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Manual For Construction Projects

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					                                    Clean Water State Revolving Fund




           Manual For Construction
                  Projects




Notice: This version of the Construction Manual is being updated. Dates at the bottom of pages
indicate the last date each Tab was updated.
      Manual for Construction Projects
                         Table of Contents




Tab              Title


1.       Introduction

2.       CWSRF Construction Project Milestones

3.       Biddability Review Checklist

4.       Submittal Checklist

5.       State and Federal Regulations

6.       CWSRF-funded Construction Project Contract Insert

7.       Project Management Conference

8.       Record Keeping Guidelines

9.       Project Performance Certification

10.      Project Officer Responsibilities

11.      Project Engineer Responsibilities

12.      NPDES Storm Water Regulations

13.      Proper Disposal of Chlorinated Water
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                         PAGE 1




                                                  TAB 1
                                           INTRODUCTION


   This manual was developed to assist Clean Water State Revolving Fund (CWSRF) staff, loan
   recipients and their consultants in the execution of CWSRF-funded construction projects. It
   provides an overview of how the program is intended to function. It also delineates various
   requirements that CWSRF-funded projects must meet. A brief description of each section in
   this manual follows.

   Tab 2:       CWSRF Construction Project Milestones - provides an overview of what is to occur at
                each stage in a particular construction project and summarizes the responsibilities of
                each party.

   Tab 3:       Biddability Review Checklist - Borrower completes this checklist and submits it to
                DEQ for engineer and project officer review of contract documents.

   Tab 4:       Submittal Checklist for CWSRF Construction Projects - this describes the submittals
                that loan recipients/public agencies and their consultants must make to DEQ during the
                course of a construction project. It also contains guidelines for preparing specific
                submittals as well as blank copies of those submittal forms.

   Tab 5:       State and Federal Regulations: Information for Public Agencies - this document
                provides information on various legal requirements, and includes forms necessary for
                demonstrating compliance. Note: NPDES storm water regulations for construction
                projects are covered separately in Tab 12, and disposal of chlorinated water is covered
                in Tab 13.

   Tab 6:       CWSRF-funded Construction Project Contract Insert - this document is to be included
                in bid packages. It contains items that pertain to the awarding of the bid.

   Tab 7:       Project Management Conference - this document lists the topics to be covered by the
                DEQ representative(s) at the project management conference.

   Tab 8:       Record-Keeping Guidelines for Public Agencies - this document explains the records
                the public agency must maintain for DEQ and USEPA audit purposes.

   Tab 9:       Project Performance Certification - this document explains the performance
                certification process and lists documentation to be provided to DEQ by loan recipients
                to establish that a project is complete and is operating successfully.



TAB 1: VERS.   7/8/09                                                                           INTRODUCTION
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                     PAGE 2




   Tab 10: Project Officer Responsibilities - this document lists the responsibilities of the project
           officer during pre-construction, construction, and project performance certification.

   Tab 11: Project Engineer Responsibilities - this document lists the responsibilities of the project
            engineer during pre-construction, construction, and project performance certification.
            "Project Engineer" means DEQ's senior staff engineers and engineering technicians
            who are assigned to the project.

   Tab 12: NPDES Storm Water Regulations for Construction Projects - this booklet explains
           federal storm water regulations as they apply to construction activities in Oregon.

   Tab13: Proper Disposal of Chlorinated Water During Start-Up & During Facilities Testing -
          this guidance provides information about best management practices for disposal of
          chlorinated water to protect waters of the State.




TAB 1: VERS.   7/8/09                                                                         INTRODUCTION
                                 TAB 2
                  CWSRF CONSTRUCTION PROJECT MILESTONES


                                                   TABLE OF CONTENTS
                                                                                                                                     Page

CWSRF Construction Project Milestones ......................................................................................                1
    Background ..........................................................................................................................   1
    List of Milestones .................................................................................................................    1
    1.      Pre-design report is submitted..................................................................................                1
    2.      Construction documents are completed...................................................................                         1
    3.      Project is advertised for bidding ..............................................................................                2
    4.      Bids are opened ........................................................................................................        3
    5.      Contract is awarded ..................................................................................................          3
    6.      Pre-construction meeting is held ..............................................................................                 3
    7.      Project management conference is held ..................................................................                        3
    8.      Public agency issues a Notice to Proceed................................................................                        4
    9.      Construction begins ..................................................................................................          4
    10.     Construction continues .............................................................................................            4
    11.     50% completion ........................................................................................................         5
    12.     90% completion ........................................................................................................         5
    13.     Substantial completion of construction ...................................................................                      6
    14.     Initiation of operations .............................................................................................          6
    15.     Post-initiation of operations .....................................................................................             6
    16.     10.5 months after project's Initiation of Operations date ........................................                              6
    17.     One year after Initiation of Operations date ............................................................                       6
    18.     Corrective action plan, if required ...........................................................................                 7
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                      PAGE 1




                         CWSRF CONSTRUCTION PROJECT MILESTONES

      Background

      This list of milestones has been developed to help CWSRF-funded construction projects proceed
      in an orderly fashion. It explains what is to occur at each point in the construction process. For
      additional information on submittals, refer to tab 4. For additional information on state and
      federal regulations, refer to tabs 5, 6, 12, and 13. For more detail on the specific responsibilities
      of the project officer and project engineer, see tabs 10 and 11.

      List of Milestones

      1.       Pre-design report is submitted.

               The public agency may submit a pre-design report to the project officer. This is reviewed
               by the project engineer to ensure that the proposed project will solve the problems
               identified in the facilities plan. The agency should not authorize final design work to
               commence until the pre-design report has been reviewed and approved, unless otherwise
               agreed by the project officer, with the concurrence of the project engineer.

      2.       Construction documents are completed.

               The public agency submits (3) three sets of final construction documents to the project
               officer. Note: for all complex projects, the public agency should always submit
               preliminary plans for review, prior to submitting the final plans.

               The plans are reviewed by the project engineer for process effectiveness, reliability,
               operability and durability, conformance with State construction standards, biddability and
               constructibility. The constructibility review makes use of a variety of technical
               references, including those found at:
                              http://www.deq.state.or.us/regulations/rules.htm#Div41

               A Value Engineering study is required for all CWSRF projects with estimated design
               costs plus construction cost in excess of $10 million. When required, the project office
               will ensure that the value engineering study is completed. Due to the benefits of such
               studies, borrowers are encouraged to pursue value engineering even with less costly
               projects.

               See tab 3 for the “Biddability Review Checklist” that the borrower is to complete. The
               borrower shall submit the biddability checklist with the plans and specifications.




TAB 2: VERS. 12/03/09                                                                  PROJECT MILESTONES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                        PAGE 2




               If the complexity of the project is such that the project officer and project engineer
               determine a plan of operation is warranted, a draft of this plan is to be submitted at this
               time. For projects that involve only the construction of gravity sewers, a plan of
               operation will not be required.

               Pending plan approval by the project engineer, the public agency must not allow
               construction to start. The project engineer will send an approval letter to the public
               agency specifying the conditions of approval. The approval letter will provide the public
               agency with administrative information and a copy of the submittal checklist (see tab 4).

               For all wastewater projects, the letter will include a list of project performance criteria to
               be met by the project. For gravity sewer projects the letter will also include sewer
               performance standards, or instructions for development of other suitable performance
               standards by the public agency, subject to DEQ review. The letter will include a copy of
               the “SRF Loan Construction Certification Form.” Where applicable, the letter will also
               include the “Manhole Test Record” form.

               If the project is expected to disturb one or more acres of land, including less than one acre
               that is part of a larger common plan of development or sale that ultimately disturbs one
               acre or more, or may involve stormwater run off, the public agency should apply for an
               NPDES stormwater, 1200-C, permit at this time. This will ensure that the start of
               construction is not delayed as a result of failure to obtain a stormwater permit.
               Alternatively, the public agency may elect to have the contractor apply for the permit
               after the contract has been awarded and let the contractor submit the erosion control plan
               on behalf of the public agency.

               In any case, the 1200-C erosion control permit will be issued to the public agency, which
               will be responsible for ensuring permit compliance. The agency must not allow
               construction to proceed until the erosion control plan has been approved and the permit
               has been issued.

      3.       Project is advertised for bidding.

               Bidding requirements for this CWSRF funded project are subject to Oregon’s
               procurement statutes, which allow local governments to set the duration of their bid
               advertising periods. In instances where a City has no such requirements, the State statutes
               require advertising of bids for a minimum of 14 days.

               The public agency submits to the project officer 2 complete sets of the bid documents,
               including 2 copies each of any addenda issued during the bidding period.

               A pre-bid meeting is scheduled by the borrower to inform prospective bidders of bidding
               conditions and to answer questions concerning the plans and specifications. The project


TAB 2: VERS. 12/03/09                                                                    PROJECT MILESTONES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                       PAGE 3


               officer and/or the project engineer may elect to attend the pre-bid meeting.



      4.       Bids are opened.

               The public agency reviews the bids, makes a recommendation for award, and submits the
               following to the project officer:

               -        proof of advertisement,
               -        bid tabulation with engineer's estimate,
               -        completed bid review checklist, and
               -        copy of the apparent low bidder's bid package.

               The project officer and the project engineer review the public agency's submittals. The
               DEQ project officer approves or disapproves the public agency's bid award
               recommendation. As a result of this process, the lowest responsive, responsible bidder is
               determined. If the results of the bidding are contested by another bidder, the dispute is
               resolved by the borrower.


      5.       Contract is awarded.

               The public agency submits a copy of the executed contract and notice to proceed to the
               project officer.


      6.       Pre-construction meeting is held.

               The borrower and its engineer hold a pre-construction meeting with the contract
               recipient(s) and all interested/affected parties including representatives of the funding
               agencies and utilities. The project officer and/or project engineer should attend the pre-
               construction meeting to present and explain applicable CWSRF program requirements to
               the contractor.

      7.       Project management conference is held.

               The project management conference is usually held the same day as the pre-construction
               meeting for convenience.

               This meeting is usually held at the borrower's main office at the request of DEQ. The
               meeting is attended by the public agency, its consulting engineer, and a DEQ
               representative (the project officer and/or the project engineer). The DEQ representative
               explains what will be expected of the public agency in terms of record keeping and


TAB 2: VERS. 12/03/09                                                                   PROJECT MILESTONES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                        PAGE 4


               submittals, and describes the on- and off-site inspection process. Based on the projected
               construction schedule, dates are established for on-site inspections, and for submittals
               including the draft and final project performance standards, draft and final operation and
               maintenance manual, and final plan of operations.

      8.       Public agency issues a Notice to Proceed.

               The Notice to Proceed is issued to the contractor, and a copy is sent to the project officer.

               NOTE: The Notice to Proceed must not be issued until the public agency has received
               approval for its erosion control plan from the appropriate agency.

      9.       Construction begins.

               If warranted, the project officer schedules an on-site inspection when mobilization is
               complete and construction is underway. This will generally occur at approximately 10%
               to 20% of the contract time. This inspection is normally attended by the project officer, to
               review CWSRF administrative files, but the project engineer may also attend. If
               everything is going smoothly, no more inspections are required until the project is 50%
               complete.

               NOTE: On projects that involve gravity sewer construction by delegated municipalities,
               the first inspection may be postponed until the project is 50% complete.

      10.      Construction continues.

               The public agency submits the monthly inspection report form (see attachment C of the
               submittal checklist contained in tab 4) to the project officer. The inspection reports
               provide information on the following:

               -        project schedule,
               -        test results,
               -        unresolved problems, and
               -        compliance with Oregon Bureau of Labor and Industries (Oregon BOLI) wage
                        rates and Disadvantaged Business Enterprise (DBE) program (formerly
                        MBE/WBE) requirements.

               Monthly inspection reports are also reviewed by the project engineer.

               In order to comply with DBE requirements, the public agency is to submit Form 5700-
               52A, the DBE utilization reporting form on a semi-annual basis. These are to be
               submitted to designated staff at DEQ's Community and Project Assistance section (see
               attachment A of Tab 4).



TAB 2: VERS. 12/03/09                                                                    PROJECT MILESTONES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                       PAGE 5




               The public agency submits disbursement requests to the CWSRF project officer using the
               CWSRF Disbursement Request Form (attachment H of tab 4). These must be
               accompanied by supporting documentation. Disbursement requests are reviewed by the
               project officer, project engineer, CWSRF accountant and Community and Project
               Assistance manager.

               Two copies of each executed change order must be submitted by the public agency to the
               project officer. Change orders must be accompanied by supporting documentation
               including a completed CWSRF Bid Review Checklist. They are reviewed and approved
               by the project officer with the concurrence of the project engineer.

               If at any point the public agency decides it needs additional funds to complete the project,
               it should contact the project officer to determine whether or not CWSRF funds are
               available, and if so, what requirements have to be met to obtain them.

      11.      50% completion.

               The public agency is required to submit the following for DEQ review and approval: final
               plan of operations (if one was required for the project), draft project performance
               evaluation standards, and a draft operation and maintenance manual.

                        NOTE: Neither an operation and maintenance manual nor a plan of operations is
                        required for gravity sewers. Performance evaluation standards likewise do not
                        have to be submitted, as they are provided by DEQ in the plan approval letter.

               The project engineer reviews the draft operations and maintenance manual and
               performance evaluation standards.

               The project officer and the project engineer approve the final plan of operations.

               The project officer may schedule an on-site inspection to be performed with the project
               engineer. If no major problems are identified, no more inspections are planned until the
               project is 90% complete.

      12.      90% completion.

               Final versions of the project performance standards and operation and maintenance
               manual (if applicable) are to be submitted and approved by this time.

               The project officer may schedule an on-site construction inspection to be performed with
               the project engineer. This is DEQ's last chance to see how things are going while the
               contractor is still on-site.



TAB 2: VERS. 12/03/09                                                                   PROJECT MILESTONES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                       PAGE 6




               On smaller projects (less than 2 months construction time), the 90% inspection may be
               combined with the final inspection that is performed upon substantial completion.

      13.      Substantial completion of construction.

               A final inspection is performed by the project engineer and/or project officer.

      14.      Initiation of operation.

               “Initiation of Operation" means the date that a facility funded by a CWSRF loan is
               operationally complete and ready for the purposes for which it was planned, designed and
               built.

               This date will generally coincide with the date of substantial completion of construction.
               The public agency must issue a Notice of Initiation of Operation to the project officer
               within 30 days of its occurrence. If it fails to do so, DEQ may establish a date.

      15.      Post-initiation of operation.

               The engineer for the public agency submits to DEQ an “SRF Loan Construction
               Certification Form.” A copy of the form is contained in attachment G of the submittal
               checklist in tab 4.

               The public agency notifies the project officer of any problems that may interfere with a
               positive certification for the project.

      16.      10.5 months after the project's Initiation of Operation date.

               The public agency submits to the project officer a final performance evaluation report
               based on the approved performance evaluation standards. The report is reviewed, and
               when acceptable, approved by the project engineer.


      17.      One year after Initiation of Operation date.

               The public agency submits to the project officer a positive or negative certification which
               is substantiated by the performance evaluation report.

               When the certification is positive, the project officer and project engineer will do an on-
               site operation and maintenance inspection. This inspection will check for compliance
               with the performance standards and for consistency with the procedures established in the
               operation and maintenance manual. The project engineer may then prepare an operation


TAB 2: VERS. 12/03/09                                                                   PROJECT MILESTONES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                        PAGE 7


               and maintenance inspection report cover letter concurring or not concurring with the
               borrower's certification statement.



               If the performance evaluation report and the results of the operation and maintenance
               inspection are acceptable to the project engineer and the project officer, the project officer
               will prepare an approval letter accepting the borrower's positive certification, to be signed
               by the project officer.

               Should the certification be negative, the public agency must submit a corrective action
               plan to the project officer within two months following the certification. The project
               engineer will review and approve the corrective action plan.

      18.      Corrective action plan, if required.

               The project engineer will continue involvement until a positive performance certification
               can be made. The inspection and reporting process will then proceed as discussed above
               for a project that has received a positive certification.

               If satisfactory performance cannot be achieved, DEQ may require the public agency to
               repay the loan amount on an accelerated basis.




TAB 2: VERS. 12/03/09                                                                    PROJECT MILESTONES
                                   TAB 3
                       BIDDABILITY REVIEW CHECKLIST


                                         TABLE OF CONTENTS
                                                                                                                            Page


Background ....................................................................................................................     1
General Format ..............................................................................................................       1
Information for Bidders .................................................................................................           2
Bid Form ........................................................................................................................   3
Special Conditions .........................................................................................................        4
The following items pertain to the construction process ...............................................                             5
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                        PAGE 1



                                   BIDDABILITY REVIEW CHECKLIST
     Project                                           CWSRF No.

     Background

     Construction documents for Clean Water State Revolving Fund (CWSRF) financed projects
     must be reviewed by the borrower for biddability. The purpose of the biddability review is to
     ensure that the bid documents clearly state bidder requirements. Bids must conform with state
     and federal law. The borrower is to complete the checklist and return it to the DEQ project
     officer prior to bidding the project. The DEQ project engineer will use the checklist as a guide
     during the plan review process. It is the borrower’s responsibility to ensure that the checklist
     items below are incorporated into the final bid documents. It is also the borrower’s
     responsibility to resolve all bid protests developing from or related to the solicitation of bids for
     this project. The borrower’s legal counsel should be consulted if clarification is required.

     The questions in this checklist must be answered affirmatively for the documents to be
     considered biddable. Additional sheets should be attached as necessary to explain any special
     circumstances. Questions that do not pertain to the project should be checked N/A.

     General Format
     yes no
                 1.           Is the document "Information for Bidders" (CWSRF-funded Construction
                              Project Contract Insert) included in the construction documents?

                         2.   Has the borrower’s legal counsel reviewed the bid documents for
                              biddability and determined that the bid documents adequately protect the
                              borrower's interests?

                         3.   Is there a contract agreement form?

                         4.   Are Oregon Prevailing Wage Rates and, when applicable, Davis-Bacon
                              Wage Rates included?

                                     Note: Current Oregon Prevailing Wage Rates are defined as the
                                     rate in effect on the date the project bid was advertised to the
                                     public.

                         5.   Is the table of contents complete and accurate?

                         6.   Are all non-applicable technical specification sections deleted?

                         7.   Are pages numbered sequentially for each document subsection?

     yes       no

TAB 3: VERSION 1/13/10                                                                           BIDDABILITY REVIEW
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                   PAGE 2

                         8.    Are all the pages contained in the construction documents readable? If
                               not, list the pages or sections that need to be replaced -    .


     Information for Bidders
     yes no

                         1.    Is there a minimum 14 day advertising period
                               (OAR 137-049-0200(1)(a) (G))

                                      Note: Tab 2, page 2 provides information regarding the
                                      determination of this advertising period.

                         2.    Is a pre-bid conference scheduled?

                         3.    Is the contract duration established?

                         4.    Are appropriate liquidated damages established?

                         5.    Is there a minimum of 45 days firm pricing after bids are opened prior to
                               bid award? (OAR 137-049-0410)

                         6.    Is there a requirement for a bid bond equal to at least 5% of the total
                               contract amount?

                         7.    Are both a performance bond and a payment bond, each for 100% of the
                               contract price, required (ORS 279c.380(1)(a) and (b))

                         8.    Is a contact designated for pre-bid inquiries?

                         9.    Are there directions for modifying and/or withdrawing a bid prior to bid
                               award?

                         10.   Are the terms "responsible" and "responsive" adequately defined for
                               bidders (OAR 137-046-0110(30),(31),(32) and (33))

                         11.   Do the specifications detail how the low bidder will be determined when
                               contract documents provide for multiple schedules, additives, alternates
                               and other options?




TAB 3: VERSION 1/13/10                                                                      BIDDABILITY REVIEW
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                       PAGE 3

     yes     no

                         12.   Are understandable owner procurement protest procedures provided?

                         13.   Are the following insurance requirements
                               specified:

                                      public liability
                                      property damage
                                      workman's compensation
                                      fire
                                      extended coverage or all-risk
                                      flood insurance (40 CFR 30.600(b))

                         14.   Is the contractor responsible for all patent and royalty payments?



     Bid Form
     yes no

                         1.    Is the contract a lump sum and/or unit quantity type?

                         2.    Is the overlapping of bid items avoided?

                         3.    Are ineligible proposal costs separated from eligible costs; made a separate
                               bid item?
                                      Note: The project officer shall provide a list of all ineligible
                                      proposal costs.

                         4.    Are all major work items included in the proposal?

                         5.    If rock excavation is anticipated, is there a pay item in the proposal and is
                               "rock" adequately defined?

                         6.    Do unit price quantities appear to agree with those shown in the plans and
                               listed in the specifications, bid advertisement, and proposal?




