State of Alabama
Alabama Department of Environmental Management
State Revolving Fund (SRF) Loan Program
SRF Section
Permits and Services Division
Alabama Department of Environmental Management
Post Office Box 301463
Montgomery, Alabama 36130-1463
(334) 271-7793
(334) 271-7950 FAX
Supplemental General Conditions
for SRF Assisted
Public Drinking Water and Wastewater
Facilities Construction Contracts
SRF Project Number: _______________
SGC-2
Table of Contents:
I ADEM Special Conditions…………………………………………... SGC-3
II Bonds and Insurance………………………………………...……... SGC-3
III Utilization of Disadvantaged Business Enterprises (DBEs) ……. SGC-3
IV Six Affirmative Steps for Good Faith DBE Solicitation ….………. SGC-4
V
Documentation Required from Loan Recipient and Contractor ….... SGC-5
VI Resources for Identifying DBE Contractors/Subcontractors…….. SGC-7
VII DBE Compliance Form………………………………………………. SGC-8
VIII EPA Form 6100-2 DBE Subcontractor Participation Form………. SGC-10
IX EPA Form 6100-3 DBE Subcontractor Performance Form…….… SGC-12
X EPA Form 6100-4 DBE Subcontractor Utilization Form……….….. SGC-14
XI EPA Form 5700-52 A MBE/WBE Utilization Reports…………..… SGC-16
XII
Changes to Approved DBE Compliance Form……………………. SGC-23
XIII
Certification Regarding Equal Employment Opportunity…………. SGC-24
XIV
Debarred Firms Certification………………………………………… SGC-25
XV
Davis-Bacon and Related Acts……………………………………... SGC-26
XVI
American Iron and Steel……………………….………..………….. SGC-35
XVII Project Sign Detail - CWSRF………………………….….………… SGC-36
XVIII Project Sign Detail - DWSRF……………………….…….………… SGC-37
XIX Construction Contract Requirements………………..…..……….… SGC-38
XX
Project Review and Cost Summary……………………................. SGC-39
21.2.3
SRF Supplemental General Conditions
SGC-3
I – ADEM Special Conditions
1. Construction within State rights-of-way shall be in accordance with the Alabama
Department of Transportation policies and procedures.
2. Construction is to be carried out in compliance with applicable NPDES permits and in a
manner that prevents bypassing of raw wastewater flows during construction. If bypassing
is anticipated, the ADEM NPDES Enforcement Branch (334-271-7975) shall be advised in
advance and the contractor shall take all necessary steps to minimize the impacts of
bypassing.
3. Siltation and soil erosion shall be minimized during construction. The contractor shall
obtain an NPDES storm water permit for construction if required.
4. The owner shall provide and maintain competent and adequate supervision and inspection.
5. ADEM and EPA shall have access to the site and the project work at all times.
6. These Special Conditions shall supersede any conflicting provisions of this contract.
7. A project sign is required. See Parts XVII and XVIII, pages SGC-36 – SGC-37, for
more information.
II – Bonds and Insurance
Bonding requirements shall comply with Alabama Act No. 97-225. Provisions of the Act are
summarized below:
1. Bid Bond – Not less than 5% of either the owner’s estimated cost or of the proposed prime
contractor’s bid up to a maximum of $10,000. The bid guarantee shall consist of a
cashier’s check drawn on an Alabama bank or a bid bond executed by a surety
company duly authorized and qualified to make bonds in the State of Alabama.
2. Performance Bond – In an amount not less than 100% of the contract price.
3. Payment Bond – Payable to the awarding authority, shall be executed in an amount not less
than 50% of the contract price.
In addition to the insurance requirements elsewhere in the specifications, the owner or the
contractor, as appropriate, must acquire any flood insurance made available by the Federal
Emergency Management Agency as required by 40 CFR 30.600 (b), if construction will take
place in a flood hazard area identified by the Federal Emergency Management Agency.
III – Utilization of Disadvantaged Businesses Enterprises (DBEs)
It is the policy of the State Revolving Loan Fund (SRF) to promote a “fair share” of sub-
agreement awards to small, minority, and/or women-owned businesses for equipment,
supplies, construction, and services. Compliance with these contract provisions is required in
order for project costs to be eligible for SRF funding.
The “fair share” objective is a goal, not
a quota.
DBE (Disadvantaged Business Enterprise) is an all-inclusive business
classification, which includes MBE (minority business enterprises and/or WBE (women
business enterprises) and is used synonymously when these entities are referenced individually
or collectively.
