in tied states
Environmental Protection
Agency
January 1981
Office of Water
Program Operations (WH-547)
Washington DC 20460
OPA 142/0
How to Obtain
Federal Grants
to Build
Municipal Wastewater
Treatment Works
Second Edition
MCD-04
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Note
To order this publication, MCD-04, "How To Obtain
Federal Grants To Build Municipal Wastewater
Treatment Works".
General Services Administration (8FFS)
Centralized Mailing List Services
Bldg. 41, Denver Federal Center
Denver, CO 80225
Please indicate the MCD number and title of publication.
Acknowledgement
This handbook, including the revisions reflected in
this edition, was prepared by the Municipal
Construction Division, Office of Water Program
Operations, Office of Water and Waste Management.
The initial draft was prepared, under contract, by
ESEI (formerly Ecol Sciences, Inc.); Albert T. Bowyer
was the firm's project officer. Albert L. Pelmoter,
Chief, Program Policy Branch, Municipal
Construction Division was project manager with
responsibility for the overall development of the
handbook.
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Foreword
The community which applies for construction grant
funds is participating in the massive program of water
pollution control and abatement to which this Nation
committed itself with the passage of the Federal Water
Pollution Control Act of 1972 (Public Law 92-500).
This legislation, however wide-ranging, has as its
central theme the importance of cooperation among
local, State and Federal agencies charged with the
responsibility for restoring and preserving the quality
of our Nation's waters. In building and operating
sewage treatment facilities, localities are fulfilling their
responsibility under this Act.
In providing Federal funds for the construction of
certain treatment facilities, the Act requires that the
parties to this undertaking follow a series of steps
designed to insure that the best possible project results
from the time, effort and money expended.
This handbook has been prepared to assist
municipal officials in this effort. It contains a
summary of the requirements of the Construction
Grants Program and the responsibilities that each
participant bears, omitting much of the detail. For
that reason, applicants are urged to establish and
maintain ongoing contracts with their consultants and
the State and Federal agencies administering water
pollution control programs. The more grantee officials
understand and involve themselves in the grants
process, the more likely the project they are pursuing
will be planned, designed, built and operated with the
least amount of disruption and to the satisfaction of
all concerned.
Henry L. Longest II
Deputy Assistant Administrator
for Water Program Operations
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Contents
Foreword i
Contents ii
Introduction iv
Appendix 39
Flow Chart 44 (Fold Out)
Put I. Summary 1
1.0 PreappUcation Information 1
I.I Applicant Eligibility 1
1.2 Types of Projects 1
1.3 Priority List 2
1.4 Three Step Construction Grant Process 2
1.5 Water Quality Management Plans 2
1.6 Facilities Planning 2
1.7 Municipal NPDES Permits 2
1.8 Clearinghouse^) 3
1.9 Preapplication Conference 3
2.0 Step 1 Application 3
2.1 Plan of Study 3
2.2 Clearinghouse Comments 3
2.3 Application, EPA Form 5700-32 3
2.4 Selection of Professional Engineer 4
3.0 Step 1: Facilities Planning 4
3.1 Discharge (Effluent) Limitations 4
3.2 Existing and Future Situations 4
3.3 Alternatives 4
3.4 Innovative and Alternative Technology 5
3.5 Municipal Pretreatment Program 5
3.6 Infiltration/Inflow (I/I) Analysis 5
3.7 Sewer System Evaluation Survey 5
3.8 Environmental Evaluation 5
3.9 Public Input 5
3.10 Historical and Archaeological
Investigations 5
3.11 Selected Alternative 5
3.12 Intermunicipal Agreements 6
4.0 Step 2 Application 6
4.1 Facilities Plan 6
4.2 Application, EPA Form 5700-32 6
4.3 Selection of Professional Engineer 6
4.4 Value Engineering 7
4.5 Project Schedule 7
4.6 User Charges 7
4.7 Treatment of Industrial Wastewater 7
4.8 Sewer Use Ordinance 7
4.9 Civil Rights Act of 1964 7
4.10 The Uniform Relocation and Land
Acquisition Policies Act of 1970 7
4.11 Intermunicipal Agreements 7
4.12 Public Input 8
5.0 Step 2 Plans, Specifications and
Estimates 8
5.1 Project Design 8
5.2 Project Specifications 8
5.3 Project Cost Estimates 8
5.4 Continuing Work 9
6.0 Step 3 Application 9
6.1 Plans, Specifications and Estimates 9
6.2 Applications, EPA Form 5700-32 9
6.3 Selection of Professional Engineer 10
6.4 Intermunicipal Agreements 10
6.5 Municipal Pretreatment Program 10
6.6 Public Input 10
6.7 Assurances 10
6.8 Payment Schedule 11
7.0 Step 3 Construction 11
7.1 Advertising for Bids 11
7.2 Receipt and Review of Bids 11
7.3 Change in Grant Amount 11
7.4 Protests 11
7.5 Award of Construction Contracts 11
7.6 Preconstruction Conference 12
7.7 Construction Schedule 12
7.8 Change Orders 12
7.9 On-Site Inspection 12
7.10 Grant Payments 12
7.11 Audits 12
11
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Part II. Explanation of Summary
Items 13
8.0 Preapplieation Information 13
8.1 Applicant Eligibility 13
8.2 Type of Project 13
8.3 Priority List 14
8.4 Three Step Construction Grant
Process 14
8.5 Water Quality Management Plan 15
8.6 Facilities Planning 15
8.7 Municipal NPDES Permits 16
8.8 Clearinghouse(s) 16
9.0 Step 1 Application 16
9.1 Plan of Study 16
9.2 Application, EPA Form 5700-32 17
9.3 Selection of Professional Engineer 17
10.0 Step I Facilities Planning 18
10.1 Discharge (Effluent) Limitations 18
10.2 Alternatives 18
10.3 Innovative and Alternative
Technology 19
10.4 Municipal Pretreatment Program 20
10,5 Infiltration/Inflow (I/1) Analysis 20
10.6 Sewer System Evaluation Survey 21
10.7 Environmental Evaluation 21
10.8 Public Input 22
10.9 Historical and Archaeological
Investigations 23
10.10 Selected Alternative 23
10.11 Intermunicipal Agreements 23
11.0 Step 2 Application 24
11.1 Value Engineering 24
11.2 User Charges 24
11.3 Treatment of Industrial Wastewater 24
11.4 Sewer Use Ordinance 25
11.5 The Uniform Relocation and Land
Acquisition Policies Act of 1970 25
12.0 Step 2 Plans, Specifications
and Estimates 25
12.1 Project Specifications 25
12.1.1 Contract Documents 26
12.1.2 Supplemental General
Provisions of Specifications 26
12.1.3 Equal Employment
Opportunity 26
12.1.4 Davis Bacon Act 27
12.1.5 Flood Disaster Protection
Act of 1973 27
12.1.6 Bonding/Insurance 27
12.1.7 Technical Provisions of
Specifications 28
12.2 Plan of Operation 29
12.3 Payment Schedule 29
13.0 Step 3 Construction 30
13.1 Advertising for Bids 30
13.2 Receipt and Review of Bids 30
13.3 Changes in Grant Amount 31
13.4 Protests 31
13.5 Award of Construction Contracts 31
13.6 Preconstruction Conference 31
13.7 Change Orders 32
13,8 On-Site Inspection 32
13.9 Grant Payments 34
13.10 Audits 34
14.0 Other Prqgram Elements 35
14.1 Allowable and Unallowable Costs 35
14.2 Force Account 35
14.3 State Delegation 36
14,4 Land Treatment 36
15.0 References 37
15.1 P.L. 95-217 The Clean Water Act
of 1977 37
15.2 Code of Federal Regulations 37
15.3 Other Publications 38
15.4 Program Requirements Memoranda 38
ill
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Introduction
This handbook was written to give public officials a
little help in understanding the "in's and out's" and
"do's and don'ts" involved in carrying out the
Construction Grants Program. Municipal officials
obviously have many on-going responsibilities over
and above constructing a sewage treatment facility to
keep them busy. To accommodate these officials, EPA
has summarized the many regulations, guidelines,
technical bulletins and policy statements which govern
the Program in this relatively brief and concise
handbook.
Although municipalities will retain a competent
consultant to assist them with program details, the
ultimate responsibility for project undertakings lies
with the municipal official. The construction of a
sewage treatment facility is a community enterprise
and, while the professionals can do the work, it is the
community which benefits and, of course, pays.
Representatives of that community therefore need to
know some of the "basics" involved in the program so
that maximum benefits can be derived from the
monies spent.
The information in this handbook will enable
municipal officials to be more than "sidewalk
superintendents." With it, they can ask questions which
will help to insure that their consultants are doing
the job they are paid to do and to assure that
documents necessary for grant awards are started and
completed with a minimum loss of time and effort.
The first section of the handbook is a summary of
items which the applicant must know, do or arrange
to be done. Included with these items are reference
numbers which call attention to a more detailed
discussion of the topic in the second section. The
items are presented in chronological order, starting
with project planning and continuing through final
payment and audit.
The handbook does not cover every situation nor
reference every pertinent regulation. It does, however,
give responsible officials the background needed to
become personally involved and to insure that their
project moves freely through the grant process.
The first edition of this handbook was published in
May, 1976, and took into account laws, regulations
and policy in effect as of July 1, 1975. The Clean
Water Act of 1977 mandate'd significant changes in
the conduct of the Construction Grants Program
necessitating the publication of this second edition.
IV
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Parti
A brief summary of information needed by local
officials to obtain a construction grant from the
Environmental Protection Agency to build wastewater
treatment facilities.
1.0 Preapplication Information
NOTE: The following are items of general information which need to be
understood before applying for a grant,
ef.
1.1 Applicant Eligibility 8.1
To be eligible for a construction grant the applicant must be a public
body created under State law and meet a three-part test: (1) have as one
of its principal responsibilities the treatment, transport, or disposal of
liquid wastes of the general public in a particular geographic area; (2)
have the legal authority to subsequently construct and manage the
proposed facility; and (3) be the designated agency identified in an
approved Water Quality Management (WQM) Plan (where applicable).
1.2 Types of Projects 8.2
The following types of projects are eligible for an EPA grant of 75% of
the allowable project costs.
a. Sewage Treatment Plants—new, expanded, upgraded. (Must provide
at least secondary treatment.)
b. Interceptor Sewers—new or rehabilitated.
c. Sewage Collection Systems—new, expanded or rehabilitated,
including pumping stations: the community must have been in existence
before October 18, 1972.
d. Small Alternative Wastewater Systems—new, expanded or
rehabilitated on-site systems (septic tanks or other sub-surface disposal
systems) or other alternative collection systems serving principal
residences, small commercial establishments or clusters of households.
e. Combined Sewer Overflow Control Systems—reducing, storing,
treating, separating or disposing of wastewaters from combined storm
and sanitary sewer systems.
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Ref.
1.3 Priority List 8.3
Annually, each State is allotted a specific sum of money for construction
grants. Projects are ranked in priority order by the States, on the basis
of specific criteria, to determine which will receive these funds. An
applicant's project must be on the State priority list to qualify for a
grant.
1.4 Three Step Construction Grant Process 8.4
The construction grants process provides for funding projects in three
steps—using three consecutive, but separate, grant projects:
Step 1—A grant under which preliminary planning and engineering
("Facilities Planning") is performed.
Step 2—A grant under which detailed plans and specifications are
prepared.
Step 3—A grant under which the facilities are constructed.
Step 2+3—In the case of small communities, a single grant can be given to
perform Steps 2 and 3.
1.5 Water Quality Management Plans 8.5
The applicant's project must conform with recommendations contained in
a Water Quality Management (WQM) plan. A WQM plan is made up of
a Basin Plan—which sets forth the level of treatment required by each
sewage treatment plant in each drainage basin of the State; and, an
Areawide Waste Treatment Management plan—which addresses, in
addition to pollution problems from sewage treatment plants, population
growth, storm water and agricultural runoff problems and other
considerations necessary for a unified comprehensive approach toward
abating water pollution.
1.6 Facilities Planning 8.6
The preparation of a facilities plan, sometimes called a 201 plan, is the
first step (Step 1) in the construction grant process. Here the specific
requirements of a planning area, defined by the State, is examined, the
water pollution problem is identified, alternatives are evaluated and a
solution is recommended. Public participation in the decision making
process is required through public meetings.