TAB 3: VERSION 1/13/10                                                                          BIDDABILITY REVIEW
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                    PAGE 4

     yes     no

                         7.   Is there a mechanism for adjusting unit prices, should quantities lead/lag
                              estimates by more than 15%?

                         8.   Is a form provided for listing major equipment manufacturers and/or
                              suppliers?
                                     Note: This applies when there is equipment that must be pre-
                                     qualified. It discourages bid shopping.

                         9.   Is a bidder form provided for listing all prime subcontractors?
                                      Note: This is important on complex projects to prevent bid
                                      shopping.

     Special Conditions
     yes no       page (if applicable)

                              1.    When items are specified by brand name, are three alternative
                                    products listed, or do the specifications state "or equal"?
                                          Note: In general, sole source procurement is not permitted
                                          under the Oregon Administrative Rules, though exceptions
                                          are made. It is the responsibility of the public agency to
                                          show that an exception is warranted.

                              2.    Do the specifications require the contractor to submit a construction
                                    schedule, and to update the schedule when it no longer reflects
                                    construction progress?

                              3.    Do the specifications require that the contractor provide a cost
                                    breakdown?
                                          Note: this is necessary when the bidder is providing a lump
                                          sum bid, and in unit-price contracts which contain lump-sum
                                          items, to establish the basis for progress payments.

                              4.    Are there provisions for prompt review and approval of submittals
                                    and contract progress payments?




TAB 3: VERSION 1/13/10                                                                       BIDDABILITY REVIEW
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                         PAGE 5

     yes     no          page (if applicable)

                                5.     Is the contractor required to submit operation and maintenance
                                       (O&M) data for project equipment prior to 50% completion of the
                                       contract schedule?

     The following items pertain to the construction process.
     yes no       page (if applicable)

                                1.     Is a pre-construction conference specified?

                                2.     Do the specifications adequately cover the restoration of project
                                       areas and easements?

                                3.     Are testing requirements adequate (i.e., sewers per APWA, 1990
                                       Standard Specifications; pump stations per DEQ guidelines)?

                                4.     Is responsibility for various tests assigned?
                                              Note: It is preferable that responsibility be assigned to the
                                              engineer rather than the contractor.

                                5.     Is there a process for handling traffic during construction?

                                6.     Do the specifications address all environmental issues identified in
                                       the facility plan &/or environmental review including the discovery
                                       of archaeological and/or paleontological materials?
                                              Note: In the case of the latter, the specifications should also
                                              address the matter of additional compensation for their
                                              disposition.

                                7.     If applicable, do the specifications list all repairs necessary to make
                                       owner-furnished equipment operable?

                                8.     If applicable, do the specifications make the contractor responsible
                                       for loading and transporting stored owner-furnished equipment to
                                       the work site?




TAB 3: VERSION 1/13/10                                                                            BIDDABILITY REVIEW
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                      PAGE 6

     yes     no          page (if applicable)

                                9.     For projects that will involve disturbing one or more acres of land,
                                       including less than one acre that is part of a larger common plan of
                                       development or sale that ultimately disturbs one acre or more, or
                                       may involve stormwater run off do the specifications include an
                                       application for an NPDES storm water permit?
                                              NOTE: In the event that the public agency elects to apply for
                                              the permit instead of having the contractor do it, this
                                              application form may be omitted.

                                10.    Do the specifications require that the contractor submit an erosion
                                       control plan to the appropriate agency prior to beginning
                                       construction?

                                11.    Do the specifications list/explain all documentation requirements
                                       for the erosion control plan?




      _________________________________                                    _____________
          Signature of Reviewer                                               Date




     Additional Comments:




TAB 3: VERSION 1/13/10                                                                         BIDDABILITY REVIEW
  Oregon Department of Environmental Quality - Clean Water State Revolving Fund




                                                               TAB 4
                                                        SUBMITTAL CHECKLIST
                                                                       Table of Contents


  Background .................................................................................................................................................... 1
  Public Agency Submittals Following Bid Opening ......................................................................................... 1
              1.          Proof of Bid Advertisement. ................................................................................................. 2
              2.          Bid Review Checklist ........................................................................................................... 2
              3.          Bid Tabulation ...................................................................................................................... 2
              4.          Low Bidder's Bid Package. .................................................................................................. 2
              5.          Executed Contract Documents ............................................................................................ 2
              6.          Notice to Proceed - the public agency's format is acceptable. ............................................ 2
              7.          1200-C Permit...................................................................................................................... 2
              8.          Monthly Inspection Reports. ................................................................................................ 2
              9.          DBE Utilization Report ......................................................................................................... 2
              10.         Change Orders. ................................................................................................................... 2
              11.         Disbursement Requests. ..................................................................................................... 3
              12.         Performance Evaluation Standards. .................................................................................... 3
              13.         Operation & Maintenance (O&M) Manual ........................................................................... 3
              14.         Plan of Operation ................................................................................................................. 3
              15.         Notice of Initiation of Operation ........................................................................................... 4
              16.         CWSRF Loan Construction Certification Form.................................................................... 4
              17.         Performance Evaluation Report .......................................................................................... 4
              18.         Performance Certification Statement .................................................................................. 4
              19.         Corrective Action Plan ......................................................................................................... 4




                                                                       Attachments
  Attachment A ................................................................................................................................................. 5
  Attachment B ................................................................................................................................................. 6
  Attachment C ................................................................................................................................................. 8
  Attachment D ...............................................................................................................................................10
  Attachment E ...............................................................................................................................................13
  Attachment F ...............................................................................................................................................14
  Attachment G ...............................................................................................................................................15
  Attachment H ...............................................................................................................................................16
  Attachment I .................................................................................................................................................19
  Attachment J ................................................................................................................................................20




Updated: 05/11/10                                                                                                                                                     i
  Oregon Department of Environmental Quality - Clean Water State Revolving Fund



              Submittal Checklist for CWSRF Construction Projects
  Background

  This checklist has been prepared to help public agencies keep track of the various submittals that must be made to
  DEQ on CWSRF-funded construction projects after the bid opening. The checklist is followed by an explanation of
  what is required with regard to particular submittals.

  All submittals are to be addressed to the attention of the project officer (see attachment A for various addresses).
  Unless otherwise noted, it is permissible to submit copies in lieu of original documents.

  In the interest of conserving paper, it is recommended that the public agency use two-sided copies when making
  submittals whenever possible.


  Public Agency Submittals Following Bid Opening

  The following items are to be submitted prior to the commencement of construction:

      Proof of Bid Advertisement

      Bid Review Checklist

      Bid Tabulation and engineer's estimate

      Low Bidder's Bid Package

      Executed Contract Documents

      Notice to Proceed

      Copy of the DEQ Cover Letter approving the 1200-c Permit and the front page of the 1200-c Permit (if required)


  The following items are to be submitted during construction:

      Inspection Reports (monthly)

      DBE Utilization Reports (semi-annually in April and October)

      Change Orders (as issued)

      Disbursement Requests

      Performance Evaluation Standards (if required)

      O&M Manual (if required)

      Final Plan of Operation (if required)




Updated: 05/11/10                                                                                                  Tab 4-1
  Oregon Department of Environmental Quality - Clean Water State Revolving Fund

  The following items are to be submitted after substantial completion of construction:

      Notice of Initiation of Operation

      CWSRF Loan Construction Certification Form

      Performance Evaluation Report

      Performance Certification Statement

      Corrective Action Plan (if necessary)


  Additional Explanation of Required Submittals

  1. Proof of Bid Advertisement - a copy of the affidavit of publication and a copy of the newspaper clipping containing
     the advertisement is sufficient. Note: Bidding requirements for this CWSRF funded project are subject to Oregon
     State procurement statues, which allow local governments to set the duration of bid advertising periods. In
     instances where a City has no such requirements, the State statues require advertising of bids for a minimum
     period of 14 days.

  2. Bid Review Checklist - a copy of this checklist is contained in attachment B. The checklist must be completed
     satisfactorily to establish the lowest responsive, responsible bidder.

  3. Bid Tabulation - list all bidders. Show complete line item/lump sum pricing along with subtotals/totals for each.
     Include engineer's estimate(s).

  4. Low Bidder's Bid Package - include all the items listed in the bid review checklist (attachment B). If the low bidder
     failed to meet the Fair Share Goals, include documentation demonstrating a good faith effort to meet the goals.

  5. Executed Contract Documents - these must be completed, signed and dated by the low bidder.

  6. Notice to Proceed - the public agency's format is acceptable.

  7. 1200-C Permit - this document is the NPDES storm water permit (1200-C) for projects that will disturb one or
     more acres of land, including less than one acre that is part of a larger common plan of development or sale that
     ultimately disturbs one acre or more, or may involve stormwater run off. The public agency must insure that a
     copy of the plan is received by the DEQ storm water engineer. Tab 12 contains additional information on the
     NPDES stormwater permit process and what is required in an erosion control plan.

  8. Monthly Inspection Reports - attachment C contains a copy of the form to be used. It is to be completed to
     provide information on the following: the project schedule, test results, unresolved problems, and compliance with
     Oregon BOLI and, when applicable, Davis-Bacon Act wage rates and DBE (Disadvantaged Business Enterprise)
     requirements.

  9. DBE Utilization Report (Standard Form 5700-52A) can be found on the DEQ website at
     http://www.deq.state.or.us/wq/loans/constr.htm See attachment D for instructions to filling out DBE Utilization
     form. This form must be submitted immediately after fully executed contract documents are in place and twice
     per year thereafter for as long as the contractor is on site. The deadline for these semi-annual submittals is April
        th                                          st                 th                                              th
     20 for the six month period ending March 31 , and October 20 for the six month period ending September 30 .

  10. Change Orders - DEQ approval of change orders is required in order for them to qualify for CWSRF funding. A
      copy of each executed change order must be submitted along with a completed Change Order Summary Sheet
      (see attachment E). Approval of a change order prior to its execution is only necessary in the event that the
      change order could alter the project performance.

       DEQ approval of change orders does not guarantee the availability of CWSRF funds beyond the amount stated in
       the public agency's loan agreement. If the public agency anticipates needing additional funds, the project officer
       should be contacted for guidance.


Updated: 05/11/10                                                                                                        Tab 4-2
  Oregon Department of Environmental Quality - Clean Water State Revolving Fund


  11. Disbursement Requests - CWSRF loan proceeds are disbursed after expenses are incurred. Disbursement
      Requests must be submitted to the Project Officer on the disbursement request form contained in attachment H.
      Disbursement requests must be accompanied by complete supporting documentation. Lengthy requests should
      include a summary of all payments by classification of costs incurred. This includes 1) verified copies of the
      contractor's pay request, 2) invoices from the engineer, with details on time and expenses, 3) equipment invoices,
      4) time sheets and payroll information.

       DEQ will process and disburse CWSRF funds payable to the public agency within 30 days of receiving
       disbursement requests, if documentation is complete. DEQ will review requests for payment, and will make
       adjustments for, but not limited to: 1) math errors, 2) unacceptable construction, and 3) ineligible expenditures.

       REMINDER: requests should be calculated on the basis of invoiced costs less any contractual payment
       retainage. Retainage will be reimbursed if paid into an escrow account and the public agency submits
       payment vouchers with the disbursement request.

  12. Performance Evaluation Standards - this is a detailed plan for evaluating the completed project to demonstrate
      whether or not it performs as intended. For gravity sewers, the performance evaluation criteria and standards will
      be provided by DEQ in the plan approval letter. For other projects, the criteria upon which the performance
      evaluation standards are based will vary from project to project. In general criteria will relate to the problem the
      project was intended to address.

       The performance evaluation standards must list the criteria upon which they are based. In addition, the
       performance evaluation standards shall include the test schedule, report format, report logs and forms to be used,
       and shall identify testing personnel, locations and methods.

       Two copies of the draft performance evaluation standards must be submitted prior to 50% completion of
       construction, and 1 copy of the final must be submitted prior to 90% completion.

       Additional information on performance evaluation standards and the performance certification process in general
       can be found at tab 10.

  13. Operation & Maintenance (O&M) Manual - O&M manuals do not have to be submitted for gravity sewer systems.
      For all other facilities built with CWSRF funds, submit a copy of the draft O&M manual prior to 50% completion,
      and submit the final prior to 90% completion.

       Attachment F references required manual contents and provides general guidelines. The final O&M Manual must
       be complete enough to allow an appropriately certified collection system and/or treatment facility operator to
       understand, operate and maintain all project equipment with little or no additional training.

  14. Plan of Operation - Whether or not a plan of operation is required for a particular project will be determined by the
      DEQ project engineer during the design phase. If one is required, the public agency should submit a draft for
      review and approval prior to advertising the project. The final plan of operations, incorporating comments from
      DEQ is to be submitted prior to 50% completion of construction. A complete plan of operation includes the
      following:

           -   detailed schedule for completion of all applicable CWSRF, NPDES permit, and Mutual Agreement &
               Order (MAO) requirements, construction and performance certification milestones, and a listing of the
               responsible lead person(s)

           -   staffing plan development/update showing hiring goals, in compliance with OAR Chapter 340, Division 49
               and with NPDES permit requirements

           -   staff training program and plan for implementation prior to initiation of facilities operation

           -   sewerage facilities operation, maintenance, and replacement budget

           -   sewer user charge system development/update



Updated: 05/11/10                                                                                                       Tab 4-3
  Oregon Department of Environmental Quality - Clean Water State Revolving Fund

           -   development of a biosolids (sludge) management plan (if required)

  15. Notice of Initiation of Operation - this is issued by the public agency upon substantial completion of the project.
      One copy must be submitted to DEQ within 30 days of issuance.

  16. CWSRF Loan Construction Certification Form - see attachment G for the form to be used. The engineer's
      certification is to be completed, signed, dated and submitted by the engineer after the issuance of the notice of
      initiation of operation.

  17. Performance Evaluation Report - this report is submitted by the engineer 10.5 months after the date of initiation of
      operation. It is an evaluation of the project's performance based on the results of the testing and monitoring
      performed according to the approved performance evaluation standards (see Item 12). The performance
      evaluation report need not be lengthy, but it must include sufficient information to support the evaluation.

  18. Performance Certification Statement - this one page statement (see attachments I and J) is to be submitted by
      the public agency one year after the date of initiation of operation for the project. In the performance certification
      statement, the public agency must state whether or not the project performance as evaluated in the performance
      evaluation report (see Item 17), is consistent with the approved performance evaluation standards (see Item 12).

       If the public agency submits a negative certification for the project, a corrective action plan must also be
       submitted (see Item 19).

  19. Corrective Action Plan - this must be submitted within 2 months of the date of signature of a negative
      performance certification statement (see Item18 above). This document must analyze the cause(s) of failure,
      provide proposed alternatives for correction, state the lowest-cost reasonable alternative, and provide a schedule
      for completion of corrective action. DEQ must approve the corrective action plan before construction is
      undertaken. Final closeout of the loan can only occur after an affirmative certification is accepted and approved
      by DEQ.


  Attachments:

  A. Submittal Flowchart

  B. Bid Review Checklist

  C. Monthly Inspection Report Form

  D. DBE Utilization Reporting Form (also known as Form 5700-52A, formerly the MBE/WBE Utilization Reporting
     Form)

  D.1 DBE Utilization Reporting Form illustration and instructions

  E. Change Order Summary Sheet

  F. O&M Manual Guidelines

  G. CWSRF Loan Construction Certification Form

  H. Disbursement Request Form

  I.   Affirmative Certification Form

  J.   Negative Certification Form




Updated: 05/11/10                                                                                                        Tab 4-4
  Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                            Attachment A
                                          Submittal Flowchart


                                     WHERE TO SEND SUBMITTALS

          Disbursement Requests             DBE Utilization Reports               All Other Submittals
                     ↓                        (Form 5700-52A)                               ↓
                     ↓                                 ↓                                    ↓
               Project Officer                         ↓                              Project Officer
                     ↓                                 ↓                                    ↓
             Northwest Region:                  Angela Parker
             Manette Simpson                    Oregon DEQ
              DEQ - Portland                Water Quality Division
                 Suite 400                  811 S.W. Sixth Avenue
                        th
             2020 SW 4 Ave.                  Portland, OR 97204
            Portland, OR 97204                 (503) 229-6270
              (503) 229-5219


             Western Region:
      Jaime Isaza or Bob Habermann
              DEQ - Eugene
          750 Front St. NE, #120
           Eugene, OR 97301
          Jaime - (541) 686-7341
           Bob - (541) 686-7359

            Eastern Region:
             Shanna Bailey
            DEQ - Pendleton
    700 SE Emigrant Avenue, Suite 330
          Pendleton, OR 97801
             541-278-8681




Updated: 05/11/10                                                                                        Tab 4-5
   Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                               Attachment B
                                     CWSRF Bid Review Checklist

   This form is to be filled out by the public agency representative and returned to DEQ along with: (1) a
   copy of the bid tabulation, (2) a copy of the apparent low bidder's bid package, and (3) proof of
   advertisement. These documents will be reviewed by DEQ prior to final approval of bid award.

   Borrower:                                                           CWSRF Project No.:
   Contract Name/No.:
   Apparent Low Bidder:                                                Date:
   Bid Amount:                                                         Engineer's Estimate:
   Reviewer's Name/Title:


   The following signed documents must be included for DEQ to concur in bid award. Forms that are not applicable
   should be marked "NA" and signed and dated.
      Yes/No        Attachment No.
      Yes      No           1.          List of Small, Women, and Minority Business Enterprises to be utilized

                                        Sworn Statement of Compliance with Small, Women, and Minority Business
      Yes      No           2.1
                                        Utilization Requirements (include good faith effort documentation).

                                        List of Contacted Minority, Women and Small Businesses -- a list of
      Yes      No           2.2
                                        businesses contacted, along with names and phone numbers of contacts.

      Yes      No           3.          Contractor's Compliance Statement (with Executive Order #11246)

      Yes      No           4.          Certification of Non-segregated Facilities

      Yes      No                       Notice to Labor Unions or Other Organization of Workers of Non-
                            5.          discrimination in Employment (Note: one form must be submitted for each
                                        union represented in the contractor's workforce.)

                                        Certification Regarding Debarment, Suspension, and other Responsibility
      Yes      No           6.
                                        Matters

                                        Certification Regarding Lobbying Activities (applicable to projects worth over
      Yes      No           7.
                                        $150,000)

      Yes      No           7a.         Disclosure of Lobbying Activities (if any)

      Yes      No           8.          Certification of Independent Price Determination




Updated: 05/11/10                                                                                                  Tab 4-6
   Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                Attachment B cont.
   Answers to the following questions must be affirmative for DEQ to concur in bid award. Negative answers shall be
   explained in the space below.

       Yes/No              Item                                                                    Note
      Yes     No            1.      Construction documents approved by DEQ?

                            2.      Date of approval?

      Yes     No            3.      Has a bid bond equal to at least 5% of the bid been
                                    included?

      Yes     No            4.      If applicable, does pre-qualified equipment meet
                                    requirements?

      Yes     No            5.      If applicable, are addenda acknowledged?

      Yes     No            6.      Is there appropriate documentation of a good faith
                                    effort?

                                    Supplies:        0.43% MBE 1.28% WBE
                                    Services:        2.58% MBE 4.45% WBE
                                    Equipment:       1.08% MBE 2.69% WBE

      Yes     No            7.      If the low bid was contested by another bidder, has
                                    the protest been resolved?

      Yes     No            8.      Is award to lowest responsive, responsible bidder
                                    justified in lieu of re-advertising?




   RECOMMENDATION FOR CONTRACT AWARD

   In my determination, the lowest responsive, responsible bidder is

   _______________________________________________________________________________________,

   and I recommend that this entity be awarded the contract.


   Reviewer's Signature:                                                          Date:




Updated: 05/11/10                                                                                              Tab 4-7
   Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                     Attachment C
                                  Borrower's Monthly Inspection Report Form
                                        (to be filled out by public agency's representative)


   Borrower:                                                                        Date:
   Project Name:                                                                    CWSRF No.:
   Inspector:                                                                       Phone:
   Borrower's Representative:                                                       Phone:


   Instructions: Please report on the following. Attach additional sheets if necessary.


   1.   Contractor's Construction Progress
        a.      % completion of project                    ?

        b.      Attach construction schedule showing status of each construction element.
                NOTE: construction schedule is to be updated whenever contractor's progress deviates by more than 5%
                from previously approved schedule.

   2.   Testing
        a.      Summarize all testing completed since borrower's last report to DEQ




        b.      List all negative test results and discuss borrower's required corrective actions.




   3.   List Any Unresolved Construction Problems - including scheduling, testing, design changes, differing site
        conditions, equipment delivery, change order reviews, etc.




