20460
December 1983
Regulation
and Policy Matrix
A Guide to the Rules
Governing Grants
Awarded under the
Construction Grants
Program
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REGULATION AND POLICY MATRIX
/
A Guide to the Rules Governing
Grants Awarded Under the
Construction Grants Program
Prepared for:
Municipal Construction Division
Office of Water Program Operations
Office of Water
U.S. Environmental Protection Agency
Prepared by:
Contractor: Roy F. Weston, Inc.
Subcontractor: A. T. Bowyer, Inc.
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TABLE OF CONTENTS
Page
INTRODUCTION 1
METHODOLOGY 2
CODE OF FEDERAL REGULATIONS 4
A. Federal Register (FR) 4
B. Bound CFR 5
USE OF REGULATION MATRIX 7
INCLUDED REGULATIONS 8
MATRIX KEY 9
POLICY MATRIXES f 10
A. Background 10
B. Use of Policy Matrixes 11
C. Included Policy Issuances 12
HANDBOOK OF PROCEDURES 12
A. Handbook Updates 13
B. Use of Handbook Matrix 14
AUDIT RESOLUTION BOARD 14
BOARD OF ASSISTANCE APPEALS 15
USE OF REGULATION MATRIX - EXAMPLES 16
REGULATION MATRIX 19
SUBJECT INDEX PROGRAM ISSUANCES 81
POLICY MATRIXES 86
All Regional Construction Grants Memorandum (CG)
1970-1971 , 87
Program Memorandum (PM) 1972-1973 94
Program Guidance Memorandum (PG) 1973-1976 98
Program Requirements Memoranda (PRM) 1976-1981 109
Handbook of Procedures 116
Audit Resolution Board (ARB) 118
APPENDIX A - Board of Assistance Appeals—Subject Index
and Chronological Listing
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INTRODUCTION
The "Regulation and Policy Matrix" was developed in response
to a need for an improved method of more readily identifying the
.U.S. Environmental Protection Agency's (EPA) regulations and
policies applicable to grants awarded under the Municipal Construc-
tion Grants Program. The problem of identifying applicable
regulations and policies arises most often at the time of audit,
which may take place anywhere from five to ten or more years after
initial grant award. When a construction grant project is com-
pleted and the grant ready for closing out, auditors, Regional EPA,
State, and, at times, Corps of Engineer personnel are faced with
the task of reviewing and confirming (in some cases reconfirming)
that costs incurred and claimed by grantees and paid by EPA are,
in fact, allowable for grant participation. This task can become
quite burdensome recognizing that the statutes, regulations,
policies and guidance administered by EPA changed significantly
over the ten year span between 1972 and 1983 and, during that
same period, more than 22,500 grants were awarded.
/
In addition, because of the potential impacts of wastewater
treatment works projects upon the environment and economy, grant
recipients are required to comply with 54 other Federal laws and
Executive Orders, not the least of which is the National Environ-
mental Policy Act. Consequently, the programmatic regulations,
40 CFR Part 35,~have been changed at least 50 times since 1972.
In addition, other regulations which directly impact the Construc-
tion Grants Program (e.g., 40 CFR Parts 6, 25, 30, 33 and 403)
have also been changed on many occasions, thereby creating diffi-
culty in determining which regulations were in effect at the time
a specific grant was awarded.
At a "Task Force Meeting on Audit Issues" held in August 1982,
and attended by EPA personnel from all Regions and Headquarters,
it was recommended that EPA, "develop a matrix for illustrating
grant requirements in relation to time of grant award." It was
felt that the advantages of the matrix were that it would: (a)
provide everyone in the grants program with a standard for system-
atically applying requirements and retrieving data; (b) reduce long
term resources needed in research into and resolution of issues;
and (c) not need to be changed, but merely added to, as new
requirements are implemented.
Typically, the average length of time for an EPA grant-assisted
project to proceed through planning, design and construction is
about eight years. Generally, audits of projects are carried out
after completion of construction and may be performed ten years or
more after some of the costs were incurred. During this period
the regulations of the Agency will have changed, and it is fre-
quently difficult to determine which requirements were in effect
at what time. In addition, since many of the projects now subject
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to audit were undertaken during a period when three separate
grants were awarded (Step 1 for planning, Step 2 for design, and
Step 3 for construction), each of the separate grant awards may
be subject to different regulations. In some cases regulations
were promulgated but were retroactive to earlier projects necessi-
tating a careful review of the costs incurred against a later
requirement.
/"5&- *-
Hence, £&is- "Regulation and Policy Matrix1*' was developed in order
to clearly delineate the applicable regulations and policies in
effect at the time of each grant award, so that both auditors
and construction grant personnel would have an accurate and
complete body of knowledge concerning which regulations and
policies were in effect during the life of each project. /
METHODOLOGY
In developing the construction grant regulation and policy matrix,
it was imperative that all applicable regulations and policy docu-
ments be incorporated into the matrix. At the same time, it was
recognized that such a matrix, if it attempted to summarize all
available information, would of necessity be so voluminous that it
would be cumbersome and unworkable. Therefore, both at the initial
stages and during preparation of the regulation and policy matrix,
the question of volume and includable material was constantly
reviewed with the intent of achieving a proper balance between
volume/complexity and brevity/simplicity.
In reviewing the available reference documents, the contractor's
project office, Albert T. Bowyer, was faced with a large volume
of source materials, including Federal statutes and their legis-
lative histories, Federal regulations, program policy issuances
(CG'S, PC's, PRM's, etc.), the Handbook of Procedures (MCD-03),
guidance documents (Facilities Planning 1981f Construction Grants
1982, etc.). Board of Assistance Appeals decisions, Audit Resolu-
tion Board decisions, Federal court decisions, uncodified Head-
quarters policy memoranda in response to specific projects or
requests, and technical guidance documents (e.g., Innovative and
Alternative Technology Assessment Manual, Handbook for Sewer System
Evaluation and Rehabilitation, etc.) Confronted with the need to
strike a balance between volume/complexity and brevity/simplicity,
it was decided that the regulation and policy matrix would be
limited to pertinent portions of EPA regulations, codified policy
issuances (PC's, PRM's, etc.), the Handbook of Procedures, and
Audit Resolution Board decisions. In addition, it was decided
that since an index to Board of Assistance Appeals decisions was
already available, it should be appended to the matrix in its
existing form.
An initial draft matrix was limited to 40 CFR Parts 30 and 35,
until a decision could be reached on the most useful format for
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the matrix. The development of this initial draft matrix was
followed by the expansion of the matrix to also include other
applicable parts of 40 CFR, which was followed in turn by the
inclusion of EPA policy directives in the matrix. After the
draft matrix was completed, it was reviewed by a special task
force comprised of Headquarters and Regional representatives.
Albert L. Pelmoter, Chief, Program Policy Branch, Municipal
Construction Division and Project Manager for the "Matrix,"
served as chairman, and Thomas J. Moran, Senior Engineer, Program
Policy Branch, served as task manager. Roger A. Janson, Chief,
Grants Operations Section, Region I, took the lead in coordinating
Regional review and followup, which greatly expedited and improved
the overall review process. As a result of this review, the
matrix was expanded to include 40 CFR Part 4 and its format was
altered to further simplify its use.
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CODE OF FEDERAL REGULATIONS
As most users of this regulation and policy matrix are aware,
the Code of Federal Regulations (CFR) is a codification of the
general and permanent rules published in the Federal Register
by the executive departments and agencies of the Federal govern-
ment. The CFR contains 50 titles covering various subjects or
departments; for example, Title 3—The President; Title 10—Energy;
Title 32—National Defense, etc. In practically all cases involv-
ing the Municipal Constructiln Grants Program, applicable regula-
tions will be found in Title 40—Protection of Environment. On a
few occasions, other titles may be of interest such as application
of Federal cost principles (Title 41—Public Contracts and Property
Management).
Title 40—Protection of Environment is further subdivided into
chapters (Chatper I concerns the EPA), parts, subparts, sections,
subsections, etc. However, since "part numbers" are unique to
each "title," reference to regulations need only abbreviate
the title, part number and section and/or subsection number for
easy identification. For example, 40 CFR 35.917-1 (beginning
after February 11, 1974) means Title 40, Part 35, Section .917,
Subsection 1 and is entitled "Content of Facilities Plan."
A. Federal Register (FR)
The Federal Register is used by the Federal government to
transmit information to the general public and interest groups
concerning the workings of government. The FR is published daily
during normal work days and contains, among other things, regula-
tions for various agencies. In the ideal situation after enact-
ment of a Federal law, the implementing agency publishes in the
FR a notice of proposed rule-making. At this stage the text of
proposed rules and regulations may be published in full or their
availability may be announced. Very often proposed regulations
contain a preamble which describes the basis (Federal law, Execu-
tive Order, court ruling, etc.) for the regulations, provides
background information, describes alternative approaches con-
sidered and the reason for the selection of the proposed rule,
and provides a comment period during which interested parties may
submit their comments in writing or at public hearings. Proposed
rules and regulations have no legal status in terms of require-
ments to be imposed upon, in the case of the Construction Grants
Program, grant applicants or grantees.
Proposed regulations are most ideally followed by interim
regulations (in some cases interim/final) which as the name
implies serve during the period between enactment of a Federal
law and the publication of "final" regulations. Interim regu-
lations, once promulgated, have the force and effect of law
and serve as official Agency policy until superseded or amended
by the final regulations. Interim regulations appear in the FR
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and also include a preamble and a comment period as with the
proposed regulations.
Final regulations are published in the FR and represent the
Agency's final policies and procedures for implementing a federal
law, executive order or court order. Once published and after
the effective date, the final regulations carry the full force and
effect of law. Changes to final regulations may be made only
by the chief executive of the Agency and may result in revised
regulations (generally preceded by proposed and/or interim) or
the issuance of a class deviation. As with both the proposed and
interim regulations, the final regulations generally are preceded
by a preamble which describes the comments from the public and
interest groups and other considerations taken into account as
the regulations were finalized.
B. Bound CFR
On an annual basis. Title 40 of the CFR is published in
bound form by the General Services Administration. This annual
edition reflects changes which have been made to the regulations
up to July 1 of the year published (copies are generally not
available until September or October allowing for publishing
time) . The bound copy of the CFR represents a compact republica-
tion of all the appropriate regulations which appeared in the
Federal Register during the preceding twelve month period.
The bound CFR forms the basis for using the regulation
matrix"contained herein, and familiarity with its contents, user's
guide and reference tables is of utmost importance. It is, there-
fore, recommended that users of this matrix read the introductory
pages to a bound copy of 40 CFR as well as review the tables
on the last several pages. However, some limitations of the bound
CFR are not noted in its introduction but must be understood in
order to use the regulation matrix effectively.
The bound CFR does not include;
1. Proposed regulations - proposed regulations have no
force and effect in law and are therefore not included.
2. Preambles - as regulations are published in the FR,
they generally are preceded by a preamble which
provides useful information concerning the regulations;
preambles do not appear in the bound CFR.
3. Class deviations - where a temporary or permanent
class deviation from the regulations is granted by
the chief executive of the Agency, such deviations
appear in the FR but are not included in the bound
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CFR; if the class deviation eventually results in
a change to the regulations, the change will appear
in the bound CFR.
4. Superseded regulations - if during a twelve month
period interim and final regulations are both
promulgated, only the final regulations will appear
in the bound CFR assuming that the final regulations
were published in the FR before July 1 following the
date of interim regulations.
A table of contents is included at the beginning of each
"part" in the CFR and is particularly useful in locating the sec-
tion of interest. In addition, at the beginning of each part or
subpart the word "source" is shown followed by the date, FR volume
number and FR page number. This will allow the identification
of the specific FR issue in which the regulation appeared. For
example, the 1978 bound copy of 40 CFR under Subpart E (page 349)
reads:
"Sources Sections 35.900 to 35.935-17, 39 FR 5253, Feb. 11, 1974;
39 FR 15760, May 6, 1974, unless otherwise noted.
Sections 35.936 to 35.959, 40 FR 58604, Dec. 17, 1975,
unless otherwise noted."
Thus sections 35.900 to 35.935-17 were published in volume 39
of the Federal Register beginning on page 5253 on February 11, 1974,
and corrected on May 6, 1974, as noted on page 15760 of the FR.
The phrase "unless otherwise noted" means that some sections within
the full range of 35.900-35.935-17 may have been amended, and if
so they will be followed by another citing. For example, at the
conclusion of 35.905-8 (page 352 in the bound CFR) the notation
"[43 FR 17703, Apr. 25, 1978]" appears and means that this par-
ticular section was amended in volume 43 of the FR on page 17703
dated April 25, 1978.
It is very helpful to understand the "source" instructions
since it may be necessary to locate the original publication of
the regulation and review the preamble for a discussion of the
subject under review.
Another helpful, although somewhat limited, table located
in each bound copy of the CFR is the index at the back of each
volume entitled "List of CFR Sections Affected." This index lists
changes to the sections of 40 CFR beginning with its original
publication and indicates, by year, the section number, FR volume
and page number when a particular section was added, amended or
deleted. Where appropriate, instructive comments are provided.
Unfortunately, only section numbers are listed, omitting their
titles and the specific date the change appeared in the FR.
Therefore, it would be necessary to know, for example, that
35.917-1 is "Contents of Facilities Plan" in order to know that
this particular subject had been modified. However, by using
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the table of contents at the beginning of each part within the
bound CFR and the index at the back, it is possible to identify
when a subject under review was amended.
USE OF REGULATION MATRIX
The regulation matrix is designed to overcome some of the limita-
tions of the bound CPR and provide for the efficient and correct
identification of applicable regulations. The regulation matrix
is designed to identify the regulations which are applicable to
any particular grant. It is not intended to answer specific
questions concerning allowable or unallowable costs. Rather,
these questions must be answered by the user after locating the
applicable regulation(s) (or other policy issuances discussed
later) and reviewing the pertinent sections.
In order to fully understand the format of the regulation matrix,
a brief description of each column is provided below. 1
Date Heading - Each page of the regulation matrix contains
a date such as 1972, 1973...1983, etc. This date identifies
which bound copy of 40 CFR is to be used as the initial starting
point in locating the applicable regulations. For example, the
first page with the heading "1977" means that the user should
begin with the 1977 bound version of 40 CFR and note the changes
to that publication up to the date of grant award (examples using
the regulation matrix are given later).
Date Published in FR - Indicates chronologically the date
the regulation was published in the Federal Register. In addition,
it also includes where appropriate the date published in the FR
for both the interim (I) or proposed (P) regulation.
Affected Part and Sections - The first listing is the
affected part followed by its title. Where appropriate, the part
is followed by the subpart and its title. Again, where appropriate,
a further subject description may be included.
After listing the titles of the various parts and subparts,
this column indicates whether a regulation is "proposed," "interim,1
"final," "class deviation," "policy statement" or "information."
This is followed by the preamble page number in the FR.
Finally, the section and/or subsection number and heading is
given where appropriate. When a significant portion of the regula-
tion has been revised, this column will indicate the inclusive
sections omitting the identification of each section and/or
subsection.
Effective Date - Indicates the date on which the particular
regulation became effective. Very often regulations are published
Also see Matrix Key, page 9.
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in the FR but do not become effective for a period of 30 to 60
days. At times different sections of the regulations, while
published in the FR on the same date, have different effective
dates as noted.
Comments - This column provides appropriate commentary
concerning the regulations.
INCLUDED REGULATIONS
During the development of the matrix, recommendations were ob-
tained from EPA regional personnel concerning which parts, sub-
parts or policies should be included. Since the primary purpose
of the regulation matrix is to assist users in the determination
of allowable costs, only those regulations which have a direct
bearing upon the issue were included and are as follows:
40 CFR Parts
4 - Uniform Relocation Assistance and Real Property
Acquisitions Policies Act of 1970
6 - National Environmental Policy Act
25 - Public Participation
29 - Intergovernmental Review of Environmental Protection
Agency Programs and Activities
30 - General Grant Regulations and Procedures
33 - Procurement Under Assistance Agreements
35 - State and Local Assistance
Subpart C - Grants for Construction of Wastewater
Treatment Works
Subpart D - Reimbursement Grants
Subpart E - Grants for Construction of Treatment
Works - Clean Water Act
Subpart I - Grants for Construction of Treatment
Works
128) - Pretreatment Standards
403)
133 - Secondary Treatment Information
Applicable Deviations from Regulations
Policy statements concerning the use of minority, women's and small
business enterprises are not included in the matrix.
8
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MATRIX KEY
vo
Date
Published
in F.R.
8/17/73
(P) 4/20/73
9/10/73
(P) 7/3/73
9/26/73
(P) 6/26/73
Affected Part and Sections
Part 133 - Secondary
Treatment Information*
Sec. 133.100-133.104,
Final
Preamble PR p. 22298
_Part 35 - State and Local
Ass!
8/21/73
However
Cgtrpactive
to 3y
Subpart E - Grants for
ction of Treatment
Works (FRpeaa^cf 1972)
Sec. 35,901-35.935
Appendix B
Final
Preamble PR p. 22524
Part 35 - State and Local
Assistance
Appendix A - Cost-
Effectiveness Analysis
FinaK
Preamble PR p. 24638
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants - Eligibility
Requirements
Sec. 35.850-35.895
Final
Preamble PR p. 26882'
Effective
Date
8/17/734
10/10/73
9/26/73
-Effective date of regulation; may or may
not coincide with date published in
Federal Register
-Affected part number and title within
Title 40 of the Code of Federal Regulations
•Inclusive sections within the part as
published in the regulations
•Date regulation published in the Federal
Register; may or may not coincide with
effective date
•Date of proposed (P) regulation; may also
indicate date of interim (I) or final (P)
regulations
-Indicates whether regulation is proposed,
interim, interim/final or final
-Indicates the first page number of the
preamble to the regulation as it appeared
in the Federal Register
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POLICY MATRIXES
The policy matrix portion of this manual consists of four separate
matrixes covering the calendar years 1970 through 1980. During
this ten year period, day-to-day guidance memoranda issued
from EPA Headquarters to EPA regional offices assumed various
titles and numbering systems. While the memoranda do not carry
the legal weight of law or regulations, EPA regional and state
agency personnel were told directly or through implication that
for their purposes they should administer the instructions or
policy in these memoranda as if they were regulations. For this
reason many of the EPA regional personnel will have based their
decisions concerning eligibility/allowability upon the informa-
tion contained in the memoranda.
A. Background
From 1970 to 1972 the memoranda were referred to as "All
Regional Construction Grants Memorandum" (abbreviated CG)
and numbered by calendar year and sequential issuance, e.g.,
CG 70-1 was the first memorandum issued in calendar year 1970.
In 1972 the title "CG" was changed to "Program Memorandum" (PM) but
the numbering system was retained.
In May 1973 a new name and numbering system was introduced.
"Program Guidance Memorandum" or "PC's" began May 16, 1973,
and continued in numerical sequence up to PG-68 issued May 7,
1976, i.e., without making a differentiation as to the year
issued other than the date of the specific PG.
In July 1976 an entirely new system of field communica-
tions was introduced and included "Program Requirements Memoranda"
(PRM's), "Program Operation Memoranda" (POM's) and "Transmittal
Memoranda" (TM's). PRM's were used to convey program policy
specifically applicable to the Construction Grants Program and
in general had an interest and circulation both within and outside
EPA. POM's, on the other hand, were internal communications
which set forth periodic reporting requirements, ceilings, quotas
and other "housekeeping" items and generally were of interest
only to those within EPA. TM's were transmittal memoranda which
forwarded changes (insert replacement pages) to the Handbook of
Procedures (MCEH03). A full explanation of the PRM, POM and TM
system is provided in the PRM first issuance, namely, PRM 76-1
dated July 26, 1972. As with earlier systems, the PRM system
employed a calendar year/sequential numbering system (because of
internal and external review of draft PRM's, the specific date
of individual issuances may be different from their assigned
numbering, e.g., PRM 78-1 is actually dated December 29, 1977).
On July 26, 1976, PRM 76-2 was issued and announced the
cancellation of certain outdated or superseded PC's and renumbered
retained PG's as PRM's beginning with the prefix 75-n. Therefore,
10
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PRM's 75-1 through 75-40 reflect earlier PC's which remained
applicable to new or existing grants. It should be noted that
no official cancellation procedure was issued concerning PM's
and CG's.
On January 1, 1981, PRM 81-1 announced that EPA proposed
to publish PRM's on an annual (fiscal year) basis only in order
to eliminate confusion as to their retroactive application and
also to correspond with new appropriation authority. In addition,
PRM 81-1 also included a listing of cancelled PRM's and provided,
where appropriate, an explanation of the reason for cancellation.
However, the PRM also announced that certain PRM's were to be dis-
continued or cancelled with the publication of (then pending)
Facilities Planning 1981.
Facilities Planning 1981 (FRD-20) dated March 1981 included
as Appendix D the same listing of cancelled PRM's contained in
PRM 81-1 but also explained that several PRM's were not cancelled
but rather were "integrated into facilities Planning 1981." While
it was the intent of EPA at that time to issue a companion docu-
ment to Facilities Planning 1981 covering guidance for Step 2
(design) and Step 3 4construction) activities, amendments to the
Clean Water Act of 1977 necessitated a complete restructuring
of the regulations and guidance resulting in the publication of
a new guidance document, Construction Grants 1982 (CG-82)—interim
Final, dated July 1982.
In the foreword to CG-82 EPA stated its intention to simplify
and deregulate the Construction Grants Program to the maximum
extent possible. CG-82 was to serve as guidance, not regulation
in disguise, and "...upon publication of CG-82, all PRM's and
POM's are cancelled..." (underscoring added). The effect of
this statement was to terminate the formal field communication
system and rely more specifically on regulation while providing
considerable flexibility to the states and EPA regions concerning
day-to-day operations.
B. Use of Policy Matrixes
All CG's, PM's, PG's and PRM's cited in the matrix are listed
in an index preceding the matrixes and are classified into one
or more of eleven subject categories. The subjects have been
broadly defined and listed alphabetically beginning with Adminis-
trative/Policy and ending with User Charge/Industrial Cost Recovery.
Within each category the individual subjects are listed alphabetically
using an abbreviated subject reference. The abbreviated subject
reference represents a shortening of the complete subject title
or the subject of most importance discussed in the memorandum or
the Handbook of Procedures. The first step, therefore, in using
the policy matrixes is to review the subject index and locate the
memorandum of interest.
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After identifying the subject of interest, the index notes
the memorandum as CG, PM, PG, PRM or Handbook (discussed later)
followed by its number and date. From this information more
details of the particular memorandum may be located in the
appropriate matrix.
Each policy matrix lists the memorandum number in the first
column followed by the date of issuance. The third column is
the complete title of the memorandum.
Column four in all of the policy matrixes provides additional
information indicating whether and when the memorandum was can-
celled (C), superseded (SS) or supplemented (SP). The reference
indicates other memoranda (CGr PM, etc.). Facilities Planning I9fll
(FP-81) or Construction Grants 1982 (CG-82). The last column in
the matrixes contains appropriate comments to help determine if
it is necessary to locate and read the full memorandum.
The PG matrix has one additional column not included in the
other matrixes, namely, "Redesignated PRM No." As explained
above, former PC's were renumbered as PRM's and assigned new
numbers each beginning with the prefix 75-n.
C. Included Policy Issuances
As with the regulation matrix, the primary purpose of the
policy matrixes is to assist users in the determination of
allowable costs. For this reason only those policy issuances
which have a direct bearing upon allowability are included.
Therefore, where sequential numbers are missing, it may be
assumed that the memorandum does not contain information
concerning allowable costs.
HANDBOOK OF PROCEDURES
The Handbook of Procedures—Construction Grants Program for
Municipal Wastewater Treatment Works (MCD-03) was originally
published in February 1976 (an earlier edition was published in
1967 after enactment of the 1966 Amendments to the Federal Water
Pollution Control Act; the 1967 edition does not include nor was
it amended to include provisions of the Federal Water Pollution
Control Act Amendments of 1972, P.L. 92-500). The intent of
the Handbook was to "...establish uniform national operating
standards which can be readily adopted" and "...is organized for
the processing of grants as of July 1, 1975."
The Handbook was written primarily to assist project officers in
performing their review of grantee documents. It was not intended
to introduce new program policies or requirements but rather to
illustrate how existing policies and requirements were implemented
during review. For this reason it can generally be stated that
the Handbook merely restates program policies which originated
in other official documents, communications or regulations.
12
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One notable exception to the above, however, is the section in
Chapter VII entitled "Allowable and Unallowable Costs." Included
therein is a listing (and a brief explanation regarding their
allowability/unallowability) of miscellaneous cost items, i.e.,
items for which questions regarding their allowability arose
regularly during project closeout. At the time the Handbook
was being prepared, these items, as a group, were not addressed
in any other Agency document and it was decided to include them
in the Handbook. The interpretation of their allowability had
been agreed upon by program staff and resulted from years of
experience in having made and defended these determinations pre-
viously. Over the years the items of cost listed in Chapter VII
of the Handbook have been cited frequently by auditors, both
because of their ease of location and clarity and because decisions
on a few of the items had no "direct" basis in the regulations.
