Step 3: State Revolving Fund - Construction

Construction Section

The Construction Section oversees project bidding, construction, and post-construction activities to assure the project and components meet the SRF program requirements.   The SRF Program has "cross cutter" requirements that are mandated by the EPA and are necessary in order to maintain eligibility.  The "cross cutter" requirements include National Environmental Policy Act (NEPA), American Iron and Steel (AIS), Davis Bacon and Related Acts (DBA), and Disadvantaged Business Enterprise (DBE) rules.  Each project is assigned a Construction Engineer as a Project Manager who is trained and knowledgeable on these requirements.  Construction Engineers attend pre-bid meetings, bid openings, contract signings, progress meetings, as well as substantial and final completions in order to assist the Recipient through the SRF construction process and make determinations on eligibility.  

Single Audit and Other Audits

Municipalities receiving more than $750,000 in Federal funding in a year are required to undergo a financial audit.  Additionally, the Division conducts internal audits of select SRF projects.  The audits are intended to ensure compliance with EPA "cross cutter" requirements as well as with Division standard operating procedures.

Scope

The scope of construction is dictated by the approved Preliminary Engineering Report (PER) and the earthwork disturbances and tracts of land examined in the Environmental Information Documents (EID), which undergo the Environmental Review for compliance with NEPA.  Construction activities may not be expanded beyond what has been presented to the Division in the PER and NEPA reviews.  Expansion of project scope beyond what is detailed in the PER and EID may result in loss of SRF eligibility and loss of Facilities Planning or Final Design Approvals and may trigger additional Environmental Reviews.  Environmental Reviews expire after five years.

To contact your Construction Engineer or Auditor, please go to the Division Contacts webpage.

Below is a table which lays out the detailed steps of the SRF Step 3 process and provides links to important guidance documents and forms:

Step 3: Construction Detailed Task List
Task Description and Guidance Document Applicable Documents
1. Apply for Project Priority List - Projects that are not on the Project Priority List are not eligible for funding.

CWSRF Priority List Application
DWSRF Priority List Application

2. Step 3 Engineering Services Agreement (ESA)

 2A. Submit draft Step 3 ESA to WID Construction Engineer for review and comment. 
       Include draft DEC Certification Form.

 2B. Receive comments from WID

 2C. Finalize and receive Step 3 ESA Approval Letter from WID

 2D. Execute Step 3 ESA & DEC Certification Page & Send to the Project Developer

Note:  WID requires use of the EJCDC Engineering Service Agreement (2014 Version) and Front End Documents for Construction Projects (2013 Version).

  • Step 3 ESA Review
  • Step 3 ESA Amendment Review

3. Step 3 Loan Application

 3A.  Submit Step 3 Funding application (YOU MUST RIGHT CLICK, 'SAVE LINK AS', and save remotely before completing). Municipalities must also complete the Supplemental Financial Information document.

 3B.  Execute loan documents

 

4. Bid Advertisement Phase

 4A. DBE Notification (Required 30-days prior to advertisement for Bids)

 4B. Official Bid Advertisement - WID requires use of the Vermont Bid System as part of the advertisement effort.

 4C. Prebid Meeting 

 4D. WID to review draft DBE Addendum and addedum including prebid meeting minutes and contractors questions

 4E. Issue DBE Addendum (prebid meeting minutes and questions can be issued in this addendum or a separate addendum)

 4F. Submit Completed Attorney Title Easement Certification

5. Bid Opening Phase

 5A. Hold official Bid Opening

 5B. Submit and circulate Certified Bid Tabulation to WID (and all necessary parties)

 5C. Submit Award Concurrence Package (including all DBE Effort) to WID for Award Concurrence

6. Award Concurrence and Contract Award Phase

 6A. Receive Award Concurrence from WID Construction Section

 6B. Award Contract (Owner to submit conformed and executed contract documents to WID)

 6C. Hold Preconstruction Meeting and submission of Project Schedule

7. Construction Phase

 7A. Hold monthly progress meeting and distribute meeting minutes

 7B. Review and submit Partial Pay Estimates and Certified Payrolls to WID Construction Engineer

 7C. Submit draft change orders and small purchases to WID for approval and eligiblity determination

 7D. Submit Payment Requests for Reimbursment to WID Financial Manager

 7E. Complete Annual DBE Report (due Sept 30th) and Final DBE Reports (due within 30 days of Final Completion)

 7F. Complete annual Single Audit Requirement and submit to WID (required for any projects over $750,000)

8. Completion of Construction Phase

 8A. Substantial Completion Walkthrough

 8B. Development of Project Punchlist and execution of Substantial Completion Certificate

 8C. Final Completion Walkthrough

 8D. Execution of Balancing Change Order

 8E. Release of all liens

 8F. Execution of Final Completion Certificate

 

9. Project Close-Out Phase

 9A. Submit PTC close-out materials/ Engineering Certifications/ O&M /Record Drawings

 9B. Quarterly Performance Report (required for treatment plants)

 9C. 11 Month Warranty Inspection

 9D. Submit 1 Year Performance Letter

10. Loan Closeout Phase

 10A. Begin Loan Forgiveness Determination

 10B. Loan Closeout Routine

 10C. Loan Recipient Begins Repayment

 

 

FED-Construction-AIS

FED-Construction-Davis-Bacon and Related Acts

FED-Construction-Disadvantaged Business Enterprise

FED-Construction-NEPA Requirements

FED-Construction-Project Signage

FED-Construction-Single Audit Requirements

FED-Construction-Small Purchases