Updated: 05/11/10                                                                                                   Tab 4-8
   Oregon Department of Environmental Quality - Clean Water State Revolving Fund



   4.      Compliance with Oregon Bureau of Labor and Industries (BOLI) and, when applicable, Davis-Bacon Act
           prevailing wage rates
           a.   If the total project cost is over $100,000, do all contractors and subcontractors have a $30,000 Public
                Works Bond filed with the Construction Contractors Board (CCB)?

           b.   Have all certified business enterprises qualifying for an exemption from the Public Works Bond requirement
                notified the Borrower and the Prime Contractor?
           c.   Are the relevant Oregon BOLI and, when applicable, Davis-Bacon Act wage rates posted on the job site?
           d.   Have contractor's weekly certified payroll reports been reviewed for compliance with Oregon BOLI and,
                when applicable, Davis-Bacon Act requirements?
           e.   Has compliance been established?
           f.   Explain any compliance problems that have occurred to date, and any efforts to resolve them.

   5.      DBE Requirements
           a.   When was the last DBE reporting form (5700-52A) submitted to DEQ? (This
                form is to be submitted twice per year: in April and October).
           b.   Is a copy of Executive Order 11246, Requirements for Affirmative Action To
                Ensure Equal Employment Opportunity, posted at the job site? (A copy of
                this document is included with the bid documents).

   6.      Other: Is project sign posted at job site?



   Borrower's Representative                                                  Date



   Title




Updated: 05/11/10                                                                                                         Tab 4-9
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                   Attachment D
                            DBE Reporting on CWSRF Construction Projects
        Your State Revolving Fund loan agreement requires semi-annual reports to be submitted when you begin to
        sign contracts as long a the contractor is on site, even if you have no procurements to report. This report
        captures total dollar amounts awarded to contractors and vendors, as well as amounts awarded specifically to
        federal and state certified minority-owned and women-owned business enterprises during the six month
                                   st
        periods ending March 31 and September 30th. For more information about federal and state certification
        contact http://www.oregon.gov/OBDD/OMWESB

        Only projects with a construction component are required to complete this report, and only for procuring
        “construction related activities”. This includes construction equipment, construction services and/or construction
        supplies. It does not include planning or design related procurements.

        Complete the information in the following boxes on Part I of the DBE report form.

        1B. Check the appropriate box representing the six month period you are reporting on.
        1C. Only check this if you are making a revision to a previous report.
        3A. Loan recipient agency and mailing address.
        3B. Reporting contact person at the loan recipient agency.
        3C. Phone number for the contact person listed in 3B.
        4A. Loan number for which this report is being submitted.
        5A. The total loan amount, including any increases.
        5B. Check this box only if you have NO procurements to report this period. You can sign and submit the
            report at this point. If you do have procurements you must fill out the items listed below.
        5C. Total dollar amount of ALL procurements (new signed contracts plus increases to previously reported
            contracts) in this reporting period.
        5E. Enter the amounts of Minority Business Enterprise (MBE) procurements by contract category, and the
            Women-owned Business Enterprise procurements (WBE) by category for this reporting period. Include
            increases to previously reported contracts.

        If MBE/WBE awarded procurements were made during this six month period, complete Part II on the second
        page. In Part II of the DBE form, an individual line should be completed for each MBE/WBE procurement
        indicating:

        Column 1:   The loan recipient or the prime contractor
        Column 2:   Whether the procurement was to a minority or a women business enterprise.
        Column 3:   The value of the award or increase to a previously reported contract.
        Column 4:   The date the award/contract or increase was fully executed (signed)
        Column 5:   A code for type of contract category.
        Column 6:   The vendor/contractor contact name, address and phone number.

        Once Part II is complete, your total MBE/WBE procurement amounts from the second page should then be
        reported by category in space 5E of Part I.
                                                                                                             st
        Submit the DBE reporting form on or before April 20th, for the six month period ending March 31 , and on or
                                                                            th
        before October 20th, for the six month period ending September 30 . Submit the signed form to:

                                     Angela Parker, CWSRF Program Support Coordinator
                                               Dept. of Environmental Quality
                                                    811 SW Sixth Avenue
                                                 Portland, OR 97204-1390
                                            Email: parker.angela@deq.state.or.us
                                       Phone: 800-452-4011 or direct at 503-229-6270
                                                      fax: 503-229-6037



Updated: 05/11/10                                                                                                      Tab 4-10
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund



                              U.S. ENVIRONMENTAL PROTECTION AGENCY
                        DBE UTILIZATION UNDER FEDERAL GRANTS, COOPERATIVE
                            AGREEMENTS, AND INTERAGENCY AGREEMENTS
                                                                          Box 1B needs to
                                                                              indicate
                                                                          reporting reporting period.)
          PART 1. (Reports are required even if no procurements are made during the period.
1A. FEDERAL FISCAL YEAR             1B. REPORTING PERIOD (Check appropriate box)

   2009                                 □   (Oct-Mar)       □ (Apr-Sep)
                       Ignore box 1C
                     unless revising a
1C. REVISION                          HIGHLIGHT ITEMS TO BE REVISED AND PROVIDE EXPLANATION IN BLOCK No. 6
    Year:   _________ previous report
    Period: _________

2A. FINANCIAL ASSISTANCE AGENCY                                   3A. REPORTING RECIPIENT (Name and Address)
    Oregon Department of Environmental Quality
    WQ Division                                                               City of Tacomi
    811 SW Sixth Avenue                      Boxes 3A,B and                   1200 Main Street
    Portland, OR 97204-1390                     C should
                                                      contain                 Tacomi, Oregon 97705
                                                    borrower’s
                     Box 4A is the                  current info
                    CWSRF loan #.
                    Box 5A is loan
                   amount, ncluding PHONE:
2B. REPORTING CONTACT              2C.                            3B. REPORTING CONTACT                    3C. PHONE:
                      increases.       503-229-6270                       Joe Smith                         206 442-8900
  Angela Parker


4A. LOAN NUMBER     R19567                                        4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM
                                                                          Clean Water State Revolving Fund

5A. TOTAL LOAN AMOUNT                       5B. CHECK, AND SKIP TO         5C. TOTAL OF ALL PROCUREMENT AMOUNT THIS
                                            BLOCK NO. 7 IF NO              REPORTING PERIOD
                                            PROCUREMENTS
     $450,000                                   WERE MADE THIS
                                            REPORTING PERIOD.              $_______20,595_______________________
                                                        □
                                                           5E.
5D. ACTUAL MBE/WBE PROCUREMENT ACCOMPLISHED THIS ALL new ACTUAL MBE/WBE PROCUREMENT ACCOMPLISHED THIS
                              Box 5C, enter total of
REPORTING PERIOD BY ODEQ                                   REPORTING PERIOD BY LOAN RECIPIENTS, SUB-RECIPIENTS,
                              contracts signed this reporting
                                                           AND PRIME CONTRACTORS
                               period, and any increases to                    $ MBE                $ WBE
    NA                         previously reported contractConstruction       ______________        ___$12,095____
        Ignore                 amounts, specific to CWSRF  Equipment          ______________        ______________
       Box 5D                funds. This is a sum of DBE and
                                                           Services           ____$5,200 ____       ______________
                                                           Supplies
                             other contracts for construction                 ______________         ______________
                               related equipment, services,TOTAL              ____$5,200_______      ___$12,095_ __
                                            supplies.
6. COMMENTS:


7. NAME OF AUTHORIZED REPRESENTATIVE                                       TITLE
                                                                          Box 5E, Totals from Part II, indicating total
                                                                          Minority or Women procurements broken
                                                                                down by the contract category
                             Box 7, Authorized                             (construction, equipment, services etc).
8. SIGNATURE OF AUTHORIZED REPRESENTATIVE
                             representative                                DATE
                                                                           Report only MBE or WBE procurements
                              determined by                                                 here.
                                borrower




Updated: 05/11/10                                                                                                         Tab 4-11
     Oregon Department of Environmental Quality - Clean Water State Revolving Fund

                                                                  PART II
       Examples of                             DBE PROCUREMENTS MADE DURING REPORTING PERIOD
       procurement                                           FOR CWSRF LOAN
          entries



1. Procurement Made By            2. Business Enterprise       3. $ Value of         4. Date of Award         5. Type of            6. Name/Address/Phone Number of
                                                                  Procurement            MM/DD/YY                Product or            MBE/WBE Contractor or Vendor
   ODEQ             Borrower      Minority       Women                                                           Services
                                                                                                                 (Enter Code)

NA                   √                            √              $12,095               12/12/06                      1              Barb’s Construction, 510 Main Street, Seattle
                                                                                                                                    9804 (206) 523-5509

NA                   √              √                              $5,200             11/30/06                      3B              American Surveying, 2300 SW 1st, Tacoma
                                                                                                                                    98122 (206) 781-9076
                         For each MBE/WBE procurement complete a separate row of
NA                       information.

                         * Column 1: Recipient of CWSRF loan is the “borrower”
NA                       * Column 2: Check whether procurement was to minority or
                         women business
                         * Column 3: Enter award amount (value) of this procurement
NA                       (to be listed during this quarter, this procurement amount
                         must have been awarded during the reporting period checked
                         in 1B). If the contract has been increased during this
NA                       reporting period, enter that increased portion in column 3.
                         * Column 4: Date of Award is the date the contract for MBE or
                         WBE was signed- regardless of when services occur(red).
NA                       * Column 5: Define the contractor

 Type of product or service codes:
    1 = Construction         2 = Supplies             3 = Services                4=Equipment
                                                      A = Business Services
                                                      B = Professional Services
                                                      C = Repair Services
                                                      D = Personal Services

 Procurement:          The acquisition through order, purchase, lease or barter of supplies, equipment, construction or services.

 Date of award:        Date contract was awarded/signed (not date of work or date of payment for that work). This award date is specific to each individual MBE or WBE
                       contractor. Example: Contract for services signed 09/06/02 (the award date), even though services and payment did not occur until this reporting period
                       (say Jan-Mar 03).


 ODEQ Borrower Form 5700-52A


Updated: 05/11/10                                                                                                                                                             Tab 4-12
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                     Attachment E
                                         Change Order Summary Sheet
    Background - This summary sheet must be completed and submitted to the DEQ project officer along with a copy of
    the executed change order, whenever the public agency executes a change order. DEQ-approval of change orders
    is required in order for them to qualify for CWSRF funding. Approval of a change order prior to its execution is only
    necessary in the event that the change order could alter project performance.

    DEQ approval of change orders does not guarantee the availability of CWSRF funds beyond the amount stated in the
    public agency's loan agreement. If the public agency anticipates needing additional funds, the project officer should
    be contacted for guidance.

    Project Title:
    CWSRF Loan Number:
    Change Order No.:                                           Change Order Amount:
    DEQ Approval by:
                                                      DEQ CWSRF Project Officer or DEQ Project Engineer

    For each change order item determine which of the following categories applies and complete the summary below.
    Attach additional sheets if necessary.

    Category of Change Order (CO)
    a.    Differing site conditions
    b.    Error or omission in the plans and specs
    c.    Regulatory change
    d.    Design change
    e.    Overrun/underrun in quantities
    f.    Change in time of completion (specify)
    g.    Other (please explain)

     Change Order Item      Category of           $ Amount                           Brief Description of
         Number            Change Order      Increase/Decrease                       Change Order item




Updated: 05/11/10                                                                                                    Tab 4-13
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                   Attachment F
                                  Guidelines For Writing An O & M Manual


    Overview: A well-written Operation & Maintenance (O&M) manual may not always result in a well-run plant, but a
    poorly-written manual can certainly make it harder to achieve. Thus, the O&M manual is an important document. An
    important requirement for an O&M manual, and one that is sometimes overlooked by writers, if not by users, is that it
    be easy to refer to in situations where time is of the essence.

    Guidelines for writing O&M manuals – “Guidelines for Writing sewage Treatment Plant O&M Manuals” and
    “Guidelines for writing Pump Station O&M Manuals” are located at internet address:
    http://www.deq.state.or.us/wq/rules/div052guides.htm




Updated: 05/11/10                                                                                                     Tab 4-14
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                               Attachment G
                                     CWSRF Loan Construction Certification Form
                                                (Complete one copy for each prime contract)


    Borrower's Name:
    Project Name:
    CWSRF Number:
    Contractor:
    Date of Initiation of Operation*:




                                                      ENGINEER'S CERTIFICATION

    All construction, materials, and testing are in conformance with the approved plans and specifications, as are all
    change orders subsequently approved for the above contract.

    All testing was adequately documented. Copies of all test reports and of each engineer's and inspectors’ daily diary
    were provided for the borrower's files.



    Engineer's Signature                                                           Date

    Print name of engineer certifying construction

    Borrower Representative’s Signature

    Print Borrower Representative’s Name & Title                                   Date




    *”Initiation of Operation" means the date that a facility funded by a CWSRF loan is operationally complete and ready for the purposes for which it
    was planned, designed and built.


Updated: 05/11/10                                                                                                                                        Tab 4-15
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                    Attachment H
                           State of Oregon Department of Environmental Quality
                                Clean Water State Revolving Fund Program
                                       Disbursement Request Form

                                                                                            Date:
                               Public Agency
                                                                        CWSRF Loan #:
                                  Agency
                                                                        Disbursement Request #:
                        City                           Zip Code                                         Final Request

                        Attn                              Phone         Deposit to LGIP Acct #:



                                                 Budget             Prior Disbursements             This Request
      Administrative Expense
      Preliminary Expense
      Land and Right-of-Way Costs:
         SRF Eligible
         SRF In-eligible
      Engineering Basic Fees
      Other Engineering Fees
      Project Inspection Fees
      Construction Costs
      Miscellaneous Costs

      TOTAL


                                       Percent of Physical Completion                %

    CERTIFICATION: I certify that to the best of my knowledge and belief, the billed costs and disbursements are in
    accordance with the terms of the project; the disbursement represents the CWSRF share due which has not been
    previously requested; and an inspection has been performed and all work is in accordance with the terms of the
    CWSRF Loan Agreement.

                                               Engineer                                   Public Agency
    Name and Title:
    Signature:
    Date:
    Telephone:




Updated: 05/11/10                                                                                                  Tab 4-16
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund



                                          Attachment H - Instructions

    FINAL REQUEST                      Mark this box if this is the final request for loan disbursements.
    BUDGET                             This column should break out the total loan amount into the expenditure
                                       categories. It is an estimate and may be changed if necessary.
    PRIOR DISBURSEMENTS                Enter the costs already disbursed from loan proceeds.
    THIS REQUEST                       Enter the costs included in this disbursement request.
    EXPENSE CLASSIFICATIONS:

        Administrative Expense         Enter advertising, legal fees, project management by in-house staff (e.g.,
                                       payroll, travel)
        Preliminary Expense            Enter locating, designing, making surveys and maps, sinking test holes and
                                       other work prior to actual construction.
        Land and Right-of-Way          The CWSRF loan can cover all costs for land that is an integral part of the
        Expense                        treatment process (e.g. land application). If the land is not an integral part of
                                       the treatment process, the CWSRF loan can still cover expenses relating to
                                       compliance with the Uniform Relocation Act, excluding the cost of surveys,
                                       legal boundary descriptions and easements. Eligible compliance expenses
                                       include appraisals, reviewing appraisals, title searches, legal notices, closing
                                       costs, purchase negotiations, and the preparation of purchase agreements.

        Engineering Basic Fees         Enter basic fees for services of consulting engineers
        Other Engineering Fees         Enter other consulting engineering services
        Project Inspection Fees        Enter construction inspection fees
        Construction Costs             Enter amounts associated with the actual construction of the project. If a
                                       contractor is used, this begins with the “Notice to Proceed.” Contractor
                                       retainage will be reimbursed when it is paid out by the Borrower. If it is
                                       deposited into an escrow account or a bank sub account, it will be reimbursed
                                       if documentation is provided showing the transfer of funds.
        Miscellaneous Costs            Enter amounts for all items not specifically listed above.
        Total                          Enter the total for each of the columns.

    CERTIFICATION
       Engineer                        To be completed by the engineer who is responsible for the project.
        Public Agency                  To be completed by the official representative who is certifying to the percent
                                       of the project completion and the CWSRF funds requested.


    ATTACH COPIES OF EXPENSE DOCUMENTATION. This may include contractor invoices, supply invoices,
    payroll reports by cost center and type of work, and other documentation to support the date, amount and specific
    details of all expenditures. If the project or expenditure documentation is complex, a summary report may be
    needed to track the expenditures from the documentation to the disbursement request amounts.




Updated: 05/11/10                                                                                                     Tab 4-17
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund



                                 Attachment H - Information Contacts
    Submit the completed Disbursement Request with expense documentation to the appropriate address below.



            Northwest Region                    Western Region                        Eastern Region
       Clackamas, Clatsop, Columbia,       Benton, Coos, Curry, Douglas,      Baker, Crook, Deschutes, Gilliam,
         Multnomah, Tillamook and        Jackson, Josephine, Lane, Lincoln,       Grant, Harney, Hood River,
           Washington Counties             Linn, Marion, Polk, and Yamhill    Jefferson, Klamath, Lake, Malheur,
                                                      Counties                Morrow, Sherman, Umatilla, Union,
                                                                                Wallowa, Wasco, and Wheeler
                                                                                           Counties

                 Mail to:                            Mail to:                             Mail to:
      Manette Simpson, Water Quality               Jaime Isaza                  Shanna Bailey, Water Quality
            Northwest Region                             or                        Eastern Region DEQ
                  th
        2020 SW 4 Avenue, #400                    Bob Haberman                  700 S.E. Emigrant, Suite 330
           Portland, OR 97201              Water Quality, Western Region           Pendleton, OR 97801
                                              750 Front St. NE, #120
                                              Eugene, Oregon 97401

           For Information, call               For Information, call               For information, call
      Manette Simpson (503) 229-5219        Jaime Isaza (541) 687-7341         Shanna Bailey (541) 278-8681
                                           Bob Haberman (541) 687-7359




Updated: 05/11/10                                                                                              Tab 4-18
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                      Attachment I
                                                 Affirmative Certification
                    Certificate of Performance For Publicly Owned Treatment Works

    I.       As required under Oregon Administrative Rules Division 54, Clean Water State Revolving Fund Program
             and loan conditions included in CWSRF Loan No.                     (borrower name)
                                       hereinafter referred to as the "Borrower", does hereby certify that it is unable to
                     comply with OAR 340-054-0060; in that it has:

             (a)      Provided to the State of Oregon Department of Environmental Quality at the appropriate Regional
                      Office, written notification of the actual date of initiation of operation. This date of initiation was on
                      the       day of                , 20    .

             (b)      Utilized the services of                              , our prime engineer who:

                              Supervised our project construction; and/or
                              Provided architectural and engineering services during construction.

             (c)      For a period of twelve (12) months following the initiation of operation, the prime engineer provided
                      the following services, as applicable:

                      (1)     Directed project operation and maintenance; and

                      (2)     Trained operating personnel, prepared the required curricula and training material, and
                              revised the operation and maintenance manual(s), and

                      (3)     Advised the borrower on the status of the project meeting performance standards.

    II.      The Borrower, having access to and control of all the necessary data, and having monitored the
             construction of this project, hereby certifies, in accordance with OAR-340-54-0060, that the project built
             under this loan meets the performance and operational requirements applicable to the project and the
             specifications which the project was planned, designed, and built to achieve and which have been approved
             in writing by the Oregon Department of Environmental Quality.




    Borrower Representative’s Signature




    Borrower Representative’s Name and Title                                   Date




Updated: 05/11/10                                                                                                           Tab 4-19
    Oregon Department of Environmental Quality - Clean Water State Revolving Fund


                                                     Attachment J
                                                 Negative Certification

             Certification of Non-Performance For Publicly Owned Treatment Works
    I.       As required under Oregon Administrative Rules Division 54, Clean Water State Revolving Fund Program
             and loan conditions included in CWSRF Loan No.                       (borrower name)
                                       hereinafter referred to as the "Borrower", does hereby certify that it is unable to
             comply with OAR 340-054-0060; in that it has;

             (a)     Provided to the State of Oregon Department of Environmental Quality at the appropriate Regional
                     Office, written notification of the actual date of initiation of operation. This date of initiation was on
                     the       day of                , 20     .

             (b)     Utilized the services of                                , our prime engineer who:

                              Supervised our project construction; and/or
                              Provided architectural and engineering services during construction.

    II.      For a period of twelve (12) months following the initiation of operation, the prime engineer provided the
             following services, as applicable:

             (a)     Directed project operation and maintenance; and

             (b)     Trained operating personnel, prepared the required curricula and training material, and revised the
                     operation and maintenance manual(s), and

             (c)     Advised the grantee on the status of the project meeting performance standards.

