33 U.S.C. § 1283 — Plans, specifications, estimates, and pay-

Page 419 TITLE 33—NAVIGATION AND NAVIGABLE WATERS § 1283 trator before October 1, 1984, and which project is under judicial injunction on such date prohibiting its con- struction, such project shall be eligible for grants at 75 percent of the cost of construction thereof.’’ Pub. L. 100–4, § 202(c), inserted at end ‘‘Notwith- standing the first sentence of this paragraph, in the case of the Wyoming Valley Sanitary Authority project mandated by judicial order under a proceeding begun prior to October 1, 1984, and a project for wastewater treatment for Altoona, Pennsylvania, such projects shall be eligible for grants at 75 percent of the cost of construction thereof.’’ Subsec. (a)(3). Pub. L. 100–4, § 202(d), inserted at end ‘‘In addition, the Administrator is authorized to make a grant to fund all of the costs of the modification or replacement of biodisc equipment (rotating biological contactors) in any publicly owned treatment works if the Administrator finds that such equipment has failed to meet design performance specifications, unless such failure is attributable to negligence on the part of any person, and if such failure has significantly increased capital or operating and maintenance expenditures.’’ 1982—Subsec. (c). Pub. L. 97–357 added subsec. (c). 1981—Subsec. (a)(1). Pub. L. 97–117, § 7, inserted ‘‘and ending before October 30, 1984,’’ after ‘‘June 30, 1971,’’ and ‘‘and for any fiscal year beginning on or after Octo- ber 1, 1984, shall be 55 per centum of the cost of con- struction thereof (as approved by the Administrator),’’ after ‘‘(as approved by the Administrator),’’ and provi- sion that notwithstanding first sentence of this para- graph, in any case where primary, secondary, or ad- vanced waste treatment facility or its related intercep- tors or a project for infiltration-in-flow correction has received a grant for building, acquisition, etc., before Oct. 1, 1984, all segments and phases be eligible for grants at 75 per centum of the cost of construction. Subsec. (a)(2). Pub. L. 97–117, § 8(a), inserted provision that the amount of any grant made after Sept. 30, 1981, for any eligible treatment works or unit processes or techniques, utilizing innovative or alternative waste- water treatment processes or techniques referred to in section 1281(g)(5) of this title be a percentage of the cost of construction equal to 20 per centum greater than the percentage in effect under par. (1) of this sub- section, but in no event greater than 85 per centum of the cost of construction. Subsec. (a)(4). Pub. L. 97–117, § 8(b), struck out ‘‘in the fiscal years ending September 30, 1979, September 30, 1980, and September 30, 1981’’ after ‘‘purpose in such State’’ and provision that excluded from term ‘‘eligible treatment works’’ collector sewers, interceptors, storm or sanitary sewers or the separation thereof, or major sewer rehabilitation. 1980—Subsec. (a)(1). Pub. L. 96–483, § 9(a), inserted pro- visions relating to modification to a lower percentage rate by the Governor of the State and issuance of guidelines by the Administrator for the concurrence in any such modification. Subsec. (a)(2). Pub. L. 96–483, § 9(b), inserted provision relating to the modification by the Governor of the State to a percentage rate no less than 15 per centum greater than the modified uniform rate in which the Administrator has concurred. 1977—Subsec. (a). Pub. L. 95–217 designated existing provisions as par. (1) and added pars. (2) to (4). Statutory Notes and Related Subsidiaries PROMULGATION OF FEDERAL SHARES Act July 9, 1956, ch. 518, § 4, 70 Stat. 507, authorized the Surgeon General to promulgate Federal shares under the Federal Water Pollution Control Grant Pro- gram as soon as possible after July 9, 1956, in the man- ner specified in the Water Pollution Control Act, act June 30, 1948, ch. 758, 62 Stat. 1155, and provided that such shares were to be conclusive for the purposes of section 5 of act June 30, 1948. § 1283. Plans, specifications, estimates, and pay- ments (a) Submission; contractual nature of approval by Administrator; agreement on eligible costs; single grant (1) Each applicant for a grant shall submit to the Administrator for his approval, plans, speci- fications, and estimates for each proposed project for the construction of treatment works for which a grant is applied for under section 1281(g)(1) of this title from funds allotted to the State under section 1285 of this title and which otherwise meets the requirements of this chap- ter. The Administrator shall act upon such plans, specifications, and estimates as soon as practicable after the same have been submitted, and his approval of any such plans, specifica- tions, and estimates shall be deemed a contrac- tual obligation of the United States for the pay- ment of its proportional contribution to such project. (2) AGREEMENT ON ELIGIBLE COSTS.