A. Handbook Updates
The Handbook was updated on three separate occasions using
the "Transmittal Memorandum" (TM) mechanism (see Chapter I,
page 1-5, item 5t Updating, of the Handbook for an explanation
of the "TM" system). The TM numbers and dates are listed below.
Transmittal Memorandum No. 76-1 dated August 1976
Transmittal Memorandum No. 77-1 dated December 1976
Transmittal Memorandum No. 78-1 dated December 1977
For ease of reference each revised page to be inserted in
the Handbook was appropriately identified; for example, the
bottom right of each revised page indicates:
Revised: TM 77-1
December 1976
The second edition of the Handbook of Procedures dated 1980
(an interim [draft] issuance was published in the fall of 1979)
replaces the first edition and reflects laws, regulations and
policies in effect as of October 1, 1979. The second edition
of the Handbook was necessitated primarily because of the
significant amendments introduced into the Construction Grants
Program by the Clean Water Act of 1977. As with the first
edition. Chapter VII of the second edition entitled "Financial
Considerations" contains most of the information which will be
of interest to users of this manual. The section of Chapter VII,
"Allowability of Miscellaneous Costs," was expanded to include
42 specific items as compared with 35 in the first edition.
The second edition of the Handbook was not updated during
its life using the TM mechanism and became obsolete with the
passage of the 1981 amendments to the Clean Water Act. However,
during its useful life the facilities planning portion (Chapter IV)
13
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was supplemented by the publication of Facilities Planning 1981
(FRD-20) dated March 1981.
With the passage of the 1981 amendments to the Clean Water
Act (P.L. 97-117 enacted December 29, 1981) it was necessary to
completely revise the implementing regulations, and on May 12,
1982, new interim Part 35 Subpart I regulations were promulgated
for the Construction Grants Program. Appendix A to these regu-
lations entitled "Determination of Allowable Costs" replaces
the corresponding sections in Chapter VII of the Handbook of
Procedures. In addition, a supplementary guidance document,
Construction Grants 1982 (CG-82), was also published in July
1982 and provides step-by-step guidance for preparation and
review of construction grants projects.
B. Use of Handbook Matrix
The Handbook matrix lists the 42 specific subjects discussed
in the second edition. The subjects included in the Handbook
matrix are also included in the "Subject Index—Program Issuances"
since the Handbook determinations are often based upon policy
memoranda. The columns following the subject contain checkmarks
(/) which indicate if the particular subject was included in the
first edition or any of the three TM's. For example, the subject
"Site Acquisition vs. Site Preparation Costs" was included in the
first edition, amended by both TM 76-1 and TM 77-1 and is also
included in the second edition.
The column "TM No. 76-1" contains an asterisk which is
explained on the bottom of the second page of the matrix. In
essence, the TM indicates that the list of allowable/unallowable
costs is retroactively applicable to projects funded under P.L.
84-660 (1956 Federal Water Pollution Control Act) as well as those
funded under P.L. 92-500 (1972 amendments). However, where prior
commitments have already been made, the commitments should be
taken into account as final allowability determinations are made.
AUDIT RESOLUTION BOARD
The Audit Resolution Board (ARB) was established under EPA Order
2750.2A to resolve cases in which the Inspector General is dis-
satisfied with the Action Official's disposition of an audit
finding. These cases usually stem from irreconcilable differences
of opinion between the Action Official (usually a Regional
Administrator) and the Inspector General. The Board, meeting as
necessary to consider cases referred by the Inspector General,
determines the official Agency position, and its policy decisions
are final and not subject to further review within the EPA. The
Board presently consists of four Agency officials: the Assistant
Administrator for Administration (Chairperson), the EPA General
Counsel, the Assistant Administrator for the specific program for
which the audit was conducted, and a Regional Administrator serving
a one year rotating term.
14
-------
As of November 1983 the ARE had issued nine decisions, with
another case (ARE-5) under further study, and two other cases
(ARB-7 and -12) resolved by other means. The ARE decision matrix
consists of two pages indicating the decision number, date, title,
effective date and appropriate comments. By its very nature an
ARE decision addresses an issue which is not clearly obvious
from a review of grant regulations or other policy memoranda.
Therefore, it is recommended that if an issue under review has
also been the subject of an ARE decision, the user obtain and
review a copy of the ARE decision and its supporting documentation,
BOARD OF ASSISTANCE APPEALS
The Board of Assistance Appeals (BAA) hears cases brought by
grantees in accordance with the EPA's disputes provisions
(40 CFR Part 30, Subpart J Disputes, 30.1100-30.1150 and
40 CFR 35.960) as supplemented by EPA Disputes Procedures
(Volume 44, Federal Register page 46770 dated August 8, 1979).
The Board, after reviewing briefs and other documentation from
both the grantee, EPA regional office and other interested
parties and/or holding a hearing, renders a decision for the
instant case.
Decisions handed down by the BAA are project specific but may
include issues which are applicable to other projects. From
1976 through May 1983, 171 decisions have been rendered by BAA
with approximately 90 percent of these decisions emanating from
construction grant projects. On average the decisions are seven
pages long with the format reflecting legal briefs, i.e., cita-
tion references to earlier decisions, regulations, quotations
from grantee and Agency briefs, etc.
The BAA has prepared both a subject index and a chronological
list of decisions (as of May 1983), both of which are included
as Appendix A to this publication. The subject index includes
13 major subjects with multiple subheadings followed by the
docket numbers. The chronological listing includes the docket
number, case name and date of decision.
Regional EPA construction grants personnel have indicated that
the BAA decisions are not cited as frequently as regulations,
policy memoranda guidance documents or ARB decisions when issues
are raised between EPA auditors and construction grants personnel.
Therefore, a separate matrix for BAA decisions using the format
in this manual has not been prepared.
15
-------
USE OF REGULATION MATRIX
EXAMPLE 1:
Grant awarded October 15, 1977. Using the regulation matrix,
identify the applicable regulations in 40 CFR Part 35, Subpart E.
1. Because the grant was awarded in October 1977, begin with
the regulation matrix dated "1977" (page 45 in manual).
2. The 1977 regulation matrix indicates that between July 1,
1977, and October 15, 1977, only one change was made to
Part 35, namely, a class deviation dated August 31, 1977.
3. A review of the description of the class deviation in the
matrix indicates:
a. Only the subjects user charges (UC) and industrial cost
recovery (ICR), operation and maintenance manual and
sewer use ordinance are affected.
b. The deviation is further limited to modification of
the payment limitations.
4. Unless the issue under review concerns the subjects discussed
in the class deviation, the 1977 edition of 40 CFR contains
the applicable regulations for Part 35, Subpart E.
5. In the event that it is desirable to review the preamble to
the applicable Part 35, Subpart E regulations (recall that
preambles are not published in the bound CFR), it is necessary
to review page 331 of the 1977 edition of 40 CFR and note:
"Source: Sections 35.900 to 35.935-17, 39 FR 5253, Feb. 11, 1974;
39 FR 15760, May 6, 1974, unless otherwise noted.
Sections 35.936 to 35.939, 40 FR 58604, Dec. 17, 1975,
unless otherwise noted."
6. Sections 35.900 to 35.935-17 were originally published in the
Federal Register on February 11, 1974, with portions modified
on May 6, 1974. Sections 35.936 to 35.939 (procurement) were
published on December 17, 1975. Using the regulation matrix
for 1973 (page 24 of the manual), it may be determined when
the proposed, interim and final regulations were published
and the page number for the preamble. In addition, the
matrix indicates that the May 6, 1974, changes to Part 35,
Subpart E were technical corrections. In like fashion, the
matrix may be used to determine additional information concern-
ing the procurement regulation (35.936-35.939) dated December 17,
1975. The retrieval of the Federal Registers as identified above
will include the desired preambles.
16
-------
EXAMPLE 2;
Grant awarded May 1, 1974. Audit issue concerns recipient's
procedure and cost incurred with regard to purchase of land to
be used as an integral part of the wastewater treatment process.
Using the regulation and policy matrixes, identify the applicable
regulations in 40 CFR Part 35 and Part 4 as well as applicable
policies.
1. Because the grant was awarded in May 1974, begin with the
regulation matrix dated "1973" (page 24 in manual).
2. The 1973 regulation matrix indicates that between July 1, 1973,
and May 1, 1974, twelve changes were made to the construction
grants regulations of which five were made to Part 35, Subpart
E, and one change to Part 4. It would be inefficient to use
the 1973 edition of 40 CFR and note all the changes.
3. Using an alternate approach, use the 1974 edition of 40 CFR,
and using the 1973 regulation matrix note changes between
May 1, 1974, and June 30, 1974. The effect of this approach
is to subtract later regulations after the date of grant award.
4. Using the alternate approach in item 3 above, the 1973 regula-
tion matrix indicates two changes to Part 35, Subpart E after
May 1, 1974. The matrix further describes the changes as
technical corrections (May 6, 1974) and a class deviation
allowing the use of force account labor (May 5, 1974). Since
neither of these changes to Part 35, Subpart E affects land
acquisition by a grant recipient, the applicable regulations
for Part 35, Subpart E, and Part 4 are as contained in the
1974 edition of 40 CFR.
5. In the event that it is necessary to review the preamble to .
the applicable Part 35, Subpart E regulations, using the 1974
edition of 40 CFR and noting that the practice during the
earlier years was to list the "source" at the beginning of
the entire part rather than at each subpart, it is noted
(page 155 of the 1974 edition of 40 CFR):
"Source: ...
Subpart E (§§35.900 to 35.960) at 39 FR 5253, Feb. 11,
1974? 39 FR 15760, May 6, 1974."
From this information a decription of the regulation may be
reviewed in the matrix or a copy of the appropriate Federal
Register may be reviewed. Using the identical procedures,
it is noted that Part 4 was amended on May 19, 1974, as
shown both in the regulation matrix and the 1974 edition of
40 CFR Part 4 (page 37).
17
-------
6. Using the Subject Index for the policy matrixes and reviewing
the various subject headings, under Allowability/Eligibility
the subject land eligibility is listed. The program issuances
which discuss this subject are:
PG-49 which was not dated
PG-67 dated 4/2/76
PRM 77-5 dated 12/15/76
PRM 78-4 dated 2/17/78
Handbook
The dates for three of the policy issuances are well after the
date of the grant award and, therefore, are not applicable
(prudence may suggest reviewing the appropriate matrix to ensure
the policy was not retroactive). While PG-49 is not dated, the
PG matrix indicates PG-47 is dated March 11, 1975, and PG-50 is
dated June 6, 1975, and it may be reasonably assumed that PG-49
was issued during 1975, and therefore not applicable.
The Handbook matrix includes the subject "Site Acquisition vs.
Site Preparation Cost" which is included in both editions. Look-
ing up this subject in the first edition of the Handbook, it is
noted that the basis or references are the four policy issuances
cited above with the same conclusion to be drawn.
7. Since the above policy issuances and Handbook references under
the Subject Index "land eligibility" are not applicable due to
their dates of publication, it is prudent to look for other
possible subject headings and note the dates, For example,
possible policy issuance candidates are:
a. Easements, PRM 77-6, 5/4/77 - not applicable as issued
after grant award.
b. Allowable Costs, PG-64, 2/5/76 - not applicable as issued
after grant award.
c. Eligible Costs, CG 70-26, 11/9/70 - not applicable as it
predates passage of P.L. 92-500.
d. Certificate as to Title to Project Site, Handbook - not
applicable as Handbook issued after grant award.
By using this procedure and reviewing the policy matrixes,
it is possible to determine if the subject under review is
addressed in a policy issuance.
8. In the absence of specific policy guidance, it may be necessary
to rely upon the broad retroactivity statement given in both
PG 64 and the first TM to the Handbook. That policy indicates
that the cost items listed in the Handbook and PG 64 are applicable
to both P.L. 84-660 (1956) and P.L. 92-500 (1972) projects. How-
ever, the policy also states that, "In making eligibility
determinations, consideration should be given to commitments
previously made to grantees in the absence of prior National
policy, pertinent statutes or regulations."
18
-------
CODE OF FEDERAL REGULATIONS
1971
-------
1971*
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/24/71
(I) 11/25/71
(I) 3/19/74
H
U3
11/25/71
Part 4 - Interim Regula-
tions and Procedures
Implementing the Uniform
Relocation Assistance and
Real Property Acquisition
Act of 1970
Sec. 4.1-4.263,
Appendix A
Interim
Preamble FR p. 16626
Title 40 - Protection of
Environment
Chapter I - Environmental
Protection Agency
Reorganization and
Republication
Preamble FR p. 22369
Subchapter B - Grants
Preamble FR p. 22369
8/24/71
N/A
The regulations provide for, "...the uniform and equitable
treatment of persons displaced from their homes, businesses
or farms by federal and federally-assisted projects and
establishes an equitable land acquisition policy for
federal and federally-assisted programs;" this publication
is the first major printing of these regulations by EPA
(no proposed regulations issued).
Under the authority of Reorganization Plan No. 3 of 1970,
"...a variety of activities related to pollution abate-
ment control were transferred to the Environmental Protec-
tion Agency. Regulations issued by the Environmental
Protection Agency were published in various titles of the
Code of Federal Regulations. Such regulations are being
reorganized and transferred to Chapter I of Title 40 -
Protection of Environment. All amendments to these
regulations are included in this republication through
November 4, 1971."
"Subchapter B, Title 40 is hereby reserved for all regu-
lations pertaining to Grants of the Environmental Protec-
tion Agency. Previously published grant regulations are
hereby removed from the Code of Federal Regulations, but
are retained in force as uncodified regulations. Grant
regulations thus affected are as follows: Title 18,
Part 601 - Grants for water pollution control..."
* The first bound copy of 40 CFR is dated January 1, 1972, i.e., there is no 1971 edition.
-------
1971 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
to
o
11/25/71
(I) 8/24/71
(I) 3/19/74
11/27/71
(I) 6/9/72
(P) 8/1/73
(P) 5/8/75
Part 4 - Interim Regula-
tions and Procedures
Implementing the Uniform
Relocation Assistance and
Real Property Acquisition
Act of 1970
Part 30 - General Grant
Regulations and
Procedures
Sec. 30.100-30.1001-3
Interim
Preamble FR p. 22716
N/A
1/1/72
Part 4 (along with other parts of Title 40) republished in
the Federal Register without "substantive changes;" the
reprinting allows for the consolidation of many regulations
in one document.
Previously published regulations (grants for water pollu-
tion control, 18 CFR Part 601) revoked 11/25/71 but main-
tained as uncertified regulations and used provided not
inconsistent with this Part 30; new Part 30 effective for
previously awarded grants to the extent not inconsistent
with terms and conditions of such grants.
-------
CODE OF FEDERAL REGULATIONS
1972
-------
40 CFR Protection of Environment
Revised January 1, 1972
1972
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/20/72
(I) 1/17/73
(P) 7/17/74
(F) 4/14/75
6/9/72
(I) 11/27/71
(F) 5/8/75
Part 6 - Environmental
Impact Statements
Sec. 6.1-6.67
Proposed
Preamble FR p. 879
Part 30 - General Grant
Regulations and Pro-
cedures
Interim
Preamble FR p. 11650
30.102 Applicability and
scope
30.401 Statutory condi-
tions (g) and (h)
30.602 Payment
30.603 Grant related
income
30.901 Grant amendments
N/A
7/1/72
Proposed regulations implementing the National Environ-
mental Policy Act of 1969 in accordance with E.G. 11514 and
the Council on Environmental Quality's Guidelines of
4/23/71.
"This amendment, which does not substantially change the
provisions of Part 30, consists of technical revisions,
corrections or typographical errors and clarifications...'
Eliminates word "will" as a reference to future and makes
regulations applicable to all grants as of 7/1/72.
Requires compliance with OMB Circular A-95, i.e., clear-
inghouse comments procedures.
Payments to be as provided, "by this subchapter and in the
grant agreement" rather than by "the regulation."
Changes reference to OMB Circular A-102 from A-96.
Changes reference to "authorized representative of grantee"
from "project manager on behalf of the grantee."
-------
1972 Continued
Date
Published
in F.R.
6/9/72
10/18/72
1/17/73
(P) 1/20/72
(P) 7/17/74
(F) 4/14/75
Affected Part and Sections
Part 35 - State and Local
Assistance
Interim
Preamble FR p. 11650
Subpart C - Grants for
Construction of Waste-
water Treatment Works
Sec. 35.800-35.850
The Federal Water
Pollution Control
Act Amendments of 1972
(FWPCAAof 1972),
PL 92-500
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.10-6.95
Interim
Preamble FR p. 1696
Effective
Date
1/1/12
10/18/72
2/16/73
Comments
Previously published regulations (grants for water pollu-
tion control, 18 CFR Part 601) removed from CFR 11/25/71
but maintained as uncodified regulations and used pro-
vided not inconsistent with Part 30; new Part 35 may be
applicable to grants awarded prior to 7/1/72 by explicit
incorporation through grant amendment; all grants includ-
ing construction grants awarded after 7/1/72 subject to
revised Part 30 and new Part 35.
This publication of Subpart C represents the first
republication of regulations for the Construction Grants
Program under Title 40; Subpart C relates to grants for
construction of treatment works under Section 8 of the
Federal Water Pollution Act as amended, i.e., PL 84-660
projects; in general these regulations "constitute a more
explicit statement of prior regulations or of previously
uncodified policies, procedures and terms of the respec-
tive grants program."
The FWPCAA of 1972 represents a significant commitment
on the part of the federal government to abate water
pollution. The Act, among other things, introduces the
three-step grant process, expands the types of eligible
projects, increases the federal grant share to 75% and
commits billions of dollars to the restoration of the
nation's waters.
These regulations represent EPA's implementation of the
National Environmental Policy Act of 1969. Subpart E -
Guidelines for Preparation of Environmental Impact
Statements for Wastewater Treatment Works and Associated
Plans directly relates to the Construction Grants Program.
to
-------
1972 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/17/73
to
u>
2/28/73
(F) 2/11/74
Part 6 - Continued
6.25 Applicability
(c) Retroactive
application
6.55 Procedures for
preparation of
impact statements
for plans
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.900-35.955
Interim
Preamble FR p. 5329
2/28/73
3/2/73
Special Note: User
Charge/Industrial Cost
Recovery
3/2/73
These regulations shall be applied to projects for which
grants were awarded prior to the publication of these
guidelines, "...when substantial funds have not been
released and modifications or alternatives to the project
are still available."
This section represents the first EPA regulatory require-
ment for grantees to prepare environmental assessments
and conduct a public hearing.
Subpart E only concerns grants awarded pursuant to the
FWPCAA of 1972 (PL 92-500) using fiscal year 1973 and later
contractual obligation authority; previous construction
grants regulations (Subpart C, 35.800-35.850) are applicable
to previously awarded construction grants and will remain
in effect; grants may not be awarded after 7/1/73 unless
the grantee demonstrates that the sewer system is not sub-
ject to excessive infiltration; grants awarded after 3/1/73
require grantee to adopt a user charge/industrial cost
recovery system; grants awarded prior to 3/2/73 are subject
to earlier regulations (35.835-5) concerning user charges;
promulgation of Subpart E represents the first publication
of regulations specifically for construction grants awarded
under the FWPCAA of 1972.
See final regulations published 8/21/73 but retroactive
to 3/2/73.
-------
1972 Continued
Date
Published
in F.R.
5/22/73
(F) 8/21/73
6/26/73
(F) 9/26/73
Affected Part and Sections
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Proposed
Preamble FR p. 13524
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants
Sec. 35.850-35.890
Proposed
Preamble FR p. 16826
Effective
Date
3/2/73
N/A
Comments
Proposed regulation concerns only user charge and indus-
trial cost recovery systems; preamble contains discussion
of use by grantee of recovered industrial funds; proposes
a retroactive effective date of 3/2/73 and states, "Any
grants awarded after 3/1/73, but prior to promulgation
of final regulations, will be subject to a special grant
condition incorporating these proposed regulations by
reference."
Discusses eligibility requirements for reimbursement
grants applicable to projects on which construction was
initiated after 6/30/66 but before 7/1/72 ; applications
must be received by EPA prior to 10/18/73.
to
-------
CODE OF FEDERAL REGULATIONS
1973
-------
40 CFR Protection of Environment
Revised July 1, 1973
1973
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/3/73
(F) 9/10/73
7/9/73
(F) 11/8/73
8/7/73
(F) 2/11/74
-------
1973 Continued
to
a\
Date
Published
in F.R.
•^•••^•^••••••••^••"^^^^^
8/17/73
(P) 4/20/73
8/21/73
(P) 5/22/73
9/10/73
(P) 7/3/73
9/26/73
(P) 6/26/73
Affected Part and Sections
Part 133 - Secondary
Treatment Information
Sec. 133.100-133.104
Final
Preamble FR p. 22298
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.901-35.935-13,
Appendix B
Final
Preamble FR p. 22524
Part 35 - State and Local
Assistance
Appendix A - Cost-
Effectiveness Analysis
Final
Preamble FR p. 24638
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants - Eligibility
Requirements
Sec. 35.850-35.895
Final
Preamble FR p. 26882
Effective
Date
8/17/73
8/21/73
However
retroactive
to 3/2/73
10/10/73
9/26/73
Comments
Provides technical information on the level of effluent
quality attainable through application of secondary treat-
ment; refers to 4/20/73 FR proposed rulemaking for
description of purposes and intended use of regulation.
Final regulations concerning only user charge and indus-
trial cost recovery systems; appropriate sections between
35.901 and 35.935-13 are revised or added to conform with
these regulations; Appendix B provides guidelines for user
charge system; reprinted with final Subpart E regulations
on 2/11/74; while these regulations are effective
immediately, they are applicable to all grants awarded
after 3/1/73.
Cost-effectiveness analysis guidelines; no changes from
those proposed on 7/3/73; reprinted with final Subpart E
regulations on 2/11/74.
Discusses eligibility requirements for reimbursement grants
and expands eligible period to 1956 from 1966; establishes
9/30/73 as cutoff date for establishing project cost for
allocating appropriation for reimbursement grants.
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
10/15/73
(F) 1/29/74
11/8/73
(P) 7/19/73
1/29/74
(P) 10/15/73
2/11/74
(I) 2/28/73
(P) 8/7/73
(F) 5/6/74
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants; Proposed Priority
for Payment of Funds
Appropriated by PL 92-399
Sec. 35.875 and 35.880
Proposed
Preamble FR p. 28545
Part 128 - Pretreatment
Standards
Sec. 128.100-128.140
Final
Preamble FR p. 30982
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants
Sec. 35.850-35.895
Final
Preamble FR p, 3677
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
N/A
12/10/73
1/29/74
2/11/74
Applications received before 10/18/73 may be amended and
resubmitted; removes limitation in 35.880(a) concerning
the amount of grant.
Establishes requirements for pretreatment of nonresidential
wastes discharged into publicly owned treatment works.
Changes method of prioritizing funding of certain classes
of projects; extends deadline for submission of applica-
tions to 1/31/74.
This regulation represents the reprinting of the complete
Subpart E, including appendixes, and includes earlier
final regulations for UC/ICR systems (8/21/73) and cost-
effectiveness analysis guidelines (9/10/73); the regula-
tion replaces the interim Subpart E regulations (2/28/73)
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/11/74
Part 35 - Continued
Sec. 35.900-35.960,
Appendixes A and B
Final
Preamble PR p. 5252
to
oo
and includes several major changes as described in the
preamble and following: after initial application, a basic
grant is awarded and subsequent related projects are funded
through amendment of the basic grant; Step 3 grants need
not result in an operable treatment works (PL 93-243,
2/28/73) but may be a "segment" as defined in the regula-
tions; new facilities planning requirements {35.917-.917-9)
are set forth but permit a transition period for full com-
pliance with the requirements, i.e., full compliance with
facilities planning requirements for Step 1 work initiated
after 4/30/74; after 10/31/74 a "plan of study" must be
approved prior to initiation of Step 1 work; new procedures
established to assure I/I requirements (35.927-5) are met
without unnecessary documentation and expense; new pro-
visions added to delineate EPA position with respect to the
initiation of project construction prior to grant assistance
for Step 1, 2 or 3, i.e., PL 92-500 clearly precludes the
type of reimbursement projects previously authorized under
former statute (Section 8 of FWPCAA) on which construction
was initiated after 6/30/72; "initiation of construction"
defined in 35.905-4; Section 35.925-18 sets forth proce-
dures which will phase out the possibility of a reimburse-
ment claim such as (a) eligible Step 1 or 2 work initiated
prior to 11/1/74 will be fully reimbursed in conjunction
with the next grant award, (b) prior approval required for
Step 1 or 2 work initiated after 10/31/74, (c) Step 1 or 2
work initiated after 6/30/75 must be preceded by grant
award or in the case of Step 1 work prior approval of a
plan of study and request from state for reservation of
grant funds; Section 35.930-6 added to clarify EPA is
only obligated for initial grant and grantee should
control costs and avoid overruns; increased grants
-------
1973 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/11/74
Part 35 - Continued
to
vo
3/19/74
(I) 8/24/71
(I) 11/25/71
Part 4 - Implementation
of the Uniform Reloca-
tion Assistance and Real
Property Acquisition
Policies Act of 1970
Sec. 4.100-4.608,
Appendixes A and B
Interim
Preamble FR p. 10362
3/19/74
due to overruns must be approved by states from allotted
funds; new section added (35.908) to encourage "processes
or methods which have been successfully demonstrated
under less than full scale conditions may be utilized in
the construction of treatment works" which differ from
interim regulations which allowed only processes which had
been demonstrated under comparable conditions; new sec-
tion added (35.938) to assure free and open competition
among bidders on Step 3 projects and to assure compliance
with nonrestrictive specifications provisions; regula-
tions (Subpart D) applicable to grants awarded under
Section 8 of the former FWPCAA remain in effect for grants
awarded prior to 1/1/73? Subpart E regulations applicable
only to grants awarded from FY 1973 and later contractual
obligation authority allotments in FWPCAA amendments of
1972 (PL 92-500).