    III.     Having followed the above procedures, we have concluded that the project does not meet the project
             performance standards. To correct this, the Borrower will provide the following within 2 months of this
             negative certification:

             (a)     A corrective action report containing an analysis of the cause(s) for failure, and an estimation of the
                     nature, scope and cost necessary to bring the project into compliance; and,

             (b)     A timely schedule for such remedial action; and,

             (c)     The scheduled completion date for affirmative certification of project performance to the Department
                     of Environmental Quality.

             (d)     Other:




    Borrower Representative’s Signature




    Borrower Representative’s Name and Title                                    Date




Updated: 05/11/10                                                                                                             Tab 4-20
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                          TAB 5
                             STATE AND FEDERAL REGULATIONS



                                                         Table of Contents

      Background .................................................................................................................................1
      I. DEQ Review ............................................................................................................................1
      II. Prevailing Wage Rate .............................................................................................................1
      III. Overtime (ORS 279.334) ......................................................................................................2
      IV. Contractor Suspension/Debarment........................................................................................2
      V. Fair Share Objectives and Affirmative Action Efforts .............................................................2
             A. Definition of a Good Faith Effort..................................................................................3
             B. Loan Recipient Responsibilities ..................................................................................3
      VI. Civil Rights Laws and Equal Employment Opportunity .........................................................3
      VII. Anti-Lobbying Act .................................................................................................................4
      VIII. NPDES Storm Water Regulations ......................................................................................4
      IX. List of Federal Laws and Authorities .....................................................................................4




      Updated: 07/30/10                                                                                                                           i
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




           State and Federal Regulations: Information for Loan Recipients

      Background
      There are many state and federal laws with which the Loan Recipient must comply. The information
      presented here in Tab 5 focuses on some of these regulations, and explains what the Loan Recipient
      must do to demonstrate compliance to DEQ.

      The most important responsibility of the Loan Recipient in this regard is to ensure that the
      bidding contractors have properly and completely executed the several forms contained in Tab 6
      of this Construction Manual, the CWSRF-Funded Construction Project Contract Insert.

      Unless the contractor has completely and properly executed the Insert forms, DEQ will be unable
      to reimburse the contractor’s payment requests. To this end, DEQ will review the contractor-
      executed Insert documents for completeness and substantive sufficiency as part of the “Bid Package”
      submitted by the Loan Recipient subsequent to bid opening (as per Tab 4).

      The decision as to what point in the bid process the Loan Recipient requires the bidding
      contractors to complete the Insert forms rests with the Loan Recipient.
       Instruction options might include:
           • Make submittal of all the executed Insert forms a matter of bid responsiveness.
           • Require that the low bidder complete the forms within a specified period of time after bid opening.
           • Pre-qualify bidders based on their sufficiency in being responsible to the invitation to bid, then
               consider bid price.

      The Loan Recipient must formulate instructions for bidders. These instructions must then be
      included by the Loan Recipient in the “information for bidders” section of Tab 6 in accordance
      with the option the Loan Recipient selects. Additionally, DEQ highly recommends that the bid process
      and requirements be clearly explained to prospective bidders at a pre-bid conference.

      The areas of regulation discussed below are limited to: Oregon Prevailing Wage Rate; Overtime
      Requirements; Contractor Suspension/Debarment; Affirmative Action; Civil Rights laws; Equal
      Employment Opportunity; the Anti-Lobbying Act; NPDES storm water regulations; and a list of federal
      laws and authorities found in item IX.

      Other forms that will assist Loan Recipients in their compliance efforts are included as attachments in Tab
      4. These include a bid review checklist, a monthly inspection report form, and a copy of Form 5700-52A
      (the semi-annual DBE reporting form).


      I. DEQ Review
          DEQ will review various documents and do both on, and off site inspections to monitor compliance
          with various state and federal regulations.

             NOTE: the Loan Recipient is at all times responsible for complying with these regulations, and
          should not regard DEQ's review as a substitute for its own compliance efforts.


      II. Prevailing Wage Rate
          Background - Currently, CWSRF funded projects equal to/or greater than $25,000 are subject to the
          Bureau of Labor and Industry's (BOLI) "Prevailing Wage Rates for Public Works Projects in Oregon"
          requirements established under ORS 279.348 - 279.380. The term "public works" refers to the
          construction, reconstruction and/or major renovation done by or for a Loan Recipient.



      Updated: 08/5/10                                                                                    Tab 5-1
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




          BOLI sets the prevailing wage rates based on contractor surveys covering defined regions in the state
                                                                                                              st
          and various worker classifications. BOLI publishes the prevailing wage rates twice each year (Jan.1
                    st
          and July 1 ) and periodically updates them to reflect recent changes.

          Additional information regarding Loan Recipient responsibility and current wage rates can be found at
          BOLI's website: http://egov.oregon.gov/BOLI/WHD/PWR/W_PWR_Pwrbk.shtml

          After October 30, 2009 the construction of treatment works require the application of the
          Davis-Bacon Act for the construction activities financed by the CWSRF loan. These
          requirements apply through completion of construction, no matter when construction
          commences. The Department of Labor maintains Davis-Bacon Wage Determinations through their
          site at http://www.wdol.gov/



      III. Overtime (ORS 279.334)
          Oregon overtime rules apply to all public works construction contracts funded in the State of Oregon.

          In all cases where labor is employed through a contractor, no person shall be required or permitted to
          labor more than 10 hours in any one day, or 40 hours in any one week, except in cases of necessity,
          emergency, or where the public policy absolutely requires it, in which event, the person or persons so
          employed for excessive hours shall receive at least time and a half pay:

          For all overtime in excess of eight hours a day or 40 hours in any one week when the work week is
          five consecutive days, Monday through Friday; or

          For all overtime in excess of 10 hours a day or 40 hours in any one week when the work week is four
          consecutive days, Monday through Friday; and

          For all work performed on Saturday and on the following legal holidays (see attachment 11 of the
          CWSRF Insert contained in Tab 6 for a list of legal holidays).

          The following BOLI webpage provides more details about overtime calculations:

          http://egov.oregon.gov/BOLI/WHD/PWR/W_PWR_Calculating.shtml


      IV. Contractor Suspension/Debarment
          No contractor or subcontractor debarred by the U.S. Department of Labor, EPA or by an agency of
          the State of Oregon is eligible to work on any contract funded by a CWSRF loan. Contractors are
          required to return a signed copy of the "Certification Regarding Debarment, Suspension, and Other
          Responsibility Matters" with their bids. A copy of this certification form is contained in Attachment 6 of
          the CWSRF Insert (see Tab 6).

          Prior to the award of any contract or subcontract, the Loan Recipient must confirm the eligibility of all
          contractors and subcontractors to be employed.


      V. Fair Share Objectives and Affirmative Action Efforts
          Refer to the information contained in Attachment 1 of the CWSRF Insert / Tab 6 which includes: an
          overview; MBE/WBE certification; specific requirements; and additional sources of DBE information.




      Updated: 08/5/10                                                                                       Tab 5-2
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




          A. Definition of a Good Faith Effort

              The bidder must make a good faith effort to meet Oregon’s fair share objectives. A good faith
              effort shall consist of the following six affirmative steps:

              1. The bidder includes qualified small, minority and women's businesses on solicitation lists;

              2. The bidder assures that small, minority, and women's businesses are solicited once they are
                 potential sources;

              3. The bidder divides total requirements, whenever economically feasible, into smaller tasks or
                 quantities to permit maximum participation by small, minority and women's businesses;

              4. The bidder establishes delivery schedules whenever the requirements of the work permit,
                 which will encourage participation by small, minority and women's businesses;

              5. The bidder advertises in trade association, minority and trade-oriented, women-focus
                 publications, whenever possible, concerning the subcontracting or material supply
                 opportunities;
                                                        and

                  actively makes use of the services and assistance of Oregon’s Office of Minority, Women and
                  Emerging Small Business (OMWESB), the Small Business Administration and the Minority
                  Business Development Agency of the U.S. Department of Commerce, as appropriate;


              6. If the bidder awards sub-agreements, the bidder will require the subcontractors to take all of
                 the affirmative action steps described above. (40CFR Section 35.3145(d)).


          B. Loan Recipient Responsibilities

              Determination of bidder responsibility and responsiveness rests with the Loan Recipient. The
              executed Tab 6 insert and bid package will be forwarded to DEQ as indicated in Tab 4. A DEQ
              project officer will review the bid package to determine the adequacy of the good faith effort
              based on the materials presented to DEQ in the bid package presented by the Loan Recipient.

              Immediately following bid review and contract award, the Loan Recipient shall complete Form
              5700-52A regarding DBE utilization (see DEQ website at
              http://www.deq.state.or.us/wq/loans/constr.htm ), and submit it to DEQ. The Loan Recipient must
              complete this form on a semi-annual basis for the duration of the project. It must be submitted to
                                                                             st
              DEQ by April 20th, for the sixth month period ending March 31 , and by October 20th, for the six
              month period ending September 30th.


      VI. Civil Rights Laws and Equal Employment Opportunity
           Executive Order No. 11246 facilitates the federal government's efforts for the hiring, training, and
           promotion opportunities for minorities and women in federally financed construction programs. A
           Loan Recipient is required to include guidelines covering Equal Employment Opportunity and
           Affirmative Action in its contract with the Prime Contractor.




      Updated: 08/5/10                                                                                     Tab 5-3
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



           There are other civil rights laws and equal employment opportunity rules with which the Loan
           Recipient and the contractor must comply. Forms related to these additional laws and employment
           rules are included in the CWSRF Insert.


      VII. Anti-Lobbying Act
           The federal Anti-Lobbying Act places limits on lobbying activities on the part of recipients of federal
           funds. Specifically, the recipient of an award is not allowed to spend those funds on lobbying
           activities. In addition, for each award action above a certain amount ($150,000 in the case of a
           loan), the law requires recipients and their subtier contractors to certify that they have neither used
           nor will use appropriated funds for lobbying activities, and to document lobbying activities paid for
           with non-appropriated funds, on a quarterly basis.

           A compliance certification form and a disclosure of lobbying activities form may be found in
           Attachments 12 and 13 in the CWSRF Insert (tab 6). The certification form must be included with
           bids over $150,000. The disclosure form need only be included if the contractor has something to
           disclose. The Loan Recipient shall maintain records of all executed certification forms and
           disclosure forms.


      VIII. NPDES Storm Water Regulations
           If a construction project is expected to disturb one or more acres of land, a NPDES storm water
           permit is required. NPDES storm water regulations for construction projects are explained in more
           detail in Tab12. This guidance document primarily refers to 1200-C type permits. The Loan
           Recipient should also be aware that an alternate permit (1200-CA) may be a beneficial option for a
           municipality. The Loan Recipient is advised to review the contents of this guidance document
           carefully as construction may not commence until an NPDES storm water permit has been issued
           and an erosion control plan approved.

           Though the contractor can apply for the permit (type 1200-C), it may be more expedient for the Loan
           Recipient to apply for it once the construction documents for the project have been approved by
           DEQ, and then later transfer it to the contractor so that lack of a permit does not delay the start of
           construction.

           Under the terms of the permit, the contractor must prepare and submit an erosion control plan. This
           plan must be approved prior to the start of construction. The Loan Recipient is responsible for
           obtaining a copy of the approved plan from the contractor and submitting it to the project officer.


      IX. List of Federal Laws and Authorities
           Cross-cutting federal authorities are the requirements of other federal laws and Executive Orders
           that apply in federal financial assistance programs. Often, these authorities are expressly applied by
           the statute authorizing the assistance itself. More frequently, the requirements are not cited in the
           authorizing statute, but apply broadly by their own terms to a wider range of feral financial assistance
           programs. In the SRF programs, these include environmental laws, social policy authorities, and
           economic authorities.

          ENVIRONMENTAL:

                  •      Archeological and Historical Preservation Act of 1974, PL 93-291.
                  •      Clean Air Act, 42 U.S.C. 7506(c).
                  •      Coastal Barrier Resources Act, 16 U.S.C. 3501, et seq.
                  •      Coastal Zone Management Act of 1972, PL 92-583, as amended.




      Updated: 08/5/10                                                                                      Tab 5-4
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                  •      Endangered Species Act, 16 U.S.C. 1531, et seq.
                  •      Executive Order 11593, Protection and Enhancement of the Cultural Environment.
                  •      Executive Order 11988, Floodplain Management.
                  •      Executive Order 11990, Protection of Wetlands.
                  •      Executive Order 12898, Environmental Justice
                  •      Farmland Protection Policy Act, 7 U.S.C. 4201, et seq.
                  •      Fish and Wildlife Coordination Act, PL 85-624, as amended.
                  •      National Historic Preservation Act of 1966, PL 89-665, as amended.
                  •      Safe Drinking Water Act, section 142(e), PL 92-523, as amended.
                  •      Wild and Scenic Rivers Act, PL 90-542, as amended.
                  •      Federal Water Pollution Control Act Amendments of 1972, Public Law 92-500.


          ECONOMIC:

                  •      Demonstration Cities and Metropolitan Development Act of 1966, PL 89-754, as
                         amended.
                  •      Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, including
                         Executive Order 11738, Administration of the Clean Air Act, and the Federal Water
                         Pollution Control Act with Respect to Federal Contracts, Grants, or Loans.


          SOCIAL LEGISLATION:

                  •      Age Discrimination Act, PL 94-135.
                  •      Civil Rights Act of 1964, PL 88-352, as amended, 42 U.S.C. 2000d, et seq.
                  •      Section 13 of PL 92-500; Prohibition against sex discrimination under the Federal Water
                         Pollution Control Act.
                  •      Executive Order 11246, Equal Employment Opportunity.
                  •      Executive Orders 11625, 12138, and 12432 Women's and Minority Business Enterprise.
                  •      Executive Order 12549, Debarment and Suspension
                  •      Section 129 of the Small Business Administration Reauthorization and Amendment Act of
                         1988, Pub. L. 100-590
                  •      Section 504 of the Rehabilitation Act of 1973, PL 93-112 (including Executive Orders
                         11914 and 11250), as amended, 29 U.S.C. 794.


          MISCELLANEOUS AUTHORITY:

                  •      Uniform Relocation and Real Property Acquisition Policies Act of 1970, PL 92-646.
                  •      Executive Order 12549 and 40 CFR Part 32 -- Debarment and Suspension.
                  •      Disclosure of Lobbying activities, Section 1352, Title 31, U.S. Code.
                  •      40 Code of Federal Regulations, Part 33




      Updated: 08/5/10                                                                                       Tab 5-5
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                             TAB 6
          CWSRF-Funded Construction Project Contract Insert


                                                          Table of Contents
Purpose of this Insert .................................................................................................................................... 3
Required Procedure for Execution of the Attachments ................................................................................. 3
List of Attachments and Instructions ............................................................................................................. 3
Attachment 1 - Fair Share Objectives, Good Faith Efforts, Contract Administration and Language ............ 7
Attachment 2 - Bidders List ........................................................................................................................... 9
Attachment 3 - List of Contacted Disadvantaged Business Enterprises (DBE).......................................... 11
Attachment 4 - EPA 6100-4 Form ............................................................................................................... 13
Attachment 5 - EPA 6100-3 Form ............................................................................................................... 15
Attachment 6 - EPA 6100-2 Form ............................................................................................................... 17
Attachment 7 - Certification of DBE Participation Program ........................................................................ 19
Attachment 8 - Contractor's Compliance Statement ................................................................................... 21
Attachment 9 - Certification of Non-Segregated Facilities .......................................................................... 23
Attachment 10 - Non-Discrimination in Employment .................................................................................. 25
Attachment 11 - Debarment and Suspension ............................................................................................ 27
Attachment 12 - Certification Regarding Lobbying Activities ...................................................................... 29
Attachment 13 - Disclosure of Lobbying Activities Form SF-LLL-A ............................................................ 31
Attachment 14 - Certificate of Independent Price Determination................................................................ 35
Attachment 15 - Davis Bacon Prevailing Wage Agreement ....................................................................... 37
Attachment 16 - CWSRF Project Sign ........................................................................................................ 39
Attachment 17 - Requirements for Affirmative Action to Ensure Equal Employment Opportunity ............. 41
Attachment 18 - Oregon Overtime Regulations Applicable to CWSRF ...................................................... 45
Attachment 19A.1 - Buy American Requirements ...................................................................................... 47
Attachment 19A.2 - Waiver of Buy American Requirements ...................................................................... 49
Attachment 19B - Agreement to Comply with Prevailing Wage Rates ....................................................... 51
Attachment 19C - Notice of Funding Availability Deadline ......................................................................... 53
Attachment 19D - Reporting Requirements ................................................................................................ 55
Attachment 19E - Project Auditing .............................................................................................................. 57
Attachment 19F - Clean Water State Revolving Fund / American Recovery and Reinvestment Act
       Project Sign .................................................................................................................................... 59




Updated 05/02/11                                                                                                                                            i
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 05/02/11                                                                Tab 6-ii
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




        CWSRF-Funded Construction Project Contract Insert:
                   Information for Bidders

Purpose of this Insert
This project is being funded by the Oregon Clean Water State Revolving Fund (CWSRF), or the American
Recovery and Reinvestment Act (ARRA) Fund, using Federal funds. The CWSRF is administered by the
Oregon Department of Environmental Quality (DEQ).

The use of Federal funds imposes several requirements on contractors:

      1. The winning contractor must have completely and properly executed Attachments 1 through 15 in
         this Insert in order for DEQ to participate in the reimbursement of contractor billings under this
         contract. Consult the instructions for each Attachment when determining when submittal is
         required. The requirements of Attachments 16 through 18 must be met during construction.

      2. Each ARRA funded project requires the additional Attachments 19 A-F. The winning contract
         must have completely and properly executed Attachment 19 in this Insert by the time contract
         award in order for DEQ to participate in the reimbursement of contactor billings under an ARRA
         funded contract. Thereafter, the requirements of Attachment 19F must be met during
         construction of an ARRA funded project.

      3. In particular, attention is directed to the requirements of Oregon’s Fair Share Objectives regarding
         good faith efforts to achieve participation by Disadvantaged Business Enterprises as
         subcontractors and suppliers. Attachments 1, 2, 3, 4, 5, 6, 7, and 8 provide additional details and
         requirements that bidders will be held to.

Required Procedure for Execution of the Attachments
As the Loan Recipient of Oregon’s Clean Water State Revolving Fund,
imposes the following procedures on all bidders in their execution of these Insert documents:

 [The Loan Recipient will include here the specific procedures it will impose on bidders for
execution of the Insert documents, as per discussion “background” in Tab 5.]

List of Attachments and Instructions
                         Attachment                                              Instruction
  1     Fair Share Objectives, Six Good Faith Efforts,          This form must be completed by the Loan
        Contract Administration and Contract Language          Recipient, the prime contractor and any
                                                               subcontractor who will further subcontract on
                                                               the project within the scope of the CWSRF
                                                               loan. All the boxes in this attachment must be
                                                               initialed and the bottom signed. One
                                                               completed attachment for the prime must be
                                                               submitted as part of the bid/proposal to the
                                                               Loan Recipient. One completed attachment
                                                               for each subcontractor who will further
                                                               subcontract must be submitted prior to
                                                               contract award. A copy of those must be
                                                               included in the contract copy to DEQ, along



Updated 05/02/11                                                                                     Tab 6-3
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                                              with one attachment initialed and signed by
                                                              the Loan Recipient.
  2   Bidders List                                            This attachment applies only to CWSRF loans
                                                              over $250,000. This form must be kept current
                                                              and in the Loan Recipient’s project file. It
                                                              must be made available to DEQ, EPA or an
                                                              auditor auditing this project.
  3   List of Contacted DBE Businesses                        This form must be completed by the prime
                                                              contractor and submitted as part of the
                                                              bid/proposal to the Loan Recipient. A copy
                                                              must be included in the contract copy to DEQ.