— (A) LIMITATION ON MODIFICATIONS.—Before taking final action on any plans, specifica- tions, and estimates submitted under this sub- section after the 60th day following February 4, 1987, the Administrator shall enter into a written agreement with the applicant which establishes and specifies which items of the proposed project are eligible for Federal pay- ments under this section. The Administrator may not later modify such eligibility deter- minations unless they are found to have been made in violation of applicable Federal stat- utes and regulations. (B) LIMITATION ON EFFECT.—Eligibility deter- minations under this paragraph shall not pre- clude the Administrator from auditing a project pursuant to section 1361 of this title, or other authority, or from withholding or re- covering Federal funds for costs which are found to be unreasonable, unsupported by ade- quate documentation, or otherwise unallow- able under applicable Federal cost principles, or which are incurred on a project which fails to meet the design specifications or effluent limitations contained in the grant agreement and permit pursuant to section 1342 of this title for such project. (3) In the case of a treatment works that has an estimated total cost of $8,000,000 or less (as determined by the Administrator), and the pop- ulation of the applicant municipality is twenty- five thousand or less (according to the most re- cent United States census), upon completion of an approved facility plan, a single grant may be awarded for the combined Federal share of the cost of preparing construction plans and speci- fications, and the building and erection of the treatment works. (b) Periodic payments The Administrator shall, from time to time as the work progresses, make payments to the re- cipient of a grant for costs of construction in- curred on a project. These payments shall at no time exceed the Federal share of the cost of con- struction incurred to the date of the voucher covering such payment plus the Federal share of the value of the materials which have been Page 420 TITLE 33—NAVIGATION AND NAVIGABLE WATERS § 1283 stockpiled in the vicinity of such construction in conformity to plans and specifications for the project. (c) Final payments After completion of a project and approval of the final voucher by the Administrator, he shall pay out of the appropriate sums the unpaid bal- ance of the Federal share payable on account of such project. (d) Projects eligible Nothing in this chapter shall be construed to require, or to authorize the Administrator to re- quire, that grants under this chapter for con- struction of treatment works be made only for projects which are operable units usable for sew- age collection, transportation, storage, waste treatment, or for similar purposes without addi- tional construction. (e) Technical and legal assistance in administra- tion and enforcement of contracts; interven- tion in civil actions At the request of a grantee under this sub- chapter, the Administrator is authorized to pro- vide technical and legal assistance in the admin- istration and enforcement of any contract in connection with treatment works assisted under this subchapter, and to intervene in any civil ac- tion involving the enforcement of such a con- tract. (f) Design/build projects (1) Agreement Consistent with State law, an applicant who proposes to construct waste water treatment works may enter into an agreement with the Administrator under this subsection providing for the preparation of construction plans and specifications and the erection of such treat- ment works, in lieu of proceeding under the other provisions of this section. (2) Limitation on projects Agreements under this subsection shall be limited to projects under an approved facility plan which projects are— (A) treatment works that have an esti- mated total cost of $8,000,000 or less; and (B) any of the following types of waste water treatment systems: aerated lagoons, trickling filters, stabilization ponds, land application systems, sand filters, and sub- surface disposal systems. (3) Required terms An agreement entered into under this sub- section shall— (A) set forth an amount agreed to as the maximum Federal contribution to the project, based upon a competitively bid doc- ument of basic design data and applicable standard construction specifications and a determination of the federally eligible costs of the project at the applicable