1.7 Municipal NPDES Permits 8.7
Permits are issued by the States or EPA for existing or new waste
discharges under the National Pollution Discharge Elimination System
(NPDES). Meeting the treatment requirements and construction schedule
specified in the permit frequently prompts a municipality to apply for a
construction grant.
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Ref.
1.8 Clearinghouses) 8.8
The Federal Office of Management and Budget (OMB), in Circular A-95,
requires that all projects being financed in whole or in part with Federal
funds be reviewed by a central State and/ or regional clearinghouse.
1.9 Preapplication Conference N/A
To make certain that applicants clearly understand the requirements they
must meet to obtain construction grants, a preapplication conference is
held. At this conference, the roles of the consultant, the State and the
EPA in the grant process are explained. Most preapplication conferences
are conducted by the State; therefore, applicants should contact their
State agency as soon as possible to arrange for one. (A listing of State
Offices appears in the Appendix.)
As noted, the grant process for building sewage treatment facilities has
three steps. The first step, which is very involved, will be discussed in
considerable detail at the conference. Requirements pertaining to a Step 1
project grant are summarized below.
2.0 Step 1 Application
NOTE: To apply for a Step 1 grant, the following items must.be submitted
to the State agency. Application forms and kits are available from the
State and are usually furnished at the preapplication conference.
2.1 Plan of Study 9.1
A brief description is given of the scope of work to be undertaken in
planning the project, including problem areas and issues to be resolved.
Also, itemized costs of preparation must be shown and a work schedule
must be included. The public is to be notified and consulted during the
development of a plan of study.
2.2 Clearinghouse Comments 8.8
Comments concerning the proposed project are to be obtained from the
State and/or regional clearinghouse in accordance with paragraphs 1.8
above and 8.8 below.
2.3 Application, EPA Form 5700-32 9.2
Instructions for completing the application are printed on the form. Part
II-Section B, site information, is not required for a Step 1 grant. Part V,
Assurances, should be read carefully. A resolution authorizing the official
representative (Mayor, Councilman, etc.) to act on behalf of the applicant
must be included with the submission.
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Ref.
2.4 Selection of Professional Engineer 9 J
Copies of proposed contracts, or an explanation of how contracts for
professional services will be awarded, must be submitted to EPA for
review. Minority Business Enterprise (MBE) and Women Business
Enterprise (WBE) goals must be considered.
NOTE: The application and accompanying documents must be reviewed
and approved by both the State agency and EPA. DO NOT proceed with
any work on the project until written approval to do so is received from
EPA or the State. No payment may be made for work undertaken
without this approval Applicants will be notified in writing when a grant
is approved and instructions will be provided as to procedures for
accepting the grant and executing the Grant Agreement (EPA Form
5700-20). The executed Grant Agreement constitutes a contractual
obligation between the Federal government and the grantee.
Each Federally assisted project is subject to audit; therefore, it is
important that accurate financial records be kept. These records must
clearly identify all costs pertaining to the EPA grant assisted project,
must cover all funds received and disbursed, must distinguish between
allowable and nonallowable project costs, and must be made available to
EPA upon request.
Similarly, engineering consultants are required to maintain accurate
records identifying project costs claimed for Federal participation.
3.0 Step 1 Facilities Planning
NOTE: After receiving a Step I grant, the grantee begins to prepare a
facilities plan as prescribed in the law and Federal regulations. Key
elements of this plan are listed below.
3.1 Discharge (Effluent) Limitations 10.1
The State or EPA establishes the level of treatment necessary for each
project and designates the type and quantity of pollutants which may be
discharged to a stream or applied to the land.
3.2 Existing and Future Situations N/A
The plan must describe the existing planning/ service area and forecast
what the area will be like in the future.
3.3 Alternatives 10.2
Once the size and scope of the water pollution problem is defined, the
plan must show the various solutions to the problem with an evaluation
of each alternative. All costs impacting the average citizen should be
itemized for each alternative.
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Ref.
3.4 Innovative and Alternative Technology 10.3
In addition to evaluating conventional forms of sewage treatment,
innovative and alternative (I & A) forms of treatment (which reclaim,
recycle or reuse sludge or effluent; reduce costs or energy) must also be
evaluated. Grants may be increased to 85% of the Federal share where an
innovative or alternative process is used.
3.5 Municipal Pretreatment Program 10.4
For projects which will treat both domestic and industrial wastewater, a program
must be established to insure that industrial wastes are adequately treated by the
producing industries before being discharged into the municipal system. The cost
of constructing capacity to treat, store or convey industrial wastewater from
large dischargers will not be eligible for Step 3 grant assistance after Novem-
ber 15,1981.
3.6 Infiltration Inflow (I/I) Analysis 10.5
For projects with existing sewers, the plan must show the amounts of
groundwater (infiltration) or stormwater (inflow) leaking into the sewer
system and how much of this leakage can be eliminated economically.
3.7 Sewer System Evaluation Survey (SSES) 10.6
In those cases where the infiltration/inflow analysis indicates excessive
sewer leakage, investigations need to be carried out to locate the specific
leaks and to estimate the cost of correction.
3.8 Environmental Evaluation 10.7
As a part of the facilities plan, each alternative must be evaluated from
an environmental standpoint. The environmental impact is weighed along
with the engineering, financial, social and economic impacts of each
alternative. Where conflicts exist, reasonable trade-offs are made.
3.9 Public Input 10.8
An active public participation program must be held to obtain the
public's view of the proposed project. When necessary, accommodating
revisions to the proposed project are made.
3.10 Historical and Archaeological Investigations 10.9
Federal and State laws require the protection of valuable historic and
archaeological sites. Each State has a State Historic Preservation Officer
(SHPO) who will assist in defining the limits of any historical or
archaeological investigations required.
3.11 Selected Alternative 10.10
After all the above factors are considered, one plan is selected and
described in detail.
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Ref.
3.12 Inter municipal Agreements 10.11
Where more than one municipality is to be served by the project, it will
be necessary for the lead municipality to negotiate service agreements.
Achieving agreement may be time consuming; therefore, such action
should be initiated as early as possible. Service agreements must be
drafted prior to the approval of the facilities plan and be completed
before a Step 2 grant may be awarded.
NOTE: The completed facilities plan is submitted to the regional and/or
State clearinghouse(s) for comments. If negative comments are received,
an explanation must be given as to how the conflicts will be resolved.
The completed facility plan and clearinghouse comments (and
explanation if needed) are submitted to the State agency. DO NOT
undertake additional project work until instructions to do so are received
from EPA.
Grantees will be notified in writing of facility plan approval and will be
given instructions for applying for a Step 2 grant.
Payments for work completed under the grant are to be requested,
using EPA Form SF-271, in accordance with the payment schedule in the
Grant Agreement. (See 13.9)
4.0 Step 2 Application
NOTE: The following items are necessary to apply for a Step 2 grant and
are to be submitted to the State agency. For relatively small communities
(population 25,000 or less) with small projects ($4 million or less), a
combination Step 2+3 grant may be awarded with the intent of
accelerating the grant process (see 8.4).
4.1 Facilities Plan 8.6
An approved facilities plan, as described under Step 1, is required as a
part of the Step 2 application. If it has already been approved by EPA,
only a copy of the approval letter need be submitted.
4.2 Application, EPA Form 5700-32 9.2
Each item should be completed in accordance with instructions. Of
particular importance is the need to clearly explain the source of the local
share of project costs (general taxes, sewer revenue funds, etc.). A copy of
the resolution authorizing the official representative (Mayor, Councilman,
etc.) to act on behalf of the applicant and a statement regarding
availability of the proposed site, when applicable, must be attached.
4 J Selection of Professional Engineer 93
Copies of proposed contracts, or an explanation of how contracts for
professional services will be awarded, must be included. Consideration
must be given to MBE and WBE goals.
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Ref.
4.4 Value Engineering 11.1
Where construction costs are expected to exceed $10 million a value
engineering analysis of the proposed project must be prepared
concurrently with the project design.
4.5 Project Schedule N/A
A project progress schedule identifying dates for project start, completion
and significant milestones must be submitted as part of the application
package.
4.6 User Charges 11.2
Grantees are required to develop a user charge system, applicable to all
users, fully covering the cost of operating and maintaining the treatment
works. The system is to be developed during Step 2 and must be
approved before a Step 3 grant can be awarded.
4.7 Treatment of Industrial Wastewater 11.3
The cost of constructing capacity to treat, store or convey industrial wastewater
from large industrial users is ineligible for grant assistance unless a Step 2 grant
is awarded before May 15,1980; or, a Step 3 grant is awarded before Novem-
ber 15,1981. Therefore, when grantees receive Step 2 and Step 3 grants after
these dates, their construction costs, which are attributable to building that part
of their system which will accommodate discharges from large industries, are
ineligible.
4.8 Sewer Use Ordinance 11.4
A copy of existing sewer use ordinances, or a letter of intent that such
ordinances will be enacted, are to be included. The ordinances must
require new connections to be properly designed, constructed and free
from stormwater flow.
4.9 Civil Rights Act of 1964 N/A
EPA Form 4700-1, Assurance of Compliance, and EPA Form 4700-4,
Compliance Report, are to be completed.
4.10 The Uniform Relocation and Land Acquisition
Policies Act of 1970 11.5
If the project will require the acquisition of private property or the
displacement of persons, a statement or resolution indicating compliance
with this Act must be submitted.
4.11 Intel-municipal Agreements 10.11
Where two or more municipalities are involved, proposed or executed
intermunicipal agreements must be submitted with the application for a
Step 2 grant.
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Ref.
4.12 Public Input 10.8
Where continuing public input is necessary, the application package must
include a public participation work plan including costs and a schedule of
activities (see paragraph 3.9 above).
NOTE: The application and accompanying documents must be reviewed
and approved by both the State agency and EPA. DO NOT proceed with
any work on the project until instructions to do so are received. Grantees
will be notified in writing when a grant is approved and instructions will
be provided as to procedures for accepting the grant and executing the
Grant Agreement (EPA Form 5700-20).
5.0 Step 2 Plans, Specifications and Estimates
NOTE: A Step 2 grant is awarded to enable the applicant to design the
project and otherwise ready it (plans, specifications and estimates) for
bidding. Predesign conferences may be required by the State or EPA. At
these conferences the responsibilities of each party will be discussed as
well as the administrative and technical requirements of the project.
The following is a list of technical and administrative items to be
considered during this phase of the project.
5.1 Project Design 12.0
The project, in addition to being designed in accordance with sound
engineering practice, must take into account those engineering and
environmental measures recommended in the approved facility plan.
Also, incompatible industrial wastes may not be introduced into the
municipal system but must be pretreated by the industry. Accordingly,
the design may not contemplate the handling of such wastes.
Projects with estimated costs in excess of SI0,000,000 must be
subjected to a value engineering (VE) analysis.
5.2 Project Specifications 12.1
The project specifications must comply with all Federal requirements.
Provisions to be included in all specifications are furnished by the State
or EPA in a preprinted form. Generally, the consulting engineer will be
familiar with these provisions.
53 Project Cost Estimates 12.1
The consultant is to prepare detailed construction cost estimates based
upon the scope of work as reflected in the project plans and
specifications. This estimate is used to judge the reasonableness of the
bids received.
8
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Ref.
5.4 Continuing Work N/A
While the following items need not be completed until the construction
(Step 3) phase of the project is underway, work on them during the
design phase should be maintained to insure their timely completion.
a. Plan of Operation 12.2
A plan for the efficient operation and maintenance of the facilities must be
developed.
b. Sewer System Evaluation (SSES) 10.6
Where applicable, the SSES must be maintained on schedule to insure
corrective sewer rehabilitation will be completed prior to completion of
construction.
c. User Charge Systems 11.2
This system may be complex and require substantial time to complete. It must
be approved before a Step 3 grant can be awarded.
NOTE: Completed plans, specifications and estimates must be submitted to
the State for review and approval prior to being sent to EPA, DO NOT
undertake additional project work or advertise for bids until written
instructions to do so are received.
Grantees will be notified in writing of plan and specification approval
and will be given instructions for applying for a Step 3 grant.
Payments for work completed under the grant are to be requested
(using EPA Form SF-271) in accordance with the payment schedule in
the Grant Agreement.
6.0 Step 3 Application
NOTE: The following items are required for a Step 3 grant and are to be
submitted to the State agency.