  4   Disadvantaged Business Enterprises (DBE) Program One of these forms must be submitted for
      Utilization Form 6100-4                          each DBE subcontractor. It must be signed
                                                       and submitted by prime contractor to the Loan
                                                       Recipient by the time of contract award. A
                                                       copy must be included in the contract copy to
                                                       DEQ.
  5   DBE Program Subcontractor Performance Form              This form must be provided to and completed
      6100-3                                                  by each DBE subcontractor. Each form must
                                                              be submitted prior to contract award from the
                                                              prime contractor to the Loan Recipient. A copy
                                                              must be included in the contract copy to DEQ.
  6   DBE Subcontractor Participation Form 6100-2             This attachment must be delivered by the
                                                              prime contractor to DBE Subcontractors.
                                                              Completing and submitting this form is
                                                              optional for the DBE Subcontractor. The form
                                                              is a mechanism for DBE Subcontractors to
                                                              report contract concerns directly to EPA.
  7   DBE Subcontractor Participation Form Certification      This form must be signed by the prime
                                                              contractor and submitted by the time of
                                                              contract award from the Loan Recipient. A
                                                              copy must be included in the contract copy to
                                                              DEQ.
  8   Contractor's Compliance Statement (with Executive       This form must be signed by the prime
      Order #11246). See Attachment 16 for a copy of          contractor and submitted by the time of
      Executive Order #11246: Requirements for                contract award from the Loan Recipient. A
      Affirmative Action to Ensure Equal Employment           copy must be included in the contract copy to
      Opportunity.                                            DEQ.
  9   Certification of Non-segregated Facilities (applicable This form must be signed by the prime
      to construction contracts and subcontracts             contractor and submitted by the time of
      exceeding $10,000)                                     contract award from the Loan Recipient. A
                                                             copy must be included in the contract copy to
                                                             DEQ. The prime contractor must obtain a
                                                             signed copy of this form from each
                                                             subcontractor, and retain them in the prime
                                                             contractor’s contract file.
 10   Non-discrimination in Employment, Notice to Labor       One form must be submitted for each union
      Unions or Other Organization of Workers.                represented in the contractor's work force by
                                                              the time of contract award.




Updated 05/02/11                                                                                    Tab 6-4
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




 11    Debarment and Suspension                               This completed form must be signed by the
                                                              Loan Recipient and submitted to the DEQ
                                                              Project Officer prior to contract award.



 12   Certification Regarding Lobbying Activities             This form must be signed by the prime
                                                              contractor and submitted by the time of
                                                              contract award from the Loan Recipient. A
                                                              copy must be included in the contract copy to
                                                              DEQ. The prime contractor must obtain a
                                                              signed copy of this form from each
                                                              subcontractor, and retain them in the prime
                                                              contractor’s contract file.
 13   Disclosure of Lobbying Activities (Standard form        This form must be submitted only when the
      LLL-A) may be downloaded from                           prime or subcontractor uses non-Federal
      http://www.whitehouse.gov/omb under the heading         funds to lobby in connection with the Oregon
      “Grants Management” OMB Control No.: 0348-0046          CWSRF program, including a project currently
                                                              funded with Federal funds under an Oregon
                                                              CWSRF loan. Submit via E-mail to
                                                              grants@omb.eop.gov with the form in the text
                                                              of the message and not as an attachment.
 14   Certification of Independent Price Determination        This form must be signed by the prime
                                                              contractor and submitted as part of the
                                                              bid/proposal to the Loan Recipient. A copy
                                                              must be included in the contract copy to DEQ.
                                                              The prime contractor must obtain a signed
                                                              copy of this form from each subcontractor,
                                                              and retain them in the prime contractor’s
                                                              contract file.
 15   Prevailing Wage Agreement (Davis Bacon)                 This form must be initialed and signed by the
                                                              Loan Recipient, the prime contractor and the
                                                              subcontractors. The prime contractor copy
                                                              must be submitted as part of the bid/proposal
                                                              to the Loan Recipient. A copy of Attachment
                                                              15 forms signed by the Loan Recipient and
                                                              the prime contractor must be submitted with
                                                              the contract copy to DEQ. The prime
                                                              contractor must obtain a signed copy of this
                                                              form from each subcontractor, and retain them
                                                              in the prime contractor’s contract file.
                      The following items will apply after the contract is awarded.
 16   CWSRF project sign                                      The sign must be posted on the project site
                                                              throughout the course of construction to
                                                              permit public viewing.
 17   Executive Order #11246 - Requirements for               This must be posted at the job site for the
      Affirmative Action to Ensure Equal Employment           duration of the project.
      Opportunity
 18   Oregon Overtime Rules                                   This attachment does not have to be signed.
      In addition to all of the above, the following items will apply to ARRA Funded contracts.
19A1 ARRA Buy American Agreement




Updated 05/02/11                                                                                     Tab 6-5
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




19A2 ARRA Buy American Waiver
19B ARRA Prevailing Wage Agreement
19C ARRA Funding Deadline Notice
19D ARRA Reporting Requirements
19E ARRA Auditing Notice
19F ARRA Project Sign




Updated 05/02/11                                                                Tab 6-6
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                             Attachment 1
              Fair Share Objectives, Six Good Faith Efforts,
             Contract Administration and Contract Language

_____ Fair Share Objectives
The Loan Recipient accepts the following Fair Share Objectives for the project being funded with CWSRF
and must employ the six good faith efforts to achieve these percentages in disadvantaged business
enterprises (DBE) participation:

Supplies:          0.43% MBE 1.28% WBE
Services:          2.58% MBE 4.45% WBE
Equipment:         1.08% MBE 2.69% WBE

_____ MBE/WBE Certification
All MBE/WBEs have to be certified by either Oregon’s Office of Minority, Women & Emerging Small
Businesses (OMWESB) or by the state in which they are located. Oregon’s Office of Minority, Women,
and Emerging Small Business (OMWESB) administers the Disadvantaged Business Enterprise (DBE),
Minority Business Enterprise/Women Business Enterprise (MBE/WBE), and Emerging Small Business
Programs. http://egov.oregon.gov/DCBS/OMWESB/

_____ Six Good Faith Efforts
The good faith efforts are required methods to ensure that all DBEs have the opportunity to compete for
procurements funded by the Clean Water State Revolving Fund. The Loan Recipient and their prime
contractor are required to:
    1. Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable
       through outreach and recruitment activities. For Indian Tribal, State and Local Government
       recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they
       are potential sources.
    2. Make information on forthcoming opportunities available to DBEs and arrange time frames for
       contracts and establish delivery schedules, where the requirements permit, in a way that
       encourages and facilitates participation by DBEs in the competitive process. This includes,
       whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days
       before the bid or proposal closing date.
    3. Consider in the contracting process whether firms competing for large contracts could
       subcontract with DBEs. For Indian Tribal, State and Local Government recipients, this will
       include dividing total requirements when economically feasible into smaller tasks or quanitities to
       permit maximum participation by DBEs in the competitive process.
    4. Encourage contracting with a consortium of DBEs when a contract is too large for one of these
       firms to handle individually.
    5. Use the services and assistance of the SBA, the Minority Business Development Agency of the
       Department of Commerce, and the OMWESB.
    6. If the prime contractor awards subcontracts, require the prime contractor to take the steps 1
       through 5 above.




Updated 08/06/10                                                                                   Tab 6-7
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Contract Administration
_____ The Loan Recipient must require its prime contractor to employ the six good faith efforts even if the
prime contractor has achieved its faire share objectives.

_____ If a DBE subcontractor fails to complete work under the subcontract for any reason, the Loan
Recipient must require the prime contractor to employ the six good faith efforts if soliciting a replacement
subcontractor.

_____ The Loan Recipient must require its prime contractor to pay its subcontractor for satisfactory
performance no more than 30 days from the prime contractor’s receipt of payment from the Loan
Recipient.

_____ The Loan Recipient must require written notification from its prime contractor prior to any
termination of a DBE subcontractor for convenience by the prime contractor.

_____ Specific Contract Language
All contracts between the Loan Recipient and prime contractor, and prime contractor and subcontractors
must include the following statement required by 40 CFR Part 33:

"The contractor shall not discriminate on the basis of race, color, national origin or sex in the performance
of this contract. The contractor shall carry out applicable requirements of 40 CFR part 33 in the award
and administration of contracts awarded under EPA financial assistance agreements. Failure by the
contractor to carry out these requirements is a material breach of this contract which may result in the
termination of this contract or other legally available remedies."


The undersigned has initialed the items above and understands the resulting responsibility for each item.




Signature                                                                       Date

Title

Company




 DEQ will review the bid/proposal package. Failure of the Loan Recipient and its prime contractor to
 demonstrate a good faith effort to meet the fair share objectives will prevent DEQ concurrence with the
 contract award. As a result, DEQ will not reimburse the contractor’s subsequent payment requests.




Updated 08/06/10                                                                                      Tab 6-8
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                           Attachment 2
                                           Bidders List

For projects that will exceed $250,000, the Loan Recipient must create and maintain a “Bidders List” of all
firms that bid or quote on prime contracts and subcontracts, including MBE/WBEs and non-MBE/WBEs. The
information requested by the table below is required in the bidders list. The Bidders List must be kept current
for as long as the Loan Recipient is receiving CWSRF dollars for this particular loan, and it must be retained
in the Loan Recipient’s project file. Failure to comply with this requirement is subject to post award remedies
of 40 CFR Section 31.43

The Loan Recipient shall provide a copy of the Bidders List at the request of the DEQ, EPA, or an auditor
auditing this project.

Loan Recipient
CWSRF Loan Number
Project Name
Business name and Business mailing                   Procurement on which                Status as
Point of contact  address, phone number              the entity bid or quoted    MBE     WBE Non-
                  and email address                  and bid closing date                       MBE/WBE




Updated 08/06/10                                                                                       Tab 6-9
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 08/06/10                                                                Tab 6-10
Oregon Department of Environmental Quality – Clean Water State Revolving Fund


                                                     Attachment 3
                              List of Contacted Disadvantaged Business Enterprises (DBE)

                                                                        Completed by:


    Name of Business             Certification #     Contact Person      Phone Number   Date of Contact   Reason for their Non-participation




Add more pages.




Updated 08/06/10                                                                                                                               Tab 6-11
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 08/06/10                                                                Tab 6-12
       Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                                                 Attachment 4
                                                EPA 6100-4 Form
                                                                                            OMB Control No: 2090-0030
                                                                                                  Approved: 05/01/2008
                          Environmental                                                     Approval Expires: 01/31/2011
                          Protection Agency


                                                           Disadvantaged Business Enterprise Program DBE
                                                                            Subcontractor Utilization Form



BID/PROPOSAL NO.                                                 PROJECT NAME

NAME OF PRIME BIDDER/PROPOSER                                   E-MAIL ADDRESS

ADDRESS

TELEPHONE NO.                                                   FAX NO.



                          The following subcontractors1 will be used on this project:

                                                                                            ESTIMATED         CURRENTLY
        COMPANY NAME, ADDRESS,
                                                 TYPE OF WORK TO BE PERFORMED                DOLLAR         CERTIFIED AS AN
    PHONE NUMBER, AND E-MAIL ADDRESS
                                                                                             AMOUNT          MBE OR WBE?




I certify under penalty of perjury that the forgoing statements are true and correct. In the event of a replacement of
a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302(c).


     Signature of Prime Contractor                               Date

     Print Name                                                  Title
1
 Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to
provide services pursuant to an EPA award of financial assistance.




       Updated 08/06/10                                                                                            Tab 6-13
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



Attachment 4 (cont.)

                                                                                OMB Control No: 2090-0030
                                                                                      Approved: 05/01/2008
                                                                                Approval Expires: 01/31/2011
                    Environmental
                    Protection Agency

                                                       Disadvantaged Business Enterprise Program
                                                              DBE Subcontractor Utilization Form

The public reporting and recordkeeping burden for this collection of information is estimated to average
fifteen (15) minutes. Burden means the total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the
time needed to review instructions; develop, acquire, install, and utilize technology and systems for the
purposes of collecting, validating, and verifying information, processing and maintaining information, and
disclosing and providing information; adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and transmit or otherwise disclose the
information. An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid OMB control number. Send comments on the
Agency’s need for this information, the accuracy of the provided burden estimates, and any suggested
methods for minimizing respondent burden, including the use of automated collection techniques to the
Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822), 1200 Pennsylvania
Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not
send the comple




Updated 08/06/10                                                                                    Tab 6-14
        Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                               Attachment 5
                                              EPA 6100-3 Form
                                                                                              OMB Control No: 2090-0030
                                                                                                    Approved: 05/01/2008
                   Environmental Protection                                                   Approval Expires: 01/31/2011
                   Agency



                                                               Disadvantaged Business Enterprise Program DBE
                                                                              Subcontractor Performance Form
                                     1
    NAME OF SUBCONTRACTOR :                                  PROJECT NAME:

    ADDRESS:                                                 BID/PROPOSAL NO.:


    TELEPHONE NO.:                                           E-MAIL ADDRESS:

    PRIME CONTRACTOR NAME:

                                                                                                  Price of Work Submitted
      Contract Item No.        Item of Work or Description of Services Bid to Prime
                                                                                                    to Prime Contractor




    Currently certified as an MBE or WBE under EPA’s DBE Program?                 Yes       No
    Signature of Prime Contractor
    Date
    Print Name

    Title
    Signature of Subcontractor
    Date
    Print
    Name
    Title
1
 Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to
provide services pursuant to an EPA award of financial assistance.



        Updated 08/06/10                                                                                           Tab 6-15
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



Attachment 5 (cont.)                                                            OMB Control No:     2090-0030
                                                                                      Approved:     05/01/2008
                                                                                Approval Expires:   01/31/2011




                   Environmental
                   Protection Agency

                                                 Disadvantaged Business Enterprise Program DBE
                                                                Subcontractor Performance Form



The public reporting and recordkeeping burden for this collection of information is estimated to average
fifteen (15) minutes. Burden means the total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the
time needed to review instructions; develop, acquire, install, and utilize technology and systems for the
purposes of collecting, validating, and verifying information, processing and maintaining information, and
disclosing and providing information; adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and transmit or otherwise disclose the
information. An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid OMB control number.

Send comments on the Agency’s need for this information, the accuracy of the provided burden
estimates, and any suggested methods for minimizing respondent burden, including the use of automated
collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection
Agency (2822), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number
in any correspondence. Do not send the completed EPA DBE Subcontractor Performance Form to this
address.




Updated 08/06/10                                                                                     Tab 6-16
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                           Attachment 6
                                          EPA 6100-2 Form
                                                                                   OMB Control No:      2090-0030
                                                                                         Approved:      05/01/2008
                                                                                   Approval Expires:    01/31/2011



                   Environmental
                   Protection Agency
                                                     Disadvantaged Business Enterprise Program DBE
                                                                    Subcontractor Performance Form
                                   1
NAME OF SUBCONTRACTOR :                                      PROJECT NAME:


ADDRESS:                                                    CONTRACT NO.:


TELEPHONE NO.:                                              EMAIL ADDRESS:

PRIME CONTRACTOR NAME:
Please use the space below to report any concerns regarding the above EPA-funded project (e.g. reason
for termination by prime contractor, late payment, etc.)




                              ITEM OF WORK OR DESCRIPTION OF                        AMOUNT SUBCONTRACTOR
    CONTRACT ITEM
                             SERVICES RECEIVED FROM THE PRIME                          WAS PAID BY PRIME
         NO.
                                       CONTRACTOR                                        CONTRACTOR




     Subcontractor Signature                            Title                                     Date
1
 Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a
contractor to provide services pursuant to an EPA award of financial assistance.




Updated 08/06/10                                                                                             Tab 6-17
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Attachment 6 (cont.)

                                                                                OMB Control No:     2090-0030
                                                                                      Approved:     05/01/2008
                                                                                Approval Expires:   01/31/2011



                   Environmental
                   Protection Agency
                                                 Disadvantaged Business Enterprise Program DBE
                                                                Subcontractor Performance Form




The public reporting and recordkeeping burden for this collection of information is estimated to average
fifteen (15) minutes. Burden means the total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the
time needed to review instructions; develop, acquire, install, and utilize technology and systems for the
purposes of collecting, validating, and verifying information, processing and maintaining information, and
disclosing and providing information; adjust the existing ways to comply with any previously applicable
instructions and requirements; train personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and transmit or otherwise disclose the
information. An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid OMB control number.

Send comments on the Agency’s need for this information, the accuracy of the provided burden
estimates, and any suggested methods for minimizing respondent burden, including the use of automated
collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection
Agency (2822), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number
in any correspondence. Do not send the completed EPA DBE Subcontractor Participation Form to this
address.


           DBE Subcontractors choosing to complete and submit
           this form must send it to:
                        U.S. Environmental Protection Agency
                        DBE Coordinator
                        11200 Sixth Avenue (OMP-145)
                        Seattle,WA 98101




Updated 02/17/11                                                                                        Tab 6-18
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                   Attachment 7
                   Certification of DBE Participation Program
This project is funded with Federal Funds administered by the U.S. Environmental Protection Agency
(EPA) and the Oregon Department of Environmental Quality (DEQ). As such the prime contractor is
required to provide EPA Form 6100-2 (DBE Subcontractor Participation Form) to every DBE
subcontractor under contract to perform or supply project work. A copy of the DBE Subcontractor Form
(6100-2) is included in the Construction Manual Tab 6, CWSRF-Funded Construction Project Contract
Insert.

The undersigned agrees to:
provide a copy of the DBE Subcontractor Participation Form (6100-2) to every DBE Subcontractor under
contract to perform or supply project work at the time the subcontract is signed; and
explain to the same DBE Subcontractors that the purpose of this form is for the DBE Subcontractors to
report any concerns regarding the EPA funded project directly to the EPA Region 10 DBE Coordinator.

No other actions related to the DBE Subcontractor Participation Form are required by the prime
contractor. The DBE Subcontractor is under no obligation to submit the DBE Participation Form to EPA.
Submittal is completely voluntary.

The undersigned is an authorized representative of the prime contractor.


Signature                                               Date

Title

Company

Project Name                                            Contact Number

This Certification form must be signed by the prime contractor and submitted as part of the bid/proposal
to the Loan Recipient. A copy must be included in the contract copy to DEQ.




Updated 08/06/10                                                                                  Tab 6-19
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-20
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                  Attachment 8
                       Contractor's Compliance Statement
                                    (Executive Order #11246)

Date

This statement relates to a proposed contract with

                                     (Name of CWSRF loan recipient)

who expects to finance the contract with assistance from the Environmental Protection Agency. I am the
undersigned bidder or prospective contractor. I represent that:

         I have    I have not   participated in a previous contract or subcontract subject to Executive
Order 11246 of September 24, 1965 (regarding equal employment opportunity) or a preceding similar
Executive Order. I agree to comply with all the provisions of this Executive Order and the rules,
regulations, and relevant orders of the Secretary of Labor. (41 CFR 60-1.4(b); 41 CFR 60 1.7 (b))



Signature                                                Date


Name and Title of signer (please type)



Note: a copy of Executive Order #11246 may be found in Attachment 16.




Updated 02/17/11                                                                                   Tab 6-21
     Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                     Tab 6-22
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                  Attachment 9
                   Certification of Non-Segregated Facilities

(Applicable to federally-funded construction contracts and related subcontracts exceeding $10,000 which
are not exempt from the Equal Opportunity clause.)

The federally-assisted construction contractor certifies that he does not maintain or provide for his
employees any segregated facilities at any of his establishments, and that he does not permit his
employees to perform their services at any location, under his control, where segregated facilities are
maintained. The federally-assisted construction contractor certifies further that he will not maintain or
provide for his employees any segregated facilities at any of his establishments, and that he will not
permit his employees to perform their services at any location, under his control, where segregated
facilities are maintained. The federally-assisted construction contractor agrees that a breach of this
certification is a violation of the Equal Opportunity Clause in this contract.

As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, rest
rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage
or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and
housing facilities provided for employees which are segregated by explicit directive or are, in fact,
segregated on the basis of race, creed, color, or national origin, because of habit, local custom, or
otherwise. The federally-assisted construction contractor agrees that (except where he has obtained
identical certifications from proposed contractors for specific time periods) he will obtain identical
certifications from proposed subcontractors prior to the award of subcontracts exceeding $10,000 which
are not exempt from the provisions of the Equal Opportunity Clause, and that he will retain a copy of such
certification.


Signature                                                Date




Name and Title of signer (please type)




Note:   The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001.




Updated 02/17/11                                                                                     Tab 6-23
     Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 07/28/10                                                                     Tab 6-24
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                 Attachment 10
                        Non-Discrimination in Employment
            Notice to Labor Unions or Other Organizations of Workers

TO:

                             (Name of Union or Organization of Workers)

The undersigned currently holds contract(s) with:

                             (Name of CWSRF Loan Recipient)


involving funds or credit of the U.S. Government, or (a) subcontract(s) with a prime contractor holding
such contract(s).

                   **********************************************

You are advised that under the provisions of the above contract(s) or subcontract(s) and in accordance
with Section 202 of Executive Order 11246 dated September 24, 1965, as amended the undersigned is
obliged not to discriminate against any employee or applicant for employment because of race, color,
religion, sex, or national origin. This obligation not to discriminate in employment includes, but is not
limited to the following:

-       EMPLOYMENT, UPGRADING, TRANSFER, OR DEMOTION;

-       RECRUITMENT OR RECRUITMENT ADVERTISING;

-       RATES OF PAY OR OTHER FORMS OF COMPENSATION; AND

-       SELECTION FOR TRAINING INCLUDING APPRENTICESHIP, LAYOFF, OR TERMINATION.


                   **********************************************

This notice is furnished you pursuant to the provisions of the above contract(s) or subcontract(s) and
Executive Order #11246.