Regulations superseded those published 8/24/71 and 11/25/71
and resulted from guidelines issued by OMB (Circular A-103,
5/1/72) plus experience to date by EPA; only change dis-
cussed in the preamble concerns Section 4.600 which has
been revised to indicate that the acquisition of easements
is subject to the policies and procedures governing land
acquisition; no final Part 4 regulation has been issued
as of March 1983.
-------
1973 Continued
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
5/6/74
(F) 2/11/74
U)
o
5/7/74
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Technical Corrections to
2/11/74 Regulations
Final
Preamble FR p. 15760
35.917-7 State review and
certification of
facilities plan
35.935-12 Operation and
management
35.935-13 User charges and
industrial cost
recovery (b) (1)
35.938-5 Negotiation "g"
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.935 Procurement;
nonrestrictive specifica-
tions -2 (a)
Class Deviation
2/11/74
5/7/74
Technical and typographical corrections to final Subpart E
regulations published on 2/11/74.
Changes word "agreement" to "agement," the ending of the
word management.
Adds section number and heading.
Changes word "precise" to "service."
Corrects spelling from "atuhorized" to "authorized."
Allows grantees to use force account (grantee employees)
for any Step 1, 2 or 3 work with EPA prior written
approval provided grantee demonstrates (1) he possesses
necessary competency and (2) work can be accomplished
more economically using force account.
-------
CODE OF FEDERAL REGULATIONS
1974
-------
40 CFR Protection of Environment
Revised July 1, 1974
1 9 7 4
Date
Published
in F.R.
7/17/74
(I) 1/17/73
(F) 4/14/75
10/1/74
11/21/74
Affected Part and Sections
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.100-6.810
Proposed
Preamble FR p. 26254
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.912, .913,
and . 940-1 (q)
Final
Preamble FR p. 35334
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants - Cutoff Date for
Submission of Required
Information
Final
Preamble FR p. 40855
35.882 Cutoff date for
submission of
information
Effective
Date
N/A
10/31/74
11/21/74
Comments
Published as proposed because of substantial changes to .
interim regulations dated 1/17/73.
Direct costs associated with review functions carried out
by states are allowable costs and may be recovered from
grant allotments.
Earlier regulations extended date for receipt of reimburse-
ment grant application to 1/31/74; additional information
supporting those applications must be completed and sub-
mitted before 1/31/75 or no grant awarded.
Cutoff date 1/31/75.
U)
-------
1974 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/14/75
(P) 1/20/72
(I) 1/17/73
(P) 7/17/74
5/8/75
(I) 11/27/71
(I) 6/9/72
(P) 8/7/73
5/8/75
5/9/75
(I) 2/8/77
(F) 6/30/78
Part 6 - Preparation of
Environmental Impact
Statements
Final (complete reprint)
Preamble FR p. 16814
6.504 Applicability
(c) Retroactive
application
6.512 Procedures for
implementing NEPA
Part 30 - General Grant
Regulations and Procedures
Sec. 30.100-30.1150,
Appendixes A, B, C
Final
Preamble FR p. 20232
Part 35 - State and Local
Assistance
Final
Preamble FR p. 20082
Part 33 - Subagreements
Proposed
Preamble FR p. 20296
4/14/75
6/10/75
6/10/75
N/A
Final regulations expanded criteria for decision concerning
preparation of BIS; issues include: coastal zones, wild
and scenic rivers; prime agricultural lands; wildlife
habitat; floodplains; revision of definition of primary and
secondary impacts; discussion of retroactive application;
wetlands; explanation of data required in environmental
assessments (energy, land use trends, population projec-
tions) t consideration of endangered species.
New criteria for preparation of EIS not applicable to Step ;
or Step 3 grants awarded before 7/1/75 unless Regional
Administrator considers it appropriate; negative declara-
tions issued before 4/14/75 remain in effect.
Provides more detailed explanation of data required in
environmental assessments.
Major reprint, with changes, of Part 30; expands grantee
financial management and property management standards;
procurement policies and procedures of interim Part 30
deleted to be replaced by new Part 33 in near future;
disputes provisions set forth in new Subpart J; after
6/10/75 applicable to subsequent related grant projects;
may be made applicable to projects with grants before
6/10/75 by grant amendment.
Part 30 completely revised on this same date; this regula-
tion makes technical amendments to Part 35 to reflect
correct references to Part 30.
Does not apply to subagreements under grants fpr construc-
tion of treatment works, i.e., 35.938 applies to construc-
tion contracts and proposed new 35.937 will apply to
personal and professional services.
-------
1974 Continued
Date
Published
in F.R.-
5/9/75
(F) 12/17/75
Affected Part and Sections
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.937-35.939
Proposed
Preamble FR p. 20296
Effective
Date
N/A
Comments
Procurement of construction and professional services
applicable to Construction Grants Program; proposes to
delete earlier 35.938 through 35.939.
U)
U)
-------
CODE OF FEDERAL REGULATIONS
1975
-------
40 CFR Protection of Environment
Revised July 1, 1975
1975
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/17/75
(P) 5/9/75
CO
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972) -
Procurement Under Grants
for Construction of
Treatment Works
Sec. 35.936-35.939,
35.965, Appendix D
Final
Preamble FR p. 58602
35.936 Series General
Procurement
35.937 Series Architect/
Engineer Procure-
ment
See Below
3/1/76
3/1/76
Applicable only to grants for construction of treatment
works including A/E and construction services; Part 33
(when finalized) will apply to ancillary procurements such
as legal or accounting services; implements standards from
Attachment O to Federal Management Circular 74-7.
Consolidates procurement practices scattered in earlier
documents and adds new requiremnts; defines and includes
small purchases ($10,000 or less); allows states and local
governments to use their own procurement systems provided
they offer same protection as EPA regulations.
Regulations do not intend "bids" nor require grantees to
compare cost proposals from competing firms; price com-
petition is neither prohibited nor encouraged; small
communities (population 25,000 or less) exempt from
announcement and selection procedures; requires Appendix
C-l provisions (not published as yet) as part of subagree-
ment; prohibits cost-plus-percentage-of-cost and percentage-
of-construction-cost type subagreements; requires A/E to
submit cost and profit data to grantee; does not establish
ranges or ceilings on profits.
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/17/75
u>
3/4/76
Part 35 - Continued
35.938 Series Construction
Procurement
35.939 Series Protests
Appendixes C-l and C-2 -
Required Subagreement
Provisions
Appendix D - EPA Transition
Policy - Consulting
Engineering Agreements
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972) -
Required Provisions for
Subagreements under Grants
for Construction of Treat-
ment Works
Appendixes C-l and C-2
Final
Preamble FR p. 9340
3/1/76
1/1/76
3/1/76
12/17/75
3/1/76
Restatement of 2/11/74 final regulations but adds section
on negotiations for change orders including cost review;
prompt progress payments; retainage policy; progress
payments for specifically manufactured equipment.
Delineates more precise procedures for handling protests.
To be included in A/E and construction subagreements when
published (3/4/76).
Finalizes and replaces interim policy of Program Guidance
Memorandum 53 issued 7/8/75; applicable only to grants
awarded under Subpart E of Part 35; however, in general,
some policies and procedures will be applicable to grants
under earlier legislation.
Publishes appendixes for inclusion in A/E and construction
subagreements after 3/1/76; provides exception for pre-
viously negotiated or solicited subagreements.
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
N/A
u>
5/20/76
Class Deviation
Sec. 35.935-13 User charges
and industrial cost
recovery (a)
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.937 Public Notice
Sec. 35.937-3 Evaluation of
Qualifi cations
Sec. 35.937-4 Solicitation
and evaluation
of proposals
Class Deviation
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.106(e)
Final
Preamble FR p. 20655
5/6/76
5/11/76
5/20/76
80% payment limitation - see 8/31/77 Federal Register
listing in this matrix.
Allows deviation from the announcement and selection pro-
cedures for A/E procurement for grants awarded after 3/1/76
and before 7/1/76 with certain time limitation concerning
time of receipt of application by state or EPA.
Technical amendment to Part 6; requires compliance with
OMB's Circular A-95, i.e., clearinghouse comments proce-
dures.
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/20/76
U)
5/20/76
Part 30 - General Grant
Regulations and Procedures
Sec. 30.305-30.305-8
Final
Preamble FR p. 20655
30.135-3 Allowable Costs
30.135-8 Eligible Costs
30.135-22 Subagreements
30.225-3 Allowability
of Costs
30.710(d) Federal Cost
Principles
30.715-2 Indirect Costs
30.720 Cost Sharing
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Final
Preamble FR p. 20655
5/20/76
5/20/76
Technical amendment to Part 30; amends Section 30.305 for
inclusion of OMB's Circular A-95, i.e., clearinghouse
comments procedures.
Those eligible, reasonable, necessary and allocable costs
permitted under appropriate federal cost principles, in
accordance with EPA policy, within scope of project and
authorized for EPA participation.
Those costs in which federal participation is authorized
pursuant to applicable statute.
Written agreement between an EPA grantee and another party
(other than another public agency); includes contracts and
"subcontracts;" deletes words "consultant agreements."
Deletes (c) related to cost sharing for foreign grants.
Adds "and subagreements" and "or 1-15.4 as appropriate."
Revises method for determining indirect costs for grantees
and reaffirms applicability of 41 CFR 1-15.2 and 1-15.4 for
determination of indirect costs for A/E firms.
Eliminates exception for cost sharing and requires grantee
to share project costs.
Technical amendments to Part 35,
-------
1975 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/20/76
u>
00
6/23/76
(F) 9/23/76
Part 35 - Continued
35.920-3 Contents of
Application
35.935-15 Utilization of
small and
minority
businesses
Appendix C-2 Required
Provisions - Consulting
Engineering Agreements
Appendix D-2 Required
Provisions - Construction
Contracts
Part 35 - 'State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Proposed
Preamble FR p. 25912
N/A
(a)(3) and (b)(8) - Requires compliance with OMB's Circular
A-95* i.e., clearinghouse comments procedures.
Positive efforts shall be made by grantees to utilize small
businesses and minority owned businesses as sources of
supplies and services.
Editorial corrections; clause 10 "Price reduction for
defective cost or price data" changes limitation from
"$1,000,000" to "$100,000."
Editorial corrections.
Proposes that all construction grants projects with total
grant eligible cost of construction of $10 million or more,
excluding cost for interceptors and collector sewers, be
subjected to value engineering analysis as part of Step 2
grant. If adopted, applicable to projects for which
Step 2 grant applications are received on or after
10/1/76.
-------
CODE OF FEDERAL REGULATIONS
1976
-------
40 CFR Protection of Environment
Revised July 1, 1976
1976
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/8/76
U)
<£>
7/12/76
9/20/76
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Final
Preamble FR p. 27966
Part "35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.938-6 Progress
payments to contractors,-(c)
Class Deviation
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works ^FWPCAA of 1972)
Sec. 35.938-8 Required
construction contract
provisions (a)
Class Deviation
7/8/76
Gives EPA regional offices authority to extend date for
inclusion of Appendixes C-l and C-2.
7/12/76
Item (c) "Protection of progress payments made for
specifically manufactured equipment" contains two
limitations connected by the word "or?" the class deviation
eliminates the option and changes the word "or" to "and."
9/20/76
Eliminates the mandatory use of the "General Conditions"
portion of the "Contract Documents for Construction of
Federally-Assisted Water and Sewer Projects" and makes
it optional; future changes to Appendix C-2 will
incorporate appropriate conditions.
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
9/23/76
(P) 6/23/76
N/A
12/27/76
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Final
Preamble FR p. 41690
35.905-27 Value Engineer-
ing (VE)
35.920-3(b)(9) Contents of
Application
35.925-7 Design
35.926 Value Engineering
(VE)
35.935-18 Value Engineer-
ing (VE)
Class Deviation
Sec. 35.935-13 User charges
and industrial cost
recovery (a)
Part 30 - General Grant
Regulations and Procedures
Final
Preamble FR p. 56196
30.615-1 Method of Payment
(a)
10/26/76
9/30/76
1/1/77
Requires value engineering (VE) for all Step 2 applications
with projected total Step 3 grant eligible cost of $10
million or more excluding the cost of interceptors and
collectors sewers; applicable to all construction grants
projects for which Step 2 grant applications are certified
on or after 10/26/76.
Definition of VE.
Requires VE as part of Step 2 application for projects with
allowable cost greater than $10 million. »
Requires VE as a limitation on award of grant.
Discusses proposal for VE and scope of analysis.
Makes VE a grant condition.
80% payment limitation - see 8/31/77 Federal Register
listing in this matrix.
Required changes to comply with OMB's Circular A-110.
"Payment for waste treatment construction grants will be
made on a reimbursable basis (see 35.845 and 35.945)."
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/27/76
12/29/76
Part 30 - Continued
30.620 Grant related
income (b)
30.620-2 Royalties
received from
copyrights and
patents
30.635-5 Property
reports (c)
30.810-1 Definitions (a)
30.810-7 Nonexpendable
personal property
acquired with
federal funds (a)
30.810-8 Expendable per-
sonal property
acquired with
grant funds
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972) -
Subagreements under Grants
for Construction of Treat-
ment Works; Technical
Amendments
Final - Appendixes C-l and
C-2 and related sections
of Subpart E
Preamble FR p. 56633
2/1/77
Grant related income (e.g., sale of byproducts or reports)
to be used to support or finance project.
Grantee has no other obligation to EPA for royalties
received.
Grantees shall submit annually an inventory of all federally
owned property in their possession.
Defines net invoice unit price of property.
Concerned with use of property.
If residual expendable property exceeds $1,000 at end of
project, compensate EPA for its share.
Comprehensive discussion of contents of Appendixes C-l -
Required Provisions Consulting Engineering Agreements, and
C-2 - Required Provisions - Construction Contracts; major
issues discussed: deviations from use of C-l or C-2 allow-
ed in extraordinary circumstances; reference in C-l and C-2
to regulations means those in effect on date of contract
execution; applicability to construction management contract
limited; C-l provisions apply only to grant eligible work,
not all work; added word "omissions" to engineer's
responsibility and limited liability for errors beyond
engineer's control; limited liability for use of advanced
technology; engineer not guarantor or construction con-
tract; provision for change in cost if EPA requirements
change; modify termination for convenience; modify
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/29/76
Part 35 - Continued
it*
ro
35.925-20 Procurement
35.935-2 Procurement
35.935-4 State and Local
Laws
35.935-7 Access
35.935-11 Project changes
.35.935-15 Utilization of
smay. and minor-
ity businesses
35.937-10 Subagreeraent
payments -
architectural
or engineering
services
remedies provisions; payments per schedule or monthly;
retainage at option of grantee; audit report reviewed by
engineer only as related to engineer's work; defective cost
or pricing clause applicable only if contract exceeds
$100,000; allows grantee to specify percentage of sub-
contracting, otherwise 30%; reaffirms prohibition of
gratuities; prior subagreements may be renegotiated to
include new C-l if desired; adds clauses to C-2 formally
contained in mandatory "Contract Documents for Construc-
tion of Federally-Assisted Water and Sewer Projects"
(class deviation from use of Contract Documents issued
9/20/76); between 9/20/76 and 2/1/77 grantees must assure
adequate safeguards.
Requires compliance with procurement provisions prior to
grant award.
Grant condition requiring compliance with procurement
requirements throughout project.
Deleted as covered in 35.936-2.
Places responsibility for assuring access on grantee.
Incorporates, for clarification, prior approval for
changes greater than $100,000.
Deleted as covered in 35.936-7.
Payments per schedule or monthly; retainage if any at
option of grantee.
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
1 Comments
12/29/76
U>
2/4/77
(I) 4/25/78
(F) 9/27/78
Part 35 - Continued
35.938-6 Progress payments
to contractors
35.938-8 Required construc-
tion contract
provisions
35.945 Grant payments
Appendix C-l, Required
Provisions - Consulting
Engineering Agreements
Appendix C-2, Required
Provisions - Construction
Contracts
Fart 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Appendix A - Cost-Effective-
ness Analysis Guidelines
Proposed
Preamble FR p. 6841
N/A
Changes "or" to "and" to provide more protection for
progress payments made for specifically manufactured
equipment.
Revised to require Appendix C-2 in contracts.
Revised to conforlh with other changes and Appendixes C-l
and C-2.
Revised and reprinted.
Revised and reprinted.
Proposed changes to guidelines provide detailed discussion
oft population forecasting; reserve capacity; staging of
construction; capacity beyond grant eligible cost-
effective capacity; interceptor sizing; average daily per
capita flows; service life of conveyance pipes (see 2/25/77
for correction).
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/7/77
(F) 6/26/78
2/8/77
(P) 5/9/75
(F) 6/30/78
2/10/77
Part 128 and Part 403 -
Pretreatment Standards for
Existing Sources and New
Sources of Pollution
Proposed
Preamble FR p. 6476
Part 33 - Subagreements
Sec. 33.001-33.750,
Appendix. A
Interim
Preamble FR p. 8090
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Sec. 35.925-18(a)(3)
Limitation upon project
costs incurred prior
to award
Temporary Class Deviation
3/31/77*
N/A
This proposed regulation, "...sets forth four proposed
options reflecting various approaches to establishing and
enforcing pretreatment requirements;" the proposed options
will be subject to public written comments and a public
hearing^ indicates that Part 128 will be replaced with a
new Part 403.
Applicable to all procurement except A/E and construction
contracts for grants program (35.936[a]); grants program
procurement must comply with 35.936-35.939; modeled after
Part 35 procurement regulations; *effective date changed
multiple times as follows: on 3/10/77 changed to 5/1/77;
on 5/2/77 changed to 6/30/77; on 6/29/77 changed to
10/1/77; on 10/3/77 changed to 3/1/78; on 3/13/78 changed
to 10/1/78; on 10/18/78 changed to 2/1/79; on 2/21/79
deferred until further notice.
Allows as eligible cost Step 2 design work begun before
Step 2 grant award under certain conditions with case-by-
case decision by Regional Administrator; deviation
expires 9/30/77.
-------
1976 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
2/25/77
(P) 2/4/77
(I) 4/25/78
(F) 9/27/78
•I*
(Jl
6/29/77
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Appendix A - Cost-Effec-
tiveness Guidelines
g(2)(c)
Correction
Preamble FR p. 11026
Part 35 - State and Local
Assistance
Technical Amendments
Final
Preamble FR p. 33034
Subpart C - Grants for
Construction of Waste-
water Treatment Works
35.835-2 B>asin Control
35.835-3 Regional and
metropolitan
plan
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
35.939 Protests
Sec. 35.939(b)(11, (f)(7),
(j) (3) and (k)
2/25/77
6/29/77
Changed word "of" to "or" to read, "...exceed 10 percent
of the total design flow of the treatment works exclusive
of the allowance or 25 percent..."
Regulation, "...issued to make technical amendments and
correct minor errors in 40 CFR Part 35. It makes no
substantial changes in regulation..."
Relates to grants for construction of treatment works
under Section 8 of the Federal Water Pollution Act, i.e.,
grants authorized from legislation prior to the major
amendments of 1972 (PL 92-500 enacted 10/18/72).
Refers to 35.150-1 in effect at the time of grant award.
Refers to 35.150-2 in effect at the time of grant award.
Amends the time limitations and other procedural require-
ments for protests.
-------
CODE OF FEDERAL REGULATIONS
1977
-------
40 CFR Protection of Environment
Revised July 1, 1977
1977
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/31/77
12/27/77
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (FWPCAA of 1972)
Class Deviation
Preamble FR p. 43880
35.935-13 User charges
and industrial
cost recovery
(a)
35.935-12 Operation and
maintenance (d)
35.935-11 Sewer use
ordinance and
evaluation/
rehabilitation
program
Clean Water Act of 1977
PL 95-217
See Below
5/6/76
9/30/76
8/24/77
12/27/77
Class deviations concern payment limitations for user charge
and industrial cost recovery systems, sewer use ordinance
and operation and maintenance manual for segmented or
multiple construction projects which have been awarded
grants.
Limits payments on Step 3 projects until UC/ICR systems
approved by EPAj deviation for ICR dated 5/6/76 clarifies
regulation for segmented or phased projects and limits 80%
payment until segment or phase becomes operational or
aggregate of all phases or segments is 80%; same deviation
applied to UC system on 9/30/76.
Limits payments on Step 3 projects until OfiM manual and
sewer use ordinance approved by EPA; deviation for OfiM
manual and SUO dated 8/24/77 clarifies regulation for
segmented or phased projects and limits payment (80% for
SUO; 50% and 90% for O&M manual) as above.
The Clean Water Act of 1977 was enacted on this date and
introduced major amendments to the Federal Water Pollution
Control Act of 1972.
-------
1977 Continued
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
2/23/78
4/25/78
(I) 5/18/78
(I) 6/2/78
(F) 9/27/78
4/25/78
(I) 5/18/78
(I) 6/2/78
(F) 9/27/78
Part 35 - State and Local
Assistance
Subpart D - Reimbursement
Grants
Sec. 35.850-35.880
Final
Preamble PR p. 7426
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Proposed regulations
implementing Clean Water
Act of 1977
Preamble FR p. 17690
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Interim/Final regulations
implementing Clean
Water Act of 1977
Preamble FR p. 17697
2/23/78
N/A
4/25/78
Based on the Clean Water Act of 1977 (amends the FWPCAA of
1972), projects on which construction was initiated after
6/30/72 but before 7/1/73 may be eligible for reimbursement
grants; applications must be received by 3/27/78; funds
not appropriated as of this date; other changes to this
subpart apply to new applications.
Preamble provides detailed discussion of innovative and
alternative technology considerations; recreational use
and pretreatment; interim/final regulations implementing
other provisions of the CWA of 1977 are published on this
same date as shown below; these proposed regulations
"...should be read with the interim/final regulations..."
Major issues discussed in the preamble includes state
priority; grant eligible categories; land eligibility;
individual systems; combined grants (Step 2+3); user charges
industrial cost recovery; Buy American; cost-effectiveness
analysis guidelines and reserve capacity; discount rate.
While the important subject of innovative/alternative tech-
nology is discussed in the proposed regulations of this same
date (see above), certain related subjects associated with
I/A are included in these interim/final regulations, e.g.,
land used for composting sludge, individual systems and
I/A cost preference.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
Part 35 - Continued
Grant Eligible Categories
35.905-03 Treatment works
35.925-13 Sewage collec-
tion system
35.925-21 Storm sewers
i.
Land Eligibility
35.905-23 Treatment works
35.940-3 Cost allowable,
if approved
Individual Systems
35.905-23 Treatment works
35.917-Kb) Contents of
facilities
plans
35.918 Individual systems
35.918-1 Additional limi-
tations on awards
for individual
systems
35.918^-2 Eligible and
ineligible costs
35,918-3 Requirements for
discharge of
effluents
Primarily discusses eligibility and justification require-
ments for sewage collection system projects particularly
with regard to density of residences per acre; grants for.
separate storm sewers are prohibited.
Land used for the temporary storage of treated wastewater
prior to land application and land used for composting
sludge is eligible for grant participation; limits expanded
land acquisition eligibility to projects which have not
received approval of facilities plans before 12/27/77*
Distinguishes between small "publicly" and "privately"
owned individual systems and relates definitions to cost
preference for alternative technology or unconventional
treatment works; principal residences or small commercial
establishments must be inhabited before 12/27/77 to be
eligible for grant; public body must apply for grant; land
for individual systems not eligible for grant; small sys-
tems may include septic or cluster systems and pressure
and vacuum sewers.
Items discussed include: _land, in-house systems, site
restoration and conveyance pipes.
Must meet best practical waste treatment technology (BPWTT)
for surface or subsurface disposal.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
Part 35 - Continued
Combined Grants (Step 2+3)
35.903(b) Summary of
Construction
Grants Program
35.909 Step 2+3 grants
35.920-3(d) Contents of
Application
35.930-1(a)(4) Types of
Projects
35.935-4 Step 2+3 grants
35.935-9 Project
completion
User Charges
35.905-26 User charge
35.929 Requirements for
user charge
system
35.929-1 Approval of the
user charge system
35.929-2 General require-
ments for all user
charge systems
35.929-3 Implementation of
the user charge
system
New optional provision for communities with population of
25,000 or less and projects $2 million or less (S3 million
in states with unusually high construction costs).