6.1 Plans, Specifications and Estimates 12.0
Approved plans, specifications and estimates suitable for bidding, as
described under Step 2, must be included. If the plans, specifications and
estimates have previously been approved by EPA, submit only a copy of
the approval letter. No Step 3 grant awarded after November 15,1981, may
include assistance for the cost of constructing capacity to treat, store or convey
industrial wastewater from large dischargers, unless a Step 2 grant was awarded
prior to May 15,1980.
6.2 Application, EPA Form 5700-32 9.2
Each item should be completed in accordance with instructions. For Step
3 projects, the site information required in Part II-Section B of the
application form is necessary. Also, the source and method of funding the
local share of project costs should be clearly explained. A copy of the
resolution authorizing the official representative (Mayor, Councilman,
etc.) to act on behalf of the applicant must be included.
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Ref.
6.3 Selection of Professional Engineer 93
Copies of proposed contracts, or explanation of how contracts for
professional services will be awarded, must be included. MBE and WBE
goals must be considered.
6.4 Intermunicipal Agreements 10.11
Where two or more municipalities are involved, final executed agreements
(if not previously submitted and approved) must be submitted with the
Step 3 application.
6.5 Municipal Pretreatment Program 10.4
Where industrial pretreatment is required, no Step 3 grant may be made
after December 31, 1980 unless a municipal pretreatment program has
been developed and approved.
6.6 Public Input 10.8
Where continuing public input is necessary, the application package must
include a public participation work plan including costs and a schedule of
activities (see paragraph 3.9 above).
6.7 Assurances N/A
In addition to the assurances contained in Part V of the application,
additional assurances as described below are necessary when applying for
a Step 3 grant. Some of the assurances may not be applicable to a
particular project.
a. Flood Disaster Protection Act of 1973 12.1.5
For projects which include structures to be located in a flood hazard
area delineated by the Department of Housing and Urban Development,
grantees must participate in the flood insurance program.
b. Sewer Use Ordinance 11.4
A copy of existing sewer use ordinances, or a letter assuring that such
ordinances will be enacted, must be included. The ordinances must require
new connections to be free from storm water flows.
c. Plan of Operation Schedule 12.2
A schedule for readying the facility for operation (staffing, training,
purchase of chemicals, etc.) must be included.
d. Sewer System Rehabilitation Scheduling 10.5
If the sewers leak excessively and it is determined that the leakage
can be corrected by rehabilitating the sewers, a construction schedule for
the rehabilitation work must be included.
10
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6.8 Payment Schedule 12.3
A realistic grant payment schedule is to be submitted with the
application.
NOTE: The application and accompanying documents must be reviewed
and approved by both the State and EPA. DO NOT advertise for bids
nor proceed with any additional project work until written instructions to
do so are received. Grantees will be notified in writing of a grant offer
and instructions will be provided for acceptance of the grant and
execution of the Grant Agreement (EPA Form 5700-20).
7.0 Step 3 Construction
NOTE: The primary activity of the Step 3 phase is the construction of the
approved project. To insure that the project is properly constructed,
financed, operated and maintained, will involve the grantee in numerous
activities. Important among them are the following:
7.1 Advertising for Bids 13.1
Only after receiving the Step 3 award may grantees advertise for bids.
7.2 Receipt and Review of Bids 13.2
Grantees must receive, review and tabulate the bids and submit copies of
bid material and recommendations for award to the State agency for
approval. DO NOT award contracts prior to receipt of authorization to
do so from the State or EPA.
7 J Changes in Grant Amount 13.3
Depending on the price of the lowest acceptable bid, the grant may need
to be increased or decreased. The State must approve and certify all
grantee requests for increases before they may be considered by EPA.
7.4 Protests 13.4
If any contractor or equipment supplier lodges a protest against the
bidding procedures, grantees must attempt to resolve the protest using
advice from their legal counsel. Also, grantees must notify the State and
EPA of each protest and how it was resolved.
7.5 Award of Construction Contracts 13.5
After the bids have been reviewed and approved by the State or EPA and
after having received authorization to do so, construction contracts are to
be awarded.
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Ref.
7.6 Preconstruction Conference 13.6
A preconstruction conference is to be held to discuss the responsibilities
of all participants, including the grantee, the grantee's consultant, the
contractors, the State and EPA.
7.7 Construction Schedule N/A
Prior to starting construction, the contractor must furnish the grantee
and State or EPA with a detailed construction schedule. Expected
progress during construction should be discussed at the preconstruction
conference (7.6). The schedule should be altered when required and will
be the basis for making federal progress payments under the grant (7.10).
7.8 Change Orders 13.7
During construction it may be necessary to modify the project. Changes
to the construction contract are generally made by the use of change
orders which must be approved by the State and EPA.
7.9 On-Site Inspection 13.8
The State, EPA or Army Corps of Engineers in accordance with an
interagency agreement with EPA, will periodically make on-site
inspections to monitor construction procedures and to review project
related documents.
7.10 Grant Payments 13.9
Grant payments are to be made in accordance with the payment schedule,
updated when work is begun and set forth in the grant agreement.
However, payments may not exceed 50%, 80% or 90% of the grant
amount until certain program requirements are fulfilled. These include
the development of a plan of operation, sewer use ordinance, sewer
system rehabilitation, etc.
7.11 Audits 13.10
Records and documents of the project must be maintained as they are
subject to an audit by EPA to substantiate project expenditures.
NOTE: Other program elements are covered in 14.0 and 15.0.
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Part II
Explanation of items summarized in Part I
8.0 Preapplication Information
8.1 Applicant Eligibility
An eligible applicant is: "a city, town, borough, county, parish, district,
association, or other public body (including an intermunicipal agency of
two or more of the foregoing entities) created under State law, or an
Indian tribe or an authorized Indian tribal organization, having
jurisdiction over disposal of sewage, industrial wastes, or other wastes, or
a designated and approved management agency under Section 208 of the
Act." This definition excludes a special district, such as a school or park
district, which does not have as one of its principal responsibilities the
treatment, transport, or disposal of liquid wastes.
8.2 Type of Projects
The types of projects eligible for a 75% Federal grant include sewage
treatment plants, interceptor and outfall sewers, trunk and collection
sewers, and overflow control facilities for combined sewer systems. It is
the policy of EPA and the States to consider the construction of
treatment facilities and needed interceptor sewers as more urgent than the
other types of projects.
In addition new, expanded or rehabilitated on-site systems such as
septic tanks or other subsurface disposal systems, which serve principal
residences, small commercial establishments (less than 25,000 gpd) or
clusters of households, may be eligible to receive 85% Federal grants.
These systems as well as certain other types of systems are defined as
"alternative technology" projects and may be eligible for an 85% Federal
grant. For small communities with a population under 3,500 or sparsely
populated areas of larger municipalities with a population under 3,500,
alternative technology collection systems employing 6 inch diameter or
smaller gravity sewers, pressure or vacuum sewers may also be eligible for
85% Federal grants. The principal residences or small commercial
establishments must have been constructed and inhabited before 13
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December 27, 1977 to be eligible for the additional grant funds. (See
article 3.4 Innovative and Alternative Technology for a more complete
description).
To be eligible for a Federal grant, the project must have as its principal
purpose the treatment of domestic wastes from an entire community or
region. Therefore, treatment facilities for power plants, airports, mass
transportation or drinking water plants are not eligible for funding under
EPA's Construction Grant Program.
8.3 Priority List
Each year the States are apportioned sums of money (allotment or
allocation) for construction grants. Grants from these funds are made
directly by EPA for those projects which the State determines are entitled
to priority for a grant over other eligible projects in the State. The State
system of determining priority of projects must give consideration to:
a. the severity of pollution problems;
b. the existing population affected;
c. the need for preservation of high quality waters;
d. total funds available;
e. any additional factors considered pertinent by the State.
Each project which is to receive a grant must be certified by the State
as entitled to priority for such grant over other projects in the State. Only
projects so certified by the State may receive a construction grant.
States are required to set aside portions of their funds to be used
exclusively for (a) small communities with population under 3,500 (where
rural population of the State'is 25% or more), (b) innovative and
alternative technology projects, and (c) funding grant increases. Also,
States may give higher priority to innovative/alternative projects or to
malfunctioning I&A projects for which 100% grants can be given to cover
replacement costs.
States will provide interested persons with information concerning their
priority systems as well as details on the ranking of particular projects.
Priority lists must be subject to a public hearing at which time
communities, concerned with the funding of a project, may make their
interests known.
8.4 Three Step Construction Grant Process
Under EPA's Construction Grant Program, projects are funded in three
steps, namely:
Step 1—Grant for planning and preliminary design ("facilities planning11)
Step 2—Grant for plans, specifications and estimates
Step 3—Grant for construction
A single grant may be made for both the design and construction of a
project—a combination Step 2 plus Step 3 grant for communities of
25,000 population or less if the total estimated cost of construction is less
than $4 million ($5 million or less in States with unusually high
construction costs). This provision of the law is designed to reduce the
amount of paperwork necessary for smaller communities and should be
discussed with the State agency by qualifying communities.
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8.5 Water Quality Management Plans
The law requires each State to study the pollution problems within its
boundaries and develop a logical approach for reducing or eliminating
this 'pollution. The first step is to determine the quality to be achieved by
each body of water within the State, i.e., to establish "water quality
standards." The second step is to determine the level of treatment for
each discharge into the receiving body of water (waste load allocation) to
achieve water quality standards.
If it is found that through secondary treatment (which removes about
85% of the pollutants) water quality standards for each discharge can be
met, grant applicants need only build secondary treatment facilities. If
water quality standards cannot be met with secondary treatment,
dischargers must provide higher levels of treatment (advanced waste
treatment).
In areas of urban-industrial concentrations, or other areas with
complex water quality problems, "Areawide Waste Treatment
Management Plans" (sometimes referred to as "208 Plans") may be
prepared by the State or an agency designated by the Governor. These
plans identify alternative solutions for both point source and non-point
source (run off from farm land, mining operations, etc.) discharges in
their areas.
It is important for applicants to know that their projects must be in
agreement with approved 208 or WQM plans. These plans will designate
local agencies which can apply for construction grants, establish
population forecasts for the areas involved, and provide other
information helpful to applicants. Potential applicants should first
contact their State agency to determine if their proposed project is
located in an areawide waste treatment management planning area.
8.6 Facilities Planning
Preparation of a facilities plan is the first major step of the three step
construction grants process. Through the plan, specific recommendations
for the treatment plant site, size, type of process, method of effluent and
sludge disposal, interceptor sewer routing, etc. necessary for constructing
the project are developed.
Ideally, the Water Quality Management plan (item 8.5 above) sets forth
the level of the treatment necessary for each sewage treatment facility in
the planning area and the implementing agency prepares a facilities plan
to develop a specific project which is cost effective and environmentally
sound. The State agency will designate the boundaries of the facilities
planning area in cases where they have not been designated by areawide
waste treatment management plans. When the boundaries encompass
more than one political jurisdiction, service agreements or other
contractual arrangements are necessary between jurisdictions.
Negotiations must begin early to assure the timely completion of the
project.
Cases will arise in which facilities planning areas and areawide waste
treatment management planning areas overlap. Coordination and
cooperation are essential to avoid duplication.
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Later items in this handbook describe specific topics of a facilities plan
in more detail. Further information is provided in the EPA publication,
Guidance For Preparing A Facility Plan.
8.7 Municipal NPDES Permits
The permit system used by EPA officials to enforce the meeting of water
quality standards is entitled the National Pollution Discharge Elimination
System (NPDES). NPDES permits issued under the system are applicable
to all municipal discharges and the municipalities must comply with their
provisions. Where Water Quality Management or facilities plans have
been established, the permits will require compliance with such plans.
NPDES permits may contain limitations, conditions or schedules which
will require the municipality to undertake the construction of a
wastewater treatment facility.
8.8 Clearinghouses)
Applicants for construction grants for wastewater treatment facilities are
required to comply with the Office of Management and Budget (OMB)
Project Notification and Review System (Circular A-95). This system is
established to provide for early contact between applicants and
governmental agencies and to insure coordination between related
projects.
Prior to submission of a Step 1 grant application, and after the
completion of a draft facilities plan, applicants are required to obtain
comments from the State and/ or regional clearinghouse(s). The applicant
is to include copies of these comments with the application package. If
the comments are adverse, the applicant is to submit a statement
explaining how the comments were considered.