Federal share under section 1282 of this title; (B) set forth dates for the start and com- pletion of construction of the treatment works by the applicant and a schedule of payments of the Federal contribution to the project; (C) contain assurances by the applicant that (i) engineering and management assist- ance will be provided to manage the project; (ii) the proposed treatment works will be an operable unit and will meet all the require- ments of this subchapter; and (iii) not later than 1 year after the date specified as the date of completion of construction of the treatment works, the treatment works will be operating so as to meet the requirements of any applicable permit for such treatment works under section 1342 of this title; (D) require the applicant to obtain a bond from the contractor in an amount deter- mined necessary by the Administrator to protect the Federal interest in the project; and (E) contain such other terms and condi- tions as are necessary to assure compliance with this subchapter (except as provided in paragraph (4) of this subsection). (4) Limitation on application Subsections (a), (b), and (c) of this section shall not apply to grants made pursuant to this subsection. (5) Reservation to assure compliance The Administrator shall reserve a portion of the grant to assure contract compliance until final project approval as defined by the Ad- ministrator. If the amount agreed to under paragraph (3)(A) exceeds the cost of designing and constructing the treatment works, the Ad- ministrator shall reallot the amount of the ex- cess to the State in which such treatment works are located for the fiscal year in which such audit is completed. (6) Limitation on obligations The Administrator shall not obligate more than 20 percent of the amount allotted to a State for a fiscal year under section 1285 of this title for grants pursuant to this sub- section. (7) Allowance The Administrator shall determine an allow- ance for facilities planning for projects con- structed under this subsection in accordance with section 1281(l) of this title. (8) Limitation on Federal contributions In no event shall the Federal contribution for the cost of preparing construction plans and specifications and the building and erec- tion of treatment works pursuant to this sub- section exceed the amount agreed upon under paragraph (3). (9) Recovery action In any case in which the recipient of a grant made pursuant to this subsection does not comply with the terms of the agreement en- tered into under paragraph (3), the Adminis- trator is authorized to take such action as may be necessary to recover the amount of the Federal contribution to the project. (10) Prevention of double benefits A recipient of a grant made pursuant to this subsection shall not be eligible for any other grants under this subchapter for the same project. (June 30, 1948, ch. 758, title II, § 203, as added Pub. L. 92–500, § 2, Oct. 18, 1972, 86 Stat. 835; Page 421 TITLE 33—NAVIGATION AND NAVIGABLE WATERS § 1284 1 So in original. The period probably should be a semicolon. amended Pub. L. 93–243, § 2, Jan. 2, 1974, 87 Stat. 1069; Pub. L. 95–217, §§ 18, 19, Dec. 27, 1977, 91 Stat. 1571, 1572; Pub. L. 96–483, § 6, Oct. 21, 1980, 94 Stat. 2362; Pub. L. 97–117, § 9, Dec. 29, 1981, 95 Stat. 1626; Pub. L. 100–4, title II, §§ 203, 204, Feb. 4, 1987, 101 Stat. 16, 17.) Editorial Notes AMENDMENTS 1987—Subsec. (a). Pub. L. 100–4, § 203, designated pro- vision relating to submission of plans, specifications, and estimates, and provision relating to contractual nature of approval by Administrator as par. (1), des- ignated provision relating to requirements for award- ing single grant for combined Federal share of cost of preparing plans and specifications, and building and erection of treatment works as par. (3), and added par. (2). Subsec. (f). Pub. L. 100–4, § 204, added subsec. (f). 1981—Subsec. (a). Pub. L. 97–117 substituted ‘‘$8,000,000’’ for ‘‘$4,000,000’’ and struck out provision that, if any State is found by the Administrator to have unusually high costs of construction, the Admin- istrator may authorize a single grant where the esti- mated total cost of the treatment works does not ex- ceed $5,000,000. 1980—Subsec. (a). Pub. L. 96–483 substituted ‘‘$4,000,000’’ and ‘‘$5,000,000’’ for ‘‘$2,000,000’’ and ‘‘$3,000,000’’, respectively. 