Copies of this notice will be posted by the undersigned in conspicuous places available to employees or
applicants for employment.


Contractor or Subcontractor(s)                            Date




Updated 02/17/11                                                                                   Tab 6-25
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-26
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                      Attachment 11
                                 Debarment and Suspension
                                        E.O. 12549
The Loan Recipient and all subsequent prime and subcontractors shall fully comply with Subpart C of 2
CFR Part 180 and 2 CFR Part 1532, entitled “Responsibilities of Participants Regarding Transactions
(Doing Business with Other Persons).” Award approval by DEQ is contingent on none of the contractors
and subcontractors being listed on the Excluded Parties List System at www.epls.gov. The following
contractors and subcontractors are proposed to perform work within the scope of the CWSRF Loan
Agreement.


Loan Recipient: _______________________________ Loan number: _____________________

Project:    ______________________________________________________________________

            Contractor Name                Phone number and                DUNS          Contract
           and mailing address               Email address             if you have it    $ Amount




(Use additional pages if necessary)


Signature of Authorized Loan Recipient                    Date
Representative



Name and Title of Authorized Representative (type or print clearly)




Updated 02/17/11                                                                              Tab 6-27
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-28
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                  Attachment 12
                   Certification Regarding Lobbying Activities

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with this
Federal Contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit
Standard Form LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants,
loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.


This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more that $100,000 for
each such failure.




Signature                                                Date




Updated 02/17/11                                                                                     Tab 6-29
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-30
                                                                                                               Approved By OMB
                                                                                                                0348-0046
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                              Attachment 13
             Disclosure of Lobbying Activities Form SF-LLL-A
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352

1. Type of Federal Action: 2. Status of Federal Action:                       3. Report Type:
                                                                                     a. initial award
         a. contract                                                                 b. material change
         b. grant
         c. cooperative                      a. bid/offer/application                 For Material Change Only:
            agreement                        b. initial award
         d. loan                             c. post-award                            year________quarter_______
         e. loan guarantee
         f. loan insurance                                                            date of last report__________


4. Name and Address of Reporting Entity:                        5. If Reporting Entity in No. 4 is a Sub-awardee,
                                                                Enter Name and Address of Prime:
   Prime         Sub-awardee

Tier ______, if known:


Congressional District, if known:                               Congressional District, if known:


6. Federal Department/Agency:                                   7. Federal Program Name/Description:
                                                                 CFDA Number, if applicable:
8. Federal Action Number, if known:                             9. Award Amount, if known:
                                                                 $
10a. Name and Address of Lobbying Registrant                    10b. Individuals Performing Services
     (if individual, last name, first name, MI)                      (last name, first name, MI, including address if
                                                                     different from No. 10a):




11. Information requested through this form is authorized       Signature:
by title 31 U.S.C. section 1352. This disclosure of
lobbying activities is a material representation of fact upon   Print Name:
which reliance was placed by the tier above when this           Title:
transaction was made or entered into. This disclosure is
required pursuant to 31 U.S.C. 1352. This information will      Telephone No.:
be available for public inspection. Any person who fails to     Date:
file the required disclosure shall be subject to a civil
penalty of not less than $10,000 and not more than
$100,000 for each such failure.
Federal Use Only:                                               Authorized for Local Reproduction Standard From
                                                                LLL (REV.04-07)

                                    (See reverse for public burden disclosure.)




Updated 02/17/11                                                                                             Tab 6-31
Oregon Department of Environmental Quality – Clean Water State Revolving Fund


INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime Federal
recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing,
pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to
make payment to any lobbying entity for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with a covered Federal action. Complete all items that apply for both the initial
filing and material change report. Refer to the implementing guidance published by the Office of
Management and Budget for additional information.

1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to
influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a follow up report caused by a material
change to the information previously reported, enter the year and quarter in which the change occurred.
Enter the date of the last previously submitted report by this reporting entity for this covered Federal
action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional
District, if known. Check the appropriate classification of the reporting entity that designates if it is, or
expects to be, a prime or sub award recipient. Identify the tier of the sub-awardee, e.g., the first sub-
awardee of the prime is the 1st tier. Sub-awards include but are not limited to subcontracts, sub-grants
and contract awards under grants.

5. If the organization filing the report in item 4 checks "Sub-awardee," then enter the full name, address,
city, State and zip code of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the Federal agency making the award or loan commitment. Include at least one
organizational level below agency name, if known. For example, Department of Transportation, United
States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter
the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements,
loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item
1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement
number; the contract, grant, or loan award number; the application/proposal control number assigned by
the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."

9. For a covered Federal action where there has been an award or loan commitment by the Federal
agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or
5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the
Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the
covered Federal action.

    (b) Enter the full names of the individual(s) performing services, and include full address if different
from 10 (a). Enter Last Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.




Updated 02/17/11                                                                                        Tab 6-32
    Oregon Department of Environmental Quality – Clean Water State Revolving Fund


According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information
unless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No.
0348-0046. Public reporting burden for this collection of information is estimated to average 10 minutes per response,
including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of
this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget,
Paperwork Reduction Project (0348-0046), Washington, DC 20503.




    Updated 02/17/11                                                                                           Tab 6-33
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-34
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                                 Attachment 14
               Certificate of Independent Price Determination
Bidder's Name:
Address:


  a. The offeror certifies that-

          1. The prices in this offer have been arrived at independently, without, for the purpose of
             restricting competition, any consultation, communication, or agreement with any other
             offeror or competitor relating to-

                 i. Those prices,
                ii. The intention to submit an offer, and
               iii. The methods or factors used to calculate the prices offered.

          2. The prices in this offer have not been and will not be knowingly disclosed by the offeror,
             directly or indirectly, to any other offeror or competitor before bid opening (in the case of a
             sealed bid solicitation) or contract award (in the case of a negotiated solicitation) unless
             otherwise required by law; and

          3. No attempt has been made or will be made by the offeror to induce any other concern to
             submit or not to submit an offer for the purpose of restricting competition.

  b. Each signature on the offer is considered to be a certification by the signatory that the signatory-

          1. Is the person in the offeror's organization responsible for determining the prices being
             offered in this bid or proposal, and that the signatory has not participated and will not
             participate in any action contrary to subparagraphs (a)(1) through (a)(3) above; or

          2.
                i. Has been authorized, in writing, to act as agent for the following principals in certifying
                   that those principals have not participated, and will not participate in any action contrary
                   to subparagraphs (a)(1) through (a)(3) above;

               ii. As an authorized agent, does certify that the principals named below have not
                   participated, and will not participate, in any action contrary to subparagraph (a)(1)
                   through (a)(3) above; and

               iii. As an agent, has not personally participated, and will not participate, in any action
                    contrary to subparagraphs (a)(1) through (a)(3) above.

          3. If the offeror deletes or modifies subparagraph (a)(2) above, the offeror must furnish with its
             offer a signed statement setting forth in detail the circumstances of the disclosure.

Insert full name of person(s) in the offeror's organization responsible for determining the prices offered in
this bid or proposal, and the title of his or her position in the offeror's organization:

Full Name of Person(s) in the Offeror’s Organization                       Title                      Date




Updated 02/17/11                                                                                      Tab 6-35
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-36
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                               Attachment 15
                   Davis Bacon Prevailing Wage Agreement

This Attachment 15 must be signed and submitted by the Loan Recipient and its prime contractor to verify
their understanding of prevailing wage. Read this attachment, initial the boxes and sign below.


_____ The Loan Agreement includes specific contract language that must be passed through to the prime
contractor and all subcontractors in their contracts over $2,000.

_____ The undersigned understands that this public works project is funded in whole or in part by the
Clean Water State Revolving Fund and is subject to the prevailing wage requirements of Oregon’s
Bureau of Labor and Industry and the requirements of the Davis-Bacon Act. The undersigned agrees that,
notwithstanding any other provision of law, all laborers and mechanics employed by the undersigned on
the project must be paid wages at rates not less than those prevailing on projects of a similar character in
the locality, as determined by the United States Secretary of Labor.

_____ The Secretary of Labor's determination, regarding the prevailing wages applicable in the State of
Oregon, are located at: http://www.gpo.gov/davisbacon/or.html. The prevailing wages are those in effect
at the time of contract award. Wages obtained through this web link should be printed at the time of
contract award and included in procurement documents and all contracts resulting from the
procurements.

When a public works project is subject to both the state and federal prevailing wage rate laws (Davis-
Bacon), contractors and subcontractors must pay the higher of either the state or federal prevailing wage
rates for the type of work being performed. ORS 279C.838; OAR 839-025-0035(2)

Oregon Bureau of Labor and Industry
Oregon prevailing wage rate regulations require every contractor or subcontractor employing workers on
a public works project must pay to such workers no less than the applicable prevailing rate of wage for
each trade or occupation, as determined by the commissioner, in which the workers are employed. OAR
839-025-0035.

Before starting work on a contract or subcontract for a public works project, and depending on the total
project cost, a contractor or subcontractor shall file with the Construction Contractors Board a public
works bond with a corporate surety authorized to do business in this state in the amount of $30,000. ORS
279C.836

Payroll/Certified Statement (form WH-38)
Form WH-38 may be used by contractors for reporting their payroll as required by ORS 279C.845 on
public works projects subject to the Prevailing Wage Rate Law. This form has not been officially
approved by the USDOL, however it is designed to meet the requirements of the federal Davis-Bacon Act
as well. Prevailing Wage Rate Forms.



                                     Signature                                                 Date


                                        Title


                                     Company




Updated 02/17/11                                                                                   Tab 6-37
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-38
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                                       Attachment 16
                                     CWSRF Project Sign


                                                   8'
                              Oregon Department of Environmental Quality
                                       Clean Water Investment

              Background is
              white. All
              lettering is
              black.
                                                                                             4'
                                           Project Name
                                          Project Number – #
                                         Total Project Cost – $
                                 Oregon State Revolving Fund Loan – $



            Sign borders shall be equal on                 Provide adequate supports for
            either side, with the longest line             sign as site conditions may
            centered in the sign.                          require. Keep sign a proper
                                                           distance above prevailing grade
            Center DEQ logo from side to side,             to allow for public viewing.
            and between “Clean Water
            Investment” and Project Name.




Updated 02/17/11                                                                              Tab 6-39
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-40
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



                                           Attachment 17
                                      Executive Order #11246
                                     (to be posted on job site)

              Requirements for Affirmative Action to Ensure
                     Equal Employment Opportunity
41 CFR 60.4.2(a)

1. The Offeror's or Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard
   Federal Equal Employment Opportunity Construction Contract Specifications."

2. The goals and timetables for minority and female participation, expressed in percentage terms for the
   Contractor's aggregate work force in each trade can be obtained from the Department of Labor,
   Office of Federal Contract Compliance Programs.

    The goals are applicable to all the contractor's construction work (whether or not it is Federal or
    federally assisted) performed in the covered area.

    The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall
    be based on its implementation of the Equal Opportunity Clause, specific affirmative action
    obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the
    goals established for the geographical area where the contract resulting from this solicitation is to be
    performed. The hours of minority and female employment and training must be substantially uniform
    throughout the length of the contract, and in each trade, and the contractor shall make a good faith
    effort to employ minorities and women evenly on each of its projects. The transfer of minority or
    female employees from Contractor to Contractor or from project to project for the sole purpose of
    meeting the Contractor's goals shall be a violation of the contract, the Executive Order, and the
    regulations in 41 CFR 60-4. Compliance with the goals will be measured against the total work hours
    performed.

3. The prime contractor shall provide written notification to the Director of the Office of Federal Contract
   Compliance Programs and the Director of the Office of Small & Disadvantaged Businesses, EPA,
   within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for
   construction work under the contract resulting from this solicitation. The notification shall list the
   following:

    a.   Name of contractor.
    b.   Address.
    c.   Telephone number.
    d.   Employer identification number.
    e.   Estimated dollar amount of subcontract.
    f.   Estimated starting and completion dates.
    g.   Geographical area in which the contract is to be performed; i.e., city, county, state, etc.
    h.   Copy of the tabulations of bids or offerors and the name of each offeror or bidder.

Send information to:

          Director                                        Director
          Office of Federal Contract                      Office of Small & Disadvantaged
          Compliance Programs                             Business Utilization
          US Department of Labor                          1200 Pennsylvania Ave. NW
               th
          90 7 Street, Suite 18-300                       1230 A
          San Francisco, CA 94103                         Washington, D.C. 20460



Updated 02/17/11                                                                                       Tab 6-41
Oregon Department of Environmental Quality – Clean Water State Revolving Fund



The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The
evaluation of the Contractor's compliance with these specifications shall be based upon its effort to
achieve maximum results from its actions. The Contractor shall document these efforts fully and shall

implement affirmative action steps at least as extensive as the following:

    a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all
       sites, and in all facilities at which the Contractor's employees are assigned to work. The
       Contractor, where possible, will assign two or more women to each construction project. The
       Contractor shall specifically ensure that all foremen, superintendents, and other on-site
       supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a
       working environment, with specific attention to minority or female individuals working at such sites
       or in such facilities.

    b. Establish and maintain a current list of minority and female recruitment sources, provide written
       notification to minority and female recruitment sources and to community organizations where the
       Contractor or its unions have employment opportunities available, and maintain a record of the
       organizations' responses.

    c.   Maintain a current file of the names, addresses, and telephone numbers of each minority and
         female off-the-street applicant and minority or female referral from a union, a recruitment source,
         or community organization and of what action was taken with respect to each such individual. If
         such individual was sent to the union hiring hall for referral and was not referred back to the
         Contractor by the union, or, if referred, not employed by the Contractor, this shall be documented
         in the file with the reason therefore along with whatever additional actions the Contractor may
         have taken.

    d. Provide immediate written notification to the Director when the union or unions with which the
       Contractor has a collective bargaining agreement has not referred to the Contractor a minority
       person or woman sent by the Contractor, or when the Contractor has other information that the
       union referral process has impeded the Contractors efforts to meet its obligations.

    e. Develop on-the-job training opportunities and/or participate in training programs for the area
       which expressly include minority and women, including upgrading programs and apprenticeship
       and trainee programs relevant to the Contractor's employment needs, especially those programs
       funded or approved by the Department of Labor. The Contractor shall provide notice of these
       programs to the sources compiled under b above.

    f.   Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training
         programs and requesting their cooperation in assisting the Contractor in meeting its EEO
         obligations; by including it in any policy manual and collective bargaining agreement; by
         publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with
         all management personnel and with all minority and female employees at least once a year; and
         by posting company EEO policy on bulletin boards accessible to all employees at each location
         where construction work is performed.

    g. Review, at least annually, the company's EEO policy and affirmative action obligations under
       these specifications with all employees having any responsibility for hiring, assignment, layoff,
       termination, or other employment decisions including specific review of these items with on-site
       supervisory personnel such as Superintendents, General Foremen, etc.; prior to the initiation of
       construction work at any job site. A written record shall be made and maintained identifying the
       time and place of these meetings, persons attending, subject matter discussed, and disposition of
       the subject matter.

    h. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news



Updated 02/17/11                                                                                     Tab 6-42
Oregon Department of Environmental Quality – Clean Water State Revolving Fund


         media, specifically including minority and female news media, and providing written notification to
         and discussing the Contractor's EEO policy with other Contractors and Subcontractors with whom
         the Contractor does or anticipates doing business.
    i.   Direct its recruitment efforts, both oral and written, to minority, female, and community
         organizations, to schools with minority and female students, and to minority and female
         recruitment and training organizations serving the Contractors recruitment area and employment
         needs. Not later than one month prior to the date for the acceptance of applications for
         apprenticeship or other training by any recruitment sources, the Contractor shall send written
         notification to organizations such as the above, describing the openings, screening procedures,
         and tests to be used in the selection process.

    j.   Encourage present minority and female employees to recruit other minority persons and women
         and, where reasonable, provide after school, summer, and vacation employment to minority and
         female youth both on the site and in other areas of a Contractor's work force.

    k.   Validate all tests and other selection requirements where there is an obligation to do so under 41
         CFR Part 60-3.

    l.   Conduct, at least annually, an inventory and evaluation at least of all minority and female
         personnel for promotional opportunities and encourage these employees to seek or to prepare
         for, through appropriate training, etc., such opportunities.

    m. Ensure that seniority practices, job classifications, work assignments, and other personnel
       practices, do not have a discriminatory effect by continually monitoring all personnel and
       employment related activities to ensure that the EEO policy and the Contractor's obligations
       under these specifications are being carried out.

    n. Ensure that all facilities and company activities are non-segregated except that in separate or
       single-user toilet and necessary changing facilities shall be provided to assure privacy between
       sexes.

    o. Document and maintain a record of all solicitations of offers for subcontracts from minority and
       female construction contractors and suppliers, including circulation of solicitations to minority and
       contractor associations and other business associations.

    p. Conduct a review, at least annually, of all supervisors' adherence to and performance under the
       Contractor's EEO policies and affirmative action obligations.




Updated 02/17/11                                                                                    Tab 6-43
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-44
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                          Attachment 18
         Oregon Overtime Regulations Applicable to CWSRF
Overtime Wages (OAR 340-025-0050; ORS 279C.540)

Oregon overtime wage rules apply to all public works construction contracts funded in the State of
Oregon.

When labor is employed by the state or a county, school district, municipality, municipal corporation or
subdivision through a contractor, a person may not be required or permitted to labor more than 10 hours
in any one day, or 40 hours in any one week, except in cases of necessity or emergency or when the
public policy absolutely requires it, in which event, the person so employed for excessive hours shall
receive at least time and a half pay:

For all overtime in excess of eight hours a day or 40 hours in any one week when the work week is five
consecutive days, Monday through Friday; or

For all overtime in excess of 10 hours a day or 40 hours in any one week when the work week is four
consecutive days, Monday through Friday; and

For all work performed on each Saturday, each Sunday and on the following legal holidays:

    1.   New Years' Day on January 1;
    2.   Memorial Day on the last Monday in May;
    3.   Independence Day on July 4;
    4.   Labor Day on the first Monday in September;
    5.   Thanksgiving Day on the Fourth Thursday in November;
    6.   Christmas Day on December 25.



                                                   Note:

 Contractors who are signatory to a collective bargaining agreement may be subject to different overtime
                                   requirements (ORS 279C.540(4)).




                   The following BOLI webpage provides examples of overtime calculations:
                     http://egov.oregon.gov/BOLI/WHD/PWR/W_PWR_Calculating.shtml




Updated 02/17/11                                                                                     Tab 6-45
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-46
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                  Attachment 19A.1
                             Buy American Requirements

The undersigned understands this public works project is subject to the Buy American requirements of
the American Recovery and Reinvestment Act of 2009 and agrees to comply fully with these provisions.

Public Law 111-5, the American Recovery and Reinvestment Act of 2009 (the Act) provides significant
levels of funding for states to finance high priority infrastructure projects. The Act includes “Buy
American” provisions in section 1605 that require funding recipients (including the undersigned and its
subcontractors) to use iron, steel and manufactured goods produced in the United States. Application of
this requirement will be consistent with United States obligations under international agreements.
(Manufactured goods means a good brought to the construction site for incorporation into the building or
work that has been (1) processed into a specific form and shape; or (2) combined with other raw material
to create a material that has different properties than the properties of the individual raw materials).




                                    Signature                                                Date



                                       Title



                                    Company




Updated 02/17/11                                                                                 Tab 6-47
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-48
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                         Attachment 19A.2
               Waiver of Buy American Requirements
          American Recovery and Reinvestment Act of 2009
Section 1605 of the American Recovery and Reinvestment Act of 2009 (ARRA) sets out the “Buy
American” provision that requires all of the iron, steel and manufactured goods used by a recipient of
ARRA funds unless the U.S. Environmental Protection Agency (EPA) issues a waiver. Information about
the availability of a waiver can be obtained from the EPA website:
                    http://www.epa.gov/water/eparecovery/index.html#NationalWaivers

The undersigned agrees that it will, and will cause its subcontractors to, comply with the "Buy American"
requirements set out in Section 1605 of ARRA unless an EPA waiver permits otherwise. Documentation
supporting compliance with the Buy American requirement of Section 1605 or supporting application of a
waiver from such requirement must be maintained at the project site and be available for review by the
EPA and the Oregon Department of Environmental Quality or their respective designees.