35.930-l(a)(5) deleted.
Allows grantees to use ad valorem taxes as a basis for
developing its user charge system provided a dedicated ad
valorem system was in use on 12/27/77; other limitations
on industrial and large commercial users discussed; if a
user charge system based on actual use has been approved,
may not now substitute a system based on ad valorem taxes;
after 6/30/79 no Step 3 grant awarded unless user charge
system approved, i.e., development of user charge system
becomes Step 2 activity rather than Step 3 activity; for
grants awarded after 4/25/78, user charge system must be
approved by 6/30/79 or no Step 3 grant.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
Part 35 - Continued
Industrial Cost Recovery
35.905-6 Industrial cost
recovery
35.905-8 Industrial user
35.928 Requirements for an
industrial cost
recovery system
35.928-1 Approval of the
industrial cost
recovery system
35.928-2 Use of industrial
cost recovery
payments
35.928-3 Implementation of
the industrial
cost recovery
system
35.928-4 Moratorium on
industrial cost
recovery payments
Exempts from industrial cost recovery (ICR) industrial user
which discharges the equivalent of 25,000 gallons per day
or less of domestic sanitary waste; permits portion of
recovery funds to be used for administration of ICR system;
places 18 month moratorium (until 6/30/79) on the collec-
tion of ICR payments; however, grantees must continue to
develop ICR systems during moratorium period; definition
of industrial user revised; neither moratorium nor 25,000
gallons per day limitation apply to users of individual
systems; after 4/25/78 payments withheld for noncompliance
with ICR requirements will be released; after 6/30/79 no
Step 3 grant awarded unless ICR system approved, i.e.,
development of ICR system becomes Step 2 activity rather
than Step 3 activity.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/25/78
ui
(P) 2/4/77
(F) 9/27/78
Part 35 - Continued
Requirements for American
Materials (Buy American)
35.936-13(d) Specifications
35.938-9(b)(5) Subcontracts
under con-
struction
contracts
35.939(j)(6)(i) Protests
Appendix C-2, Clause 17
Required Provisions -
Construction Contracts
Cost-Effective Analysis
Guidelines and Reserve
Capacity
Part 35, Appendix A -
Cost-Effectiveness
Analysis Guidelines
No Step 3 grant, for which an application has been received
by EPA after 2/1/78, shall be made unless the specifications
give preference to domestic construction materials; in
general, domestic materials given 6% preference over foreign
made materials.
Cost preference (15%) applied to entire system where innova-
tive or alternative (I/A) technologies represent more than
50% of its cost; where I/A less than 50%, cost preference
only applied to replaced components (see proposed regula-
tions of this same date); may use state population forecasts
rather than Department of Commerce if year 2000 projection
does not exceed Department of Commerce by more than 5% or
exceed a 208 agency projection by more than 10%; requires
grantee to consider flow reduction methods except where
population is 10,000 or less or average daily base flow is
70 gallons/capita/day or less; discount rate at 6-5/8%;
for reserve capacity beyond that eligible for grant, grant
is based on cost-effective size rather than proportion of
cost-effective capacity to design capacity; state cost-
effectiveness guidelines may be used provided they are at
least as stringent as EPA's and have been subject to a
public hearing.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/18/78
(P) 4/25/78
(I) 4/25/78
(P) 6/2/78
(F) 9/27/78
in
to
6/2/78
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Interim/Final
Preamble FR p, 21460
35.928(b) Requirements for
an industrial
cost recovery
system,
(a)(2), (b)
Appendix A - Cost-
Effectiveness Analysis
Guidelines
3. Applicability
35.909 Step 2+3 grants
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Proposed Technical
Amendments
Preamble FR p. 24248
5/18/78
N/A
Corrections made to the 4/25/78 interim/final regulations;
in several locations in the preamble and regulations, a
parenthesis was used, "(insert 90 days after effective
date);" this correction establishes those dates; in the
preamble FR p. 1700, 3rd column, 15th and 16th lines
insert 7/24/78.
Insert date 4/25/78.
Insert date 6/26/78.
Introductory paragraphs (b) and (b)(1) were omitted and
now added, i.e., limits Step 2+3 grants to communities
with population 25,000 or less.
The proposed technical amendments to the regulations are
numerous and are based on operating experience, PRM's and
deviations from existing regulations; the proposed amend-
ments are not derived specifically from the Clean Water
Act of 1977; this proposed regulatory change when coupled
with the 4/25/78 interim/final regulations forms the basis
for the final conformed version of the construction grants
regulations; the proposed regulations present the proposed
section, each of which is followed by a detailed explana-
tion; while these proposed regulations are not require-
ments, the discussion of the proposed change may be useful
in clarifying a particular issue as it appears in the
final conformed version of the Subpart E. regulations
published 9/27/78.
-------
1977 Continued
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
6/26/78
(P) 2/2/77
6/30/78
U)
Part 403 - General Pretreat-
ment Regulations for Exist-
ing and New Sources of
Pollution
Final
Preamble FR p. 27736
Part 30 - General Grant
Regulations and Procedures
Final
Preamble FR p. 28484
30.135-22 Subagreements
30.345-4 Costs incurred
prior to execution
30.410-2 Executive Order
11988
30.410-5 Executive Order
11990
30.430 Noncompliance
30.610 Rebudgeting of funds
30.615-3 Withholding of
funds
30.620-3 Interest earned on
grant funds
30.615 Force account work
8/25/78
6/30/78
Replaces earlier pretreatment regulations (40 CFR Part 128);
applicable to publicly owned treatment works (POTW's) with
a design flow of 5 million gallons per day or more; funding
for development of a pretreatment program may be through
the Construction Grants Program; these final regulations
are a major reprint of EPA's pretreatment requirements.
These miscellaneous amendments include new provisions and
correct others to conform with revised regulations from
Part 35; selected amendments which impact the Construction
Grants Program are shown at left.
Revised definition.
Costs incurred prior to execution of grant agreement by EPA
are generally not allowable.
Concerns floodplains and requires evaluation to minimize
harm.
New section concerning protection of wetlands.
Revises sanctions against grantees for noncompliance.
Changes limits for notification of rebudgeting to $1,000
from $500; also modifies conditions for prior approval
prior to rebudgeting.
Removes a 10% limit and allows amount necessary to assure
compliance with grant conditions or regulations.
Reaffirms that interest earned on grant funds must be
returned to EPA; provides exceptions for states and tribal
organizations.
Adds reference to provisions in 35.936-14 - force account
work.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/30/78
Part 30 - Continued
30.705 Allowable costs
30.705-1 Payment to
consultants
30.715-2 Indirect costs
30.720 Cost sharing (c)
30.725-4 Requirements (c)
30.800 Financial
management
30.805 Records (c)
30.810-4 Title of property
30.810-5 Real property
(d) (3)
30.820 Audit (b)
30.920-3 Grant termination
by EPA (d)
30.920-5 Annulment of
grant (a)(4),
(a) (5)
Requires costs to be authorized by applicable statutory
provisions.
New section limits payment for individual consultants to
equivalent of GS-18 rate; does not limit payment for
negotiated contracts with engineering or other firms.
Completely revises this section and provides guidelines
to be used for determining allowability of indirect costs.
Requires that grants from other federal government be
authorized by law or regulations for that specific purpose.
Changes limits for formal cost analysis to $150,000 from
$100,000*
Audits must conform to generally accepted auditing standards,
Restructures section and defines the three year retention
policy as beginning on the date of approval of the final
payment request.
Adds limit of $10,000 or more to requirements.
Revises conditions for repayment to federal government when
real property is sold which was originally purchased with
a federal grant.
Removes reference on timing of audit by EPA.
Adds new section (d) concerning the method of termination.
Allows EPA to "unilaterally" annul grant; also adds two
additional conditions under which a grant may be annulled.
-------
1977 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/30/78
6/30/78
(P) 5/9/75
(I) 2/8/77
tn
01
Part 30 - Continued
30.1100 Final disputes
decision
Part 33 - Subagreements
Final
Preamble FR p. 28484
33.005 Definitions
33.142 Payment to
consultants
33.410-4 Bid guarantee
performance bonds
33.510-5 Negotiation (d)
Deferred
Completely revises section and includes required language
for forwarding decision letter.
Note Part 33 effective date deferred until further notice.
Revises definition of subagreement.
New section limiting individual consultants daily rate to
equivalent of GS-18; does not affect negotiated contracts
with engineering or other firms.
Allows grantees to use their own bonding requirements if
approved by EPA and if government's interests are adequate-
ly protected; bonding companies must be properly licensed.
Eliminates requirements for A/E negotiations to be conducted
in accordance with the "Brook's Bill."
-------
CODE OF FEDERAL REGULATIONS
/•
1978
-------
40 CFR Protection of Environment
Revised July 1, 1978
1978
Date
Published
in F.R.
8/7/78
(F) 2/16/79
8/7/78
(F) 2/16/79
9/27/78
(P) 4/25/78
(I) 4/25/78
(I) 5/18/78
(P) 6/2/78
Affected Part and Sections
Part 25 - Public Partici-
pation in Programs Under
the Resource Conservation
and Recovery Act, the Safe
Drinking Water Act, and
the Clean Water Act
Sec. 25.1-25.19
Proposed
Preamble FR p. 34794
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Proposed
Preamble FR p. 34802
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Sec. 35.900-35.970;
Appendixes A, B, C-l, C-2,
D, E
__ i •
Final
Preamble FR p. 44022
Effective
Date
N/A
N/A
10/1/78
Comments
Proposed new Part 25 regulations set forth procedures and
requirements for public participation including the forma-
tion of Citizens Advisory Group; item 7 in the preamble
discusses "Reimbursement of participation expenses."
Proposed revisions to Part 35 to incorporate the require-
ments for public participation in the proposed Part 25.
The publication of these final regulations represents a
major revision and reprint of the construction grants
regulations primarily implementing the provisions of the
Clean Water Act of 1977; they also represent a conformed
version of the regulations; the preamble to these regula-
tions should be reviewed for all grants awarded after "
10/1/78; because of the extensive changes only the major
subject areas discussed in the preamble are listed in the
left column opposite this comment; item 15, Technical
Amendments, contains a long list of changes to the regu-
lations by specific section; the technical amendments
should be reviewed carefully.
-------
1978 Continued
Date
Published
in F,R.
Affected Part and Sections
Effective
Date
Comments
9/27/78
Part 35 - Continued
Major Subjects Discussed
1. State Priority
2. Innovative and Alter-
native Technologies
3. Individual Systems
4. Cost-Effectiveness
Analysis Guidelines
and Reserve Capacity
5. Grant Eligible
Categories
6. Land Eligibility
7, Recreational Use
8. Combined Grants
(Step 2+3)
9. Pretreatment
10. Industrial Cost
Recovery
11. User Charges
12. Requirements for
American Materials
(Buy American)
13. Local Assistance
14. Miscellaneous Comments
15. Technical Amendments
-------
1978 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
11/15/78
(I) 10/7/77
2/16/79
(P) 8/7/78
2/16/79
(P) 8/7/78
4/27/79
Part 133 - Secondary
Treatment Information
Regulation - Suspended
Solids Limitations for
Wastewater Treatment Ponds
Final
Preamble FR p. 53464
Part 25 - Public Partici-
pation in Programs Under..,
The Clean Hater Act
Sec. 25.1-25.14
Final
Preamble FR pt 10286
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
N/A
Sets limits for suspended solids discharged from treatment
ponds (or subcategories for ponds) by individual state;
the chart included in this regulation was corrected in the
Federal Register on 11/27/78.
2/16/79
Reasonable out-of-pocket costs for advisory group members
are allowable for grant participation (item 15 in preamble)
2/16/79
Integrates and implements appropriate sections of Part 25,
Public Participation, into the Construction Grants Program
(Part 35)
Final
Preamble FR p.
10300
Part 30 - General Grant
Regulations and Procedures
and Part 35 - State and
Local Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 24926
2/15/79
Deviation allows advance payments for EPA share of the
cost of relocation assistance.
-------
1978 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/27/79
6/15/79
Ln
vo
6/18/79
Part 30 - Continued
30.615-1(a) Method of
payment
35.945 Grant payments
Part 125 - Criteria and
Standards for the
National Pollutant
Discharge Elimination
System
Subpart G - Criteria for
Modifying the Secondary
Treatment Requirements
Under Section 301 (h) of
the Clean Water Act
Sec. 125.56-125.67
6/22/79
Implements amendments to the CWA to allow grant applicants
to present their case to EPA for less than secondary treat-
ment when discharging into marine waters; preamble contains
very extensive discussion of subject; an appendix identified
as Part G - Use of Title II Funds, addresses the use of
construction grants funds.
Final
Preamble FR p.
34784
Part 6 - Preparation of
Environmental Impact
Statements
Sec. 6.100-6.905
Proposed
Preamble FR p. 35158
N/A
Proposed revisions to Part 6; provides uniform application
of National Environmental Policy Act to all federal agen-
cies in accordance with regulations promulgated by the
Council on Environmental Quality (40 CFR Parts 1500-1508);
allows for exemptions under the Construction Grants Program.
-------
1978 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
6/27/79
(7/5/79)
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Miscellaneous Amendments
Final
Preamble FR p. 37594
35.920-3 Contents of
application
(c) (2)
35.925-15 Treatment of
industrial
wastes
35.925-18 Limitation upon
project costs
incurred prior
to award (b)
35.930-1 Types of
projects (a)(1)
35.936-13 Specifications
(c)
35.945 Grant payments (g)
Appendix E - Innovative and
Alternative Technology
Guidelines
Paragraph 3b
Paragraph 6.3. (1) and (2)
10/1/79
6/27/79
10/1/79
10/1/79
10/1/79
10/1/79
6/27/79
Incorrect numbering of the items affected was corrected
in FR 7/5/79 p. 39338.
Adds requirement to include plat of property when Step 3
grant is solely for acquisition of eligible land.
Changes word "users" to "sources" and renumbers subpara-
graphs to (a) and (b) from (1) and (2).
Adds requirement for plat for acquisition of eligible land.
Defers certain requirements when grant is solely for
acquisition of eligible land.
Adds sentence, "No experience restriction will be per-
mitted which unnecessarily reduces competition or
innovation." This section proposed 9/27/78.
New paragraph (g) allows advance payment of relocation
assistance.
Changes reference to 35.930-5 from 35.930-6.
Excludes conventional sewer lines from present worth cost
when applying the 15% cost preference.
-------
CODE OF FEDERAL REGULATIONS
1979
-------
40 CFR Protection of Environment
Revised July 1, 1979
1979
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/8/79
8/22/79
Part 30 - General Grant
Regulations and Procedures
Subpart J - Disputes,
Appeal Procedures
Notice of New Procedures
with Request for Comment
Sec. 101-137
Preamble FR p, 46770
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 49303
35.928-4 Moratorium on
industrial cost
recovery payments
35.935-13 Submission and
approval of user
charge systems
(a)(2)(i), (b)
35.935-15 Submission and
approval of
industrial cost
recovery system
6/29/79
8/13/79
This notice establishes new procedures for filing of
appeals by grantees and supplements Subpart J; establishes
an EPA Board of Assistance Appeals.
See further modification to this deviation dated 1/4/80
below.
Extends the date for collecting ICR payments to 12/1/79;
on 1/4/80 extended to 6/30/80.
Allows release of payments through 12/31/79 for grantees
who submitted user charge systems for approval prior to
5/1/79; previously no payments after 6/30/79 unless
grantee had approved user charge system.
Extends date for approval of ICR systems to 12/1/79;
specific dates for development and approval of ICR systems
depends on date of grant award; on 1/4/80 extended to
6/30/80.
-------
1979 Continued
Date
Published
in F.R.
1/4/80
1/22/80
Affected Part and Sections
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Effective
Date
1/4/80
1/22/80
Comments
Same as 8/22/79 class deviation except changes dates.
Same as 8/22/79 class deviation except clarifies and adds
35. 928-4 (c)
to
-------
CODE OF FEDERAL REGULATIONS
1980
-------
40 CFR Protection of Environment
Revised July 1, 1980
1980
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
8/11/80
11/3/80
12/5/80
Municipal Wastewater Treat-
ment Works; Construction
Grants Limitations Pro-
vided by Section 316 of
the Clean Water Act
Policy and Procedures
Preamble FR p. 53382
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Appendix A - Cost-
Effectiveness Analysis
Guidelines
Proposed
Preamble FR p. 72984
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 81567
8/11/80
N/A
Allows EPA to withhold, condition or restrict grants where
the state implementation plan concerning air pollution is
not being implemented; item IV in a reprinted memorandum
addresses "allowable construction grants program costs
associated with implementation of this air pollution
policy."
Revised guidelines replace the 4% escalation factor for
natural gas with escalation factors for all fuels and
electricity.
10/21/80
Immediately implements provisions of PL 96-483.
-------
1980 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
12/5/80
12/24/80
Part 35 - Continued
35.909 Step 2+3 grants
(b) (2)
35.920-3 Contents of
application
(b) (8)(ii)
35.925-11 User charge and
industrial cost
recovery
35.928 Requirements for
an industrial cost
recovery system
through .928-4
35.935-15 Submission and
approval of
industrial cost
recovery system
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 84998
35.930-5 Federal share (b)
Raises dollar ceiling for combination Step 2+3 grants to
$4 million ($5 million in high cost states); for Step 2
projects which meet this qualification and already have
a grant, they may apply for and add a Step 3 grant.
Repeals all ICR requirements retroactive to 12/27/77;
ICR funds recovered between 3/1/73 and 12/27/77 to be
used in accordance with then applicable regulations;
existing work on ICR systems to be terminated and not
eligible for grant after 12/31/80.
12/16/80
Allows 85% grants for Step 1 projects which select
innovative or alternative technology projects.
-------
1980 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/13/81
1/19/81
ui
Part 30 - General Grant
Regulations
Sec. 30.810-1 Definitions
(d)
Class Deviation
Preamble FR p. 3017
Responsiveness Summary
and Preamble on Public
Participation Policy
FR p. 5736
1/14/81
1/19/81
1/28/81
Part 403 - General Pre-
treatment Regulations for
Existing and New Sources
of Pollution
Sec. 403.1-403.16?
Appendixes A, B, C, D
Final
Preamble FR p. 9404
Effective date later
deferred - FR p. 19936
3/13/81
Redefines "nonexpendable personal property" as property
with a useful life of at least two years and an acquisition
cost of $500 or more.
EPA's policy for public participation in all EPA programs
is set forth; the policy provides guidelines and supplements
Part 25 - Public Participation; item 16 in preamble
addresses "The Use of Public Funds to Assist the Participat-
ing Agency;" item D.3.b.(2)(b) of the policy allows for
reimbursing advisory group members of reasonable out-of-
pocket expenses that relate to their participation on the
advisory group; item F discusses financial assistance to
the public.
Pretreatment regulations modified to conform with court
actions; complete reprint and lengthy (35 pp.) preamble;
item II.A. of the preamble states, "The development of such
programs [locally-run pretreatment program] is fundable
through construction grants...;" also see class deviation
7/21/81 and proposed/final regulations 10/13/81 and
2/1/82 respectively; regulations dated 9/28/82 and based
on court decision made regulations effective retroactive
to 3/30/81.
-------
1980 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
4/6/81
(P) 3/2/82
(I) 5/12/82
(F) 3/28/83
5/18/81
(P) 11/6/81
O\
Part 33 - Procurement
Regulations and
Part 35 - Grants for
Construction of Treatment
Works - Clean Water Act
Proposed Rulemaking
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Proposed
Preamble PR p. 27314
N/A
N/A
This proposed rulemaking sets forth a preliminary concept
paper for implementing OMB's procurement requirements
(Attachments 0 to OMB Circular A-102); encourages grantees
to use their own procurement systems if they meet federal
minimum requirements.
Proposed changes implement legislation enacted 1Q/21/8Q
(PL 96-483) and other changes EPA deems necessary; imple-
ments the 12/5/80 class deviation; however, proposed
changes, while extensive, were never finalized because of
legislative changes enacted on 12/29/81; portions of these
changes also are proposed in the new Subpart I regulations
(11/6/81).
-------
CODE OF FEDERAL REGULATIONS
1981
-------
40 CFR Proection of Environment
Revised July 1, 1981
1981
Date
Published
in P.R.
Affected Part and Sections
Effective
Date
Comments
7/27/81
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
11/6/81
(P) 5/12/81
(I) 5/12/82
00
12/29/81
1/28/82
Part 35 - State and Local
Assistance
Subpart I - Grants for
Construction of Treatment
Works (CWA of 1977)
Sec. 35.2000-35.2350;
Appendix A - Determination
of Allowable Costs
Proposed
Preamble FR p. 55220
Municipal Wastewater Treat-
ment Construction Grants
Amendments of 1981
(PL 97-117)
Part 35 - State and Local
Assistance
Subpart E - Grants for
Construction of Treatment
Works (CWA of 1977)
Class Deviation
Preamble FR p. 4066
35.930-1 Types of projects
(a)(l), (a) (2)
35.909 Step 2+3 grants (b)
N/A
Proposed comprehensive revision to the Construction Grants
Program regulations; new Appendix A listing allowable costs
by type; this regulation was never finalized because of
the 12/29/81 amendments to the CWA.
12/29/81
1/12/82
The 1981 amendments were enacted on this date and introduced
major (elimination of Step 1 and Step 2 grants) amendments
to the Clean Water Act of 1977.
This class deviation implements important provisions of the
1981 amendments to the Clean Water Act immediately while
allowing time for complete revision of the construction
grants regulations.
Effective 12/30/81 Step 1 and Step 2 grants may not be
awarded but an allowance will be provided for planning and
design with Step 3 grants.
Raises combined Step 24-3 project cost limitation to $8
million; however, Step 2 allowable costs will be based on
the allowance determined by Step 3 construction costs.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/28/82
2/1/82
Part 35 - Continued
35.936-13 Specifications
(a)
Part 403 - General Pre-
treatment Regulations
for Existing and New
Sources of Pollution
1/31/82
Final
Preamble FR p.
4518
vo
3/2/82
(P) 4/6/81
(I) 5/12/82
(F) 3/28/83
403.3(i) Definition of
Interference
403.(n) Definition of
Pass Through
403.(e) Combined Waste-
stream Formula
403.7 Revision of
Categorical Pretreat-
ment Standards to
Reflect POTW Removal
of Pollutants
Part 33 - Procurement Under
Assistance Agreements
Sec. 33.001-33.1135
Proposed
Preamble FR p. 8960
Grantees may use one brand name (instead of two) followed
by the words "or equal."
The provisions of the pretreatment regulations.originally
published 1/28/81 in the Federal Register (FR p. 9404)
were postponed and later proposed to become effective on
1/31/82; all sections except those listed at left become
effective on 1/31/82; those at left deferred until further
notice; see regulations dated 9/28/82 which made regula-
tions effective retroactively to 3/30/81.
Deferred
Deferred
Deferred
Deferred
N/A
These proposed procurement regulations will eventually
replace the construction grants procurement regulations
(35.936-35.939); the regulations implement Attachment 0
to OMB's Circular A-102.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
3/8/82
(I) 1/7/83
Part 6 - Implementation of
Procedures on the National
Environmental Policy Act
Interim
Preamble PR p. 9827
6.103 Responsibilities
6.105 Synopsis of EIS
Procedures (b)
6.107 Categorical exclusions
6.400 Public involvement (f)
6.502 Applicability
6.503 Consultation during
the environmental
review process
6.504 Public participation
6.505 Limitations on actions
during environmental
review process
6.506 Criteria for preparing
EIS's and granting
categorical exclusions
6.507 Environmental review
process
6.508 Limits on delegation
to states
3/8/82
Amendments to Part 6 primarily provide for categorical
exclusions from substantive environmental review for certain
types of projects, i.e., for projects which are small
scale, minor and routine (e.g., replacement, minor rehabili-
tation, minor expansion, minor upgrading not resulting in
increasing the sizes of sewers or treatment plant); grantees
may be granted an exclusion and therefore will not have to
prepare an environmental information document as part of
facilities planning; sections affected by the implementa-
tion of the categorical exclusion are listed in the left
column.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
(P) 3/2/82
(F) 3/28/83
Part 33 - Procurement Under
Assistance Agreements
Sec. 33.001-33.1135;
Appendix A
Interim/Final
Preamble FR p. 20474
5/12/82
5/12/82
(P) 11/6/81
Part 35 - State and Local
Assistance
Subpart I - Grants for
Construction of Treatment
Works
Sec. 35.2000-35.2350;
Appendix A
Interim/Final
Preamble FR p, 20450
5/12/82
This procurement regulation is effective for projects
for which grants are awarded after 5/12/82; earlier pro-
curement regulations in 40 CFR Part 35, Subpart E, Sections
35.936, .937, .938 and .939 remain applicable to projects
for which grants were awarded prior to 5/12/82; the regu-
lation supplements new construction grants regulations
published this same date as Part 35, Subpart I; this regu-
lation is based on Attachment O to OMB's Circular A-102
and emphasizes use of grantee's procurement system if it
meets minimum federal standards; major issues discussed
in the preamble include: regulations not applicable to
facilities planning nor design as EPA no longer provides
grants for these activities; grantees receiving awards
prior to 5/12/82 may elect to use these regulations for
future procurements; procedures for grantees who cannot
certify their own procurement system as meeting require-
ments of Part 33; discussion of single material specifica-
tions and its restriction on competition; provision for
using same A/E who performed facilities planning and
design on grant assisted project (Step 3) without further
competitive procurement; discussion of interim procedures
concerning minority and women's businesses; this regula-
tion is a complete reprint and replaces earlier Part 33.