9.0 Step 1 Application
9.1 Plan of Study
A plan of study outlines the work to be done in preparing a facilities
plan. It should be brief and generally follow the forms suggested in the
"Model Plan of Study," a supplement to the Guidance For Preparing A
Facility Plan. Unique features of the project which will require special
attention, such as water-short areas, recreational areas, economically
depressed areas, etc., should be addressed.
The plan of study is developed by the applicant after consulting with
the public and reviewed by both the State and EPA to insure compliance
with municipal permit conditions, previously approved water quality
management plans, interstate agreements and other applicable
requirements.
Once approved, the plan of study is incorporated into the grant
agreement along with a schedule for the completion of the specific tasks,
to be undertaken in the preparation of the facilities plan, and itemized
costs for each of these tasks.
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9.2 Application, EPA Form 5700-32
The application form contains instructions for its preparation and
assurances with which the applicant must comply. The application must
be accompanied by a formal resolution of the governing body
designating, by name and title (Mayor, City Manager, City Clerk, etc.),
the authorized representative to act in behalf of that body in all matters
related to the grant process. This person must be an official of the
governmental unit rather than the consulting engineer or other
professional consultant. The resolution should specifically authorize the
representative to make application, submit other documentation as
required, accept the grant offer and act for the governing body in all
grant related matters. In the event that the representative is replaced, a
resolution naming the new representative must be submitted.
9.3 Selection of Professional Engineer
The most common contracts (subagreements) are the engineering
contracts between the municipality and the consulting engineer. Detailed
requirements and procedures for obtaining all types of professional
services including environmentalists, construction managers, etc., are
presented in the regulations 40 CFR 35.936 and 35.937 and are available
from the State or EPA.
Essentially the regulations require that the need for
architectural/engineering (A/E) services be advertised so that qualified
firms may offer their services. (This does not apply to communities under
25,000 population.) At least three firms which display acceptable
professional qualifications to do the work are requested to submit
proposals for the project. Proposals may or may not include costs for
professional services. Professional fees are negotiated so that the
professional receives a fair and reasonable profit and the municipality
obtains competent services at a fair cost.
A cost review is to be conducted by the applicant with costs being
presented to EPA in a prescribed form. Additional cost breakdowns may
be required by EPA for a particular project to establish reasonableness of
the costs.
If the applicant is satisfied with the services of the firm selected to do
the Step 1 or Step 2 work, the same firm may be used for additional
work, providing the firm has the capability and resources to carry out
such work on schedule and a fair fee can be negotiated. Likewise, the
grantee may terminate the A/E contract if the contractor fails to
perform.
Various types of contracts are acceptable but cost-plus-percentage-of-
cost and the percentage-of-construction-cost types of contracts are
prohibited. Generally, separate fee negotiations should be conducted for
each Step I, Step 2 and Step 3 grant.
Positive efforts are to be made by each applicant to seek out minority
and women-owned businesses and afford them an opportunity to
compete for work to be done under the Step 1, 2 or 3 grant: Each EPA
regional office has established monetary goals (usually expressed as a
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percentage of the grant funds use by a State) to be achieved by minority
business enterprises(MBE) and women's business enterprises (WBE)
participating in the Construction Grants Program and has developed lists
of MBE's and WBE's to provide assistance to applicants in meeting these
goals. In addition to MBE and WBE requirements for applicants, each
prime contractor (engineers for Step 1 and Step 2 work and construction
contractors for Step 3 work) also have MBE and WBE goals which must
be satisfied.
All professional services work initiated after June 30, 1975, must be
approved in advance by the State agency or EPA in order to be eligible
for grant funds. Therefore, it is recommended that applicants contact the
State agency or EPA before executing service contracts.
10.0 Step 1 Facilities Planning
10.1 Discharge (Effluent) Limitations
The degree of treatment which must be provided by a particular
treatment plant is dictated by the effluent limitations. Effluent limitations
are established by the State (or, in some cases, by EPA through the
NPDES permit). For example, effluent limitations may require that the
plant discharge not over 20 milligrams per liter (mg/1) of biochemical
oxygen demand (BOD), 12 mg/1 of suspended solids (SS), and a
dissolved oxygen of 5.0 mg/1. If the sewage entering the treatment plant
has a BOD of 200 mg/1 and SS of 240 mg/1, the grantee would be
required to provide 90% BOD removal, 95% SS removal and additional
oxygen to the effluent before discharge. Effluent limitations will differ
according to the nature of the receiving waters; and, they would also
differ if the effluent were to be used to recharge groundwater or to be
disposed of on land.
10.2 Alternatives
- An important aspect of a facilities plan is the investigation and evaluation
of various alternative solutions to the water pollution problems. These
alternatives will include an evaluation of the existing facilities to
determine whether the operation of the existing plant can be improved
enough to provide the required level of treatment, thus precluding the
need for new construction. If this is not practicable, alternatives such as
size, location, type of process, phasing of construction, rehabilitation, etc.
must be considered.
Best practical waste treatment technology (BPWTT) must be taken into
consideration and includes, as a minimum, an evaluation of the following
waste treatment management techniques: (a) biological or physical-
chemical treatment and discharge to receiving waters, (b) treatment and
reuse/ recycling, (c) land application techniques, (d) systems including
revenue generating applications (sale of methane gas, irrigation and sale
of crops, etc.), and (e) on-site (septic tanks) and nonconventional systems.
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For sewers, alternative routings and sizes must be evaluated.
Among the many types of alternatives to be evaluated are innovative
and alternative technology processes or techniques as described below in
article 10.3.
Initially the most feasible alternatives are identified and, through a
preliminary screening process, the best alternatives are selected. These
alternatives are then evaluated on the basis of engineering, environmental,
cost, public acceptance and ability-to-be-implemented considerations.
This process results in the selection of the most cost effective solution. A
"no-action" alternative must also be considered. The entire process of
evaluating these alternatives must be explained in the grantee's public
participation program and described in the facilities plan.
(NOTE: It is important that the full impact of the overall cost of each
alternative on the average citizen to be served by the new facility be
clearly itemized. Namely, costs such as: the local share of the capital cost;
interest on borrowed capital; sinking fund costs; O&M costs; connection
charges; etc.)
10.3 Innovative and Alternative Technology
In 1977 Congress authorized a three year program to stimulate evaluation
of innovative and alternative (I & A) processes or techniques for
wastewater treatment which can reclaim and reuse water, productively
recycle wastewater constituents, eliminate the discharge of pollutants,
recover or reduce energy, reduce costs or otherwise provide
environmental benefits. To encourage I & A evaluations, the law provides
Federal grants up to 85% for approved I & A projects. In the unlikely
event of failure of an I or A project, the law also provides for grants to
pay up to 100% of the cost of modification or replacement. States may
give higher priority to I & A or 100% replacement projects.
All facilities plans (Step 1) begun after September 30, 1978 must
evaluate I & A projects as part of their alternative solutions (see article
10.2 above). The 85% grants apply only to Step 2, Step 3 or Step 2 plus 3
approved projects. I & A projects differ from conventional forms of
treatment and each has its own definition. Alternative technology projects
are proven methods of treatment and include land application of effluents
or sludges, aquifer recharge, revegetation of disturbed lands, anaerobic
digestion with 90% methane recovery, codisposal with refuse, self-
sustaining incineration, and on-site systems, to name just a few. Innovative
projects on the other hand are processes or techniques which are not fully
proven (some risk) but offer some definite benefits. Proposed innovative
projects must meet one of the following six criteria: (a) 15% life cycle cost
reduction, (b) 20% net primary energy reduction, (c) improved
operational reliability, (d) better management of toxic materials, (e)
increased environmental benefits, (f) new or improved methods of joint
municipal and industrial treatment.
Both alternative technology projects or conventional forms of
treatment are candidates for innovative designation although •
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conventional concepts of treatment must meet either (a) or (b) of the
criteria above. Innovative or alternative projects may be 15% more costly
than non-innovative projects and still be considered cost effective. The
85% Federal grant is applicable to I & A projects or portions of a project
using innovative or alternative techniques.
10.4 Municipal Pretreatment Program
Where a municipal treatment works will treat both municipal and
industrial wastes, it may be necessary to develop a pretreatment program
to insure that objectionable industrial wastes are adequately pretreated
before being discharged into the municipal system. The pretreatment
program will require an industrial survey, a legal means of controlling
and enforcing industrial discharges, an evaluation of the costs to carry
out the program, a determination of the technical information needed to
carry out the program, and the development of an enforcement
monitoring program—which will identify required monitoring equipment,
and determine toxic tolerances and pollutant removals in the treatment
system.
The development of a pretreatment program can be both time
consuming and expensive. Therefore, it would be to the grantee's
advantage to establish lines of communication with all the affected
industries and seek their cooperation and help. Portions of the
pretreatment program must be completed in order to qualify for a Step 2
grant after June 30, 1980. The entire pretreatment program must be
completed to qualify for a Step 3 grant after December 31, 1980.
10.5 Infiltration/Inflow (I/I) Analysis
For projects which have existing sewers, it is necessary to prepare an
infiltration/inflow (I/I) analysis as a part of the facilities plan. Infiltration
is groundwater which leaks into the sewers, whereas inflow is storm water
which enters the sewers. The distinction is made between the two types of
flows because infiltration is more constant depending on the groundwater
level, while inflow is more of a peaking phenomenon related to above
ground precipitation. Inflow occurs at distinct points and may therefore
be economical to correct. Infiltration is more generally distributed (if one
joint in an old pipe has deteriorated and is leaking, other joints in the
same reach of pipe may also be leaking) and may be quite costly to
correct.
The I/1 analysis must quantify the infiltration and inflow and estimate
how much it would cost to remove part or all of the I/1 from the system.
Also, the cost of transporting and treating the I/1 must be estimated and
the most economical combination between I/1 removal or treatment must
be determined. Since infiltration and inflow take up valuable capacity in
the sewer pipes, pumping stations and treatment plants, it is generally
economical to remove some of these excessive flows. Therefore, in the I/1
analysis, a preliminary determination must be made of the amount of I/1
to be removed and the amount to remain in the system. The amount of
I/1 which may be economically removed is designated "excessive".
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If the amount of excessive I/1 is great, it will be necessary to more
accurately estimate the cost of removal by performing a sewer system
evaluation survey. DO NOT proceed with a sewer system evaluation
survey until receiving authorization to do so from EPA.
(NOTE: Recent findings have indicated that the amount of infiltration which
can be successfully removed by currently available sewer rehabilitation
techniques is considerably less than had been assumed in the past. New
guidance on //1 analyses and sewer system evaluation surveys is being
developed and will be issued soon.)
10.6 Sewer System Evaluation Survey (SSES)
A survey is the second step in the sewer system evaluation and is
conducted only if the infiltration/ inflow analysis concludes that excessive
infiltration/inflow exists. Grant funds for conducting a sewer system
evaluation survey may be obtained by requesting an increase in the Step 1
grant.
Cost of rehabilitation of sewers is eligible for grant participation.
However, some States, due to allotment constraints and other high
priority needs, do not certify sewer system rehabilitation projects for
grants.
Sewer System Evaluation and Rehabilitation is the subject of an EPA
handbook (MCD-19) dated March, 1974. Generally, the evaluation
consists of some or all of the following: (a) a physical survey of the
system; (b) smoke bomb, air pressure testing or rainfall simulation by
flooding sections of storm sewers; (c) selected sewer system cleaning; (d)
visual (e.g., television) inspection of selected sewer sections; and (e) the
preparation of a report of needed rehabilitation of the sewers.
Generally, grantees would not inspect the entire sewer system using TV
cameras. TV inspection is very expensive and must be justified to obtain
Federal funding.
The evaluation survey will identify specific sections of the sewer system
which are to be rehabilitated—grouted, sealed, lined, replaced or
otherwise repaired. Rehabilitation carried out under contract is subject to
the same requirements as other construction contracts or subagreements.
No more than 80% payment of the Step 3 grant may be made unless the
grantee is complying with the sewer system evaluation and rehabilitation
schedule.
10.7 Environmental Evaluation
The National Environmental Policy Act of 1969 (NEPA) requires all
Federal agencies to prepare environmental impact statements (EIS) for
projects which have significant adverse environmental effects or
environmental impacts which are likely to be highly controversial.