     Company (print)                                                                Date


By: Signature



     Name and Title (print)




Updated 02/17/11                                                                                  Tab 6-49
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-50
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                          Attachment 19B
           Agreement to Comply with Prevailing Wage Rates
The undersigned understands that this public works project is funded in part by the American Recovery
and Reinvestment Act of 2009 (ARRA) and is subject to the prevailing wage requirement of Oregon’s
Bureau of Labor and Industry and the requirements of the Davis-Bacon Act. The undersigned agrees to
comply fully with the requirement in Section 1606 of ARRA, that, notwithstanding any other provision of
law and in a manner consistent with the other provisions of ARRA, all laborers and mechanics employed
by the undersigned on the project must be paid wages at rates not less than those prevailing on projects
of a similar character in the locality, as determined by the United States Secretary of Labor under
subchapter IV of chapter 31 of title 40 of the United States Code. The United States Secretary of Labor's
determination, regarding the prevailing wages applicable in the State of Oregon, are located at:
http://www.gpo.gov/davisbacon/or.html.

When a public works project is subject to both the state and federal prevailing wage rate laws (Davis-
Bacon), contractors and subcontractors must pay the higher of either the state or federal prevailing wage
rates for the type of work being performed. ORS 279C.838; OAR 839-025-0035(2)


Oregon Bureau of Labor and Industry
Oregon prevailing wage rate regulations require every contractor or subcontractor employing workers on
a public works project must pay to such workers no less than the applicable prevailing rate of wage for
each trade or occupation, as determined by the commissioner, in which the workers are employed. OAR
839-025-0035.


Before starting work on a contract or subcontract for a public works project, and depending on the total
project cost, a contractor or subcontractor shall file with the Construction Contractors Board a public
works bond with a corporate surety authorized to do business in this state in the amount of $30,000. ORS
279C.836


Payroll/Certified Statement (form WH-38)
This form may be used by contractors for reporting their payroll as required by ORS 279C.845 on public
works projects subject to the Prevailing Wage Rate Law. This form has not been officially approved by
the USDOL, however it is designed to meet the requirements of the federal Davis-Bacon Act as well.
Prevailing Wage Rate Forms




                            Signature                                                 Date


                               Title



                            Company




Updated 02/17/11                                                                                  Tab 6-51
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-52
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                               Attachment 19C
                    Notice of Funding Availability Deadline

The undersigned acknowledges that this project is required to be under contract or under construction by
February 17, 2010 by the provisions of the American Recovery and Reinvestment Act of 2009 (ARRA)
and federal regulations set out in 2 C.F.R. Part 176.

Furthermore, the undersigned understands and acknowledges that failure to comply with this requirement
will result in immediate termination of the funding of this project by the Department of Environmental
Quality (DEQ) and the loss of all Act funds. DEQ will review this project’s progress at various times in
order to ensure compliance with this requirement.




     Company (print)


By: Signature                                                                      Date



     Name and Title (print)




Updated 02/17/11                                                                                 Tab 6-53
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-54
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                        Attachment 19D
          American Recovery and Reinvestment Act of 2009
                     Reporting Requirements

This project is funded by the American Recovery and Reinvestment Act of 2009 (ARRA) that imposes
reporting requirements. The undersigned acknowledges and agrees to comply with these reporting
requirements in addition to any state reporting requirements.

ARRA requires that the recipient of the ARRA-funded loan for this project report certain information that is
generated by contractors whose workers are engaged in this project. By signing this statement the
undersigned agrees to provide information as requested, directly or indirectly, by the loan recipient.

Requested information may include, but is not limited to, the following:

    •   Contractor name
    •   DUNS number or the zip code of Contractor's main office
    •   Description of products/services provided
    •   Total payment amount provided from ARRA funds
    •   Total actual labor hours


                                    Signature                                                  Date


                                       Title


                                    Company




Updated 02/17/11                                                                                    Tab 6-55
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-56
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                        Attachment 19E
                                        Project Auditing

This project is funded by the American Recovery and Reinvestment Act of 2009 (ARRA) that is
administered by the U. S. Environmental Protection Agency (EPA) and the Oregon Department of
Environmental Quality (DEQ). To ensure all ARRA funds are effectively used for appropriate projects, the
undersigned agrees to provide the project owner, DEQ, the Audits Division of the Oregon Secretary of
State and EPA’s Office of Inspector General or their respective designees full access to all financial
documents associated with this project.

The undersigned also agrees to provide the above agencies access to its employees for the purpose of
discussing any financial transactions associated with this project.

The undersigned understands and agrees that representatives from one or all of the offices listed above
may conduct audits, investigations, and other reviews of financial documents in order to ensure that all
ARRA funds are effectively used for appropriate projects, to ensure economical and efficient use of such
funds and to prevent and detect fraud, waste, and abuse.




     Company (print)                                             Name and Title (print)


By: Signature                                                    Date




Updated 02/17/11                                                                                 Tab 6-57
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-58
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                       Attachment 19F
  Clean Water State Revolving Fund / American Recovery and
                Reinvestment Act Project Sign




The undersigned agrees that a sign (constructed from the above description) will be posted at the project
site throughout the period of construction in such a manner as to easily permit public viewing of the sign’s
information.




     Company (print)                                                                  Date


By: Signature



     Name and Title (print)




Updated 02/17/11                                                                                    Tab 6-59
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Updated 02/17/11                                                                Tab 6-60
                                                                    TAB 7
                                PROJECT MANAGEMENT CONFERENCE


                                                      TABLE OF CONTENTS
                                                                                                                                          Page


              Background ....................................................................................................................    1
              Agenda for DEQ Representatives ..................................................................................                  2
                    Complete the "Contact List" ...............................................................................                  2
                    Review the submittal checklist ...........................................................................                   2
                    Provide information on record-keeping requirements ........................................                                  2
                    Describe the On-Site Inspection Program ..........................................................                           2
                    Off-Site Inspection Process. ...............................................................................                 3
              Attachment .....................................................................................................................   3
                    A.      Contact List




TAB 7: VERS. 8/6/2009                                                                                          PROJECT MANAGEMENT CONFERENCE
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                      PAGE 1




                              PROJECT MANAGEMENT CONFERENCE

      Background

      The purpose of the project management conference is to review what is expected of the public
      agency over the course of the construction project concerning submittals, record-keeping,
      construction management, and general conformance with CWSRF rules. The project
      management conference is held after the contract has been awarded and prior to the start of
      construction. At a minimum, the project management conference is attended by representatives
      of DEQ, the public agency and the public agency's consulting engineer. If funding from other
      agencies such as the Block Grant Program or Rural Development is being used, representatives
      of those agencies should also be present to discuss their requirements.

      DEQ representatives generally include the project officer and/or the project engineer. If only
      one individual from DEQ is able to be present at the meeting, that individual should be prepared
      to cover all of the material in the attached agenda.

      The agenda makes reference to the documents entitled "Submittal Checklist for CWSRF
      Construction Projects" (see tab 4) and "Record-Keeping guidelines for Public Agencies" (see
      tab 8). The public agency will hopefully already have copies of these documents, but the DEQ
      representative may wish to bring extra copies to distribute at the meeting.

      The project management conference is sometimes combined with the pre-construction
      conference for convenience; see the list of milestones in tab 2 for additional description of the
      pre-construction conference and how it differs from the project management conference.

              NOTE: Should the pre-construction conference and the project management conference
              be held on the same day, it is convenient to separate the two meetings by a break. This
              will allow uninterested parties, such as the contractor, subcontractors, utility
              representatives, etc. to depart prior to commencement of the project management
              conference.




TAB 7: VERS. 11/19/01                                                         PROJECT MANAGEMENT CONFERENCE
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                          PAGE 2




                                         Agenda for DEQ Representatives


      1.      Complete the "Contact List" (see attachment A) to obtain names, addresses, email
              addresses and phone numbers of the public agency representative, the inspector, the
              consulting engineer and the contractor for the project.

      2.      Review the submittal checklist.

              -         Provide the public agency and the consulting engineer with copies of the
                        submittal checklist,

              -         Confirm and record which items on the checklist apply to the project, anticipated
                        dates of submittal and whether they will be submitted by the public agency, the
                        contractor or the consulting engineer,

              -         Describe documentation required for disbursement requests and change orders,

              -         Go over any other items on the submittal checklist as requested by the public
                        agency

      3.      Provide information on record-keeping requirements.

              -         Provide public agency with record-keeping guidance document (also contained in
                        the CWSRF Procedures Manual),

              -         Review information given in the background section of the guidance document,

              -         Remind the public agency that the EPA and DEQ reserve the right to audit the
                        public agency's records on the project at any time.

      4.      Describe the On-Site Inspection Program.

              The purpose of the on-site inspection program is to:

              -         Ensure that the project is being built according to the plans and specifications
                        approved for the project,

              -         Ensure that proper erosion control measures are being taken, and, if the project is
                        such that an NPDES storm water permit was required, that the terms of the permit
                        are being adhered to (see tab 12 for additional information)

              -         Ensure that written records are being maintained on the project, and that they


TAB 7: VERS. 11/19/01                                                             PROJECT MANAGEMENT CONFERENCE
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                          PAGE 3




                        accurately reflect the project's progress, and
              -         Obtain information that may be of use to other public agencies involved in similar
                        projects, or that may be used to improve the CWSRF program itself.

              Scheduling of On-Site Inspections:

              -         The frequency of inspections will be at the discretion of the project engineer,
                        though they will generally not be performed more frequently than once a month,

              -         Additional inspections will be scheduled for complex projects or if it appears that
                        the project is experiencing problems, and

              -         A tentative date for the first inspection should be established at the pre-
                        construction conference or at the project management conference.

      5.      Off-Site Inspection Process.

              The off-site inspection process includes a review of public agency submittals by DEQ for
              conformance with CWSRF program requirements. These submittals include:

              -         Monthly inspection reports (see attachment C of the Submittal Checklist in tab 4
                        for the form to use)

              -         Change orders,

              -         Disbursement requests, and

              -         Loan amendments and accompanying backup documentation.


      Attachment:

      A.      Contact List




TAB 7: VERS. 11/19/01                                                             PROJECT MANAGEMENT CONFERENCE
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND


                                                Attachment A
                                             CONTACT LIST

     Project Name             ___________________________________________________________

     Project Number            ___________________________________________________________

     Description              ___________________________________________________________

      _________________________________________________________________________________

     _________________________________________________________________________________

     _________________________________________________________________________________




     Name                                              Address, Email and Phone Number



                                                 ___________________________________
     Public Agency Representative
                                                 ___________________________________

                                                 ___________________________________



                                                 ___________________________________
     Consulting Engineer
                                                 ___________________________________

                                                 ___________________________________



                                                 ___________________________________
     Inspector
                                                 ___________________________________

                                                 ___________________________________



                                                 ____________________________________
     Contractor
                                                 ____________________________________

                                                 ____________________________________




TAB 7ATT: VERS. 8/6/2009                                                        CONTACT LIST
                                                                    TAB 8
                                         RECORD KEEPING GUIDELINES


                                                       TABLE OF CONTENTS
                                                                                                                                         Page

     Record Keeping Guidelines ......................................................................................................           1
           Background ....................................................................................................................      1
           For all CWSRF-funded projects ....................................................................................                   1
                   Loan Information ................................................................................................            1
                   Sewage Collection/Treatment System Management ..........................................                                     1
                   Financial Records ...............................................................................................            1
           For all projects involving planning & design ................................................................                        2
                   Facilities Planning and Environmental Review ..................................................                              2
                   Design and Related Engineering.........................................................................                      2
           For all CWSRF-funded construction projects................................................................                           3
                   Submittals ...........................................................................................................       3
                   Tests ....................................................................................................................   3
                   Inspection Reports ..............................................................................................            3
                   As-Builts .............................................................................................................      3
                   Miscellaneous CWSRF Requirements................................................................                             4
                   Change Orders ....................................................................................................           4
                   Claims .................................................................................................................     4
                   Financial Records ...............................................................................................            4
                   Compliance with the Prevailing Wage Rates .....................................................                              5
                   Compliance with NPDES Storm Water Regulations ..........................................                                     5




TAB 8: VERS. 11/19/01                                                                         RECORD KEEPING GUIDELINES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                         PAGE 1




                                      RECORD KEEPING GUIDELINES

     Background

     EPA and DEQ reserve the right to audit the public agency's records pertaining to CWSRF
     (Clean Water State Revolving Fund) projects at any time. Therefore, it is in the public agency's
     best interest to maintain accurate/current records on CWSRF projects. Project files and records
     pertinent to a CWSRF loan must be maintained for a minimum of three years following the
     completion of the loan repayment period or longer if required by state or local statute. If there is
     any unresolved litigation and/or claim at the end of the loan repayment period, the project
     records must be retained subject to final completion or resolution.

     For all CWSRF-funded projects, the following records should be maintained:

     A.       Loan Information

              1.        CWSRF Procedures Manual,
              2.        loan application,
              3.        loan agreement,
              4.        other management-oriented documentation for the public agency, and
              5.        correspondence;

     B.       Sewage Collection/Treatment System Management

              1.        NPDES or WPCF permit,
              2.        other permits and plans (e.g., sludge disposal, and water reuse),
              3.        user charge system,
              4.        sewer use ordinance(s), and
              5.        operation and maintenance manual(s);

     C.       Financial Records

              1.        narrative of accounting procedures,
              2.        assignment of duties,
              3.        sources of financing,
              4.        description of procurement procedure,
              5.        loan repayment schedule,
              6.        loan proceeds disbursement log (requests and receipt of checks)




TAB 8: VERS. 11/19/01                                                             RECORD KEEPING GUIDELINES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                      PAGE 2




                        a.    general ledger,
                        b.    cash receipts journal,
                        c.    cash disbursements journal,
                        d.    fixed assets ledger, and
                        e.    subsidiary ledgers (e.g., accounts receivable,          accounts     payable,
                              budget/expenditure control, cash control),

              7.        pay estimates,
              8.        cost documentation including but not limited to invoices, time sheets, force
                        account records, administrative expenses,
              9.        inventories,
              10.       project budget and anticipated disbursement request schedule, and
              11.       audit report for the project, if done, otherwise for the agency as a whole.


     For all projects involving planning & design, the following records should be maintained:

     A.       Facilities Planning and Environmental Review

              1.        facilities plan,
              2.        environmental review,
              3.        public participation and state/federal review comments, resolutions, categorical
                        exclusion, or Finding of No Significant Impact,
              4.        state approvals,
              5.        professional services agreements and amendments, and
              6.        correspondence; and

     B.       Design and Related Engineering

              1.        plans and specifications,
              2.        reports,
              3.        professional services agreements/amendments,
              4.        addenda to any of the above, and
              5.        correspondence.




TAB 8: VERS. 11/19/01                                                  RECORD KEEPING GUIDELINES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                     PAGE 3



     For all CWSRF-funded construction projects, the following records should be maintained:

     A.       Submittals

              Submittal register to store copies (stamped and approved by the engineer) of required
              submittals from the contractor including, but not limited to:

                        -contractor's construction schedule,
                        -contractor's cost breakdown,
                        -product literature on materials and equipment to be supplied by the contractor to
                        complete the project, and
                        -shop drawings;

     B.       Tests

              List of required tests along with a log of those performed and copies of the results
              (construction specifications may list additional testing requirements)

                        -soil compaction tests,
                        -tests to confirm the quality of concrete,
                        -leak tests
                        -pressure tests and TV inspection on pipes,
                        -vacuum tests on manholes, and
                        -all specified equipment acceptance tests and TV testing.

     C.       Inspection Reports

              Copies of daily inspection reports for the entire period of construction should contain the
              following information:

                        -workers and equipment on the job,
                        -weather conditions,
                        -work performed,
                        -estimate of percent of project thus far completed,
                        -problems encountered and how (if) resolved, and
                        -tests performed and results;

     D.       As-Builts

              A set of as-built drawings marked up to show what was actually built, including all
              utilities or structures encountered during construction that were not indicated on the
              design drawings. One master set of as-builts on Mylar or vellum shall be retained by the
              public utility. As-builts in full-size and 11x17 format shall also be retained at the



TAB 8: VERS. 11/19/01                                                   RECORD KEEPING GUIDELINES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                    PAGE 4




              treatment plant for reference by operations and DEQ staff. A bound copy of the as-builts
              shall be provided to DEQ in reduced format (11x17). Sepias are not acceptable, as they
              are not sufficiently durable.

     E.       Miscellaneous CWSRF Requirements

              1.        Project Performance Standards (if required),
              2.        O&M Manual (if required), and
              3.        Plan of Operation (if required);

     F.       Change Orders

              Log of all change orders issued to date, with complete documentation, including the
              following

              1.        explanation of each change order,
              2.        engineer's estimate, and
              3.        backup documentation with regards to cost;

     G.       Claims

              Log of claims made to date and record of public agency response with regards to merit of
              claims;

                        Note: meritorious claims should be promptly settled as change orders. This
                        includes portions of non-meritorious claims that have merit.

     H.       Financial Records

              1.        contractor ledger sheets,
              2.        engineering ledger sheets,
              3.        construction management firm ledger sheets,
              4.        funding source/disbursement ledger
                        a.     CWSRF funds,
                        b.     local funds, and
                        c.     other funds by funding source (grants, etc.), and

              5.        cost documentation for the above (invoices, time sheets, force account records,
                        administrative expenses, etc.).




TAB 8: VERS. 11/19/01                                                   RECORD KEEPING GUIDELINES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                    PAGE 5




     I.       Compliance with Oregon Prevailing Wage Rates (OPWR) and, when applicable, Davis-
              Bacon Act.

              Record of actions taken to ensure contractor's compliance Oregon Prevailing Wage
              Rates, including but not limited to

              1.        dates and results of interviews conducted with workers to determine what they are
                        being paid,
              2.        dates and results of review of contractor's weekly payrolls, and
              3.        record of efforts made to resolve any problems or discrepancies identified as a
                        result of interviews or payroll review, and copies of all correspondence.

     J.       Compliance with NPDES Storm Water Regulations (if applicable)

              1.        copy of NPDES storm water permit
              2.        copy of approved erosion control plan




TAB 8: VERS. 11/19/01                                                  RECORD KEEPING GUIDELINES
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                                          TAB 9
                   PROJECT PERFORMANCE CERTIFICATION
                    FOR CWSRF CONSTRUCTION PROJECTS



                                               Table of Contents

Background .................................................................................................................... 1




                                                       Attachments

Attachment A. Project Performance Certification for Gravity Sewer Projects Funded
              with CWSRF Loans.................................................................................2
Attachment B. Manhole Test Record...............................................................................4
Attachment C. Project Performance Certification Requirements for CWSRF-Funded
              Sewerage Facilities (Exclusive of Gravity Sewers).................................5




Updated 06/30/10
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                         Project Performance Certification For
                            CWSRF Construction Projects

Background

Every CWSRF-financed construction project must go through a performance certification process to show whether
or not the completed facility performs satisfactorily. Each project must receive a positive performance certification
in a timely fashion as a condition of the public agency's loan agreement.

The performance certification process begins with the establishment of performance evaluation criteria and
standards for the finished facilities. Once the project is operational, its performance is evaluated subject to the
approved standards to determine whether it can be positively certified. The performance evaluation process is
documented in a performance evaluation report at 10-1/2 months following project initiation of operation. At one
year following the initiation of operation, a certification statement must be submitted by the public agency. For a
copy of the form to use, see attachments I and J of the submittal checklist, tab 4. If a positive/timely certification
cannot be achieved, corrective action will be required by DEQ.

A negative certification statement is to be followed within 2 months by the submittal of a corrective action report.
The corrective action report will assess the cause(s) of failure, propose alternatives for correction, provide cost
estimates for each alternative, and propose a schedule for corrective action. DEQ will review and approve the
corrective action report and its chosen lowest-cost alternative, once it is satisfactory. The public agency will then
implement the corrective action report recommendation(s) and provide DEQ with a follow-up performance
evaluation report and an affirmative certification statement.

The details of the performance certification process are contained in Attachments A, B and C. Attachments A and
B apply to the construction of gravity sewers. Attachment C applies to the construction of all other facilities. The
performance certification process is basically the same for both types of facilities except that in the case of gravity
sewers, DEQ provides the performance evaluation standards to be used. In all other types of projects, DEQ
provides unique criteria suitable for each project, then the public utility is responsible for developing detailed
standards for verifying the criteria.


Attachments:

    A. Project Performance Certification for Gravity Sewer Projects Funded with CWSRF Loans

    B. Manhole Test Record

    C. Project Performance Certification Requirements for CWSRF-Funded Sewerage Facilities (Exclusive of
       Gravity Sewers)




Updated 06/30/10                                                                                               Tab 9-1
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                              Attachment A
                             Project Performance Certification for
                     Gravity Sewer Projects Funded with CWSRF Loans


For CWSRF funded gravity sewer projects (no pumping stations), DEQ specifies the performance Criteria and
standards, and lists all certification documentation submittal requirements (outlined below). Successful, timely
completion of performance certification is a condition of your loan.

I.   DEQ PERFORMANCE CRITERIA

The following DEQ performance criteria apply:

     A. Gravity sewers built for this project shall conform to DEQ approved plans and specifications.

     B. Sewer and manhole leakage for new construction shall not exceed 50 gallons per inch of pipe diameter
        per mile of pipe per day.