1977—Subsec. (a). Pub. L. 95–217, § 18, provided that, in the case of a treatment works that has an estimated total cost of $2,000,000 or less (as determined by the Ad- ministrator), and the population of the applicant mu- nicipality is twenty-five thousand or less (according to the most recent United States census), upon comple- tion of an approved facility plan, a single grant may be awarded for the combined Federal share of the cost of preparing construction plans and specifications, and the building and erection of the treatment works, and that, if any State is found by the Administrator to have unusually high costs of construction, the Admin- istrator may authorize a single grant where the esti- mated total cost of the treatment works does not ex- ceed $3,000,000. Subsec. (e). Pub. L. 95–217, § 19, added subsec. (e). 1974—Subsec. (d). Pub. L. 93–243 added subsec. (d). § 1284. Limitations and conditions (a) Determinations by Administrator Before approving grants for any project for any treatment works under section 1281(g)(1) of this title the Administrator shall determine— (1) that any required areawide waste treat- ment management plan under section 1288 of this title (A) is being implemented for such area and the proposed treatment works are in- cluded in such plan, or (B) is being developed for such area and reasonable progress is being made toward its implementation and the pro- posed treatment works will be included in such plan; (2) that (A) the State in which the project is to be located (i) is implementing any required plan under section 1313(e) of this title and the proposed treatment works are in conformity with such plan, or (ii) is developing such a plan and the proposed treatment works will be in conformity with such plan, and (B) such State is in compliance with section 1315(b) of this title; (3) that such works have been certified by the appropriate State water pollution control agency as entitled to priority over such other works in the State in accordance with any ap- plicable State plan under section 1313(e) of this title, except that any priority list devel- oped pursuant to section 1313(e)(3)(H) of this title may be modified by such State in accord- ance with regulations promulgated by the Ad- ministrator to give higher priority for grants for the Federal share of the cost of preparing construction drawings and specifications for any treatment works utilizing processes and techniques meeting the guidelines promul- gated under section 1314(d)(3) of this title and for grants for the combined Federal share of the cost of preparing construction drawings and specifications and the building and erec- tion of any treatment works meeting the re- quirements of the next to the last sentence of section 1283(a) of this title which utilizes proc- esses and techniques meeting the guidelines promulgated under section 1314(d)(3) of this title.1 (4) that the applicant proposing to construct such works agrees to pay the non-Federal costs of such works and has made adequate provisions satisfactory to the Administrator for assuring proper and efficient operation, in- cluding the employment of trained manage- ment and operations personnel, and the main- tenance of such works in accordance with a plan of operation approved by the State water pollution control agency or, as appropriate, the interstate agency, after construction thereof; (5) that the size and capacity of such works relate directly to the needs to be served by such works, including sufficient reserve capac- ity. The amount of reserve capacity provided shall be approved by the Administrator on the basis of a comparison of the cost of con- structing such reserves as a part of the works to be funded and the anticipated cost of pro- viding expanded capacity at a date when such capacity will be required, after taking into ac- count, in accordance with regulations promul- gated by the Administrator, efforts to reduce total flow of sewage and unnecessary water consumption. The amount of reserve capacity eligible for a grant under this subchapter shall be determined by the Administrator taking into account the projected population and as- sociated commercial and industrial establish- ments within the jurisdiction of the applicant to be served by such treatment works as iden- tified in an approved facilities plan, an areawide plan under section 1288 of this title, or an applicable municipal master plan of de- velopment. For the purpose of this paragraph, section 1288 of this title, and any such plan, projected population shall be determined on the basis of the latest information available from the United States Department of Com- merce or from the States as the Adminis- trator, by regulation, determines appropriate. Beginning October 1, 1984, no grant shall be made under this subchapter to construct that portion of any treatment works providing re- serve capacity in excess of existing needs (in- cluding existing needs of residential, commer- cial, industrial, and other users) on the date of