Therefore, to allow EPA to decide if an EIS is to be prepared, grantees
are required to prepare an environmental information document (EID),
as a part of the facilities plan, which includes an environmental
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inventory, an evaluation of the alternatives and proposed mitigative
measures. The BID is similar in content to an EIS and is required for all
projects.
If, after reviewing the completed facilities plan (which contains an
environmental evaluation), EPA decides that the proposed project does
not warrant the preparation of an environmental impact statement, EPA
will issue a "finding of no significant impact" (FNSI) and make
appropriate public notices. On the other hand, if EPA decides that an
EIS is warranted, a "notice of intent" will be issued and made public.
EPA will then prepare a draft EIS extracting as much information as
possible from the EID.
A variation of this procedure is used for those projects which are
known in advance to have significant or controversial environmental
impacts. In such cases and with all parties agreeing, a facilities plan and
an environmental impact statement will be prepared simultaneously. This
procedure, known as "piggybacking," is intended to save time and money
yet satisfy all the requirements of the Construction Grants Program.
10.8 Public Input
Issues involved in solving water quality problems and in the expenditure
of large Federal sums are often sensitive and may come under attack
from varied interests. Although the primary responsibility for water
pollution control and abatement rests in governmental agencies, public
involvement in the decisions and implementation is necessary and
desirable. The intent of public participation is to foster a spirit of
openness and a sense of mutual trust between the public and
governmental agencies and to give the public a role in decision-making
efforts to restore and maintain the integrity of the Nation's waters.
Public participation should begin as early as possible in the
development of a project, with at least one public meeting being held
during the development of the plan of study (see item 9.1 above). Two
types of public participation programs are described in EPA
regulations—basic and full scale. The basic program consists of
conducting several meetings during the project, providing appropriate
notices (newspaper, radio, TV ads or newsletters), preparing fact sheets or
other information, and otherwise seeking public involvement. The full
scale program not only includes the requirements of a basic program but,
in addition, requires the formation of an advisory group, the hiring or
designation of a public participation coordinator and additional public
meetings. Full scale programs are required for all projects for which an
EIS will be written, projects involving advanced waste treatment
(treatment beyond minimum levels) or where public controversy or
interest warrants such a program.
A summary of the public participation program must be included with
each facilities plan. Applicants should take note of these requirements
and include the costs and time allocation in their Step 1 grant
application. Under certain circumstances (minor expansion of a treatment
plant, for example) EPA may waive these requirements.
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10.9 Historical and Archaeological Investigations
To comply with the requirements of the National Historic Preservation
Act of 1966, Executive Order 11593, and other applicable State and
Federal laws, it is necessary that an investigation be made of the impacts
a project may have on historical or archaeological sites. These
investigations may vary from literature searches to field surveys. The
initial step, once the project scope is determined, is to contact the State
Historical Preservation Officer (SHPO) to obtain specific advice as to the
extent of investigations necessary.
The SHPO may recommend that qualified professionals be hired for
"walk-through" or "windshield" preliminary investigations. The
reasonable costs for these investigations are eligible for grant
participation, but EPA must be advised at each successive stage before
additional costs are incurred.
10.10 Selected Alternative
After all investigations and alternatives are evaluated as part of the
facilities planning, one alternative is selected and described in greater
detail. The selected plan describes the project for which Step 2 detailed
design and Step 3 construction grants may be requested by the applicant.
The depth of detail used to describe the selected plan will vary with the
size and complexity of the project. The amount of detail should be
discussed with and agreed upon by the State and EPA before completing
the facilities plan.
Cost estimates of the selected plan must be carefully developed and are
to be used in completing the application (EPA Form 5700-32) for a Step
2 grant.
10.11 Intermunicipal Agreements
If a project involves more than one political jurisdiction, it will be
necessary to work out service agreements. These agreements will include
financial arrangements and require each jurisdiction to enforce the
requirements for user charges, sewer system rehabilitation, industrial cost
recovery, sewer use ordinances, etc. The details of the service agreements
will vary from project to project. Because the time required to complete
service agreements can be long, action on them should be initiated as
early as possible during the preparation of the facilities plan. Service
agreements must be drafted prior to approval of the facilities plan and
possibly executed before the award of a Step 2 grant.
If wastes from a Federal facility to be treated in a proposed municipal
waste treatment plant make up more than 5% of the design flow or total
more than 250,000 gallons per day, EPA cannot participate in the
construction costs attributable to such wastes.
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11.0 Step 2 Application
11.1 Value Engineering
Where construction costs are expected to exceed $10.0 million, a value
engineering (VE) analysts of the project's design is required. In a VE
analysis the project is evaluated component by component to determine
the least costly way of constructing the project without sacrificing quality.
To insure an objective analysis, the VE analysis is generally performed by
a different firm from the original design engineering firm—although some
larger engineering firms have in-house capabilities for this specialized
work.
EPA's experience has demonstrated that a VE analysis can result in
substantial construction cost savings. Engineering services for the VE
analysis are procured in the same manner as the architect/ engineer
services (see article 9.3) and the costs for the VE analysis should be
included in the Step 2 application.
11.2 User Charges
User charges are fees paid by users of the facilities to cover the operation
and maintenance—including equipment replacement costs of the system.
Industrial, commercial and residential users are charged a proportionate
fee based on the wastewater treatment service provided. In determining
the user charge to each class of users the grantee may use a system based
on the actual use of treatment services (including volume and strength of
wastes) or, under certain circumstances, on the use of "ad valorem" taxes.
User charge systems are also required for projects involving on-site (septic
tank) disposal systems.
At the time of a Step 2 grant application, applicants must submit a
plan and schedule for preparing a user charge system and for obtaining
input from the public. After June 30, 1979, a Step 3 grant may not be
awarded unless EPA has approved the user charge system. By the time
the project is completed and ready to operate, the approved user charge
system must be enacted.
11.3 Treatment of Industrial Wastewater
After November 15,1981, no Step 3 grant may be awarded which includes as-
sistance for the construction of capacity to treat, store or convey industrial
wastewater from large industrial users (i.e., those industries discharging more
than the equivalent, in flow or pollutant loading, of 50,000 gallons per day of
domestic wastewater), unless a Step 2 grant was awarded prior to May 15,1980.
Therefore, when a municipal treatment plant will treat both municipal and in-
dustrial wastes, an applicant receiving a grant after these dates must identify and
separate out the cost of that portion of its wastewater treatment system's ca-
pacity to be constructed to accommodate large industries as that cost is in-
eligible for grant funds.
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11.4 Sewer Use Ordinance
Applicants for a Step 2 or Step 3 grant must submit a current sewer use
ordinance or evidence that it will enact and enforce such an ordinance.
The sewer use ordinance must prohibit new sources of inflow (illegal
connections from sump pumps, foundation drains, roof leaders, etc.)
from being connected to the sewer system and require proper design and
construction techniques for new connections. No more than 80% payment
of the Step 3 grant may be made until the ordinance is approved by
EPA.
11.5 The Uniform Relocation and Land Acquisition Policies Act of 1970
Projects which entail the acquisition of private property or the
displacement of persons are subject to the provisions of the Uniform
Relocation and Land Acquisition Policies Act of 1970 (40 CFR Part 4
addresses these requirements). Basically, the Act establishes procedures
for equitable settlement in such cases. Although the actual cost of land
purchased for the project is generally not eligible for grant participation
(except in certain cases when the land is an integral part of the treatment
process), certain costs associated with complying with this Act may be
eligible. The Step 2 grant application must include a statement or
resolution assuring that the grantee will comply with the applicable
provisions of this Act and a time schedule of compliance. Before starting
Step 3 construction, the grantee must have purchased all necessary land
for the project.
12.0 Step 2 Plans, Specifications and Estimates
12.1 Project Specifications
The end product of the Step 2 detailed design is a set of plans (drawings),
specifications and detailed construction cost estimates which are suitable
Tor bidding and construction purposes. Since large sums of public funds
will be spent on constructing the project, it is of the utmost importance
that the plans, specifications and estimates be as complete and accurate
as possible. Plans, specifications and estimates must be submitted to
obtain the final Step 2 grant payment and approved plans and
specifications must be submitted to obtain a Step 3 grant.
The provisions of many Federal, State and local laws must be satisfied
when advertising for and constructing public works projects. To assist
grantees in satisfying most of these requirements, EPA has prepared a
standard set of inserts which may be included in the construction
contract. Key elements of the Federal requirements to be included in the
contract documents are highlighted below.
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12.1.1 Contract Documents
The contract documents must contain the following six items:
• a statement of work, including drawings and specifications, and a
required time-for-completion schedule;
• the terms and conditions of the construction contracts;
• an explanation of method of bidding, method of evaluating bid prices
and the basis upon which award of the contract will be made;
• the criteria for evaluating bidders;
• a statement indicating that the project is partially funded with Federal
money but that the government is not a party to the contract;
• copies of 40 CFR 35.936, 35.938, 35.939 and 43 FR pp. 60220-60224.
12.1.2 Supplemental General Provisions of Specifications
The requirement for supplemental general provisions in the specifications
is satisfied by including Appendix C-2 of 40 CFR Part 35 in the
specifications. This appendix includes conditions relating to subjects such
as:
audit and access to records;
price reduction for defective cost or pricing data;
contract work hours and safety standards;
equal employment opportunity;
utilization of small and minority business;
a covenant against contingency fees;
anti-kickback regulations;
gratuities;
patents;
copyrights and rights in data;
a clean air and water clause.
12.13 Equal Employment Opportunity
The Equal Employment Opportunity (EEO) provisions of the law must
be followed and made a part of the specifications where contracts are
greater than $10,000. In areas having an approved home-town or an
imposed plan, the contract specifications must contain the specific
provisions of the plan as published by the Secretary of Labor in the
Federal Register. Home-town plans are agreements reached between the
local contractors, trade unions, minority groups and governmental
agencies which are approved by the Secretary of Labor and include the
goals for hiring and training of minority groups. In such cases all
contractors must agree to abide by the provisions of the plan.
In non-home-town plan areas, contractors will be required to comply
with the provision of Executive Order 11246 and engage in affirmative
action directed at promoting and insuring EEO in their work force.
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In addition to the above requirements, the plans and specifications
must include a statement of MBE and WBE goals for utilization of
minority and women's business enterprises and a statement of how
MBE and WBE policy is to be implemented.
Regional Offices will provide specific instructions to grantees regarding
EEO, MBE and WBE requirements affecting their projects.
12.1.4 Davis Bacon Act
Construction contracts in excess of $2,000 are subject to the provisions of
the Davis-Bacon Act. This Act requires that contractors pay employees
minimum wage rates as established by the Department of Labor. These
rates are specified in Wage Determinations issued for specific projects
and reflect prevailing wages paid workmen in various crafts in a given
locality. Area of General Wage Determinations, applicable to projects in
larger metropolitan areas, are published periodically in the Federal
Register. Wage Determinations are valid for 120 days and, along with
any pertinent modifications, must be included in the bidding and contract
documents.
12.1.5 Flood Disaster Protection Act of 1973
If the proposed project includes structures with a value of more than
$10,000 which will be located in an area formally designated as a flood
hazard area by the Department of Housing and Urban Development
(DHUD), those structures must be insured under the flood insurance
program administered by DHUD. In this instance, "structure" generally
refers to a "building" having four walls and a roof. Such insurance, if
required, must be maintained during both construction and the useful life
of the structure.
Other provisions of this Act may be applicable to certain projects and
should be taken into consideration during the preparation of the facilities
plan.
12.1.6 Bonding/Insurance
For construction contracts in excess of $100,000 the following minimum
bonding and insurance requirements must be a part of the specifications:
• 5% bid bond;
• 100% performance bond and 100% payment bond;
• fire and extended coverage, workmen's compensation, public liability
and property damage and "all risk" insurance as required by local or
State law;
• flood insurance, as required, during and after construction.
For contracts less than $100,000, bonding and insurance requirements
shall be in accordance with local or State practice.
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12.1.7 Technical Provisions of Specifications
The following are among the items which must be addressed in the plans
and specifications for the project.
Safety Precautions: Occupation Safety and Health Act (OSHA) and
applicable State and local requirements must be complied with.
Mitigative Measures: Mitigative measures required by the
environmental evaluation or impact statement must be complied with.
Examples might be soil erosion control, hours of operation, backfilling
and seeding, structural design for buildings in a flood plain, etc.
Bypassing: Bypassing of flows during construction must be prevented
where possible.
