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Part 625: Water Quality Improvement Projects



§625.1 Definitions

(a) Commissioner shall mean the Commissioner of Environmental Conservation.

(b) Department shall mean the Department of Environmental Conservation.

(c) Municipality shall mean a city, county, town, village, the New York State Environmental Facilities Corporation, a sewer authority within a city, or an improvement district or district corporation within a city, county, town or village, or indian tribes residing within New York State, or any combination thereof.

(d) Governing body shall mean

(1) in the case of a town, a town board;

(2) in the case of a county outside the City of New York, the county board of supervisors or other elective governing body;

(3) in the case of a city or village, the local legislative body thereof, as the term is defined in the Municipal Home Rule Law;

(4) in the case of a public benefit corporation, the board of directors, members or trustees thereof;

(5) in the case of an improvement district or a district corporation, the governing board; and

(6) in the case of an indian tribe, the proper tribal officials.

(e) Federal assistance shall mean funds available, other than by loan, from the Federal government to a municipality, either directly or through allocation by the State for construction or program purposes pursuant to any Federal law or program.

(f) Federal pollution abatement assistance shall mean funds available to a municipality, either directly or through allocation by the State, from the Federal government as grants for construction of sewage treatment works, pursuant to the Federal Water Pollution Control Act and acts amendatory thereto.

(g) Water quality improvement project shall mean a sewage treatment works for the purpose of treating, neutralizing or stabilizing sewage, including treatment or disposal plants, the necessary intercepting, outfall sewers, pumping stations integral to such plants or sewers, equipment and furnishings thereof and their appurtenances.

(h) Construction shall mean the preliminary planning to determine the feasibility of the treatment works, the erection, building, acquisition, alteration, reconstruction, improvement or extension of sewage treatment works; the inspection and supervision thereof; and the engineering, architectural, legal, fiscal and economic investigations and studies, surveys, designs, plans, working drawings, specifications, procedures, and other actions necessary thereto.

(i) Eligible project shall mean a water quality improvement project for the construction of sewage treatment works:

(1) which is, in the judgment of the commissioner, in accord with applicable waste treatment management plans, comprehensive studies and reports;

(2) which conforms with applicable law, rules and regulations;

(3) which is, in the judgment of the commissioner, necessary for the accomplishment of the State water pollution control program;

(4) which is approved for Federal pollution abatement assistance, and

(5) for which a permit to construct has been issued by the department.

(j) Project cost shall mean the actual cost or estimated reasonable cost, whichever is lower, of construction of an eligible project. The estimated reasonable cost will be determined and the contract will be executed after the project is approved for Federal pollution abatement assistance and this estimated reasonable cost will constitute the dollar amount approved for State grant participation for this project.

§625.2 Application Procedure for State Assistance

Application procedures will be in accordance with section 203 of the Environmental Quality Bond Act of 1972--implementation.

§625.3 State Requirements

(a) Any project for which application is submitted for State assistance shall comply in all respects with such Federal regulations, guidelines, instructions, criteria, standards or other documents issued by the Federal government pursuant to the Federal Water Pollution Control Act and amendments thereto, except as modified hereinafter, and the National Environmental Policy Act.

(b) All contract documents prepared by the municipality for the construction of water quality improvement projects pursuant to this Part shall conform to all Federal, State and local laws, ordinances, rules and regulations.

(c) Notwithstanding the provisions of the Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and provisions of other laws on the subject, the State will not participate in the acquisition of lands, nor any costs involved in the relocation of individuals and businesses occasioned by the procurement of a site for the location of a sewage treatment works or lands for disposal of the treated wastes therefrom. Where cost-sharing is required under Federal regulations, such cost-sharing shall be between the Federal government and the municipality, the latter acting as an agency of the State.

(d) Wherever possible, specifications prepared for construction of sewage treatment works pursuant to this Part, shall follow the construction specifications institute format.

§625.4 Approval of Projects

(a) In the event that the amount of Federal pollution abatement assistance allotted to the State is insufficient to provide funding for all State projects for which applications are expected to be approved in any year or other period as the applicable Federal law allows, a State priority system meeting the requirements of Federal law and regulation will be applied.

