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Part 363: State Aid For Planning For Collection, Treatment and Disposal Of Refuse

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§363.1 Intent

The intent of comprehensive studies is to encourage development of economical projects for the present and future collection, treatment and disposal of refuse on a regional, county or area- wide basis. Comprehensive studies are intended to include areas of present or projected urban and metropolitan development and population growth. Such studies are not intended to provide for minor refuse disposal facility extensions or plans for small subdivisions or small areas, and shall not include the preparation of detail design and engineering drawings, specifications and contract documents.

§363.2 Definitions

As used in this Part, unless the context otherwise requires:

(a) The terms comprehensive study and report, municipality and refuse, shall have the meanings ascribed to them in section 27-0103 of the Environmental Conservation Law.

(b) Study area means the geographic area which is to be included in the comprehensive study and report.

(c) Commissioner means the State Commissioner of Environmental Conservation.

§363.3 Additional Requirements

In addition to the items required to be included in a comprehensive study and report under section 27-0103 of the Environmental Conservation Law, the completed report must include the following:

(a) Basic information and data accompanying the major alternative solutions to refuse disposal problems, including but not limited to: reliable estimates of existing and future refuse requirements; estimate of the effect of the proposed refuse requirements on the present refuse disposal facilities; justifiable estimates of existing and future population of the area projected for at least five decades in the future; justifiable estimates of the volume, type and character of industrial solid wastes or other wastes that will be permitted in the proposed municipal refuse system, based on consideration of existing industries within the area and, if known, possible or proposed new industries to be located within the area; a basic plan showing the location, size and capacity of proposed facilities for the collection, treatment and disposal of refuse; preliminary lay-out plan showing location, type, size and capacity of proposed refuse facilities; and a description accompanied by adequate illustrations to show how the refuse collection, treatment, and disposal facilities may be economically altered or enlarged to serve increased area and population.

(b) For each proposed solution developed as a result of the comprehensive study of the problem of providing for the collection, treatment and disposal of refuse within the study area: an estimate of the capital cost of construction including costs for land acquisition and rights-of-way, engineering, legal and other services; an outline of the proposed method for financing; an estimate of the annual cost for maintenance and operation of the proposed facilities.

(c) The engineer's recommendation as to the best and most economical solution for the collection, treatment and disposal of refuse within the area, accompanied by an estimate of the annual costs for amortization of indebtedness which would be required to finance construction of the project. The financial analysis shall be in sufficient detail to enable the applicant to develop an adequate plan for financing.

§363.4 Eligibility

(a) Any county, city, town or village, or any department, bureau, commission, board, division, agency, public benefit corporation, or committee designated by the governing body of such municipality is eligible to apply for a State grant to finance the cost of a comprehensive study and report.

(b) Any two or more counties, cities, towns or villages or any combination of two or more such municipalities or any departments, bureaus, commissions, boards, divisions, agencies, public benefit corporations, or committees designated by the governing bodies of each such municipality desiring to participate in a joint comprehensive study and report, may apply for a State grant for such purpose.

§363.5 Applications

(a) All applications shall be on a form furnished by the commissioner.

(b) All applications shall be submitted to the commissioner through the office of the health district, county health department, part-county health department or city health department having jurisdiction over the area proposed to be included in such study. If the proposed study area includes locations under the jurisdiction of more than one of the above offices, the application shall be submitted through the office having jurisdiction over the largest portion of the proposed study area; and copies of the application shall be furnished to the offices of the other health districts or local health departments included in such study areas.

(c) The application shall delineate the proposed study area and outline the scope of the proposed study.

(d) The application shall give the names of three or more consulting engineers or engineering firms together with a summary of the experience of each which will reflect a particular competency to engage in a study and report of the scope proposed.

§363.6 Review of Application

Upon receipt of the application, the commissioner will:

(a) Make a determination as to whether the proposed study area is a practical and logical area, taking into consideration its relationship to the municipality or municipalities involved, including such factors as residential, industrial and agricultural development and sources of solid waste generation in the proposed study area and in the surrounding vicinity.

(b) Make a determination as to whether the scope of the proposed study and report is satisfactory.