The publication of the interim/final regulations repre-
sents a major revision and reprinting of new construction
grants regulations and primarily implements provisions of
the "Municipal Wastewater Treatment Construction Grants
Amendments of 1981" (PL 97-117); they significantly amend
the Construction Grants Program, among other things,
eliminating facilities planning (Step 1) and design
(Step 2) grants and replacing the grants with an allowance
at the time of construction (Step 3) grant award. The
preamble to these regulations should be reviewed for all
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
Part 35 - Continued
Major Subjects Described
1. Effective Date
2. Allowance
3. Advances
4. Water Quality Emphasis
5. NEPA Compliance
6. Financial Capability
7. Phased Segmented Projects
8. Project Performance
grants awarded after 5/12/82. Because of the extensive
changes only the major subject areas discussed in the
preamble are listed in the left column opposite this
comment. Appendix A to these regulations assembles in
one location a listing of allowable and unallowable project
costs. The preamble also contains a table which cross
references the new Subpart I (35.2000 series) to the
earlier Subpart E (35.900 series).
Subpart I regulations applicable to grants made after 5/12/82;
earlier grants continue to be subject to Subpart E.
An allowance for facilities planning and design will be
included with a construction (Step 3) grant; procurement
regulations (new Part 33) not applicable to facilities plan-
ning nor design.
Advances of allowance may be made to small communities with
decision solely by states.
State to emphasize priority water quality areas when pre-
paring project priority lists.
Grant applicant encouraged to obtain environmental review
of projects after completion of facilities planning and
before design.
Grant applicant to demonstrate financial capability before
award of grant assistance,
States to give priority to completing earlier phased/
segmented projects.
Grantees to certify after one year of operation that project
meets design specifications; grantee to procure A/E services
for first year of operation and costs for these services
allowable.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
Part 35 - Continued
9. Step 2+3
10. Combined Sewer Overflow
11. Innovative and
Alternative (I/A)
Technology
12. State Certification
13. Collection Systems
14. Infiltration/Inflow
15. Compatible Industrial
Wastewater
16. Reconstruction Costs
17. Advanced Treatment
Reviews
18. Public Participation
Dollar ceiling limitation raised to $8 million; Step 2+3
grants to employ the allowance provisions.
Limited funds for specific state justified projects; after
9/30/84 no longer eligible for grants.
Approved I/A projects eligible for 20% additional grant
not to exceed 85% federal share.
EPA to act within 45 days after delegated state certifica-
tion of project compliance with regulations.
Project category not eligible for grant after 9/30/84 unless
Governor elects to approve.
Sets numerical limits for nonexcessive I/I; option for
grantee not to remove excessive I/I but grant limited to
capacity required for 120 gallons/person/day.
Establishes eligibility test which stipulates that grants
awarded, "...only if the treatment works would be eligible
for grant assistance in the absence of the proposed
industrial capacity,"
EPA policy not to award "second time" grants for failed
projects built with federal grant except for qualifying
I/A projects.
Encourages grant applicants to obtain EPA headquarters
review of advanced treatment projects after completion of
facilities plans and before design is begun.
EPA prohibited from requiring compliance with public partici
pation regulations (Part 25) during facilities planning and
design; encourages voluntary compliance however.
-------
1981 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
5/12/82
5/12/82
Part 35 - Continued
19. Delegation
20* Project Schedule
21. Work by Debarred
or Suspended Persons
22. Project, Treatment Works
and Complete Treatment
System
23. Building
24. Appendix A: Allowable
Costs
Part 35 - State and Local
Assistance
Subpart I - Grants for
Construction of Treatment
Works
Appendix B - Allowance for
Facilities Planning and
Design
Proposed
Preamble FR p. 20471
N/A
In delegated state, the term "Regional Administrator" in the
regulations may be read "state agency."
Project schedule of key events to be included with applica-
tion for grant.
Grant applicants are to certify whether project work was
performed by debarred or suspended persons (40 CFR Part 32).
Clarifies terminology.
Term "building" used throughout regulations rather than
"construction" which has broader definition and includes
planning and design,
New appendix categories costs as: travel, subagreement
costs, facilities planning, small systems, equipment, etc.
Proposed procedures, including tables, for computing the
allowance for facilities planning and design based on
estimate of project building costs.
-------
1981 Continued
Date
Published
in F.R.
6/18/82
(F) 9/30/83
Affected Part and Sections
Part 30 - General Regula-
tions for Assistance
Programs
Sec. 30.100-30.1210;
Appendixes Ar B and C
Proposed
Preamble FR p. 26564
Effective
Date
N/A
Comments
This proposed regulation represents a major revision to
the regulations in order to simplify and make them more
readable; major changes concern: Federal Grant and
Cooperative Agreement Act; Patent Rights; Property
Management; Peer Review of Publications; and Debarment.
-------
CODE OF FEDERAL REGULATIONS
1982
-------
40 CFR Protection of Environment
Revised July 1, 1982
1982
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
9/28/82
1/7/83
(P) 3/8/82
Part 403 - General Pretreat-
ment Regulations for
Existing and New Sources of
Pollution
3/30/81
Final
Preamble FR p.
42688
Part 6 - Procedures for
Implementing the National
Environmental Policy Act
1/7/83
Interim/Final
Preamble FR p.
1012
6.506 Criteria for prepar-
ing EIS's and grant-
ing categorical
exclusions
(c)(1) (ii) and (iii)
and (c)(2)(iii)
6.507 Environmental review
process
Based on a court decision the general pretreatment regula
tions published in the Federal Register on 1/28/81 and
which were subsequently deferred on several occasions are
to become effective retroactively to 3/30/81.
The interim regulations dated 3/8/82 are revised for the
criteria related to categorical exclusion from substantative
environmental review.
Increases community size criterion to 10,000 from 3,500
population; removes reference to alternative technologies;
increases excess capacity to 30% from 20%.
Corrects an error in the 3/8/82 regulations which placed
responsibility for preparation of a formal environmental
assessment on grantee; responsibility for preparation
rests with EPA.
-------
1982 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
1/7/83
1/24/83
(F) 6/24/83
3/28/83
(P) 3/2/82
(I) 5/12/82
(F) 7/1/83
Part 6 - Procedures for
Implementing the National
Environmental Policy Act
Subpart E - Environmental
Review Procedures for the
Wastewater Treatment
Construction Grants
Program
Sec. 6.500-6.514
Proposed
Preamble FR p. 1014
Part 35 - State and Local
Assistance
Part 30 - General Regula-
tions for Assistance
Programs
Proposed
Preamble FR p. 3208
Part 33 - Procurement Under
Assistance Agreements
Sec. 33.001-33.1145
Appendix A
Final
Preamble FR p. 12922
N/A
N/A
3/28/83
This proposed regulation represents a reordering and
clarifying of Subpart E sections related to the Construction
Grants Program; the reordering reflects the 1981 amendments
which eliminated Step 1 and Step 2 grants and makes the
NEPA regulations follow more closely the grant processing
procedures; when finalized, will be applicable to projects
receiving grants prior to 12/29/81 since there is no sub-
stantative change in the environmental review process.
Based on Executive Order 12372, it is proposed to eliminate
the clearinghouse review process (commonly referred to as
the A-95 review) and replace it with a revised intergovern-
mental consultation process.
Finalizes the interim/final regulations published on
5/12/82; provides optional retroactive application if elect-
ed by grantees; major issues discussed in the preamble
include: quality assurance requirements for grantee con-
tractors; definition of MBE and WBE firms; grantee report-
ing requirements even though grantee may have certified
procurement system; reconfirmation of prequalified list
and prohibition against preference for local or in-state
bidders; no EPA mandated goals for MBE or WBE participa-
tion; grantee contractors must take MBE and WBE affirmative
-------
1982 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
3/28/83
Part 33 - Continued
oo
6/24/83
(P) 1/24/83
Part 29 - Intergovern-
mental Review of the
Environmental Protection
Agency Programs and
Activities
Sec, 29.1-29.13
Final
Preamble FR p. 29288
9/30/83
action steps only if contractor employes subcontractors;
discussion of brand name or equal; personal services rate
limited to GS-18 grade for EPA grant; subcontractor require'
ments not applicable to suppliers of materials or equip-
ment; discussion of procurement and negotiations for A/E
services including use of same A/E from Step 1 and Step 2;
provision for including labor standards provisions form;
eliminates verbal change orders; defective pricing clause
limits returned to $100,000 from $500,000; progress pay-
ments for manufactured equipment not mandatory; this
regulation is a complete reprint and replaces the interim
Part 33 (5/12/82). Minor technical and typographical
corrections 7/1/83.
This new Part 29 of Title 40 implements a new intergovern-
mental review process and replaces the procedures and
requirements contained in OMB's Circular A-95 (clearing-
house reviews). The new review process provides greater
flexibility, "...by relying on state and local processes
for state and local government coordination and review
of proposed federal financial assistance and direct federal
development." Among other things, the regulations allow
states to select the program to which the state review
process will be applicable, establish a "single point of
contact" for each state, and prescribe the federal"review
and response procedures . The regulations implement and
satisfy requirements for Executive Order 12372, Inter-
governmental Cooperation Act of 1968 and Section 204 of
the Demonstration Cities and Metropolitan Development Act
of 1966. Also published on this same date is a listing of
"Programs and Activities Eligible for Intergovernmental
Review Under 40 CFR Part 29 and Subject to Section 204
of the Demonstration Cities and Metropolitan Development
Act" (FR p. 29304).
-------
CODE OF FEDERAL REGULATIONS
1983
-------
40 CFR Protection of Environment
Revised July 1, 1983
1983
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
7/1/83
(F) 3/28/83
vo
9/30/83
Part 33 - Procurement Under
Assistance Agreements
Correction
Final
Preamble FR p. 30364
33.001 Applicability and
scope of this Part,
(g)
33,211 Recipient reporting
requirements, (e)
33.280 Payment to consult-
ants, (a)
33.1016 Labor standards
provisions
Appendix A, (b)(1)
Part 30 - General Regula-
tion for Assistance
Programs
Sec. 30.100-30.1235;
Appendixes A, B, C, D
Final
Preamble FR p. 45056
7/1/83
9/30/83
Minor technical and typographical corrections are made to
the 3/28/83 regulations as shown below. Other changes not
shown below include minor items such as changing contract
to subagreement, singular to plural or vice versa, or
correcting reference numbers.
In the parenthetical exceptions delete "...§33.211 'Recip-
ient reporting requirements'..."
Change word "offerers" to "offers."
In the parenthesis delete the words "... contractors and
subcontractors..." and insert the word "...consultants..."
Add immediately after section heading, "(This clause
applies only when required by statute)."
After the word "official" insert the dependent clause,
"..., unless he instructs otherwise,..."
Major reprint of Part 30, "implementing Federal Grant and
Cooperative Agreement Act and using plain English;" effec--
tive date for Subpart L, Disputes, is 11/1/83; eliminates
most EPA internal operating procedures and most of the
detailed procedures that explained how recipients comply
with specific requirements; includes a table showing the
relationship between former and revised Part 30; among the
subjects discussed in the preamble, which have a direct
bearing on the Construction Grants Program, are: records
retention; access to records; property management; project
changes; interest charges paid to the government; noncom-
pliance action taken by EPA; appeal and disputes procedures
including the elimination of the Board of Assistance Appeals;
-------
1983 Continued
Date
Published
in F.R.
Affected Part and Sections
Effective
Date
Comments
9/30/83
Part 30 - Continued
quality assurance as related to wastewater treatment works
and the collection of environmentally related data. This
regulation is written in a new question/answer format.
oo
o
-------
SUBJECT INDEX
PROGRAM ISSUANCES
-------
SUBJECT INDEX
PROGRAM ISSUANCES
(CG's, PM's, PC's, PRM's, Handbook)
Administrative/Policy
Applicant Assurances
Audits
Civil Rights
Clearinghouse Review
Easements
Grant Payments
Grant Percentage
Increase Grants
Indirect Costs
Labor Charges
Policy and Guidance
Preapplication
Preconstruction Lag
Processing Period
Project Management
Retainage
Retroactive Application
Service Charges
Time Schedules
Allowability/Eligibility
Advanced Treatment
A/E Costs
* Allowable Costs
Bond Costs
Bid Bond Forfeiture
Collection System
O&M Equipment
CG 70-20, 10/13/70
CG 71-18, 8/20/71
CG 71-15, 7/26/71; PG-59, 2/11/76
CG 70-3, 1/21/70
PRM 77-6, 5/4/77
PG-9, 7/20/73
PG-13, 6/11/73
PG-8, 7/17/73
Handbook
Handbook
PG-1, 5/16/73
CG 71-22, 12/22/71
PRM 78-12, 6/12/78; PRM 80-3, 5/30/80
PG-11, 6/12/73
CG 71-17, 8/20/71
PG-43, 11/13/74
PRM 80-6, 7/21/80
Handbook
CG 70-2, 1/6/70
PRM 79-7, 3/9/79
PRM 80-2, 12/20/79
PG-64, 2/5/76
CG 70-5, 2/13/70; CG 70-25, 11/11/70; Handbook
Handbook
Handbook
* Basis for list of allowable costs as contained in the Handbook of Procedures,
First Edition.
81
-------
SUBJECT INDEX (Continued)
Allowability/Eligibility (Continued)
Cost Control
Crossover Sewers
Cultural Resources
Demolition
Disaster Grants
Eligible Costs
Eligibility of Laboratory
Chemicals
Federal Facilities
Flood Disaster
Flood Insurance
Force Account
Funding
Funding Sewers
Funding Waste Load
Grantee Workshops
Groundwater Monitoring
I/I Costs
Industrial Waste
Interceptor Sewers
Land Eligibility
Liquidated Damages
MBE and WBE Liaison
Mobile Equipment
Multiple Purpose Project
NEPA Requirements
Office Equipment
O & M Manual Costs
Processing Period
Project Eligibility
Public Liaison Services
Public Participation On-Site
Visits
PG-57, 9/8/75
Handbook
PG-52, 7/7/75; Handbook
Handbook
CG 71-24, 12/27/71
CG 70-26, 11/9/70
CG 70-19, 9/29/70; Handbook
PG-62, 12/29/75; Handbook
PG-25, 3/1/74; PG-25A, 11/4/74
PG-54, 7/8/75; PRM 76-5, 8/16/76
PG-34, 5/7/74
PM 72-16, 7/25/75
PRM 77-8, 6/21/77; PRM 78-9, 3/8/78
PRM 79-11, 9/5/79
Handbook
Handbook
PM 72-19, 8/17/72; CG 71-23, 12/30/71
CG 71-3, 2/25/71; Handbook
CG 70-23, 10/23/70
PG-49 (no date); PG-67, 4/2/76; PRM 77-5, 12/15/76;
PRM 78-4, 2/17/78; Handbook
PG 70-24, 11/5/70; Handbook
PRM 80-7, 8/29/80
Handbook
PRM 77-4, 12/3/76
PM 72-20, 9/11/72
Handbook
PM 72-5, 1/24/72
PG-11, 6/12/73
CG 70-18, 9/29/70
Handbook
Handbook
82
-------
SUBJECT INDEX (Continued)
Allowability/Eliqibility (Continued)
Purchase of Treatment Works
Rate and Financial Studies
Recreation, Industrial
Relocation Assistance
Replacement Parts
Revenue Sharing Funds
Royalties
Secondary Treatment
Seeding - Biological
Septic Tank Wastes
Shop Furnishings
Small Systems
Special Assessment Districts
Startup Services
State and Federal Regulations
State Grants
Step 2+3 Grants
Storm/Combined Sewers
Supplemental Grants
Title Project Site
Tools
Travel Costs
TV Eligibility
Utility Relocation Costs
Water Treatment
Women's Easinesses
Discount Rate
CG 71-16, 8/16/71; Handbook
Handbook
PRM 77-1, 11/23/76
Handbook
Handbook
PG-3, 6/25/73
PRM 79-2, 11/13/78; Handbook
CG 71-20, 12/31/71; PM 72-4, 2/2/72
Handbook
CG 71-25, 12/30/71
Handbook
PRM 79-8, 5/31/79
Handbook
PRM 77-2, 11/29/76; Handbook
Handbook
CG 70-21, 10/13/70; CG 70-22, 10/15/70;
CG 71-7, 2/19/71; CG 71-14, 6/30/71
PRM 78-7, 2/17/78
CG-61, 12/16/75
CG 71-4, 1/21/71
Handbook
Handbook
Handbook
PM 72-10, 4/28/72
PM 72-12, 5/16/72; Handbook
PG-36, 6/5/74; PG-36A, 9/17/74
PRM 80-4, 1/31/81
PG-60, 8/11/75; PRM 78-2, 1/26/78;
PRM 79-4, 11/17/78; PRM 80-1, 11/26/79;
PRM 81-2, 11/19/80
83
-------
SUBJECT INDEX (Continued)
Environmental Impacts/Public Participation
Cultural Resources
Environmental Effects
Erosion Control
NEPA Requirements
Piggybacking
Presentation of Costs
Public Hearing
Planning
Basin Planning
Comprehensive Plans
Facility Plans
Flood Hazard
201 and WQM Planning
Plans, Specifications and Design
Buy American
Chlorine Safety
Construction Incentive
Contract Documents
Cost Control
Design/Construct
Equipment Prequalifications
Erosion Control
Escalation Clauses
Experience Clause
Fringe Benefits
Grout
Mercury Seals
Nonrestrictive Specifications
Project Sign
Redesign/Replanning Costs
PG-52, 7/2/75
PG-50, 6/6/75
PRM 78-1, 12/29/77
PM 72-20, 9/11/72
PG-58, 9/ /75
PRM 76-3, 8/16/76
PG-10 (no date)
PM 72-2, 1/11/72
CG 71-21, 11/23/71
PG-51, 6/25/75
PG-15, 9/11/73
PG-47, 3/11/74; PG-66, 2/9/76
PRM 78-3, 2/17/78; PRM 80-5, 7/9/80
PRM 79-1, 10/23/78
PRM 79-5, 12/28/78
PG-17, 5/17/73; PG-17A, 4/15/75
PG-57, 9/8/75
PG-5, 5/31/73
PRM 79-10, 7/12/79
PRM 78-1, 12/29/77
PG-44, 12/9/74
CG 71-8, 3/15/71; PG-14, 7/11/73
Handbook
PRM 78-11, 5/11/78
CG 71-1, 1/12/71
PM 73-1, 2/21/73; PG-19, 11/2/73; PG-19A, 8/8/75
CG 71-5, 1/21/71
Handbook
84
-------
SUBJECT INDEX (Continued)
Plansf Specifications and Design (Continued)
Restoration Streets/Rights-
of-Way
Safety Specifications
Value Engineering
Wage Rates
Procurement
A/E costs
Buy American
Contract Award
Debarment
Engineering Agreements
Engineering Fees
Escalation Clauses
Fringe Benefits
Inspection
Reject All Bids
Program Issuances
Cancellation PC's
1969 Issuances
1970 Issuances
1971 Issuances
PRM's
Program Issuances
Reimbursement Projects
Treatment/Technical Guidance
Adequacy of Treatment
Advanced Treatment
Best Practical Waste
Treatment Technology (BPWTT)
Chlorine Safety
Handbook
PM 72-6, 2/6/72; PM 72-14, 5/19/72; Handbook
PG-45, 12/11/74; PG-63, 1/20/76
CG 71-6, 2/17/71; Handbook
PRM 80-2, 12/20/79
PRM 78-3, 2/17/78; PRM 80-5, 7/9/80
CG 70-17, 6/18/70
PG-56, 8/5/75
PG-53, 7/8/75
PG-42, 10/23/74
PG-44, 12/9/74
Handbook
Handbook
PRM 78-8, 2/13/78
PRM 76-2, 7/26/76
CG 70-1, 1/2/70
CG 71-2, 1/20/71
CG 71-26, 12/31/71
PRM 81-1, 1/7/81
PM 72-1, 1/6/72; PRM 76-1, 7/26/76
CG 71-9, 3/31/71; PG-18, 10/30/72; PG-22, 12/21/73;
PG-30, 4/17/74; PG-40, 9/24/74; PG-40A, 10/18/74;
PG-40B, 11/13/74; PG-40C, 12/4/74; PG-40D, 2/28/75
PM 72-18, 8/17/72; PM 72-21, 10/6/72
PRM 79-7, 3/9/79
PG-27, 3/30/74; PG-27A, 4/10/75
PRM 79-1, 10/23/78
85
-------
SUBJECT INDEX (Continued)
Treatment/Technical Guidance (Continued)
Dredge and Fill
Emergency Operation
Individual Systems
Infiltration/Inflow
Land Treatment
Ocean Discharges
Plan of Operation
Pretreatment
Project Segmenting
Secondary Treatment
Septic Tank Wastes
Sludge Disposal
Small Systems
Stabilization Ponds
User Charge/Industrial Cost
Recovery
PRM 76-4, 10/14/76
CG 71-13, 6/15/71
Handbook
PM 72-17, 8/11/72; PM 72-19, 8/17/72?
PG-24, 2/7/74; PG-26, 3/15/74; PRM 78-10, 3/17/78
PRM 79-3, 11/15/78
PM 72-8, 4/19/72
PRM 77-3, 11/29/76
Handbook
PG-33, 5/10/74; PM 72-3, 1/13/72;
PM 72-15, 6/2/72
CG 71-20, 12/31/71; PM 72-4, 2/2/72
CG 71-25, 12/30/71
PM 72-22, 11/2/72
PRM 79-8, 5/9/79
PG-16, 9/11/73
PG-28, 4/5/74; PG-37, 7/9/74; PG-38, 7/16/74;
PG-65, 5/17/76; PRM 78-6, 2/17/78
86
-------
ALL REGIONAL CONSTRUCTION
GRANTS MEMORANDUM (CG)
1970 - 1971
-------
ALL REGIONAL CONSTRUCTION
GRANTS MEMORANDUM (CG)
1970
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
70-1
70-2
1/2/70
1/6/70
oo
70-3
70-5
1/21/70
2/13/70
70-17
6/18/70
70-18
70-19
9/29/70
9/29/70
All-Region Memoranda of
1969
Approval of Construction
Grant Projects Which Will
Not Meet Standards,
Enforcement, or Other
Implementation Schedules
Bureau of the Budget
Circular No. A-95, Trans-
mi ttal Memorandum No. 1
Uniform Determination of
Bon
-------
CG 1970 Continued
CG ft
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
70-20
10/13/70
70-21
10/13/70
oo
00
70-22
70-23
70-24
70-25
10/15/70
10/23/70
11/5/70
11/11/70
State and Local Assur-
ances Under 601.35
of Regulations
Section 8, Federal Water
Pollution Control Act:
Inadequate State Funds
to Match Federal
Allocations
Retroactive Eligibility
for Increased Section 8
Grants
Guidelines for Determin-
ing Eligibility of Inter-
ceptors and Pumping
Stations
Deductions for Liquidated
Damages When Computing
Final Project Eligible
Costs
Interest on Bond Discounts
Requires grant applicants to assure proper operation
and maintenance of completed treatment works; re-
quired paragraph to be made part of grant offer
and acceptance form.
Higher percentage grants (40-50% as distinct from
30% grants) may continue to be made in states that
have heretofore provided matching grants even if
the state has run out of state funds provided
sufficient evidence exists to demonstrate that
state plans to provide matching grants at some
point in future (e.g., new appropriation by state
government).
Increased federal grants may be made where the state
enacts a matching grant program either from the
effective date of the program or the beginning of
the current fiscal year.
Guidelines suggest criteria for determining whether
a sewer line is an interceptor (eligible for grant)
or trunk or lateral sewer (ineligible for grant).
Collected liquidated damages are to be disregarded
when computing eligible project costs and resulting
federal grant; this changes former policy as con-
tained in Construction Grants Handbook of Procedures,
Interest on bond discounts are not to be considered
as part of the cost of construction; grantee sold
bonds to construction contractor as means of payment
on a particular project.