Reliability and Flexibility: Proposed facilities are to be reliable and
provide for flexibility in operation. This may be accomplished by
providing for standby power, ample pumping capacity to insure
continuous operation when the largest pump is out of service, etc.
Component Identification: Equipment, piping, switches, instruments,
etc. must be clearly marked for ease of identification.
Public Water Supply: Public water supplies must be protected by
adequate backflow prevention devices (double check valves, air gap, etc.).
Chemical Storage: Chemicals must be properly stored in a curbed area
large enough to hold the entire volume in the event of an accidental spill.
Also, adequate safety protection gear must be provided for plant
personnel.
Ventilation: Adequate ventilation must be provided in all areas where
necessary (for example, wet well, dry well, chlorine room, chemical
storage area, etc.).
Laboratory Facilities: Laboratory facilities must be sufficient to give
the plant operator control over the operational efficiency of the treatment
plant. Additionally, facilities must be adequate to conduct sampling and
testing as required by the NPDES permit or the State agency.
Emergency Alarms: Adequate alarms must be provided to warn of
failures or dangers.
Use of Mercury: Mercury may not be used for trickling filter seals.
Other uses of mercury require special review and approval.
Sewers: Sewers must be tested for infiltration. They must maintain
minimum scouring velocity and have adequate capacity during peak flow
periods.
Equipment: Except where based upon performance specifications, at
least two trade names must be specified for all major items of equipment
with preference given to American manufactured products.
Operation & Maintenance: In selecting equipment and components, the
consultant should give careful consideration to those which can be
operated and maintained with the least effort.
Pretreatment: Industrial wastes which are not compatible with
household wastes handled by the municipal treatment plant must be
pretreated in accordance with an approved municipal pretreatment
program.
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12.2 Plan of Operation
A Plan of Operation which is required for all treatment facilities, is a
document containing an orderly listing of actions needed to be taken
during construction to ready the plant and its personnel for operation
once construction has been completed. Matters such as staff recruiting,
selection and training, operation and maintenance procedures, reports,
laboratory testing, special equipment handling, start up procedures, etc.
must be considered in the plan.
The Operation and Maintenance Manual (prepared in conjunction with
the plan of operation) is especially important since it provides plant
personnel with detailed instructions for assuring efficient operation and
proper maintenance of all plant components (including off-site pump
stations, etc.). This manual should discuss, in clear, easy-to-follow terms,
how the facility is to be operated so as to meet effluent standards
contained in the NPDES permit and other State and Federal
requirements. Grant payments are limited to 50% of the Federal share of
Step 3 costs until the draft manual or evidence of its timely completion is
submitted. No more than 90% of the grant may be paid until the manual
is approved.
12.3 Payment Schedule
For each of the three "step" grants it is necessary to prepare a payment
schedule for disbursement of grant funds. This is particularly important
for the Step 3 construction project since this is where most of the monies
are spent. Payment schedules for all projects are used to project the cash-
flow requirements for EPA as well as the borrowing needs of the Federal
government. Since these schedules establish the maximum amount of
grant funds to be paid out during the specific period and are tied into
Federal quotas for budget management purposes, it is important that
they be prepared with care.
Once a payment schedule is established, any change will require the
written approval of EPA. Payment procedures are explained in the
section Grant Payments (13.9).
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13.0 Step 3 Construction
13.1 Advertising for Bids
Grantees must not advertise for bids until authorization to do so is
received from the State or EPA. When authorization is received, grantees
must advertise the proposed project as widely as possible in order to get
the best possible price. Preference for local contractors shall not be
shown. Generally, advertisements are to be placed in newspapers, journals
or other public notification and solicitation periodicals. If the estimated
project cost is more than $10 million, advertisements for bids should be
in journals having nationwide circulation. The advertisement must
indicate where copies of the bidding documents, including the plans and
specifications, may be obtained. Generally, at least 30 days is allowed for
receipt of bids. The regulations, 40 CFR 35.938-4, which are included in
the project specifications, contain additional specific requirements for
advertising. These same bidding requirements also apply to sewer system
rehabilitation work where necessary.
13.2 Receipt uid Review of Bids
Sealed bids must be received and opened publicly. The grantee, in
reviewing them, must insure that all legal requirements are met and
prepare a recommendation for award. Bid documents and the grantee's
recommendation for award are forwarded to the State for approval. DO
NOT award construction contracts until approval to do so is received. As
a minimum, the following documents are to be submitted after bids are
received:
a. a certified bid tabulation of all bids received;
b. two copies of the proposal form and bonds from the apparent
low bidder;
c. a statement from the grantee (authorized official) indicating the
names of the bidders to whom contracts are to be awarded and the amount
of the contracts;
d. proof of advertising indicating the circulation and time for receipt of
bids;
e. a copy of each addendum issued during the bidding period and
acknowledgement of receipt by the apparent low bidder;
f. signed copies of the certification by the apparent low bidder regarding
compliance with EEO, MBE and WBE requirements;
g. if award is to be made to other than the low bidder, justification
indicating why the low bidder is not responsive or responsible;
h. a revised cost estimate as necessary,
i. other documents required to conform with applicable State and local
laws and ordinances.
After reviewing the bids, the contracts should be awarded to the lowest
responsive, responsible bidder. If there is reason to award a contract to
other than the lowest bidder, advice should be obtained from legal
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counsel concerning such action. In addition, a full explanation, including
the legal opinion, must be submitted to EPA for review. DO NOT award
contracts until authorization to do so is received from the State agency or
EPA.
Grantees are cautioned that rejection of all bids and readvertisement of
the project may be done only for good cause and with prior approval of
the State agency or EPA.
13.3 Changes in Grant Amount
Grants may be increased or decreased at any point throughout the entire
three-step process where such action is warranted and justified. Grant
changes require State approval and certification and the processing of a
Grant Amendment. To minimize grant increases and decreases, each Step
3 grant may include an allowance for contingencies. The amount of the
contingency will vary in accordance with the size and type of project and,
where applicable, State policy.
Generally, if a grant increase is needed, it occurs because bids were
higher than the engineer's estimate. In such cases, bid material must be
submitted to the State with the request that the grant be increased. The
State is under no obligation to approve the request nor is EPA obliged to
increase the grant but will generally do so if the increase is justified and
funds are available.
13.4 Protests
The award of construction contracts may result in protests from
unsuccessful bidders, equipment suppliers or others. If a protest is
received, the procedures outlined in the regulations, 40 CFR 35.939, must
be followed. It is the grantees' responsibility to resolve protests. The
protest may vary from a protest without merit to the more complex case
involving potential litigation.
Advice should be sought from legal counsel whenever protests are
lodged. Grantees must advise the State and EPA of a protest, its basis
and method of resolution.
13.5 Award of Construction Contracts
After EPA or the State has reviewed the bid information, it will
authorize the award of the contracts providing all requirements have been
satisfied. Grantees should inform EPA or the State of the date of the
contract award or notice to proceed.
At the time of award, a preconstruction conference should be
scheduled to insure that each party understands his responsibilities.
13.6 Preconstruction Conference
A preconstruction conference should be held by the grantee with the
contractors), State agency and EPA participating. The primary objective
of the preconstruction conference is to discuss the responsibilities of each
party in the project and to clarify any questions. Subjects to be discussed
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include: the construction schedule; posting and payment of minimum
wages; equal employment opportunities; record keeping; requirements for
on-site inspections; timing of invoices and processing of grant payment re-
quests; processing and required approvals of change orders; etc. A separate
preconstruction conference may be required by the Federal EEO officer.
13.7 Change Orders
A change order is the method by which construction contracts are modi-
fied after work has begun and may result in a cost increase or decrease.
Contracts may need to be modified because of minor errors in the
plans and specifications or emergency changes required to protect life or
property. Prior approval by the State or EPA of minor or emergency
change orders is not required.
Project changes which will substantially alter the design or scope of the
project, type of treatment, location, size, capacity or quantity of any
major component, or which will require additional Federal funds, must
receive prior approval from the State or EPA before being executed.
Approved change orders resulting in construction cost increases are
ordinarily paid out of the contingency allowance of the project. Where
the change order or combination of change orders exceeds the contin-
gency allowance, grantees may request an increase in the grant amount.
Change orders must be justified and are not to be used to circumvent
the bidding requirements. The increased costs resulting from a change
order must be reasonable and grantees must negotiate with the contractor
to insure that the price is fair.
13.8 On-Site Inspection
EPA, the State or the U.S. Army Corps of Engineers (COE) may
conduct on-site project inspections to insure that the project is being
managed properly, is on schedule, and is being constructed in accordance
with approved plans, specifications and change orders. The Army Corps
of Engineers is assisting the States and EPA in conducting on-site
inspections. Where the COE provides this service, they are acting as
agents of EPA.
On-site project inspections are made during construction (interim) and
at the completion of construction (final). The frequency of interim
inspections will depend upon the size and complexity of the project.
a. Interim Inspections—At the time of an interim inspection, the
inspector will determine that:
• competent and adequate supervision and inspection is being provided
and an appropriate inspector's log is kept;
• approved plans, specifications and change orders are available at the
project site;
• construction conforms to approved plans, specifications and change
orders, and is on schedule;
• the engineer's estimate of work-in-place agrees with actual observed
construction;
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• reasonable tests of materials and equipment are being conducted and
noted in logs or reports (e.g., slump tests of concrete);
• equipment delivered to the site is being properly protected and stored;
• the required project sign is appropriately displayed;
• a wage rate decision is prominently displayed and agrees with contract
documents;
• project accounting records are maintained which distinguish between
allowable and nonallowable costs, and are supported by receipts or
certified contractor invoices;
• the sewer system rehabilitation (where appropriate) is on schedule;
• special construction techniques or practices are being employed in
accordance with the grant agreement;
• the operational staff has been hired and is being trained in accordance
with the plan of operation;
• the operation and maintenance manual is being prepared;
• user charge and sewer use ordinances have been prepared;
• wastewater treatment during construction is being provided;
• a procedure is employed to call to the attention of the authorized
representative any deficiencies in design or construction.
b. Final Inspections—In addition to the items above, the inspector will
generally seek to determine that:
• the facilities are complete, operating and, in the case of a treatment
plant, will meet the effluent limitations required by the NPDES permit;
• the facilities conform to approved plans, specifications and change
orders;
• all equipment is operational and performing satisfactorily;
• appropriate operation and maintenance staff have been hired, trained
and are capable of carrying out start-up and operational procedures;
• the laboratory facilities are complete and sufficient to conduct
appropriate tests;
• the operation and maintenance manual is readily available and
procedures are being followed;
• the accounting records are adequate and are available for audit;
• the user charge system, and sewer use ordinance are completed, •
approved and ready for implementation.
Deficiencies noted during the inspections must be corrected. Delay in
correcting deficiencies may delay grant payments.
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13.9 Grant Payments
Grant payments are made in accordance with the payment schedule (see
item 12.3) contained in the Grant Agreement. In the case of a Step 3
project, the schedule should be modified at the preconstruction
conference to reflect the contractor's latest best estimate. Payment
requests may be submitted on the basis of project funds expended (cash)
or on the basis of project costs incurred (accruals), and will be submitted
on EPA Form SF-271. Supporting documents (vouchers, reports, etc.)
may or may not be required depending on the complexities of the work
performed and the policies of the State and EPA region in which the
project is located. Regional offices will inform grantees of the kind of
supporting documents needed for interim grant payments.
Only those allowable costs for which project funds have been expended
or for which project costs have been incurred may be considered in
determining the amount of a payment.
EPA must limit grant payments to a certain percentage until specific
program requirements are satisfied. The grant limitations for Step 3 grant
payments are briefly summarized below.
a. Operation and Maintenance Manual—No more than 50% of the
Federal share may be paid until a draft O&M manual is submitted, and
no more than 90% may be paid until the manual is approved.
b. Sewer Use Ordinance—No more than 80% of the Federal share may
be paid until a sewer use ordinance(s) has been submitted and approved.
c. Sewer Evaluation and Rehabilitation Program—In the case of
excessive sewer infiltration/inflow, no more than 80% of the Federal
share may be paid unless the grantee is complying with the approved
sewer system evaluation and rehabilitation schedule.
d. Municipal Pretreatment Program—No more than 90% of the
Federal share may be paid until the municipal pretreatment program (if
applicable) is approved.
e. Final Inspection—Final payment may not be made until the final
inspection has been completed and EPA has determined that the
treatment works has been satisfactorily constructed in accordance with
the grant agreement and approved plans and specifications and change
orders.
