(a)Step 1: Facilities plan and related step 1 elements. An application for a grant for step 1 shall include:
(1) A plan of study presenting—
(i) The proposed planning area;
(ii) An identification of the entity or entities that will be conducting the planning;
(iii) The nature and scope of the proposed step 1 project and public participation program, including a schedule for the completion of specific tasks;
(iv) An itemized description of the estimated costs for the project; and
(v) Any significant public comments received.
(2) Proposed subagreements, or an explanation of the intended method of awarding subagreements for performance of any substantial portion of the project work;
(3) Required comments or approvals of relevant State, local and Federal agencies, including clearinghouse requirements of Office of Management and Budget Circular A-95, as revised (see § 30.305 of this subchapter).
(b)Step 2: Preparation of construction drawings and specifications. Before the award of a grant or grant amendment for a step 2 project, the applicant must furnish the following:
(1) A facilities plan (including the environmental assessment portion in accordance with part 6 of this chapter) in accordance with §§ 35.917 through 35.917-9;
(2) Adequate information regarding availability of proposed site(s), if relevant;
(3) Proposed subagreements or an explanation of the intended method of awarding subagreements for performance of any substantial portion of the project work;
(4) Required comments or approvals of relevant State, local, and Federal agencies, including clearinghouse requirements of Office and Management and Budget Circular A-95, as revised (see § 30.305 of this subchapter);
(5) A value engineering (VE) commitment in compliance with § 35.926(a) for all step 2 grant applications for projects with a projected total step 3 grant eligible construction cost of $10 million or more excluding the cost for interceptor and collector sewers. For those projects requiring VE, the grantee may propose, subject to the Regional Administrator's approval, to exclude interceptor and collector sewers from the scope of the VE analysis;
(6) Proposed or executed (as determined appropriate by the Regional Administrator) intermunicipal agreements necessary for the construction and operation of the proposed treatment works, for any treatment works serving two or more municipalities;
(7) A schedule for initiation and completion of the project work (see § 35.935-9), including milestones; and
(10) A public participation work plan, in accordance with § 35.917-5(g), if the grantee, after consultation with the public and its advisory group (if one exists), determines that additional public participation activities are necessary.
(c)Step 3. Building and erection of a treatment works. Prior to the award of a grant or grant amendment for a step 3 project, the applicant must furnish the following:
(1) Each of the items specified in paragraph (b) of this section (in compliance with paragraph (b)(6) of this section, the final intermunicipal agreements must be furnished);
(2) Construction drawings and specifications suitable for bidding purposes (in the case of an application for step 3 assistance solely for acquisition of eligible land, the grantee must submit a plat which shows the legal description of the property to be acquired, a preliminary layout of the distribution and drainage systems, and an explanation of the intended method of acquiring the property);
(3) A schedule for or evidence of compliance with §§ 35.925-10 and 35.935-12 concerning an operation and maintenance program, including a preliminary plan of operation; and
(4) After December 31, 1980, the items required by § 35.907(d)(1) through (d)(9), as applicable, for grantees subject to pretreatment requirements under § 35.907(b).
(5) A public participation work plan, in accordance with § 35.917-5(g), if the grantee determines, after consultation with the public, that additional public participation activities are necessary.
(d)Step 2 3. Combination design and construction of a treatment works. Before the award of a grant or grant amendment for a step 2=3 project, the grantee must furnish:
(1) Each of the items specified in paragraph (b) of this section, and (2) a schedule for timely submission of plans and specifications, operation and maintenance manual, user charge and industrial cost recovery systems, sewer use ordinance, and a preliminary plan of operation.
(e)Training facility project. An application for grant assistance for construction and support of a training facility, facilities or training programs under section 109(b) of the Act shall include:
(1) A statement concerning the suitability of the treatment works facility, facilities or training programs for training operations and maintenance personnel for treatment works throughout one or more States;
(2) A written commitment from the State agency or agencies to carry out at such facility a program of training approved by the Regional Administrator;
(3) An engineering report (required only if a facility is to be constructed) including facility design data and cost estimates for design and construction;
(4) A detailed outline of the training programs, including (for 1-, 3-, and 5-year projections):
(i) An assessment of need for training,
(ii) How the need was determined,
(iii) Who would be trained,
(iv) What curriculum and materials would be used,
(v) What type of delivery system will be used to conduct training, (i.e., State vocational education system, State environmental agency, universities or private organizations),
(vi) What resources are available for the program,
(vii) A budget breakdown on the cost of the program, and
(viii) The relationship of the facility or programs to other training programs.
[43 FR 44049, Sept. 27, 1978, as amended at 44 FR 10304, Feb. 16, 1979; 44 FR 37595, June 27, 1979; 44 FR 39339, July 5, 1979]
Title 40 published on 2014-07-01
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