-------
CG 1970 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SF)
Comments
70-26
11/9/70
Legal, Administrative and
Fiscal Costs of Section 8
Projects
Administrative costs attributable to construction
of treatment works are eligible for grant participa-
tion; general administrative costs for municipal
affairs are not eligible; also reiterates earlier
decision concerning ineligible costs for interest
on borrowing, costs to prepare financial statements
for bonds or bonding, fees for bond counsel, tax
assessors and tax collectors.
oo
vo
-------
ALL REGIONAL CONSTRUCTION
GRANTS MEMORANDUM (CG)
1971
CG ft
71-1
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-2
71-3
71-4
71-5
71-6
71-7
71-8
1/12/71
1/20/71
2/25/71
1/28/71
1/21/71
2/17/71
2/19/71
3/15/71
Grant Eligibility of
Conversion of Mercury
Seals on Trickling
Filters
All-Region Memoranda
of 1970
Industrial Wastes
State Matching Grants
on EPA Supplemental
Projects
Revisions to Project
Sign Details
Enforcement of Labor
Standards
Basis of State Partici-
pation in Waste Treat-
ment Construction
Grants Program
Experience Clause for
Equipment Suppliers
(SP) 6/30/71
CG 71-14
Grants may be awarded for converting mercury seals
on trickling filter type treatment works to mechani-
cal seals; new mercury seals are not eligible for
grant participation.
Advises regions that 26 CG's were issued during 1970,
Supplements interim guidelines and sets forth policy
concerning eligibility of projects where a substan-
tial amount of flow is from one or more industries.
Discusses source of funding where EPA grants are
supplemented by Economic Development Administration
(Department of Commerce) grants.
Provides detailed drawing of required project sign
which reflects a change of name for EPA.
Responsibility for reviewing and checking construction
contractor's payroll forms is transferred to grantees.
Discussion of state's obligation to make a matching
grant in order for applicant to qualify for higher
percentage EPA grant; state need only agree to
provide financial assistance to all applicants.
Effective immediately experience clauses for equip-
ment suppliers and materials are to be discouraged
for grant projects; recommends bonding where addi-
tional warranties are required; in exceptional
cases, experience clause may be used if justified.
-------
CG 1971 Continued
CG ft
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-9
3/31/71
71-13
71-14
71-15
71-16
6/15/71
6/30/71
7/26/71
8/16/71
Special Procedures for
Administering the Grant
Funds to be Allocated
from the $200 Million
of FY 1971 Appropriated
Funds Earmarked for
Reimbursement or Severe
Local and Basinwide
Water Pollution Problems
Wastewater Treatment
Facilities, Emergency
Readiness and Operating
Program and Procedures
Basis of State Partici-
pation in Haste TReat-
ment Construction Grants
Program
Changes in Filing and
Approval Requirements for
Form T-128, Compliance
Report
Use of Section 8, FWPCAA
Funds to Reimburse Munici-
palities for the Purchase
of Privately-Owned Treat-
ment Facilities
Provides special procedures for payments (examples
provided) to reimbursable projects recognizing a
short time interval for obligation of funds.
Transmits guidelines describing the scope of an
emergency operating program which should be included
as a part of the O&M manual.
Clarifies CG 71-7 (2/19/71) indicating that a state's
matching grant cannot be a loan but some form of
obligation "to pay" by the state.
Advises states and EPA offices to carefully review
project information to insure that discrimination
is not practiced with regard to a grantee's treat-
ment works project.
Grant funds may not be used to purchase existing
privately-owned treatment facilities.
-------
CG 1971 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-17
8/20/71
71-18
71-20
10
ro
71-21
71-22
71-23
8/20/71
12/31/71
11/23/71
12/22/71
12/30/71
71-24
12/27/71
Project Management During
Construction
Final Audit of Facilities
Construction Projects
Secondary Treatment Require
ments of 18 CFR 601.25 as
Amended July 8, 1971
Joint EPA-HUD Supplemen-
tary Guidelines for Water
Quality Management
Planning
Preapplication and Pre-
design Review for Waste
Treatment Works
Construction Projects
Predesign Investigation
of Sewer Infiltration
Problems
FWPCAA - Disaster Relief
Eligibility of Projects
Damaged by Disasters for
FWPCAA Grants
Transmits guidelines defining federal-state-local
roles in project management; subjects discussed
include: preconstruction conference, responsibility,
change orders, inspections and reports.
Sets forth procedures between audit and EPA regional
offices for requesting and processing audits.
Grants may be made for projects providing less than
secondary treatment where grantee commits to pro-
vide secondary treatment in accordance with an
acceptable schedule.
Transmits additional guidelines for determining if
a project conforms with a comprehensive plan and is
therefore eligible for an additional 10% EPA grant.
Sets forth new procedures for review of projects by
states and EPA prior to submission of grant applica-
tion; procedures intended to accelerate future grant
awards.
Sets forth guidelines for infiltration studies; costs
for such studies are eligible design costs; costs
for correction (i.e., construction) are eligible
provided such work is not considered routine
maintenance.
Projects damaged as a result of a disaster are
eligible for EPA grants and may be given higher
priority by states; all other conditions and limita-
tions of grants must be met.
-------
CG 1971 Continued
CG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
71-25
12/30/71
Septic Tank Waste Disposal
71-26
12/31/71
All-Region Memoranda
of 1971
Grants may be made for treatment facilities, whether
separate facilities or portions of larger treatment
works, to treat septic tank wastes; grantees must
insure however that septic waste haulers pay a fair
share of capital and O&M costs.
Advises regions that 26 CG's were issued during 1971,
to
-------
PROGRAM MEMORANDUM (PH)
1972 - 1973
-------
PROGRAM MEMORANDUM (PM)
1972
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
72-1
1/6/72
72-2
vo
72-3
72-4
72-5
72-6
1/11/72
1/13/72
2/2/72
1/24/72
2/6/72
Field Communications
Grant Conditions
Concerning Basin Plan-
ning
Project "Splitting"
July 13, 1971
Regulations
Cost of Municipal Haste
Water Treatment Plant
Operation and Mainten-
ance Manuals
Safety and Health
Regulations
(SP) 6/2/72
PM 72-15
(SS) 4/19/72
PM 72-8
(SP) 5/16/72
PM 72-14
Announces change from previous "All Regional Construc-
tion Grants Memorandum" (CG's) to new mechanism
entitled "Program Memorandum" to communicate program
policy and directives to regional offices from
headquarters.
Deletes an earlier requirement for inclusion of a
specific paragraph concerning conformance with basin,
regional or metropolitan plan in grant offers;
requirements now set forth in regulations.
Grant awards may be made for portions (splitting,
segmenting, phasing) of projects where an integral
'treatment works plan is approved and where good
cause exists for such "splitting."
Provides further clarification and guidance to the
regulation (7/13/71) which requires a minimum of
secondary treatment (85% removal of BOD's) for
award of grant assistance.
Provides cost curves to assist (i.e., guidance)
regional offices in establishing the reasonableness
of costs to prepare operation and maintenance manuals;
these costs are allowable for grant participation.
Transmits copy of safety and health regulations
promulgated by the Department of Labor which should
(not must) be included in project specifications
by reference.
-------
PM 1972 Continued
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
72-8
72-10
4/19/72
4/28/72
72-12
5/16/72
vo
en
72-14
5/19/72
72-15
72-16
6/2/72
7/25/72
Definition of "Open
Ocean Waters"
Eligibility of Television
Surveillance System Costs
(SP) 8/17/72
PM 72-19
Allowability of Costs of
Removal and Replacement
of Telegraph and Utility
Lines
Application of Labor
Department Health and
Safety Regulations
Project "Splitting"
Region I Questions
and Answers
Defines exemption from secondary treatment regula-
tions (7/13/71) for ocean discharges.
Television inspection costs are allowable for grant
participation but must be proportioned based on need
for startup (eligible), ratio of interceptors
(eligible) to collection sewers (ineligible) and
operation and maintenance uses (ineligible); case-
by-case decisions.
Costs to remove and replace in kind telegraph and
utility lines necessary to the construction of
treatment works are allowable for grant participa-
tion; reverses an earlier decision from the Office
of General Counsel, Department of Health, Education
and Welfare dated 3/31/66.
Labor Department standards (contract work hours and
safety) must be included in contract between grantee
and construction contractor; construction contractor
responsible to comply with "Occupational Safety and
Health Act of 1970."
Strengthens the necessity for demonstrating that a
project must be split into segments; requires a firm
schedule for completion of the entire system result-
ing in an operable treatment works.
Attaches answers to nine questions raised by Region I;
subjects include: definition of initiation of a pro-
ject, grant shares (percentages) based on pending
legislation, use of various FY funds and other fundine
decisions.
-------
PM 1972 Continued
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
72-17
8/11/72
72-18
72-19
8/17/72
8/17/72
Extraneous Flow in Waste
Treatment Systems
Clarification of 40 CFR
35,835-4, Adequacy of
Treatment
Infiltration/Inflow
Grant Costs
(SP) 10/6/72
PM 72-21
vo
72-20
9/11/72
NEPA Aspects of the Award
and Administration of EPA,
State and Local Assist-
ance Grants
72-21
10/6/72
40 CFR 35.835-4,
Adequacy of Treatment
72-22
11/2/72
Handling and Disposal of
Sludges from Waste Water
Treatment Facilities
Policy indicates that extraneous flows (infiltration/
inflow) must be either removed or treated (minimum
of secondary treatment) or combination of both
depending on the results of a cost-effectiveness
analysis.
Provides technical clarification concerning an accept-
able level of treatment to be eligible for grant award.
Defines the sequential procedural steps for sewer sys-
tem evaluation studies indicating that reasonable costs
essential for the studies are eligible for grant par-
ticipation; indicates I/I studies may be performed by
force account; these guidelines will be used until
formal regulations are published.
Provides detailed guidance and legal opinions concern-
ing the implementation of the National Environmental
Policy Act (NEPA) to the Construction Grants Program;
in general an environmental review and decision by EPA
should precede grant award; also includes discussion
of grant amendment, termination and other EPA actions
including allowable costs and financial liability.
Indicates studies underway to define more accurately
"secondary treatment;" requirements in PM 72-18
(8/17/72) should be used as a design goal rather than
an inflexible standard until the issue (do waste
stabilization ponds and trickling filters satisfy
secondary treatment requirements?) is resolved.
Provides technical guidelines concerning the disposal
of sludge (raw sludge not to be applied to land nor
landfills) and the treatment of sludge liquids.
-------
PROGRAM MEMORANDUM (PM)
1973
PM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
73-1
2/21/73
Selection of Materials
or Equipment
Discusses equipment and material (particularly
for sewer pipe) specifications and conditions under
which grant participation will be limited to lowest
costing product or if justified by grantee more
expensive equipment or material.
-------
PROGRAM GUIDANCE MEMORANDUM (PG)
1973 - 1976
-------
PROGRAM GUIDANCE MEMORANDUM (PG)
1973-1976
PG #
1
3
5
Dated
5/16/73
6/25/73
5/31/73
Title
Grants for the Construc-
tion of Wastewater
Treatment Works
Use of Revenue Sharing
Funds for Waste Treat-
ment Projects
Grants for the Con-
struction of Waste-
water Treatment Works
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 6/11/73
PG-13
(SP) 5/31/73
Ofl_£
JrVj— D
(C) 7/26/76
PRM 76-2
(C) 1/7/81
PRM 81-1
(C) 7/26/76
PRM 76-2
Redesig-
nated
PRM No.
75-1
Comments
This guidance document is long and supple-
ments the interim construction grants
regulations (40 CFR Part 35, Subpart E)
published 2/28/73; Appendix B is a summary
policy and guidance statement addressing
the specific requirements which will apply
in the immediate future; relevant guidance
areas discussed includes facilities plan-
ning, secondary treatment, infiltration/
inflow, cost-effectiveness guidelines, user
charges and industrial cost recovery, pre-
treatment, plans and specifications require-
ments, environmental assessments and a
tabular summary of construction grants
requirements.
Revenue sharing funds may not be used for
the local share of grant eligible project
costs; may be used, however, for unallow-
able or ineligible items associated with
the project.
Supplements and further clarifies item IX
"plan and specification requirements" of
PG-1 with regard to Step 2+3 grants; pro-
hibits "design/construct" grants until
guidelines are issued.
V£>
00
-------
PG 1973 Continued
PG ft
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
7/17/73
7/20/73
vo
vo
10
None
11
6/12/73
13
14
6/11/73
7/11/73
Utilization of Contract
Grant Authority Under
Title II of PL 92-500
to Increase Grants
Awarded Under Section 8
of the Former Federal
Water Pollution Control
Act
Revised Policies and
Procedures for Grants
Class Deviation from
Regulation 40 CFR
35.925-8
Wastewater Treatment
Works Construction
Grants Extended
Administrative Pro-
cessing Period
Supplemental Funding,
Grant Percentage,
Section 202A
Experience Clauses
for Equipment
Suppliers
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
(C) 1/7/81
PRM 81-1
75-2
Contractual obligation authority grant funds
authorized under the 1972 amendments may not
be used to increase grants for projects
awarded grants under previous legislation;
a separate section of the 1972 amendments
sets aside funds for this purpose (reim-
bursement projects).
Primarily concerns in-house policies and new
forms to be used by grantees when requesting
payment; payment only made after costs have
been incurred, i.e., no advance payments.
Deviation is granted from the 30 day notice
concerning a public hearing where adequate
notice has been given for public partici-
pation; the deviation expires 7/31/73.
Grant award period for FY 73 extended to
7/31/73; however, no grant awarded after
7/1/73 unless grantee demonstrates that the
project is not subject to excessive
infiltration/inflow.
Supplements PG-1 and cancels policy in item
XI "Supplemental funding;" all grants must
be at the 75% level.
In general restates earlier policy (CG 71-8
3/15/71) indicating that restrictive exper-
ience clauses are not allowed; if used for
good reason, alternate equipment must be
considered if supplier is willing to furnish
bond or cash deposit against failure.
-------
PG 1973 Continued
PG #
15
16
17
17A
18
19
19A
Dated
9/11/73
9/11/73
5/17/73
4/15/75
10/30/73
11/2/73
8/8/75
Title
Flood Hazard Evalua-
tion Guidelines
Haste Stabilization
Ponds
Standardized Construc-
tion Contract Documents
Standardized Construc-
tion Contract Documents
Reimbursement
Nonrestrictive
Spec ti f i cations
Nonrestrictive
Speci f i cations
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(C) 7/26/76
PRM 76-2
(C) 1/7/81
PRM 81-1
(SS) 4/15/75
PG-17A
(C) 1/7/81
PRM 81-1
t
(SP) 12/21/73
PG-22
(C) 7/26/76
PRM 76-2
(SS) 8/8/75
PG-19A
(C) 1/7/81
PRM 81-1
Redesig-
nated
PRM No.
75-3
75-4
75-5
Comments
Transmits "Flood Hazard Evaluation Guide-
lines for Federal Executive Agencies,"
May 1972, for information purposes.
Reinforces that stabilization ponds which
receive grants must provide a minimum of
secondary treatment or be upgraded
accordingly.
Transmits copies of standardized construc-
tion documents (advertisement, bid bond,
agreement, etc.) for optional use by
grantees .
Provides optional standardized contract
documents for use with construction con-
tractors; not mandatory but grantees
encouraged to use.
Provides guidance to supplement regulations
concerning processing of reimbursable
projects, i.e., projects initiated between
1966 and 1972 at less than the full grant
percentage.
Reinforces open and free competition; two
brand names "or equal" to be used in speci-
fications; prefer use of performance
speci f i cations .
Reinforces that proprietary products may
only be specified when justified; requires
that if product description is used, two
brands must be provided followed by the
words "or equal."
o
o
-------
PG 1973 - 1974 Continued
PG ft
22
24
25
25A
26
27
27A
Dated
12/21/73
2/7/74
3/1/74
11/4/74
3/15/74
3/20/74
4/10/75
Title
Reimbursement
Sewer System Evaluation
and Rehabilitation
Flood Disaster Protec-
tion Act of 1973
(Public Law 93-234}
Supplement to PG No. 25;
Flood Disaster Protection
Act of 1973 (PL 93-234)
Sewer System Evaluation
Best Practicable Waste
Treatment Technology
Best Practicable Waste
Treatment Technology
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 4/17/74
PG-30
(C) 7/26/76
PRM 76-2
(SP) 3/15/74
PG-26
(C) 1/7/81
PRM 81-1
(SP) ' 11/4/74
PG-25A
(C) 1/7/81
PRM 81-1
(SS) 8/16/76
PRM 76-5
(C) 1/7/81
PRM 81-1
(C) 7/26/76
PRM 76-2
(SP) 4/10/75
PG-27A
(C) 7/26/76
PRM 76-2
Redesig-
nated
PRM No.
75-7
75-8
75-9
Comments
Based on new legislation, application cutoff
date and reimbursement computation date
extended; no action to be taken on projects
between 1956 and 1966.
Provides additional guidance and flexibility
for a determination by the state or EPA
whether excessive I/I does or does not
exist.
Requires projects in designated flood hazard
areas in which federal flood insurance is
available to obtain such insurance in order
to be eligible for a grant.
Supplements PG-25 allowing exemption for
structures costing $10,000 or less and sewer
lines or other buried structures; applicable
only to Step 3 grants.
Transmits "Guidance for Sewer System Eval-
uation" to assist grantees and engineers.
Transmits technical guidance in a document
entitled "Alternative Waste Management Tech-
niques for Best Practicable Treatment."
Revises technical requirements to achieve
BPWTT particularly with regard to land
application techniques.
-------
PG 1974 Continued
PG tt
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
28
4/5/74
30
33
4/17/74
5/10/74
o
ro
34
5/7/74
36
6/5/74
36A
9/17/74
User Charge and Indus-
trial Cost Recovery
System
Approval of Reimburse-
ment Projects Not
Previously Serviced by
EPA
Grand Funds and
Project Segmenting
Class Deviation - Use
of Force Account Work
on Construction Grants
Projects
Construction of Pretreat-
ment or Treatment Facili-
ties for Municipal
Utilities
Eligibility of Wastewater
Treatment Facilities at
Municipally Owned Water
Treatment Works for
Construction Grants
(C) 7/9/74
PG-37
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
75-10
75-11
(C) 1/7/81
PRM 81-1
(SP) 9/17/74
PG-36A
(C) 8/6/82
CG-82
75-14
75-15
75-17
75-18
Permits use of ad valorem tax base system
for UC (cancelled in PG-37 on 7/9/74); ICR
charges may be allocated on a systemwide
basis.
Sets forth additional guidance for projects
constructed without an EPA grant prior to
10/18/72; collection sewer projects not
eligible for reimbursement grants.
Allows project segmenting even though seg-
ment does not result in operable project;
no EPA commitment for future grant; grantee
must agree to make entire project operable;
grants for segments must be at 75%.
Allows force account work on Step 1, 2 or 3
projects without dollar limitation; requires
grantees to justify use by demonstrating
competency and economy.
Treatment facilities at municipal water
treatment utilities to dispose of sludge or
other wastes from water treatment no longer
eligible for grant after 7/1/74; earlier
grants before 6/30/74 not affected by this
decision.
Provides additional explanation of why waste
treatment projects at municipal water treat-
ment utilities are not eligible for con-
struction grants under PL 92-500.
-------
PG 1974 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
37
7/9/74
38
7/16/74
Cancelling PG-28, User
Charges and Industrial
Cost Recovery System
User Charge Systems
(SP) 7/16/76
PG-38
(C) 1/7/81
PRM 81-1
(C) 1/7/81
PRM 81-1
75-19
75-20
o
U)
40
9/24/74
Obligations and Payments
for Construction Grant
Reimbursement Projects
(C) 7/26/76
PRM 76-2
Reverses earlier decision to allow UC system
based on ad valorem taxes (see PG-25,
4/5/74); ICR provisions unchanged.
Pending projects are to be advised ad valoren
tax based user charge system is not accept-
able; existing grant projects to be advised
that ad valorem based user charge system
must be changed or grant may be withdrawn.
This PG and those which supplement it (40A,
B, C and D) primarily discusses internal
procedures, schedules, payments and contact
with states and grant applicants concerning
obligations and grants for reimbursable
projects using $1.9 billion appropriated
under section 206(a) PL 92-500. However,
other items concerning eligibility are also
discussed. All five PC's should be read as
a group. First round payments to be made
based on 50% of applicant's claim for those
applicants which had received a previous
grant; older "woodwork" projects which had
not received a grant to be processed second-
ly; internally establishes cutoff date of
11/30/74 for submission of information and
documentation from applicant to be eligible
for a grant.
-------
PG 1974 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
40A
10/18/74
40B
11/13/74
Obligations and Payments
for Construction Grant
Reimbursement Projects
Construction Grants
Reimbursement Projects
Eligible Costs, Printouts,
Corrections to PG-40A
(C) 7/26/76
PRM 76-2
(C) 7/26/76
PRM 76-2
40C
12/4/74
40D
2/28/75
Obligations and Payments
for Construction Grant
Reimbursement Projects
Second Round
Reimbursements
(C)
7/26/76
PRM 76-2
(C)
7/26/76
PRM 76-2
Cutoff date for submission of documentation
by applicants extended to 12/31/74; in-
cludes forms to be completed noting percent-
age of construction completed as of 1/31/74.
Reimbursable eligible costs are for con-
struction completed as of 1/31/74; total
grant entitlement (subtracting existing
grants made before 1/31/74 limited to 50%
or 55%; reiterates guidance stated in PG-22
(12/21/73); eligible work completed after
1/31/74 is not acceptable for computing
reimbursement with current $1.9 billion
appropriation; total federal assistance from
all sources (Farmers Home Administration,
Economic Development Administration, etc.)
may not exceed 80% of eligible project costs;
cutoff date for submission of documentation
by applicants on "woodwork" projects
extended to 1/31/75.
Concerns review and confirmation by regional
offices of computer printout sheets pro-
duced by headquarters; advises that cutoff
date of 1/31/75 was published in FR on
11/21/74 (p. 40855).
Based on the number of projects (4222) and
the amount of funds appropriated for reim-
bursement ($1.9 billion) in the final EPA
grant, percentage for each project is
68.709%; first round reimbursements were
limited to 50% of eligible project costs for
construction completed by 1/31/74; reimburse-
ment grants may now be increased (in some
cases, decreased) to 68.709%.
-------
PG 1974 - 1975 Continued
PG #
42
43
44
45
47
49
Dated
10/23/74
11/13/74
12/9/74
12/11/74
3/11/75
N/A
Title
Engineering Services for
Hastewater Treatment
Facilities, Revision of
Fee Structure
Policy Re Retention of
Payments
Escalation Clauses in
Construction Grants
Projects
Use of Value Engineer-
ing in the EPA Construc-
tion Grants Program
Relationship Between
201 and 208 Planning
Eligibility of Land Ac-
quisition Costs for Land
Treatment Processes
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SS) 7/8/75
PG-53
(C) 7/26/76
PRM 76—2
JT CU * / V ff
(C) 1/7/81
PRM 81-1
(C) 1/7/81
PRM 81-1
(SS) 1/20/76
PG-63
(SS) 2/9/76
PG-66
(SP) 4/2/76
PG-67
(SP) 12/15/76
PRM 77-5
(C) 8/6/82
CG-82
Redes ig-
nated
PRM No.
75-22
75-23
75-25
Comments
Prohibits engineering contracts based on
"percentage of construction costs" and
suggests other acceptable types of con-
tracts; transmits Attachment O to OMB's
Circular A-102 and indicates that these
procedures should be followed.
Emphasizes need to make prompt payments to
construction contractors and provides 10%
retainage until 50% project completion;
thereafter reduced to 5% and lower after
project substantially complete; may be
applied retroactively.
Restates that escalation of cost clauses
are not authorized for construction grants
projects.
VE is grant eligible when approved in ad-
vance; redesign resulting from VE is grant
eligible when approved in advance; A/E
contracts requiring redesign may be renego-
tiated from percentage-of-construction
type contracts.
Establishes coordination procedures be-
tween facilities planning and areawide
wastewater treatment management plans while
both are in the process of development.
Guidance on determination of land eligibili-
ty (and ineligibility) for land treatment
(effluent not sludge) systems.
o
U1
-------
PG 1975 Continued
PG #
50
51
52
53
54
56
57
Dated
6/6/75
6/25/75
7/2/75
7/8/75
7/8/75
8/5/75
9/8/75
Title
Consideration of Second-
ary Environmental Effects
in the Construction
Grants Process
Questionnaire for
Review of Facilitiy Plans
Field Survey to Identify
Cultural Resources
Affected by EPA
Construction Grants
Projects
Interim Guidance -
Consulting Engineering
Agreements - Title II
Construction Grants
Program
Flood Insurance Require-
ments Effective
July 1, 1975
EPA Procedures in
Initiating Debarment
Actions Against Grantee
Contractors
Cost Control
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(C) 7/26/76
PRM 76-2
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(C) 7/26/76
PRM 76-2
(SS) 8/16/76
PRM 76-5
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
Redes ig-
nated
PRM No.
75-26
75-27
75-28
75-29
75-30
Comments
Provides guidance on the evaluation of
secondary (growth enducing) environmental
effects of projects in order to assure
uniform national application.
Transmits a sample facilities plan review
checklist to be used as guidance.
Provides guidance on the conduct of field
surveys to identify cultural resources;
indicates eligibility of survey costs to
be made on a case-by-case basis and
reasonableness .