(NOTE: For Step 3 grants approved prior to July 1, 1979, no more than
50% of the Federal share may be paid until the grantee has submitted
adequate evidence of the timely development of a user charge system;
and, no more than 80% until the system is approved. For Step 3 grants
awarded after June 30, 1979, the UC systems has to be approved before
the grant is awarded.)
13.10 Audits
By accepting a Federal grant for a Step 1, 2 or 3 project, grantees agree
that their accounts, documents, records and papers, as well as those of
subcontractors, will be accessible to EPA, the Comptroller General of the
United States, or any authorized representative.
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Auditors will review the project's management, accounting procurement
and property, control records to insure that all costs claimed or incurred
are allowable for grant participation. They will also review the project for
compliance with all applicable grant provisions and conditions. Grantees
will be notified well in advance of the audit so that all pertinent
documents may be assembled for the auditor.
14.0 Other Program Elements
14.1 Allowable and Unallowable Costs
Certain costs incurred during the planning, design and construction of waste-
water treatment facilities are defined in the law or regulations as being eligible
for EPA grant participation. The most obvious of these are the construction
costs, except those construction costs associated with treating, storing or con-
veying industrial wastewater from large industrial users (i.e., those users dis-
charging more than the equivalent, in flow or pollutant loading, of 50,000 gal-
lons per day of domestic wastewater). However, other costs associated with the
project may or may not be eligible for EPA grant participation. The item by
item listing of these eligible costs would require many pages and is not included
here.
Generally, to be eligible for grant participation, project costs must:
a. be necessary to the construction and start-up operation of the
sewage treatment facility, reasonable and not a normal expense of
municipal administration;
b. be authorized (or not prohibited) and be consistent with Federal,
State and local laws and regulations;
c. be consistent with policies and regulations which are applicable to
both Federally assisted activities and other activities of the unit of
government of which the grantee is a part;
d. not be included in the costs allocable to any other Federally
financed program.
14.2 Force Account
Some of the planning, designing or construction of a project may be
accomplished by using municipal employees. Generally, however, EPA
prefers that the grantee use outside consultants or contractors to
accomplish project work. In cases where it is desired to use municipal
forces, it will be necessary to obtain the prior written approval of EPA to
do so. Applicants wishing to use force account procedures must certify
that:
a. municipal employees possess the necessary skills and experience to
accomplish the work;
b. the work can be done more economically by the use of municipal
employees;
d. emergency conditions dictate that municipal employees be used.
If EPA approves of the force account method, the grantee will be
notified in writing of such approval and will be advised as to what
records to keep and what administrative costs are eligible for grant
participation. _
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14.3 State Delegation
As a result of the passage of the Clean Water Act Amendments of 1977, P.L.
95-217, a State can enter into a delegation agreement with EPA. Upon approval,
up a 2% of its annual allotment, as authorized under prevailing legislation, can be
used by a State to fund its conduct of the Construction Grants Program. Most
States have entered into these agreements and, as they develop the necessary
competence, are gradually taking over responsibility for administering the pro-
gram. The purpose of these agreements is to eliminate the need for grant
approvals at the Federal level and, thereby, permit the speedier processing of
construction grant applications and conduct of related grant activities.
In agreements which have been signed, grant program responsibilities
are phased-in on a gradual basis. That is, initially a State may assume
responsibility for such activities as approving plans and specifications and
change orders, conducting preconstruction conferences, approving the
administrative adequacy of grant applications, etc. Over a period of time,
ranging from one to three years, responsibility for the full program is
delegated. At that time, all grantee documents, except where prohibited
by law, will be given final approval by the State. Therefore, in those
instances in the preceeding paragraphs where both the State and EPA are
indicated as the approving authority, where the function is delegated,
final approval is given by the State. EPA is not involved. Grantees will
be notified in advance where approval authority is at the State level.
Certain functions cannot be delegated and, therefore, must be retained
by EPA. These are (a) the award of grant funds; (b) decisions on the
need to prepare an environmental impact statement; (c) decisions on, and
enforcement of, civil rights laws, minority and women's business
enterprise participation, and equal employment opportunity actions; and
(d) resolutions of protests, arising from the award of engineering or
construction contracts, and of audit exceptions.
EPA's policy is to delegate to States as much of the day-to-day
program responsibilities as possible so as to improve operational
effectiveness. Under delegation, EPA monitors each State's efforts to
insure that the Construction Grants Program is being carried out in
accordance with prescribed laws and regulations and, that grantee matters
are being effectively handled.
14.4 Land Treatment
On October 3, 1977 the Administrator of EPA issued a policy statement
on "Land Treatment of Municipal Wastewater." This policy statement
serves to strengthen and encourage the President's Environmental
Message to Congress and reads in part, "... the Agency (EPA) will
press vigorously for publicly owned treatment works to utilize land
treatment processes to reclaim and recycle municipal wastewater." The
Congress reinforced this commitment in PL 95-217 by providing
additional grant incentives for those projects which utilize innovative or
alternative technologies. Land treatment processes are classified as
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alternative technology and are therefore eligible for 85% Federal grants
(including the cost of land used in the treatment process) provided they
are cost effective.
All facilities 'plans must address innovative and alternative technologies.
However, land treatment must be given very serious consideration and,
unless substantial reasons exist for not utilizing land treatment, it will be
considered as the preferred alternative. EPA has published many technical
bulletins which will assist consulting engineers and others in evaluating
these techniques. Grantees should be aware of this requirement and work
closely with their engineer and the public to insure that an objective
evaluation of land application is made. The advantages of these processes
and techniques include resource conservation, improved treatment
potential, and 10% more Federal funds for the project.
15.0 References
Several types of references are available which can be of assistance to
applicants.
To familiarize the applicant with the more commonly used references,
the following is presented.
15.1 P.L. 95-217 The Clean Water Act of 1977
P.L. 95-217 and PX. 96483 amended P.L. 92-500 the "Federal Water Pollution
Control Act of 1972," and made midcourse corrections to the earlier legislation.
Grantees may hear references to P.L. 92-500 and should recognize that this law
is still in existence but has been slightly changed by subsequent amendments.
The law contains several parts, each of which is called a Title. Title II,
"Grants for the Construction of Treatment Works", is the title under
which EPA is authorized to award construction grants.
Each title is divided into sections. For example, the requirements for
evaluating innovative and alternative wastewater treatment processes are
contained in Section 201 of the law. Section 208 establishes the
requirement for Areawide Waste Treatment Management.
15.2 Code of Federal Regulations
After laws are enacted, it is often necessary for the administering agency
to establish regulations to implement the law. The resulting regulations
are published in the Federal Register, become official policy and
essentially carry the same weight as the law itself. The many regulations
must be categorized and the term applied to each subject area is "Title."
(e.g. Title 40 covers the subject "Protection of Environment." Title 12 is
"Banks and Banking." Title 22 is "Foreign Relations.")
The titles are divided into Chapters. Chapter I, of Title 40, concerns
the Environmental Protection Agency. Each chapter is subdivided into
subchapters. Subchapter B concerns "Grants and Other Federal
Assistance." The subchapters are subdivided into "Parts." Part 35
concerns "State and Local Assistance." Parts may be divided into
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Sections which are grouped into subparts. Subpart E covers "Grants for
Construction of Treatment Works—Federal Water Pollution Control Act
Amendments of 1972" and encompasses the 35.900 series.
Thus when reference is made to 40 CFR 35.917 it should be
understood that the reference is to Title 40 of the Code of Federal
Regulations, Part 35, Section 900, paragraph 17, "Facilities Planning"
(Step 1).
153 Other Publications
Periodically EPA publishes other documents which may be of assistance
such as Guidelines or Guidance, Technical Bulletins and Reports, and
Research Reports. Most of the publications which will be of assistance to
Construction Grants Program grantees are published by the Municipal
Construction Division of EPA. Information regarding the subjects and
availability of these publications may be obtained by contacting:
General Services Administration (8FFS)
Centralized Mailing List Services
Bldg. 41, Denver Federal Center
Denver, Colorado 80225
Also, EPA has published a "Handbook of Procedures: Construction
Grants Program for Municipal Wastewater Treatment Works" for use by
State and EPA officials. Copies of these handbooks have been sent to
engineering consultants and are available at GSA in Denver on a limited
basis to others with responsibilities for construction grants projects.
15.4 Program Requirements Memoranda (PRM)
These are policy clarification and regulation interpretation statements
developed and issued by EPA Construction Grants Program
Headquarters staff. Copies are available to those who need them through
the GSA Denver Office noted in 15.3 above.
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Appendix
U.S. Environmental
Protection Agency: Region,
Administrator & Address
Region 1
William R. Adams, Jr.
Environmental Protection Agency
John F. Kennedy Federal Building
Room 2203
Boston, Massachusetts 02203
617223-7210,
(Maine, N.H., Vt., Mass., R.I.,
Conn.)
Region 2
Charles S. Warren
Environmental Protection Agency
26 Federal Plaza, Room 1009
New York, New York 10007
212 264-2525
(N.Y., N.J., P.R., V.I.)
Region 3
Jack J. Schramm
Environmental Protection Agency
6th & Walnut Streets
Philadelphia, Pennsylvania 19106
215597-9814
(Pa., W.Va., Md., Dei., D.C.,
Va.)
Region 4
Rebecca W. Hanmer
Environmental Protection Agency
345 Courtland St., NE
Atlanta, Georgia 30365
404 257-4727
(N.C., S.C., Ky., Tenn., Ga.,
Ala., Miss., Fla.)
Region 5
John McGuire
Environmental Protection Agency
230 S. Dearborn Street
Chicago, Illinois 60604
312 353-2000
(Mich., Wis., Minn., 111., Ind.,
Ohio)
Region 6
Adlene Harrison
Environmental Protection Agency
1201 Elm Street
1st International Building
Dallas, Texas 75270
214 729-2600
(Texas, Okla., Ark., La., N.Mex.)
Region 7
Kathleen Q. Camin
Environmental Protection Agency
324 E. 11th Street
Kansas City, Missouri 64106
816 758-5493
(Kansas, Nebr., Iowa, Mo.)
Region 8
State Water Pollution
Control Agencies
EPA Region 1
Connecticut
Merwin Hupfer, Asst. Director
Dept. of Environmental
Protection
Room 117, State Office Bldg.
165 Capitol Avenue
Hartford, Connecticut 06115
203-566-2373
Maine
Roger L. Williams
Environmental Protection Agency
I860 Lincoln Street, Suite 900
Denver, Colorado 80203
303 327-3895
(Colo., Mont., Wyo., Utah, N.D., Massachusetts
S.D.)
Charles King, Director
Municipal Services
Dept. of Environmental
Protection
State Office Building
Augusta, Maine 04333
207-289-3901
Region 9
Sheila Prindiville, Acting
Environmental Protection Agency
215 Freemont Street
San Francisco, California 94105
415 556-2320
(Calif., Ariz., Nev., Hawaii, T.T.
of the Pacific, Guam)
EPA Region 10
Donald P. Dubois
Environmental Protection Agency
1200 6th Avenue
Seattle, Washington 98108
206 399-1220
(Wash,, Ore., Idaho, Alaska)
Paul Taurasi, Chief of
Engineering
Dept. of Environmental Quality
Engineering
110 Tremont Street
Boston, Massachusetts 02108
617-727-3855
New Hampshire
L.M. Collins, Asst. Chief
Engineer
NH Water Supply & Pollution
Control Commission
Hazen Drive
Concord, New Hampshire 03301
603-271-3503
Rhode Island
James W. Fester, Chief
Division of Water Resources
Dept. of Environmental
Management
Room 209, Cannon Bldg.