II. DEQ PERFORMANCE STANDARDS

All sewer pipe, manholes, cleanouts, and appurtenances shall be tested as specified in the plans. Failing
construction elements shall be repaired and retested, until satisfactory performance is obtained. The following
additional DEQ performance standards apply:

     A. Deflection testing of flexible pipe shall be conducted on a manhole to manhole basis and shall be done
        after the line has been completely flushed out with water. The tests shall be conducted not less than 30
        days after trench backfill and compaction are completed and may be conducted concurrently with
        television inspection (Oregon Chapter, APWA, Division 3, Section 303.3.10).

     B. All adjacent surface restoration shall be completed before conducting a sanitary manhole acceptance test,
        including finish paving and final adjustment to grade. Tests conducted beforehand are informal and will
        not count for acceptance.

     C. Manhole test data shall be recorded using DEQ's form "Manhole Test Record" (see Attachment B).
        Manhole test logs shall be submitted along with the as-built drawings.

     D. The "CWSRF Loan Construction Certification Form” shall be completed by the public agency and its
        engineer and submitted along with the as-built drawings. For a copy of the form, see attachment G of the
        submittal checklist in tab 4.




Updated 06/28/10                                                                                         Tab 9-2
Oregon Department of Environmental Quality – Clean Water State Revolving Fund


Attachment A (cont.)



III. PERFORMANCE CERTIFICATION DOCUMENTATION SUBMITTAL REQUIREMENTS

    The following performance certification documentation is mandatory for this project:

    A. NOTICE OF INITIATION OF OPERATION

        1. The borrower shall notify DEQ of the initiation of project operation date within 30 days following the
           event, and

        2. DEQ reserves the right to establish an initiation of operation date should that become necessary.

    B. PERFORMANCE EVALUATION REPORT

                   No later than 10.5 months after the initiation of operation, the borrower shall submit a
                   performance evaluation report. Reports for a gravity sewer shall consist of a summary of the
                   results of the specified warranty inspection.

    C. AFFIRMATIVE CERTIFICATION

        1. An affirmative certification statement is required one year after the project's initiation of operation date,
           or

        2. If the borrower is unable to sign an affirmative certification, a negative certification must be submitted
           to DEQ instead, and

        3. Following a negative certification, a corrective action plan shall be submitted within 2 months for DEQ
           approval to provide a basis for discussion and action to correct project deficiencies.




Updated 06/28/10                                                                                                Tab 9-3
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                                  Attachment B
                                             Manhole Test Record
Project:                                                     Project No.:
Contractor:                                                  Testing Company:
Witnessed By:                                                (Inspector)



                                          VACUUM TEST                                 HYDROSTATIC TEST
       Test     MH      MH       MH       Time     Vac     Vac      Start    End     Total    Vol      Loss     Pass
       Date     No.     Depth    Diam     Reqrd    Start   End      Time     Time    Time     Diff     (gph)    Fail




Notes:
(1) All adjacent surface restoration, including finish paving and final adjustment to grade, will be completed before
    conducting a sanitary manhole acceptance test, or MH test shall be considered informal and will not count for
    acceptance.
(2) Vacuum tests will be conducted in accordance with the 1990 Oregon APWA Standard Specifications for Sanitary
    Sewer Construction, Section 306.3.03B, Vacuum Testing.
(3) Hydrostatic tests will be conducted in accordance with the 1990 Oregon APWA Standard Specifications for Sanitary
    Sewer Construction, Section 306.3.03. Manholes shall be filled to a mark on the iron frame at the start of testing, or to
    the rim of the frame. Tests shall be run for 60 minutes minimum.

Updated 06/28/10                                                                                                       Tab 9-4
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




                                                       Attachment C
                  Project Performance Certification Requirements For CWSRF-Funded
                              Wastewater Treatment and Pumping Facilities
                                     Exclusive of Gravity Sewers


      Timely completion of the performance certification process for this project is a condition of your CWSRF loan. The
      following is a listing of the certification documentation requirements and submittal deadlines for non-gravity sewer
      projects.

             I.   PERFORMANCE EVALUATION CRITERIA

                  Facilities other than gravity sewers are to be evaluated according to performance evaluation criteria
                  developed by DEQ at the time of plan approval. The criteria will be developed to test and confirm the
                  successful performance of the project.

         II.      PERFORMANCE STANDARDS

                  The performance standards shall be a plan with implementation schedule for evaluating the project
                  performance criteria:

                      A. The standards shall describe in detail the method(s) of testing proposed for each treatment
                         system, unit process, equipment component, controls, backup power supply, and treatment plant
                         appurtenance;

                      B. The standards shall describe the documentation that will be developed and provided to support
                         the evaluation, including test forms, overall project photographs, copies of treatment plant
                         monthly reports, copies of flow meter charts, and revisions to the O&M manual, as may be
                         appropriate for the project;

                      C. The standards shall contain a testing schedule for each project component and unit process and
                         shall designate those individuals responsible for conducting and witnessing each phase of
                         testing; and

                      D. Draft standards shall be submitted by the borrower to DEQ before the project is fifty percent
                         (50%) complete, and the final standards shall be submitted prior to ninety percent (90%) project
                         completion.

                  The following performance certification documentation is mandatory for this project:

      III.        NOTICE OF INITIATION OF OPERATION

                      A. The borrower shall notify DEQ of the initiation of project operation date within 30 days following
                         the event, and

                      B. DEQ reserves the right to establish an initiation of operation date should that become necessary.

      IV.         PERFORMANCE EVALUATION REPORT

                  No later than 10.5 months after the initiation of operation, the borrower shall submit a performance
                  evaluation report. Reports for a gravity sewer shall consist of a summary of the results of the specified
                  warranty inspection.



      Updated 06/28/10                                                                                             Tab 9-5
Oregon Department of Environmental Quality – Clean Water State Revolving Fund




Attachment C (cont.)




V.      AFFIRMATIVE CERTIFICATION

            A. An affirmative certification statement is required one year after the project's initiation of operation
               date, or

            B. If the borrower is unable to sign an affirmative certification, a negative certification must be
               submitted to DEQ instead, and

            C. Following a negative certification, a corrective action plan shall be submitted within 2 months for
               DEQ approval to provide a basis for discussion and action to correct project deficiencies.




Updated 06/28/10                                                                                              Tab 9-6
                                               TAB 10
                                   PROJECT OFFICER RESPONSIBILITY


                                                      TABLE OF CONTENTS
                                                                                                                                         Page


              Background ....................................................................................................................   1
              Prior to the start of construction ....................................................................................           1
              During construction .......................................................................................................       2
              After the completion of construction .............................................................................                3




TAB 10: VERS. 8/6/2009                                                                           PROJECT OFFICER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND
                                                                                                            PAGE 1




                               PROJECT OFFICER RESPONSIBILITIES
     Background

     The project officer monitors and facilitates the progress of CWSRF-funded construction
     projects. Responsibilities include: insuring that the public agency submits required documents
     in a timely manner, coordinating their review by the appropriate parties at DEQ, insuring that
     DEQ inspections are performed as required, and initiating or attending meetings as necessary.
     In the event the public agency fails to make required submittals or does not otherwise meet the
     conditions of the loan agreement, the project officer may recommend to their Regional CWSRF
     manager that corrective measures be taken. The specific responsibilities of the project officer
     are listed below. Information on the responsibilities of the project engineer may be found in tab
     11. Additional information on submittals may be found in the submittal checklist in tab 4.

     Prior to the start of construction, the project officer is responsible for the following:

     1.       Verifies that the project engineer receives preliminary design reports and construction
              documents for review at least 30 days prior to the scheduled deadline for technical
              review. At the completion of this review, a plan approval letter signed by the project
              engineer is sent to the public agency.

     2.       Reviews the public agency's draft plan of operations and provides the public agency with
              a comment letter. Note: a plan of operations is not required for gravity sewer projects, or
              for projects that in the opinion of the project engineer are not sufficiently complex as to
              require one.

     3.       Verifies that the project engineer requests the DEQ business office to invoice the public
              agency for a technical activities fee covering plan review activities (OAR 340-45-
              075(3)).

     4.       Secures two copies of the as-bid contract documents and any addenda.

     5.       Verifies bid documentation from public agency is satisfactory and includes the
              following:
                     -bid review checklist
                     -proof of advertising
                     -bid tabulation
                     -Apparent Low Bidder's Package- this is evaluated with regards to proposed
                       DBE (Disadvantaged Business Enterprise) utilization and solicitation efforts.
                       Determination of bidder responsibility and responsiveness rests with the public
                       agency. DEQ project officers will limit review of the bid package to the
                       adequacy of the good faith efforts of the bidder based on the materials presented
                       to DEQ by the public agency.


TAB 10: VERS. 11/19/01                                                   PROJECT OFFICER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                             PAGE 2


      6.       Provides the project engineer with a copy of the bid tabulation and secures engineer’s
               concurrence with the proposed bid award.

      7.       Prepares and signs a bid award concurrence letter for when review is complete and all
               documentation is in order, and resolves problems with missing documentation.

      8.       Secures copies of the executed construction contract.

      9.       Attends the pre-construction conference if DEQ presence is deemed necessary.

      10.      Conducts project management conference (see tab 7 for agenda).

      11.      Direct public agency to CWSRF website for a copy of the CleanWater State Revolving
               Fund Manual for Construction Projects located at
               http://www.deq.state.or.us/wq/loans/constr.htm.

      12.      Secures a copy of the Notice to Proceed from the public agency.

      During construction, the project officer is responsible for the following:

      1.       Ensures project engineer conducts on-site project inspections and documents progress of
               construction, to the extent judged necessary by the project engineer to ensure quality of
               workmanship and materials and conformance to the approved design and approved
               change orders.

      2.       Encourages public agency to submit required documents on a timely basis, including:
                            -monthly inspection reports
                            -DBE utilization reports
                            -disbursement requests
                            -change orders (as needed)
                            -performance evaluation standards
                            -operation and maintenance manual (draft & final)
                            -final plan of operations (if required)
                            -CWSRF Loan Construction Certification form.




TAB 10: VERS. 8/6/09                                                           PROJECT OFFICER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                              PAGE 3


      3.       Coordinates the review by the project engineer of:
               change orders, monthly inspection reports, plan of operation, performance evaluation
               criteria and standards, and operations and maintenance manual.

      4.       Reviews disbursement requests and inspection reports.

      5.       Insures compliance with any special loan conditions.

      6.       Coordinates any loan amendment requests.

      7.       Verifies that initiation of operations date is set by public agency, and that proper
               notification is received by DEQ, or otherwise establishes this date.

      After the completion of construction, the project officer is responsible for the following:

      1.       Communicates with the public agency concerning real or potential problems in
               attainment of a positive performance certification.

      2.       Insures that borrower’s engineer submits the “CWSRF Loan Construction Certification
               Form,” certifying proper construction of the completed facility.

      3.       Ensures the public agency to submit its performance evaluation report 10.5 months after
               initiation of operations date.

      4.       Coordinates review of the performance evaluation report by the project engineer.

      5.       Insures public agency submits performance certification statement one year after
               initiation of operations date.

      6.       In the event of a negative performance certification, insures public agency submits
               corrective action plan on a timely basis.

      7.       Coordinates review of corrective action plan (if one is required) by the project engineer.

      8.       Coordinates the operation and maintenance/performance certification inspection by the
               project engineer. The timing of this inspection will be dependent on nature of
               certification.

      9.       Recommends corrective action to their Regional CWSRF              manager if satisfactory
               performance is not achieved.




TAB 10: VERS. 8/6/09                                                            PROJECT OFFICER RESPONSIBILITIES
                                             TAB 11
                                PROJECT ENGINEER RESPONSIBILITIES


                                                      TABLE OF CONTENTS
                                                                                                                                          Page


              Background ....................................................................................................................    1
              Prior to the start of construction ....................................................................................            1
              During construction .......................................................................................................        2
              Following construction ..................................................................................................          3
              When an affirmative performance certification is not possible .....................................                                3
              Attachment .....................................................................................................................   3
                     A.      On-Site Inspection of CWSRF Construction Projects




TAB 11: VERS. 8/6/2009                                                                           PROJECT ENGINEER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                        PAGE 1




                              PROJECT ENGINEER RESPONSIBILITIES
     Background

     During design, construction, and the one year performance period of a construction project, the
     project engineer reviews and approves public agency submittals in a timely manner. In addition,
     the project engineer conducts periodic inspections to insure that the project is being built
     according to the approved plans.

     The term “project engineer” refers to a professional/senior engineer and his or her staff of
     engineering specialists. All plan reviews are ultimately under the control of the professional
     engineer, who may choose to delegate aspects of plan review and approval, construction
     inspection, and the review/approval of other construction and performance related
     documentation. Project officer involvement is discussed in tab 10.


     Prior to the start of construction, the project engineer does the following:

     1.       When warranted during final design, attends design review meetings with the public
              agency and their design engineers at approximately 30%, 60% and 90% design stages to
              facilitate an approvable design.

     2.       Reviews final design and construction documents for conformance with state minimum
              construction standards (Oregon Administrative Rule (OAR) Division 340, Chapter 52), as
              well as for biddability and constructibility. Tab 3 contains a checklist for the biddability
              review. The borrower completes the “Biddability Review Checklist” and submits it for
              project officer and project engineer review.

     3.       Summarizes comments in a plan approval letter sent to the public agency, and signed by
              the project engineer. The project engineer may also provide the public agency with a set
              of marked-up plans to be returned to DEQ along with final revised plans. Original
              marked-up plans are to be returned to the project engineer for retention in the project
              files.

              The engineer's approval letter for gravity sewer projects will have the appropriate project
              performance criteria attached. Tab 9 contains additional information on performance
              certification.

              Final approval of the construction documents is contingent upon the public agency
              adequately addressing the comments in the plan approval letter.

     4.       If warranted, the project engineer requests that the public agency submit a draft plan of
              operation for review and approval. Tab 4 contains additional information on submittals.



TAB 11: VERS. 11/19/01                                                  PROJECT ENGINEER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                       PAGE 2




      5.      Requests that the DEQ Business Office invoice the public agency for the technical
              activities fee after providing plan review activities (OAR 340-45-075(3)).

      6.      Reviews the as-bid contract documents and all addenda for compliance with DEQ's plan
              approval.

      7.      Reviews the bid tabulation and engineer's estimate for accuracy, completeness, and
              consistency with the engineer's estimate, and insures that the bid is balanced.

      8.      When warranted, attends the pre-construction and project management conferences with
              the project officer to answer technical questions pertaining to inspections, submittals and
              change orders.


      During construction, the project engineer is responsible for the following:

      1.      When warranted, performs on-site project inspections at approximately 10%, 50%, and
              90% of construction to insure that the project is being built in conformance with the
              approved plans. The Engineer may perform a final inspection when construction is
              complete. The number and timing of inspections will depend on project complexity and
              the delegation status of the public agency. When warranted, provides the project officer
              and others with brief written reports regarding the progress of construction. Additional
              information regarding the on-site inspection process is contained in Attachment A.

      2.      Assists the project officer in reviewing the public agency's monthly inspection reports for
              completeness and adherence to the project schedule.

      3.      Reviews change orders with focus on project performance.

      4.      Performs technical reviews of public agency's disbursement requests.

      5.      Reviews the final plan of operation and provides the project officer with comments
              regarding technical adequacy.

      6.      Reviews the draft operation and maintenance manual and comments to the public agency
              by letter.

      7.      Reviews and approves the final operation and maintenance manual. Prepares and signs
              an approval letter to the public agency.




TAB 11: VERS. 11/19/01                                                           PROJECT ENGINEER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                      PAGE 3




      8.      Reviews and approves the public agency's draft and final performance evaluation
              standards (the criteria and standards for gravity sewer projects are contained in tab 9,
              Attachment A).



      Following construction, the project engineer is responsible for the following:

      1.      Communicates with the public agency's engineer concerning any potential problems in
              attainment of a positive performance certification.

      2.      Reviews the performance evaluation report. If satisfactory, the project engineer prepares
              and signs an approval letter.

      3.      For projects other than gravity sewers, performs an operation and
              maintenance/performance certification inspection and reports by memo to the CWSRF
              file.


      When an affirmative performance certification is not possible, the project engineer will:

      4.      Review the public agency's corrective action plan, and approve when it is determined to
              be complete.


      Attachment:

      A.      On-Site Inspection of CWSRF Construction Projects




TAB 11: VERS. 11/19/01                                                          PROJECT ENGINEER RESPONSIBILITIES
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                        PAGE 1




                                        Attachment A
                  ON-SITE INSPECTION OF CWSRF CONSTRUCTION PROJECTS

     The project engineer may conduct periodic field inspections of CWSRF construction projects
     and provide the project officer with an inspection report. The purpose of engineering
     inspections will be to verify that SRF funds are being spent on the approved projects, to verify
     effective design, and to verify performance evaluation aspects of the projects. The necessity
     and timing of engineering inspections will be determined by the project engineer.

     Other SRF staff may also perform non-engineering field inspections. Concerns arising from
     such inspection may warrant the engineer to conduct an engineering inspection.

     The project engineer will normally conduct field inspections with the following questions in
     mind:

              -       Is the project being built according to the plans and specifications? Do aspects of
                      the design, materials, or workmanship warrant that changes are made in the plans
                      or specifications to ensure a satisfactory project?

              -       Do the inspection reports and construction schedules that have been received on
                      the project accurately reflect the actual progress of the construction?

              -       Is it clearly understood by all parties that the contractor is responsible for job site
                      safety?

              -       Is there a project sign posted in conformance with CWSRF requirements?

              -       Are the Oregon Prevailing Wage Rates posted on the job site?

              -       Is a copy of Executive Order No. 11246 (contained in the specifications)
                      regarding affirmative action requirements, posted on the job site?

              -       Are construction inspections by the public agency and/or its representatives of
                      sufficient frequency and detail to provide a reasonable assurance that construction
                      activities are being properly monitored?

              -       Do either the public agency representative or the contractor have any suggestions
                      on how the plans and specifications might be improved for future projects, or on
                      how the CWSRF program itself might be improved?




TAB 11ATT: VERS. 8/6/2009                                                    A. ON-SITE INSPECTIONS
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                    PAGE 2



     The project engineer may elect to review the public agency's records, to make sure those that
     pertain to construction are sufficient to ensure a well-executed project. A complete listing of the
     records that a public agency could be expected to maintain on a CWSRF project is provided in
     the document "Record Keeping Guidelines for Public Agencies" contained in tab 8.




TAB 11ATT: VERS. 11/19/01                                                                A. ON-SITE INSPECTIONS
                                                               TAB 12
           NPDES STORM WATER REGULATIONS FOR CONSTRUCTION
                             PROJECTS


                                                    TABLE OF CONTENTS
                                                                                                                                 Page


              Web-site requirements ................................................................................................... 1




TAB 12: VERS. 8/6/2009                                                                      NPDES STORM WATER REGULATIONS
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                                                    2




           NPDES STORM WATER REGULATIONS FOR CONSTRUCTION
                               PROJECTS

      Construction activities need a NPDES 1200-C stormwater general permit if:
          • the construction project disturbs one or more acres of land through clearing, grading,
            excavating, or stockpiling of fill material, or less than one acre that is part of a larger
            common plan of development or sale that ultimately disturbs one acre or more.

          • stormwater may run off the site during construction and into surface waters or
            conveyance systems leading to surface waters of the state.

      For more information, and to download permit applications and other forms, go to
      http://www.deq.state.or.us/wq/stormwater/construction.htm




TAB 10: VERS. 11/19/01                                                           PROJECT OFFICER RESPONSIBILITIES
                                                    Tab 13

PROPER DISPOSAL OF CHLORINATED WATER DURING START-UP
                                              AND
                                        FACILITY TESTING


                                         TABLE OF CONTENTS
                                                                                                                      Page


   Web-site requirements ................................................................................................... 1
OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY
CLEAN WATER STATE REVOLVING FUND                                                              PAGE 1




     PROPER DISPOSAL OF CHLORINATED WATER DURING START-UP & DURING
     FACILITIES TESTING

     The borrower is responsible for ensuring that all aspects of the project observe water quality
     regulations. The borrower must verify that contractors and the borrower’s staff adhere to DEQ
     guidelines and procedures for proper flushing of water lines. These same rules apply to the
     disposal of chlorinated water used in testing pumping stations, forcemains, and wastewater
     treatment facilities/unit processes.     Requirements are listed on the internet at:
     http://www.deq.state.or.us/wq/pubs/bmps/chlorwaterdisp.pdf




TAB 13: VERS. 8/6/2009                                       DISPOSAL OF CHLORINATED WATER

				
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