Provides interim guidance based on pro-
posed regulations dated 5/9/75 and concerns
A/E contracts and clauses for inclusion
in agreements.
If designated as a flood-prone community,
grantee must be participating in the flood
insurance program to be eligible for grant.
Lists four conditions for initiating debar-
ment proceedings.
Reemphasizes that projects are to be cost
effective and provides guidance for eval-
uating projects including "gold plating"
and value engineering.
-------
PG 1975 Continued
PG #
58
59
60
61
62
Dated
9/ /75
2/11/76
8/11/75
12/16/75
12/29/75
Title
Facilitating BIS Prepara-
tion with Joint BIS/
Assessments (Piggybacking)
Compliance with Title VI
in the Construction
Grants Program
Discount Rate
Grants for Treatment and
Control of Combined Sewer
Overflows and Storm-
water Discharges
Allowable Costs for Con-
struction of Treatment
Works That Jointly Serve
Municipalities and
Federal Facilities
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
WV7 O*»
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(SP) 12/3/76
PRM 77-4
fcpl T/fil
\DJT / J/ ox
PP— Rl
C f O.I.
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
Redesig-
nated
PRM No.
75-31
75-32
75-33
75-34
75-35
Comments
Provides procedures and guidance for the
early identification of projects which may
require the preparation of an environmental
impact statement and procedures for con-
ducting a joint ElS/environmental assess-
ment statement where an acceptable consult-
ant is hired by grantee.
Requires grantee to comply with the Civil
Rights Act} discrimination in providing sewer
service is not to be practiced.
Revised discount rate 6-1/8% effective for
all new facilities planning starts.
Combined sewer projects must demonstrate
that they are cost effective compared with
other alternatives; stormwater projects
generally not fundable except under unusual
circumstances; multipurpose projects to be
proportioned and grant based on pollution
control portion only.
Federal facilities required to pay their
proportional share of design (after 12/29/75)
and construction except if federal 'contribu-
tion is 25,000 gallons/day or less or 5%
or less of the total design flow.
-------
PG 1976 Continued
PG #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Redesig-
nated
PRM No.
Comments
63
1/20/76
64
2/5/76
H
O
00
65
5/17/76
66
2/9/76
67
4/2/76
Value Engineering in the
EPA Construction Grants
Program
Allowability/Eligibility
of Miscellaneous Costs
(C) 8/6/82
CG-82
(C) 7/26/76
PRM 76-2
User Charge System:
Plan and Schedule
(C) 8/6/82
CG-82
Relationship Between
201 Facility Planning
and Water Quality Manage-
ment (WQM) Planning
Eligibility of Land
Acquisition Costs for the
Ultimate Disposal of
Residues from Wastewater
Treatment Processes
(SP) 3/81
FP-81
(C)
8/6/82
CG-82
(SP) 12/15/76
PRM 77-5
(C)
8/6/82
CG-82
75-36
75-37
75-38
75-39
VE mandatory for all Step 2 projects after
7/11/76 with total estimated costs of $10
million or greater; encouraged on other
projects; redesign costs to implement VE
recommendations eligible for grant; VE
training costs may be eligible.
Provides detailed guidance on allowability
of costs applicable to both earlier (PL 84-
660) and later (PL 92-500) projects; lists
35 specific examples (indirect, direct,
studies, reports, etc.).
Emphasizes that grantees are to submit with
a Step 2 application a realistic and de-
tailed plan and schedule for the development
and implementation of a user charge system
during Step 3 construction.
Provides guidance for coordination between
the two planning efforts (facilities plan-
ning and WQM planning) in order to assure
conformity and preclude delays.
Provides detailed guidance concerning the
eligibility of land for disposal of resi-
dues (sludge, grit, ashes) including costs
which are not allowable.
-------
PROGRAM REQUIREMENTS MEMORANDA (PRM)
1976 - 1981
-------
PROGRAM REQUIREMENTS MEMORANDA (PRM)
1976-1981
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
76-1
76-2
76-3
7/26/76
7/26/76
8/16/76
o
vo
76-4
10/14/76
76-5
8/16/76
77-1
77-2
11/23/76
11/29/76
Construction Grants
Program Issuances
Cancellation of Certain
Program Guidance
Memoranda (PGM)
Presentation of Local
Government Costs of
Wastewater Treatment
Works in Facility Plans
Coordination of Construc-
tion Grants Program with
EPA-Corps of Engineers
Section 404/Section 10
Permit Programs
Flood Insurance
Requirements
Treatment Works for
Recreational Parks,
Industrial Parks and
Institutions
Grants Eligibility of
Start-up Services
(C) 1/7/81
PRM 81-1
(C) 1/7/81
PRM 81-1
(SP) 6/21/77
PRM 77-8
(SP) 3/81
FP-81
(SP) 3/81
FP-81
(C) 1/7/81
PRM 81-1
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
Initiates and explains new PRM and POM system and
provides conversion from earlier PG and CG systems*
Lists cancelled PC's and where appropriate reason
for cancellation; renumbers and cross references
remaining PC's as PRM's all beginning PRM 75-1, -2...
Requires full public disclosure of all project costs
and annual or monthly costs to users.
Grantees with projects impacting wetlands or navig-
able waters should consult with the Corps of
Engineers concerning permits.
Requires Step 3 grantees to participate in flood
insurance program where applicable in order to be
eligible for grant; supersedes PC's 25, 25A and 54.
Municipal treatment works are to have priority over
projects solely for recreation and industrial parks
and institutions; if new, parks not eligible; if
existing, possibly eligible.
Generally treatment plant start-up services are
eligible for grant participation; includes limita-
tion of services and also discusses retroactive
application.
-------
PRM 1977 Continued
PRMft
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
77-3
11/29/76
77-4
12/3/76
H
M
O
77-5
12/15/76
77-6
5/4/77
77-8
6/21/77
Plan of Operation for
Municipal Wastewater
Treatment Facilities
Cost Allocations for
Multiple Purpose
Projects
Grant Eligibility of
Land Acquisition by
Leaseholds or Ease-
ments for Use in Land
Treatment and Ultimate
Disposal of Residues
Easements
(C) 8/6/82
CG-82
Funding of Sewage
Collection System
Projects
(SP) 3/81
FP-81
(SP) 2/17/78
PRM 78-4
(C) 8/6/82
CG-82
(C) 5/30/80
PRM 80-3
(C) 1/7/81
PRM 81-1
(SS) 3/8/79
PRM 78-9
Guidance for preparing a plan of operation; pre-
liminary plan of operation should accompany plans
and specifications at the conclusion of Step 2
projects; includes sample plan of operation and
other considerations .
Provides rationale and mathematical equations for
proportioning costs on projects with multiple
purposes (e.g., treatment/flooding/drainage/solid
waste disposal, etc.); supplements PG-61.
Costs of leasing land or of obtaining an easement
on land for land treatment processes or ultimate
disposal of sludge are grant eligible if several
conditions are satisfied; supplements PG-49 and
PG-67.
All new Step 2 work hereafter shall include pre-
liminary easement-related work to avoid future
delays; however, grantees not to purchase eligible
land before Step 3 award.
Provides guidance on eligibility of sewers with
regard to date of substantial habitation (10/18/72);
density criteria; evaluation of other alternatives;
requires additional work during facilities planning;
parts effective immediately and may be retroactive
to projects which have not received approval of
facilities plans.
-------
PRM 1978 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
78-1
12/29/77
78-2
78-3
1/26/78
2/17/78
78-4
78-6
2/17/78
2/17/78
78-7
2/17/78
Erosion and Sediment
Control in the
Construction Grants
Program
Discount Rate
Buy American
Grant Eligibility of
Land Acquired for
Storage in Land
Treatment Systems
Industrial Cost
Recovery "• Guidance
Combined Step 2 and
Step 3 Construction
Grant Awards
(Step 2+3)
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(SS) 7/9/80
PRM 80-5
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
CO 1/7/81
PRM 81-1
Provides guidelines and general principles for
erosion and sediment control to be used in project
planning, design and construction; may be applied
retroactively.
Revised discount rate 6-5/8% effective 10/1/77;
to be used in new facilities plans.
Step 3 projects must include "Buy American" pro-
visions (preference to domestic construction
materials) in construction contracts.
Land acquired (not lease nor easement) for storage
after 12/27/77 is eligible for grant participation;
supplements PG-49, PG-67, and PRM 77-5.
Implements the ICR moratorium concerning repayment
of federal share of recovered ICR funds; exempts users
of 25,000 gal/day from ICR; releases withheld grant
payments based on noncompliance with ICR provisions;
grantees may collect ICR payments and must continue
to develop ICR system.
Allows combined Step 2+3 grants for communities with
population of 25,000 or less and project costs $2
million ($3 million in high cost states) or less.
-------
PRM 1978 - 1979 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
78-0
78-9
2/13/78
3/8/78
78-10
78-11
78-12
3/17/81
5/11/78
6/12/78
79-1
10/23/78
Rejection of All Bids:
Guidance for EPA
Concurrence Functions
Funding of Sewage
Collection System
Projects
(C)
8/6/82
CG-82
(SP) 3/81
FP-81
Infiltration/Inflow
Program Guidance
Toxicity of Chemical
Grout for Sewer
Rehabilitation
Preconstruction Lag
Management
Safety Requirements
for the Design and
Operation of Chlori-
nation Facilities Using
Gaseous Chlorine
(SP) 3/81
FP-81
(C) 8/6/82
CG-82
(SP) 5/30/80
PRM 80-3
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
All bids may be rejected only with good cause and EPA
concurrence; grant may be limited to federal share
of lowest bid if resolicitation is undertaken.
Provides guidance on eligibility of sewers with
regard to date of substantial habitation (10/18/72);
removes density criteria from eligibility deter-
mination but allows density criteria for evaluation
of alternatives to conventional sewers; requires
conventional sewers to be justified based on public
health, groundwater pollution or point source pollu-
tion; applicable to all projects containing collec-
tion systems.
Optional simplified procedures for I/I determination;
less than 1500 gallons/in, diameter/day considered
nonexcessive infiltration.
Notice of alert that a certain grout used in reha-
bilitating sewers may be toxic and exposure by
workers should be completely avoided.
Strengthens procedures to avoid construction delays
and sets conditions for terminating grant.
Sets forth good engineering practices for safety in
design and operation of chlorination facilities;
applicable to all new grants and where practicable
on existing grants.
-------
PRM 1979 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
79-2
11/13/78
79-3
11/15/78
u>
79-4
79-5
11/17/78
12/28/78
79-7
79-8
3/9/79
5/9/79
Royalties for Use of or
for Rights in Patents
Revision of Agency
Guidance for Evaluation
of Land Treatment
Alternatives Employing
Surface Application
Discount Rate
Construction Incentive
Program
Grant Funding of Projects
Requiring Treatment More
Stringent than Secondary
Small Wastewater Systems
(C) 8/6/82
CG-82
(SP) 3/81
FP-81
(C) 1/7/78
PRM 81-1
(C) 8/6/82
CG-82
(SP) 9/5/79
PRM 79-11
(SP) 3/81
FP-81
Royalties to be avoided where possible but if
justified are allowable for grant participation;
procedures and criteria for justification are set
forth in this PRM.
Land treatment must be given very serious considera-
tion during facilities planning; three systems must
be evaluated; applicable to new facilities plans and
those not presently approved; emphasizes agency's
commitment to land treatment; pretreatment prior to
land application to comply with EPA design manual
or possibly unallowable for grant.
Revised discount rate 6-7/8% effective 10/1/78; to
be used on new facilities plans*
Incorporates a voluntary construction incentive
clause in Step 3 projects; provides formula for com-
puting financial reward for realized savings;
applicable to projects with Step 3 eligible cost of
more than $10 million.
Projects providing greater than secondary treatment
are to be justified and receive special review at -
EPA regions (less than $1 million) or EPA head-
quarters (more than'$l million).
Sets forth agency policy for funding privately and
publicly owned small systems; guidelines for expen-
sive projects; coordination with FmHA; lists other
eligible and ineligible costs for small systems.
-------
PRM 1979 - 1980 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
79-10
79-11
80-1
80-2
7/12/79
»
9/5/79
11/26/79
12/20/79
80-3
5/30/80
80-4
7/17/80
Qualifications of Major
Items of Equipment
Funding of Waste Load
Allocations and Water
Quality Analysis for
POTW Decisions
Discount Rate
Step 2 and Step 3
Architect/Engineer Level
of Effort Study
Management Reforms to
Reduce the Time Inter-
val Between Step 3
Grant Award and
Initiation of
Construction
Implementation of Women's
Business Enterprise
Support Program
(C) 8/6/82
CG-82
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
(C) 8/6/82
CG-82
(SP) 8/29/80
PRM 80-7
(C)
8/6/82
CG-82
Sets forth procedures for prequalifying equipment
without restricting free and open competition.
Grant funds may be used to conduct waste load allo-
cation studies where treatment more stringent than
secondary is proposed; requires EPA and state
approval.
Revised discount rate 7-1/8% effective 10/1/79; to
be used on new facilities plans.
Announcement of a study to help determine reason-
ableness of A/E design and inspection costs for
grant assisted projects; distributes publication
from EPA Dallas regional office concerning level
of A/E effort for design and inspection services.
Sets forth policies and procedures to reduce the
time delay between Step 3 grant award and initia-
tion of construction for four problem areas, namely,
acquisition of real property (including easements),
local funding requirements, service agreements
(intermunicipal) and cultural resource investiga-
tions .
Establishes a 2% national goal for participation
by women-owned firms in the Construction Grants
Program; reasonable WBE liaison services allowable
for grant participation.
-------
PRM 1980 - 1981 Continued
PRM #
Dated
Title
Date Cancelled (C)
Superseded (SS)
Supplemented (SP)
Comments
80-5
80-6
7/9/80
7/21/80
Buy American
Retroactive Application
of Program Requirements
(C) 8/6/82
CG-82
(C) 1/7/81
PRM 81-1
80-7
8/29/80
81-1
81-2
1/7/81
11/19/80
Grant Eligibility of
Minority Business Enter-
prise and Women's
Business Enterprise
Liaison Services
Issuance of Program
Requirement
Memorandum
Discount Rate
(C) 8/6/82
CG-82
Sets forth a three-step procedure for evaluating
the application of the Buy American provisions;
discusses the 50% rule and 6% price preference.
States agency policy on retroactive application of
requirements; in general new requirements do not
apply to Step 3 projects under construction or
likely to be under construction in six months; new
requirements will only apply to existing projects,
where necessary to implement new laws or correct
serious program deficiencies.
States policy under which MBE and WBE liaison
services are eligible for grant participation.
(C) 8/6/82
CG-82
Cancels many previous PRM.ts; identifies those to
be cancelled upon publication of Facilities
Planning 1981 (FP-81).
Revised discount rate 7-1/8% effective for all
new facilities plans started 60 days after date
of PRM, i.e., 1/19/81.
-------
HANDBOOK OF PROCEDURES
-------
Handbook of Procedures
1975-1981
Subject
Indirect Costs
Travel Costs
Bond Costs
Liquidated Damages
Bid Bond Forfeiture
Rate Studies
Financial Reports and Studies
Establishment of Special Assessment Districts
Public Liaison Services
Assistance with State and Federal Regulations
Public Participation On-Site Visits
Cost of Grantee Training Workshops
Redes Jgn/Replanning Costs Resulting from Changes
in Federal Requirements
Field Surveys to Identify Cultural Resources
Industrial Planning
Facilities Serving Communities and Federal Facilities
Site Acquisition vs. Site Preparation Costs
Certificate as to Title to Project Site
Acquisition of Privately or Publicly Constructed
Waste Treatment Facilities
Demolition of Existing Structures
Utilities
First
Edition
7/1/75
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
TM No.
76-1*
8/19/76
/
/
TM No.
77-1
1/10/77
/
TM No.
78-1
2/17/78
/
Second
Edition
10/1/79
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
-------
HANDBOOK Continued
Subject
Restoration of Streets and Rights-of-Way
Mobile Equipment
Office Equipment and Furnishings
Shop Furnishings
Laboratory Equipment and Supplies
Safety Equipment
Tools
Replacement Parts
Collection System Maintenance Equipment
Project Inspection
Groundwater Monitoring Facilities
Biological "Seeding"
Service Charges
Fringe Benefits
Labor Charges and Related Costs
Start-up Services
Pretreatment Program
Individual Systems
Royalties and Patents
Crossover Sewers
Costs of Implementing the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970
First
Edition
7/1/75
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
TM No.
76-1*
8/19/76
TM No.
77-1
1/10/77
/
TM No.
78-1
2/17/78
/
Second
Edition
10/1/79
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
/
No
Opinion
* TM 76-1 contains a revision to the general "Allowability Determinations" and reads, "The cost items listed below
are applicable to both PL 84-660 and PL 92-500 projects. In making eligibility determinations, consideration
should be given to commitments previously made to grantees in the absence of prior National policy, pertinent
statutes or regulations."
-------
AUDIT RESOLUTION BOARD DECISIONS
-------
AUDIT RESOLUTION BOARD DECISIONS (ARB)
1980-1982
ARB
Decision
dumber
Dated *
Title
Comments
2/21/80
1A
1/19/81
oo
2/21/80
2/21/80
1/19/81
Allowable Base for Determining
Design Fees as a Percentage
of Construction Cost
Applicability of Paragraph B5
of Appendix D to both PL 84-660
and PL 92-500 Projects
(Clarification of Decision on
ARB-1)
Allowability of Bond Costs
Claimed Under PL 92-500
Unaudited Costs Allowed to
Match Costs Questioned in
Final Audit Report
Unsupported Service Charges
Limits the base for computing design fees on grants awarded
under Subpart E to the low, responsive, responsible bid for
construction plus (or minus) the cost of change orders
approved before 12/17/75 where construction was initiated
prior to that date; not applicable if final payment was
made before 12/17/75.
Concludes that the policies and procedures contained in
Appendix D to 40 CFR Part 35 Subpart E entitled "EPA Transi-
tion Policy - Existing Consultation Engineering Agreements"
is equally applicable to grants awarded under PL 92-500
and Section 8 of Public Law 84-660.
Bond costs (other than interest) such as expenses to prepare
the prospectus, printing, advertising, issuing, etc. are
allowable project costs on Step 3 grants awarded on or before
2/5/76; bond costs under PL 92-500 grants awarded after
2/5/76 are not eligible for grant participation.
Additional costs may be claimed by grantee after final audit;
however, the additional costs not considered in determining
allowable costs until the additional costs are subjected to
audit.
Service charges (as used here, refer to a predetermined per-
cent of actual direct nonsalary items such as special con-
sultants, printing, communication, travel) are allowable for
grant participation only if supported by accounting records;
many times, a separate pool for these costs is not maintained
and they are additionally invoiced as part of the overhead
(duplicate billing).
* Effective immediately on all cases for which EPA has not yet rendered a final determination.
-------
ARB 1980 - 1982 Continued
ARE
Decision
N limber
Dated *
Title
Comments
5
6
N/A
1/19/81
7
8
N/A
11/3/81
11/3/81
10
3/11/82
N/A
Clarification of Construction
Grants Regulation 40 CFR
35.925-18 ("Limitation upon
project costs incurred
prior to award")
N/A
Allowability of Unsupported
Grantee Claims
Improper Renegotiated
Engineering Subagreement
Costs - Interim Audit Report
No. P2bw9-01-0019-91234
Effect of a Region's Prior
Approval of Construction
Grant Specifications Upon
the Agency's Ability to
Disallow Unreasonable Costs
Under further study.
Planning and design costs falling within the transition pro-
visions of 40 CFR 35.925-18(a)(2) and (a)(3) may be reimbursed
under the next awarded grant regardless of step, i.e., it is
not necessary to award individual PL 92-500 Step 1 and Step 2
grants.
Resolved'without"issuance of ARB decision.
Reinforces the necessity by the grantee of maintaining records
which fully disclose the amount and disposition of grant funds
and facilitate an effective audit in order for costs to be
allowable for grant participation.
Grantee renegotiated a pre-existing percentage-of-construction-
cost contract into a fixed-price contract without adequate
negotiation and cost review; therefore, costs allowable for
grant participation are limited to incurred costs plus the
dollar profit specified in the contract.
Unreasonable costs (in the instant case, aesthetic features)
are not allowed for grant funding; EPA's review and approval
of plans and specifications does not absolve the grantee of
its responsibility to properly design and construct the pro-
ject nor make unallowable costs allowable; in the instant
case, the ARB found for the grantee.
* Effective immediately on all cases for which EPA has not yet rendered a final determination.
-------
ARE 1980 - 1982 Continued
ARB
Decision
Number
Dated *
Title
Comments
11
3/11/82**
Allowability of Undocumented
Overtime Charges
12
N/A
N/A
Engineer used a cost-multiplier type contract but credited
professional employees with compensatory time in lieu of
overtime pay; engineer's records could not substantiate that
employees used compensatory time and therefore costs are
not allowable for grant participation; reinforces documen-
tation and record requirements of ARB decision #4.
Resolved without issuance of ARB decision.
H
to
o
* Effective immediately on all cases for which EPA has not yet rendered a final determination.
** Effective for all grants awarded prior to issuance of the Handbook of Procedures.
-------
APPENDIX A
BOARD OF ASSISTANCE APPEALS DECISIONS
SUBJECT INDEX AND CHRONOLOGICAL LISTING
-------
DRAFT
Assistance Appeals Subject Index*
Current as of January 13, 1984
Alienability of Costs for Grant Funding
Accounting Method
76-16t 79-08t
Allocation
78-OAt 79-09
80-13ttt 80-18
80-61 80-64
Direct Costs
79-04 79-09t
80-17 80-25
80-81 80-102
81-89 81-92t
Documentation
76-16t 77-06t
79-43 80-22t
80-54t 80-64
80-10U 80-114
81-62t 81-63
81-84t 81-89
81-102 81-112t
82-19t 82-20t
82-53t 82-90
82-122t
79-34t
79-18ttt
80-26
80-69
79-29t
80-28t
81-17
82-12
77-22t
80-28t
80-72
81-02t
81-72
81-921
81-113
82-29t
82-93t
80-73
79-29t
80-31t
80-85t
80-01t
80-57
81-18
82-122t
79-09t
80-29
80-77
81-03t
81-73
81-93
82-10t
82-37t
82-97t
Federal Cost Principles
75-23t 80-13t
Force Account
79-18t tt 80-09
80-55 80-57
81-06t 81-31
81-99t 81-109
80-54t
80-10
80-64
81-43t
82-44t
80-76t
80-13t
80-94
81-74
82-54t
79-43ttt 80-01t
80-56 80-60
81-03t 81-57t
80-09 80-12
80-65 80-70
81-58 81-711
79-29t 79-36t
80-41 80-51t
80-81t 80-97t
81-42t 81-47
81-77t 81-79t
81-97 81-98t
82-12t 82-15
82-44t 82-481
82-113t 82-119t
80-83t 81-89t
tt 80-36 80-49
80-101t 80-113t
31-77 81-86
* Key: Pending appeals are designated by docket numbers with-
out symbols. Decisions and other determinations of the Board
of Assistance Appeals are designated by docket numbers with the
following symbols:
t Decided Appeal
tt Ruling on Procedural/Jurisdictional Motion or Order
ttt Reconsidered Appeal
-------
-2-
Fringe Benefits
77-22t
80-113t
79-08t
81-21t
79-09t
81-79t
79-34t
82-15
80-54t
80-85t
Incurred After Completion Date
79-43t
80-109t
81-107t
79-43ttt
81-23t tt
81-109t
80-54t
81-26
82-06
80-62
81-54t
82-77t
80-94
81-57t
83-33t
80-101t
81-89t
Incurred Before Grant Award
75-17t
80-39t
75-36t
80-62
76-01t
80-113t
79-08t
81-20
79-10t
81-78t
79-43ttt
81-79
Indirect Costs
General Municipal
78-17t 79-08t
80-80t 80-85t
81-36t 81-67
82-53t 82-97t
Generally
78-12 79-04
80-113t 81-03
81-43t 81-89t
Administrative Expenses
79-43t
80-106t
81-84t
82-103
80-26
81-06t
82-11
80-5H
81-03t
81-89t
80-27
81-08
82-12
80-54t
81-23
82-32t
80-30
81-38
82-94
80-79t
81-35t
82-37tt
80-65
81-40
Indirect Cost Rate
80-70
82-64
80-80t
81-03t
81-36t
81-76
81-107
Interest Against the Government
80-50t 80-54t 81-37t 81-42t
82-06t
82-133t
Outside Scope of the Project
77-13t 80-51t 80-79t 80-80t
81-99t 81-115t 82-17t
81-54
81-89t
Overhead
80-07t
81-97
80-17
80-52t
80-81
81-03t
81-21t
Profit
80-07t
81-49t
80-30
82-93t
80-65
80-81
81-21t
81-36t
-------
-3-
Reasonableness
79-18t tt 79-36t 79-43t 80-01t 80-07t 80-13t
80-23t 80-39t 80-52t 80-54t 80-63t 80-76t
80-97t 81-02t 81-03T 81-491 81-77t 81-89t
81-98t 82-23t 82-119t 83-19t
tt
Aud its
Access to Records
78-06t
Record Retention
77-06t
80-01t
80-97t
81-89t
Board of Assis
Burden of
75-16t
78-19tt
80-01t
80-26tt
80-60tt
80-1 16t
81-98t
82-105t
78-06t
80-1 3t
81-03t
81-92t
79-15t
80-22t
81-38t
81-98t
79-18t
80-23t
81-62t
82-20t
79-29t
80-28t
81-77t
82-46
tance Appeals
Proof
75-38t
78-20tt
80-07t
80-39
80-61tt
81-02t
81-107t
83-33t
76-20t
79-09t
80-1 3t
80-52t
80-64tt
81-21t
82-19t
77-21t
79-18t
80-18tt
80-54t
80-69tt
81-23ttt
82-24t
~t ("1 4/^4.