(b) Projects are approved by the State prior to submission to the United States Environmental Protection Agency of the application for Federal pollution abatement assistance for the project. After approval of the application by the Environmental Protection Agency, the project will be eligible for State assistance in accordance with this Part.

§625.5 Payments

(a) Installment payments of the State grant will be made at the request of the municipality. Payments will be based on the cost of work performed, materials and equipment supplied and incorporated in, and services rendered in connection with an approved project.

(b) The department will retain five percent from each payment except the final payment.

(c) If the municipality fails to comply with any of the requirements of the Environmental Conservation Law, the State Sanitary Code or regulations of the department applicable to water quality improvement projects, the department may withhold all or part of further payments pending compliance.

(d) Upon notification from the municipality that the project is complete, the department will conduct a final inspection to determine if the project is operating in accordance with applicable laws and regulations. The cost of any work completed after the final inspection, or after a date established by the department at the final inspection, will not be considered part of the project cost.

(e) A final payment, which brings the total of State grant payments to 100 percent of the State share of the project cost, will be released upon determination by the department that the project is complete and is operating satisfactorily, and that all grant requirements have been met. If the project is complete but not operating satisfactorily, the department may withhold from the final payment an amount sufficient, in the judgement of the department, to ensure correction of deficiencies. The amount withheld will be released when deficiencies are corrected.

(f) Total grant payments may not exceed the State share of either the estimated reasonable cost or the actual project cost, whichever is lower.

§625.6 Conditions

(a) The sewage received by the water quality improvement project will be from a sewer or systems operated and maintained in accordance with a sewer use ordinance acceptable to the department.

(b) The municipality must have a fee simple title or such other estate or interest in the site of the project, including necessary easements and right-of-way, as the department finds sufficient to assure undisturbed use and possession for the purposes of construction and operation for the estimated life of the project.

(c) The construction contract will provide that representatives of the department shall have access to the work wherever it is in preparation or progress and that the contractor shall furnish proper facilities for such access and inspection.

(d) The construction contract or contracts will be prepared so that eligible items can be readily segregated from noneligible items and so that materials and equipment sold to the municipality may be readily itemized.

(e) The project will not be advertised or placed on the market for bidding until final plans and specifications have been approved by the department, a permit therefor has been issued by the department, and the municipality has been notified that advertising and receipt of bids may commence.

(f) The municipality will construct the project or cause it to be constructed to completion in accordance with the application, plans and specifications or amendments thereto approved by the department and the permit issued therefor.

(g) Construction contracts will not be awarded without departmental approval of the bid tabulations and a statement of the intent of the municipality to award contracts to specific bidders.

(h) All change orders will be submitted to the department within one month of the time at which they are ordered by the engineer; grant payments associated with such change orders may be made by the commissioner at his discretion following engineering review of the change order and inspection of the work, and provided that the estimated reasonable cost of the project is not exceeded thereby.

(i) The municipality will at all times provide and maintain competent and adequate resident supervision and inspection under the direction of a professional engineer licensed in the State of New York who will have the responsibility to insure that the construction conforms with the approved plans and specifications and to certify to the municipality and to the commissioner at the completion of construction that the construction is in accordance with the approved plans and specifications or approved amendments thereto.

(j) Adequate accounting and fiscal records will be maintained so as to reflect the receipt and expenditures of funds for the purpose of the eligible project, and all funds, however provided for the payment of the cost of the project, will be credited promptly upon receipt thereof, to a separate construction account or accounts. These accounts shall be subject to audit by the State.

(k) The sewage treatment plant operator, who will be in responsible charge of the facility, will be present at the site during the construction of at least the final 50 percent of the treatment facility portion of the project.

(l) Sufficient qualified operating personnel shall be retained and required operational tests and measurements shall be performed to insure proper and efficient operation and maintenance of the sewage treatment works from the time of completion of construction until such time as the commissioner may approve discontinuance of operation or disposal of the works.