(c) Advise the applicant of his determinations within a reasonable length of time.

§363.7 Selection of Consulting Engineer

(a) The applicant or applicants shall recommend to the commissioner at least three consulting engineers or firms from which the commissioner will select one to furnish engineering services for the proposed study and report, except that if the list of consulting engineers and firms originally presented is not acceptable to the commissioner he may require such additions to the list as he deems necessary in order that he be provided with a proper list from which to make a selection.

(b) Such consulting engineers or firms shall be qualified to practice professional engineering in the State of New York under the Education Law of the State of New York.

(c) Such consulting engineers or firms shall have had prior experience which will reflect a particular competency to engage in a study and report of the scope proposed.

§363.8 Compensation for Engineering Services

(a) The engineer selected by the commissioner, in making a proposal to the applicant and the commissioner to furnish engineering services required for the proposed comprehensive study and report, shall propose a total fee for his services. The basis for the fee shall be stated.

(b) The proposed fee for engineering services shall be based on:

(1) lump sum, taking into account reasonable engineering costs for similar studies and reports, or

(2) an estimated engineering payroll cost required to perform the work, plus a reasonable amount to cover overhead and profit, and as agreed to between the engineer and the commissioner, or

(3) a combination of (1) and (2).

(c) Such proposal for total engineering fees shall include the estimated cost for test borings and other special services which may be required. Such cost shall be listed separately in detail.

(d) The commissioner has the final responsibility to determine that the fees proposed are reasonable and conform to good practice.

§363.9 Contracts for Engineering Services

(a) Contracts to make a comprehensive study and report shall be prepared by the office of the counsel of the State Department of Environmental Conservation in consultation with the attorney or attorneys employed by the applicant.

(b) All copies of the contract so prepared shall be submitted to the applicant for execution by the applicant and the contracting engineer. After execution by the applicant and the contracting engineer, all copies of the partially executed contract shall be returned to the commissioner.

(c) After the commissioner's approval thereof, copies of the duly executed contract shall be furnished to the applicant and to the contracting engineer and thereafter shall be in full force and effect.

(d) Such contracts shall be written in such form and in such detail as is reasonably calculated to clearly define the obligations, duties and requirements imposed upon each of the contracting parties and shall specify the manner and terms under which vouchers shall be prepared and submitted to the commissioner for payment for the engineering services rendered. Such contracts may provide for partial payments.

(e) The contract shall provide that the contracting engineer shall keep the commissioner and the applicant periodically informed as to the progress of the study.

(f) The contract shall provide that 10 percent of each partial payment shall be withheld by the State pending faithful performance of the contract. Final payment, including retained percentages, shall not be made to the contracting engineer until the report has been submitted to and approved by the commissioner and the applicant.

(g) In the case of a joint contract, the contract shall provide for designation of one of the municipalities to receive payments for State assistance and to make payments to the contracting engineer.

§363.10 Approval of vouchers

(a) All payments of State assistance shall be made after audit and upon warrant of the Comptroller on vouchers approved by the commissioner.

(b) Monies received pursuant to section 27-0105 of the Environmental Conservation Law shall be expended only for purposes consistent with the provisions of such section.

§363.11 State aid payments

All payments of State assistance shall be made to the applicant upon condition that the applicant make prompt payment to the contracting engineer.

§363.12 Submission of final report and administrative review

(a) Upon completion of the report of the comprehensive study, the contracting engineer shall submit copies thereof to the applicant and to the commissioner for review. Such final report shall be prefaced with a brief summary listing the findings, conclusions and recommendations resulting from the comprehensive study. Copies submitted to the commissioner shall be through the office through which the application was submitted.

(b) Following receipt of the applicant's written statement that the report is in satisfactory fulfillment of the contract, the commissioner will:

(1) review the report and ascertain that it fulfills all legal and technical requirements;

(2) approve or disapprove the report as soon as practicable;

(i) if disapproved, notify the applicant in writing of the reasons for such disapproval, with suggestions on action needed to meet the objections raised;

(ii) if approved, notify the applicant in writing, and certify for final payment of State grant.