78-14tt
79-25t
80-22t
80-55tt
80-80t
81-35t
82-26tt
Cost of Appeal
80-54t 80-80t
Issues on Appeal
80-28t 81-79t
81-89t
Jurisdiction
Bid Protests
75-37t
79-42t
82-03
Deviations from Regulations
77-13t78-01t 79-48tt 80-22t
80-79t 80-110tt 81-54t 81-77t
79-36t
80-54t
81-81
78-15tt
79-36t
80-23t
80-56tt
80-85t
81-36t
82-53t
80-40t
82-110t
-------
-4-
Equitable Powers
75-07t 79-49t 80-22t 81-77t 82-03t 82-26tt
Final Disputes Decision
77-21t 77-21tt 79-18t tt 79-48tt 80-13t tt 80-53
80-79t 80-85t 80-97t 80-113t 81-36t 81-89t
81-103t 81-108t 81-79t 81-96t 82-02 82-16t
82-60 83-106tt 83-126tt 83-132tt 83-137tt
Generally
79-48tt 79-49t 80-01t 80-18tt 80-22t 80-2'6tt
80-55tt 80-56tt 80-60tt 80-61tt 80-64tt 80-69tt
80-80t 80-105 80-113t 81-33t 81-79t 81-96t
82-26tt
Notice of Appeal
78-01t 78-23tt 79-18t 79-25t 80-13t
Parties to Appeal
79-38tt 80-80t 80-103tt
Reconsideration
74-08ttt 74^09ttt 75-05ttt 75-06ttt 79-36ttt 80-18tt
80-26tt 80-39tt 80-55tt 80-56tt 80-60tt 80-61tt
80-64tt 80-69tt 81-23ttt 81-33ttt 82-37t 82-57tt
Standard of Review
79-49t80-Olt 80-39t 81-57t 81-115t 82-26tt
82-30t
Procedures
Deadlines
74-13tt76-21tt
Dismissal
74-13tt 81-80t
Generally
80-85tt 80-110tt 81-6t 82-23t
Panel Appointment
80-89tt 80-98
Clean Air Act
77-06t 78T06t 79-09t 79-29t 80-28t 80-77t 81-38t
81-62t 81-79t
-------
-5-
Clean Water Act
Wastewater Treatment Works Construction Grants
Abandonment of Treatment Works
81-02t
Acquisitions
Land
76-Olt
80-54t
81-55
77-20t
80-85t
81-67
Treatment Works
74-081
75-05t
78-26t
Additions
75-Q1t
81-58t
Advanced
74-08t
t 75-06t
81-19t
80-01t
80-97t
81-68
t 74-09t
75-06tt
81-119tt
to Treatment Works
75-25t
82-24t
Wastewater
78-26T
82-66-
Treatment
80-31t
81-02t
82-19t
74-09tt
76-01t
t
80-76t
80-38
81-42t
82-23
75-05t
76-18t
80-117
81-35t
78-07 81-96t
Alternative Technology
Applicable Regulations
82-110t
Architect/Engineering Services
79-10t
80-01t
80-38
80-79
80-1 10
81-31
81-77t
82-37t
82-90
79-15t
80-04
80-39t
80-80
81-05
81-32
81-80
82-49
82-94t
79-18t t1
80-07
80-52t
80-85t
81-06t
81-36t
81-97t
82-53t
82-97t
r 79-33t
80-13t tt
80-63
80-89
81-20
81-43t
81-98t
82-57t
82-1 13t
79-43t
80-14
80-64
80-94
81-2U
81-49t
82-1'7t
82-77
83-33t
79-47t
80-22
80-72
80-104
81-22t
81-58
82-20t
82-80
Bond Costs
74-13
81-86
"79-36ttt
82-19t
80-01
80-09
80-54t
81-32
-------
-6-
Collectors and Interceptors
74-12t
75-14t
76-20
79-49t
83-06t
75-09t
75-15t
77-02
80-22t
75-10t
75-16t
77-17
80-105
75-1 1t
75-17t
77-18t
81-04
75-12t
75-21t
78-12
S1-98t
75-13t
75-39t
79-25t
82-55t
Cost Effectiveness
75-01t
81-19t
75-05t
79-33t
79-431
80-22
81-02t
Crossover Sewers
77-09
80-54
Duplicative Costs
77-22t 79-38 79-33t 79-34t 80-07t
80-54t 81-02t 81-58 82-19t 82-105t
Eligibility of Applicant
75-07t 78-26t
Industrial Cost Recovery
79-49t
Industrial Sources
75-30t
79-49t
81-99
Initiation of Construction
74-07
75-38t
77-15t
78-26t
81-114t
Innovative Technology
82-11 Of
Landscaping
81-32 81-34
81-101
Legal Fees
Claim Defense
82-26tt
-------
-7-
Equal Access to Justice Act
80-80t
Generally
79-36t80-01 80-04 80-54T 80-80t 80-97t
80-104 81-32 81-361 81-42t 81-95 81-98t
82-05 82-53t 82-77 82-80 82-119t
Municipality
75-03t
Operation/Maintenance
79-38 80-26 31-21t 81-89t 81-112t 82-17t
82-103
Plans and Specifications
80-04 80-63t 80-64 80-80t 81-94
Pollution Control Need
75-11t 80-22t 81-50 81-66 81-69 82-17
82-24t
Project Inspection
78-06 79-36t 80-OU 80-26 80-109 81-06t
81-23t 81-26 81-32 81-43t 81-44 81-89t
81-98t 81-107t 81-109t 82-20t 82-57t 82-77t
82-113 83-33t
Redesign Costs
79-43t 80-38 80-80t 81-33t 82-94t
Reg ionali zat ion
74-08tt74-09tt 75-05t 76-17 77-19 78-08
78-14 78-15 78-19 78-20 81-84t
Reimbursement for Pre-Award Costs
74-07 74-13 75-25t 76-18t 77-15t 80-39t
Replacement of Treatment Works
77-02t79-38t79-49t82-11Ot
-------
-8-
Sewer Use Ordinance
80-54t 80-79t 81-112t
States
Approval
75-U 82-66
Certification
81-54t
Delegation to State Agencies
75-03t 80-79t 81-54t 82-17t 82-118t
83-126t 83-137tt
Priority List
81-19t
Street Repair
77-2U 81-47 81-115 83-137tt
User Charge System
76-04t 80-95 80-116t
Estoppel
74-07 75-25t 75-37t 78-23tt 79-12t 79-18tt
79-34t 79-36t 79-47t 79-49t 80-07t 80-13tt
80-22t 80-50t 80-52t 80-54t 80-8H 80-97t
81-03t 81-33t 81-37t 81-50 81-54t 81-56
81-62t 81-69t 81-77t 81-89t 81-98t 81-l12t
81-114t 82-06t 82-19t 82-26tt 82-133t
Grant Administration
Amendments
77-13t80-03t 80-116t 81-69t 81-114t
Annulment
Breach
81-16t 81-114t
-------
-9-
Characterization
Contract
76-02t 30-105t 8l-114t
Cooperative Agreement
Trust
79-18t 80-13t 80-23t 82-53t
Conditions
81-16t 81-58
De-Obligation of Grant Funds
81-105
Matching Funds
81-16t 81-65
Project Changes
Generally
77-13t 79-43t 80-03t 80-54t 80-105t 81-22t
81-23ttt 81-54t 81-107t 82-23t
Grant Amount
Decrease
81-103t
Increase
78-17t79-36t 80-79t 80-116 81-23ttt
81-54 81-107t 81-112t 82-66 82-119t
Prior Approval
79-10t 79-181 tt 79-36t 80-13t tt 80-79t 81-98t
81-99t 82-26tt 82-66
-------
-10-
Schedule
Recoupment of Grant Funds
76-021 78-06t 79-12t 79-18t 80-01t 80-13t
80-28t 80-97t 81-03t 81-45 , 81-56 81-75
81-79t 81-92t 81-98t 82-18 82-53t
Suspension
80-03
Termination
76-02t 81-114t 82-1 18t 83-76
Withholding of Grant Funds
80-83t 80-104
Grant Related Income
Generally
81-68
Interest on Grant Funds
Earned
79-18t 80-13t 80-50t 80-57 80-58 80-71
80-83t 81-37t 81-52 81-58 82-06t 82-53t
82-133t
Imputed
79-18tt 80-13tt 81-86 81-102 81-106
Grant Types
Advance Payment
80-50t 81-37t 82-06t 82-133t
Reimbursement
80-50t 81-37t 82-06t 82-44t 82-133t
-------
-11-
Grantee's Management Responsibilities
Financial Management
81-16t 81-114t 82-80t
Project Management
79-101 79-36ttt 79-38 80-52t 80-54t 80-80t
80-109t 81-02t 81-33t 81-115t 82-17t 82-23t
83-19t 83-33t
Grantor* s Responsibilities
81-69t 81-78t 82-03t
Subagreements
Change Orders
75-37t 79-18 79-36t 80-07t 80-14 80-19
80-26 80-40 80-75 80-83t 80-94 80-1011
81-21T 81-33ttt 81-35t 81-39 81-711 81-86
81-98t 81-107t 82-03t 82-16 82-36 82-45
82-53t 82-60t 82-103 82-105t
Compensation
79-18t tt 79-43t 80-01t 80-13t tt 80-52t 81-2U
81-36t 81-77t 80-39t 80-54t 80-80t 81-62t
81-97t 81-98t 81-21t 82-90 83-33t
Contract Clauses
Escalation Clause
82-60t
Generally
76-15t80-23t 81-97t 83-06t
Contractor's Failure to Perform
80-54t81-23ttt81-89t
Cost and Pricing Data
79-15t 80-52t 80-81t
-------
-12-
Generally
80-17 80-23ttt 80-81t 81-08 81-22
Interest on Fees Paid
80-54T
Minority and Women's Business Enterprise Reauireraents
81-96T 82-03t
Procurement
Formally Advertised
75-37t 82-03t 82-19t
Negotiated
75-37t 82-03t
Types
Cost Plus
Fixed Fee
81-22t 81-21t 81-23ttt 81-49t 82-20t
Multiplier
79-43t 80-52t 81-21
Percentage of Construction Cost
79-18t 79-43t 79-47t 80-39t 80-52t
80-85t 81-16t 81-22t 81-97t 81-98t
81-112t 82-112t 83-33t
Percentage of Cost
78-28 80-13t 80-16 80-34 80-55
80-68 80-71 80-85
Fixed Price
80-3080-39t 80-521 81-49T 81-69t 81-77t
Uniform Relocation and Real Property Act
77-20t
-------
CHRONOLOGICAL LIST OF ASSISTANCE APPEALS DECISIONS
Docket No.
76-04
75-01
76-01
75-30
75-37
77-13
75-03
77-20
76-02
75-06
74-08/74-09
77-02
75-05
75-14
78-01
73-23
76-21
76-16
76-13
77-21
77-22
AND OTHER SELECTED DETERMINATIONS
Assistance Anoeal Case Name
City and Borough of Juneau, Alaska
City of Warren, Michigan
City of Arnold, Missouri
City of Washington, Missouri
City of Spokane, Washington
City of Sycamore, Illinois
Kansas Turnpike Authority
City of Columbia, South Carolina
Brook lawn Dairy Faros
City of Casselberry, Florida
Western Monmouth Utilities Authority
Wheaton Sanitary District
Uwchlan Township Municipal Authority
City of Terre Haute, Indiana
Village of Deer Creek, Illinois
City of Kansas City, Kansas
(Ruling on Motion)
Harriraan, Tennessee
Cowlitz County, Washington
Heart of the Valley Metropolitan
Sewerage District, Wisconsin
City of McEwen, Tennessee
(Ruling on Motion)
Citv of Fairfield, California
Date of Decision
7-28-76
5-25-77
6-30-77
8-15-77
11-30-77
12-29-7S
3-02-79
4r27-79
5-03-79
8-OS-79
9-21-79
10-04-79
11-26-79
12-21-79
1-04-30
1-17-30
1-23-30
1-24-30
2-23-30
3-05-30
3-05-30
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Docket No.
Assistance Aotseal Case N'a~e
Date of Decision
75-07
79-38
Rice Water Supply and Sewer Services
Corporation, Rice, Texas
Louisville and Jefferson County M.S.D.,
Kentucky (Order)
74-12/75-15 City of Fort Wayne, Indiana
75-06/74-08
74-09/75-05
75-19
75-13
79-34
75-12
77-13
75-17
75-25
75-21
75-10
79-15
75-39
80-31
75-41
75-06/74-08
74-08/75-05
79-33
78-17
30-43
80-103
City of Casselberry, Tlorida, et al.,
(Reconsideration)
City of Batavia, Illinois
City of Columbus, Ohio
City of Olynpia, Washington
Stark County, Ohio
Village of Elbum, Illinois
City of Willoughby, Ohio
City of Miaaa Beach, Florida
City of Joliet, Illinois
City of Maple Heights, Ohio
Sacranento Regional County Sanitation
District, California
Sanitary District of Elgin, Illinois
City of Sanborn, Iowa
Village of Milan, Illinois
City of Casselberry, Florida, et al.
(Reconsideration)
Clarksville, Tennessee
City of Colunbus, Ohio
Town of Haapton, New Hampshire
The City of Orlando, Florida
3-20-80
3-25-80
4-01-80
4-18-80
4-28-80
5-22-80
5-22-30
6-16-30
6-20-80
7-01-80
7-15-3C
7-21-30
7-24-30
7-29-80
9-02-30
9-15-80
9-30-30
10-01-80
11-07-30
12-02-30
12-12-30
12-12-30
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-3-
Docket No. Assistance Aooeal Case I*'aae Dare of Decisio:
75-36 Hiwassee Utilities Commission 12-09-SO
75-38 Douglas Country Sewer laproveaent 12-16-80
District, No. 1, Nevada
80-103 Orange County, Florida (Formerly known 1-26-81
as The City of Orlando, Florida)
(Order)
80-23 City of Reno, Nevada 2-10-81
79-13/80-13 County Sanitation Districts of 2-10-81
Los Angeles County
77-06 City of Gary Indiana Air Pollution 2-20-81
Control Agency
75-23 CansDbell, Ohio 3-06-81
79-12 City of Olache, Kansas 3-18-31
79-49 Carlstadt Sewerage Authority 4-13-81
75-11 City of Springfield, Ohio 4-18-31
79-42 Me. Pleasant, Michigan 5-15-31
79-16 City of Clyde, Ohio 6-12-31
80-106 Laurel, Mississippi 7-16-81
81-103 Ocean County Utilities Authority 11-20-81
(Order)
81-108 Cape May Center Municipal Utilities 11-30-31
Authority
75-09 Maryville, Tennessee 3-24-82
80-77 St. Joseph County Health Department, 4-01-82
South Bend, Indiana
80-105 City of Wichita, Kansas 4-16-82
76-15 City and Borough of Juneau, Alaska 4-26-82
SO-83 Midway Community Services District 4-26-82
79-36 Spring City, Tennessee 4-29-32
80-76 Contra Costa County Sanitation District 4-29-32
Pittsburg, California
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Docket No. Assistance Aooeal Case N'a_e Dare of Decision
75-16 Pevraukee, Wisconsin 5-05-32
30-63 Clark. County, Nevada 5-11-32
80-116 Laurel, Mississippi 5-17-82
81-16 Citv of Rockvood, Tennessee 5-25-82
(Order)
30-81 San Francisco Clean Water Prograa 5-2S-32
81-06/81-43 Northeast Sacracento County 6-23-82
Sanitation District
80-101 Town of Clark Hills, Indiana 6-30-82
80-109 Town of Valdese, North Carolina 6-30-82
81-23 City of Montague, California 6-30-82
81-67 City of Angels, California 6-30-82
" 81-35 Montgomery County, Ohio 7-30-32
81-115 Village of Monroe, Ohio 7-30-82
77-21 City of McEwen, Tennessee 8-02-32
79-08 Indiana State Board of Health 8-25-32
81-54 Upland, Indiana 8-26-32
76-20 City of Richland, Missouri S-30-82
79-09 City of Flint, Michigan 8-30-32
80-97 Keystone - Mt. Rushiaore Sanitary 8-30-32
District, South Dakota
82-16 Joint Meeting of Essex and Union 8-30-82
Counties, New Jersey
78-26 City of Casselberry, Florida 8-31-32
79-43 Bolinas Comminity Public Utility 8-31-82
District
80-113 City of Fort Wayne, Indiana 8-31-32
79-25 City of Youngstown, Ohio 9-02-32
79-36 Spring City, Tennessee 9-29-D2
(Reconsideration)
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Docket No.
77-15
81-02
81-33
81-19
80-35
81-69
81-89
74-08/74-09
82-24
79-10
80-22
80-54
80-79
81-96
82-53
79-48
78-06
80-18/80-26
80-55/80-56
80-60/80-61
80-64/80-69
81-33
Assistance Appeal Case Naae
Metropolitan Sanitary District of
Greater Chicago
Town of Tonasket, Washington
City of East Ridge, Tennessee
Atlantic City Municipal Utilities
Authority
Crystal Bay General laprovenent
District.,, Nevada
Big Sandy Public Service District
City of Rohnert Park, California
Western Monaouth Utilities Authority,
New Jersey
(Ruling on Motion)
Modesto, California
Lake County, Illinois, Public Works
Department
Calhoun County Department of Public
Works, Calhoun County, Michigan
Mendocino City Community Services
District, California
Leadsville Public Service District,
West Virginia
Sioux Falls, South Dakota
City of Coffeeville, Mississippi
Northglenn, Colorado
(Ruling on Motion)
City of Anderson, Indiana
East Bay Dischargers Authority
(Ruling on Motion)
East Ridge, Tennessee
(Reconsideration)
Date of Decision
9-30-82
9-30-82
9-30-82
10-28-82
10-29-82
10-29-82
10-29-82
11-01-82
11-23-82
11-30-82
11-30-82
11-30-82
11-30-82
11-30-82
11-30-82
12-02-32
12-21-82
12-22-32
12-22-62
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-o-
Docket No.
80-07
81-23
81-79
79-18/80-13
80-50/81-37
82-06/82-133
80-52
82-19
81-16
81-03
81-114
82-03
82-17
80-28
81-36
81-77
81-98
82-20
80-39
81-49
81-73
81-92
82-30
Assistance Appeal Case Isaae
Piaa County, Arizona
City of Montague, California
(Reconsideration)
Merropolitan Sewer District of
Greater Cincinnati
County Sanitation Districts of
Los Angeles
(Ruling on Motion)
County of Sacramento, California
City of Greenfield, California
Town of Cusick, Washington
City of Rockwood, Tennessee
Muskegon County, Michigan
Department of Public Works
»
Summit County, Ohio
Allegan County, Michigan
Marquette County Department of
Public Works
Lake County, Indiana
Roads End Sanitary District
Chagrin Falls, Ohio
City of St. Charles, Missouri
City of Cambridge, Nebraska
City of Rocky Mount, North Carolina
Red Sulphur Public Service District
City of Oberlin, Ohio
State of Michigan, Department of
Natural Resources
City of Seattle, Washington
Date of Decision
12-23-82
12-23-82
12-28-82
12-2.9-62
12-30-82
12-30-82
1-10-83
1-06-83
1-31-83
1-31-83
1-31-83
1-31-83
2-24-83
2-28-83
2-28-83
2-23-83
2-28-83
3-31-83
3-31-83
3-31-83
3-31-83
3-31-33
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-7-
Docket No. Assistance Appeal Case Naae Date of Decision
81-110 Monticello, Minnesota 4-27-83
(Order)
81-107 Naperville, Illinois 4-27-83
82-23 Town of Mantachie, Mississippi 4-27-83
80-80 Huaboldt Bay Wascewater Authority and 4-2S-83
Winzlsr Sc Kelly
82-37 City of Bakersfield, California 4-2S-83
(Order)
79-29 Regional Air Pollution Control 4-29-83
Agency, Dayton, Ohio
78-14/78-15 City of Mainland, Florida, _et a^. 5-03-83
73-19/78-20 (Order)
81-97 Metropolitan Waste Control Commission, 5-11-83
Minnesota
82-44 Okanagon County, Washington 5-13-33
81-112 City of Spencer, West Virginia 5-31-83
80-03 Fallbrook Sanitary District, Calif. 6-07-83
82-93 Tranquillity Public Utility District 6-07-83
SO-9S Sewerage Commission - Oroville Region 6-27-S3
(Ruling on motions)
82-57 Webster Springs Public Service District 6-27-83
82-54 Metropolitan Waste Control Commission, 6-29-83
Twin Cities Area
82-77 Jeffersontown Water and Sewerage 6-29-83
Commission
82-29 lona - Bonneville Sewer Dist. 6-29-83
79-33 Louisville and Jefferson County 6-30-83
Metropolitan Sewer District
79-43 Bolinas Coasunity Public Utility 6-30-33
District (Reconsideration)
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-8-
Docket No. Assistance Appeal Case Name Date of Decision
82-12 Western Michigan Shoreline Regional 7-22-83
Development Comm.
81-80 Wayne County Dept. of Public'Works 7-22-83
(Order)
82-10 City of Troy, Missouri 7-27-S3
80-51 San Berdardino County, California 7-28-83
81-57 Grand Forks, North Dakota 7-28-83
82-80 Harrison Township, Pennsylvania 7-28-83
82-113 Uwchlan Township Municipal Authority 7-28-83
81-109 City of Stockbridge, Georgia 7-29-83
82-60 City of Flint, Michigan 7-29-83
83-19 Pacific City" Sanitary District, Oregon 7-29-83
81-19 Atlantic City Municipal Utilities 8-03-93
Authority (Reconsideration)
81-42 Joseph City Sanitary District, Arizona 8-10-83
81-71 Wood County Parks and Recreation 8-10-83
Commission, Waverly, West Virginia
82-37 City of Bakersfield, California 8-10-83
82-48 Russian River County Sanitary District 8-10-83
Sonoma County, California
82-94 Maryland Environmental Services 8-10-83
82-97 Dushore Sewer Authority, Pennsylvania 8-16-83
74-13 MSD of Greater Chicago (Order) 8-17-83
82-57 Webster Springs Public Service 8-17-83
District (Reconsideration)
81-38 City of Toledo, Ohio 8-31-83
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-9-
Docket No. Assistance Appeal Case Name Date of Decision
80-39 City of Rocky Mount, North Carolina 8-29-83
(Recons ideration)
81-38 City of Toledo, Ohio 8-31-83
81-99 Louisville and Jefferson County MSD 8-31-83
81-24 City of Coronado, California (Order) 9-16-83
78-04 Occoquan Woodbridge Sanitary District 9-20-83
79-47 City of Kansas City, Kansas 9-30-83
82-119 Amity Township Municipal Authority, -»- 9-30-83
Pennsylvania
82-122 Genesee - Lapeer - Shiawassee 9-30-83^
Region V Planning Development
Commission
80-41 Pima Association of Governments, 10-17-83
Arizona
82-112 Town of Poseyville, Indiana 10-21-83
82-105 Gloucester County Utilities Authority, 10-27-83
New Jersey
82-110 City of Elkhart, Indiana 10-28-83
81-22 Wheeling Sanitary Board, City of 10-31-83
Wheeling, West Virginia
80-80 Humboldt Bay Wastewater Authority and 11-17-83
Winzler & Kelly
80-01 Colorado River Sewage System Joint 11-30-83
Venture
81-21 City of Boise, Idaho 11-30-83
81-84 Metropolitan Waste Control Commission 11-30-83
81-62 City of Stubenville, Ohio 11-30-83
(Order)
82-55 Kent County, Michigan 11-30-83
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-10-
Docket No. Assistance Appeal Case Name Date of Decision
83-126 Nassau County, New York 12-28-83
(Order)
83-137 Nassau County Department of Public 12-29-83
Works (Order)
82-118 Jefferson County Water District, 12-29-83
No. 10, Nederland, Texas
83-33 City of Omro, Wisconsin 12-30-83
83-132 Carroll Township Authority, Virginia 12-30-83
(Order)
82-26 Town of Hanover, New Hampshire 1-13-84
(Order)
83-06 City of Hoquiam, Washington 1-13-84
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