75 Davis Street
Providence, Rhode Island 02908
401-277-2234
39
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Vermont
Reginald A. LaRosa,
Acting Commissioner
Water Resources Division
Dept. of Water Resources
State Office Building
Montpelier, Vermont 05602
802-828-3361
EPA Region 2
New Jersey
Anthony R. Ricigliano,
Deputy Administrator
Construction Grants
Administration
Dept. of Environmental Protection
Division of Water Resources
Post Office Box CN 029
Trenton. New Jersey 08625
609-292-0950
New York
Ernest Trad, Director
Division of Construction
Management
Dept. of Environmental
Conservation
50 Wolf Road
Albany, New York 12205
518-457-3891
Puerto Rico
Pedro Marrero, Vice Chairman
Air and Water
Environmental Quality Board
P.O. Box 11488
Santurce, Puerto Rico 00910
809-725-8692
Virgin Islands
Pedrito Francois, Director
Div. of Natural Resources
Management
P.O. Box 4340
St. Thomas, Virgin Islands 00801
809-774-6420
EPA Region 3
Delaware
Robert Touhey, Manager
Division of Environmental Control
Dept. of Natural Resources &
Environmental Control
Tatnall Building, P.O. Box 1401
Dover, Delaware 19901
302-678-4761
District of Columbia
John Brink, Chief
Bureau of Air & Water Quality
Control
Dept. of Environmental Services
5010 Overlook Avenue, SW
Washington, DC 20002
202-767-7486
Maryland
Richard B. Scllars, Jr.
Construction Grants & Planning
Programs Administrator
Dept. of Health and Mental
Hygiene
201 W. Preston Street
Baltimore, Maryland 21201
301-383-2761
Pennsylvania
Daniel B. Drawbaugh, Chief
Division of Sewerage & Grants
Dept. of Environmental Resources
P.O. Box 2063
Harrisburg, Pennsylvania 17120
717-787-3481
Virginia
E.R. Simmons, Director
State Water Control Board
Division of Construction Grants
2111 N. Hamilton Street
P.O. Box 11143
Richmond, Virginia 23230
804-257-1017
West Virginia
Warren Means, Branch Head
Municipal Grants Branch
Division of Water Resources
Dept. of Natural Resources
617 Broad Street
Charleston, West Virginia 25301
304-348-0641
EPA Region 4
Alabama
Russell M. Jones
Health Services Administrator
Water Improvement Commission
State Office Building
Montgomery, Alabama 36130
205-277-3630
Florida
Richard W. Smith, Chief
Bureau of Wastewater
Management
and Grants
Dept. of Environmental
Regulation
2600 Blair Stone Road
Tallahassee, Florida 32301
904-488-2582
Mississippi
Scott Armstrong, Chief
Municipal Facilities Section
Air & Water Pollution Control
Commission
P.O. Box 10385
Jackson, Mississippi 39209
601-354-2550
North Carolina
Walter D. Taft, Jr.
205(g) Program Manager
Dept. of Natural Resources
& Community Dev.
P.O. Box 27687
Raleigh, North Carolina 27611
919-733-2504
Georgia
Jack C. Dozier
Municipal Grants Program
Manager
Environmental Protection Div.
Dept. of Natural Resources
270 Washington Street, S.W.
Atlanta, Georgia 30334
404-656-4769
40
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Kentucky
Judson Cramer, Chief
Construction Grants
Dept. for Natural Resources &
Environmental Protection
1065 Highway 127 South
Frankfort, Kentucky 40601
502-564-3410
South Carolina
Roger E. Davis, Director
Domestic Wastewater Division
Dept. of Health & Environmental
Control
2600 Bull Street
Columbia, South Carolina 29201
803-758-5067
Tennessee
D. Elmo Lunn, Director
Div. of Water Quality Control
Dept. of Public Health
621 Cordeil Hull Bldg.
Nashville, Tennessee 37210
615-741-6610
EPA Region 5
Illinois
Thomas R, Wallin,
Section Manager
Grants Administration
Environmental Protection Agency
2200 Churchill Road
Springfield, Illinois 62706
217-782-2027
Indiana
Earl Bohner
Stream Pollution Control Board
1330 West Michigan Street
Indianapolis, Indiana 41206
317-633-0167
Michigan
Dick Hinshon, Chief
Grants Administration Section
Dept. of Natural Resources
P.O. Box 30028
Lansing, Michigan 48909
517-373-0997
Minnesota
Perry T. Beaton, Chief
Division of Water Quality
Facilities Section
Minnesota Pollution Control
Agency
1935 West County Road B2
Roseville, Minnesota 55113
612-296-7201
Ohio
Richard Kuhlman
Grants Administrator
OH Environmental Protection
Agency
361 East Broad Street
Columbus, Ohio 43215
614-466-8974
Wisconsin
Paulette J. Harder, Director
Bureau of Water Grants
Dept. of Natural Resources
P.O. Box 7921
101 S. Webster Street
Madison, Wisconsin 53707
608-266-5896
EPA Region 6
Arkansas
Charles Bennett, Subgrant
Administrator
Dept. of Pollution Control &
Ecology
8001 National Drive
Little Rock, Arkansas 72209
501-371-1701
Louisiana
James Corver, Director
Division of Health, Safety &
Environmental Quality
Dept. of Health & Human
Resource
P.O. Box 60630
New Orleans, Louisiana 70160
504-568-5100
Texas
Emory G. Long, Director
Construction Grants and
Water Quality Planning
Dept. of Water Resources
P.O. Box 13087
Austin, Texas 78711
512-475-3926
New Mexico
Alice Grisham
Wastewater Construction
Grants Administrator
Environmental Improvement
Agency
P.O. Box 968—Crown Building
Sante Fe, New Mexico 87503
505-827-5271, ext. 361
Oklahoma
Charles D. Newton, Chief
Water Quality Service
State Dept. of Health
P.O. Box 53551
Oklahoma City, Oklahoma 73152
405-271-5205
EPA Region 7
Iowa
Joseph E. Obr, Director
Construction Grants Div.
Dept. of Environmental Quality
Henry A. Wallace Bldg.
900 E. Grant
Des Moines, Iowa 50265
515-284-8854
Kansas
LaVene Brenden, Chief
Municipal Unit
Dept. of Health & Environment
Forbes Field, Building 740
Topeka, Kansas 66620
913-862-9360
Missouri
Charles Stiefermann
Construction Grants Program
Dept. of Natural Resources
P.O. Box 1368
Jefferson City, Missouri 65102
314-751-3241
41
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Nebraska
Robert Wail, Chief
Water Pollution Control Division
Dept. of Environmental Control
P.O. Box 94877
Lincoln, Nebraska 68505
402-471-2186
EPA Region 8
Colorado
Ronald G. Schuyler, Section Chief
Construction Grants Section
Water Quality Control Division
Department of Health
4210 E. llth Avenue
Denver, Colorado 80220
303-320-8333, ext. 3740
Montana
Joseph Steiner
Water Quality Bureau
Dept. of Health & Environment
Sciences
Helena, Montana 59601
406-449-2406
North Dakota
Keith Demke
Construction Grants Program
Div. of Water Supply & Pollution
Control
Dept. of Health
1200 Missouri Avenue
Bismarck, North Dakota 58501
701-224-4828
Sooth Dakota
Leon Schochenmaier
Construction Grants Section Chief
Dept. of Water & Natural
Resources
Foss Building
Pierre, South Dakota 57501
605-773-3296
Utah
Don A. Ostler, Chief
Engineering &. Construction
Grants Section
State Division of Health
P.O. Box 2500
150 W.N. Temple
Salt Lake City, Utah 84110
801-533-6146
Wyoming
Paul C. Schwieger, P.E.
Municipal Operations Supervisor
Dept. of Environmental Quality
401 W. 19th Street—Equality
Bank Building
Cheyenne, Wyoming 82002
307-777-7783
EPA Region 9
Arizona
David H. Woodruff, Manager
Construction Grants
Environmental Health Services
1740 West Adams Street
Phoenix, Arizona 85007
602-255-1272
California
Raymond Walsh, Chief
Division of Water Quality
State Water Resources Control
Board
P.O. Box 100
Sacramento, California 95801
916-445-7971
Nevada
James B. Williams, Jr.
Construction Grants Officer
Div. of Environmental Protection
201 So. Fall Street,
Capital Complex
Carson City, Nevada 89710
702-885-4670
American Samoa
Pati Faiai, Chairperson
Environmental Quality
Commission
Government of American Samoa
Office of the Governor
Pago, Pago, American Samoa
96920
633-4116
Guam
O.V. Natarajan
Environmental Protection Agency
Government of Guam
P.O. Box 2999
Agana, Guam 96910
646-7916
Hawaii
Dennis Tulang, Supervisor
PMS#1
Environmental Protection &
Health Div.
Dept. of Health
P.O. Box 3378
Honolulu, Hawaii 96801
808-548-6410
Trust Territory of Pacific Islands
Nacha Siren, Director
Div. of Environmental Health
Dept. of Health Services
Trust Territory of Pacific Islands
Saipan, Mariana Islands 96950
Via 00-0422
Commonwealth of Northern
Mariannas
George Chan, Director
Division of Environmental
Quality
Dept. of Public Health
Commonwealth of Northern
Mariana
Dr. Torres Hospital
Saipan, CM 96950
42
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EPA Region 10
Alaska
Keith Kelton, Chief
Facility Construction and
Operation Section
Dept, of Environmental
Conservation
Pouch Z
Juneau, Alaska 99811
907-465-2610
Idaho
Orlando M. Dalke, Manager
Municipal Facilities
Dept. of Health & Welfare
Statehouse
Boise, Idaho 83720
208-334-4252
Oregon
William Gildow, Chief
Construction Grants Unit
Dept. of Environmental Quality
P.O. Box 1760
Portland, Oregon 97207
503-229-6493
Washington
Norman L. Glenn, Division
Supervisor
Washington State Dept. of Ecology
M/SPV-il
Olympia, Washington 98504
206-753-2846
43
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1
35.917-2
STATE
RESPONSIBILITIES
1. DELINEATE AREAS
2. MAP BOUNDARIES
3. CONSULT LOCALS
4. CONSIDER
INDIVIDUAL
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) 21AI (OPTIONAL! 35.920-3(A)I1J
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4. COST ESTIMATES
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3S.920-3IAK2I
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35.920-3IAK3)
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COMMENTS
OMB A-9S 130.3061
35.320-1
ELIGIBILITY
GENERAL (30.3151
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(35 S17-3IAI)
35.92021B)
COMPLIANCE WITH
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REQUIREMENTS
PLUS:
36.925-2
COMPLIANCE WITH
WO.M PLANNING
35.925-3
PRIORITY COMPLIANCE
3S.S25-<
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35.825-18
PRIOR COSTS
35.925-20
PROCUREMENT
35.930
AWARD OF GRANT
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35.930-1
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3S.S30-2
GRANT AMOUNT
35.930-3
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35.930-4
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35.930-5
FEDERAL SHARE
35.9304
LIMITATIONS ON
FEDERAL SHARE
STEP1
GRANT
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35.935
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35.935-1
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35.S35-2
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35.335-7
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35935-9
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COMPLETION
35.925-5
APPLICANT CAPABILITY TO:
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43FR pp 80220-4
USE OF MBE
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STATE/EPA
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(FINAL A
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35.915
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COMPLIANCE WITH;
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35.936
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ACCEPTANCE
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STATE/EPA
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APPHUVflL
STEP 3
GRANT
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STEPS
GRANT
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35.320-3ICH1I
ALL ITEMS SPECIFIED
IN 35.920-3IB1
EXECUTED INTER-
MUNICIPAL AGREEMENT
135.920-3(6)161)
35 920-310(21
CONSTRUCTION
DRAWINGS tt SPECS
SUITABLE FOR BIDDING
35.92D-3ICK3I
PLAN OF OPERATION
COMPLIANCE SCHEDULE
135.920-10)
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135.9071
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15-920.1
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35.927-4
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35.920-2IBI
COMPLIANCE WITH
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REQUIREMENTS.
REFER TO STEP 2
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35.930
AWARD OF
GRANT
ASSISTANCE
REFER TO
STEP1
35.925-10
PLAN OF OPERATION
135.935-12)
35.935
GRANT CONDITIONS
REFER TO STEP 2
PLUS:
35535-5
DAVIS BACON ft
RELATED STATUTES
I30.41S)
EEO (PART I)
35.9354
SUPERVISION
35.935-10
COPIES OF
CONTRACT
DOCUMENTS
36.935-12
PLAN OF OPERATION
3SJ3S13
USER CHARGE
SYSTEM
35935-18
SEWER USE
ORDINANCE
AND EVALUATION/
REHABILITATION
(35.935-17
TRAINING FACILITY)
36.935-19
PRETREATMENT
PROGRAM
135.935-20 INNOVATIVE
TECHNOLOGY!
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AVAILABLE
DIGITALLY
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