SRF Supplemental General Conditions
SGC-4
Failure on the part of the apparent successful bidder to submit required information to
the Loan Recipient (Owner) may be considered (by the Loan Recipient (Owner)) in
evaluating whether the bidder is responsive to the bid requirements. The project
objectives for utilization of Minority Business Enterprises (MBEs) and Women's Business
Enterprises (WBEs) are as follows:
Commodities (Supplies)
MBE 4%
WBE 11%
Contractual (Services)
MBE 8%
WBE 30%
Equipment MBE 5%
WBE 20%
Construction
MBE 2.5%
WBE 3%
For purposes of clarification:
• This objective applies to any Federally assisted procurement agreement in excess of
$10,000.
• This objective necessitates three responsibilities; separate solicitations must be made of
small and minority and women's business enterprises.
• A minority business is a business, at least 51 percent of which is owned and controlled by
minority group members (Black; Hispanic; Asian American; American Indian; and, any
other designations approved by the Office of Management and Budget).
• A women's business is a business, at least 51 percent of which is owned and controlled by
one or more women.
• The control determination will revolve around the minority or woman owner's involvement in the
day-to-day management of the business enterprise.
• Solicitation should allow adequate time for price analysis. ADEM recommends that contact be
made no later than 15 days before bid opening.
• Efforts taken to comply with this objective must be documented in detail; maintain records of
firms contacted, including any negotiation efforts to reach competitive price levels, and
awards to the designated firms.
• ADEM recommends that the Loan Recipient (Owner) or proposed Prime Contractor utilizes
the services of the Minority Business Development Service Centers. These Centers are
funded by the U.S. Department of Commerce to provide technical, financial and
contracting assistance to minority and women's business enterprises. These Centers are
located in a number of Regional cities.
• Use of the services provided by these Centers does not absolve the Loan Recipient
(Owner) or proposed Prime Contractor from pursuing additional efforts to meet this objective.
IV – Six Affirmative Steps for Good Faith DBE (MBE-WBE) Solicitation
The Loan Recipient (Owner) shall follow the six affirmative steps found in the SRF application
when using loan funds to procure sources of supplies, construction and services.
If the successful bidder plans to subcontract a portion of the project, the bidder must submit to the
owner within 10 days after bid opening, evidence of the affirmative steps taken to utilize small,
minority and women's businesses. These six affirmative steps or ‘good faith efforts’ are required
methods to ensure that DBEs have the opportunity to compete for procurements funded by
EPA financial assistance dollars. Such affirmative steps are described as follows:
1. Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable
through outreach and recruitment activities. This will include placing DBEs on solicitation lists
and soliciting them whenever there are potential sources.
SRF Supplemental General Conditions
SGC-5
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 solicitation 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. This will include dividing total requirements when economically feasible
into smaller tasks or quantities 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 resources, services, and assistance of the AL Department of Transportation
(ALDOT), Small Business Administration (SBA), and the Minority Business Development
Agency of the Department of Commerce (MBDA).
6. If the Contractor awards subcontracts, it must take the steps described in items (1) through (5)
listed above.
V – Documentation Required from Loan Recipient (Owner) and Contractor
The low, responsive, responsible bidder must forward the following items, in duplicate,
to the loan recipient (owner) no later than 10 days after bid opening. The Loan
Recipient (Owner) shall transmit one (1) copy of its DBE documentation of the prime
contractor solicitation and one (1) copy of the prime contractor's/bidder’s DBE
documentation of all subcontractor solicitation to the SRF Section within 14 days after bid
opening.
1. SRF project number and project name/loan name*. (*not contract name)
2. List of all subcontractors (DBE and non-DBE) with name, address, telephone number,
estimated contract dollar amount and duration. If there are to be no subcontractors,
please indicate such in a letter on company letterhead.
3. List of any subcontract work yet to be committed with estimate of dollar amount and
duration of contract.
4. MBE-WBE (DBE) Documents - See Part V, page SGC-6.
5. Debarred Firms Certification – See Part XIV, page SGC-25.
6. Certification Regarding Equal Employment Opportunity – See Part XIII, page SGC-24.
The Loan Recipient (Owner) shall submit annual MBE/WBE Utilization Reports (EPA
Form 5700-52A, pages SGC-16 - SGC-17) within 30 days of the end of the
annual reporting period (October 30
th
, i.e. by November 30th). Submit reports directly to:
Laketa Ross, Accountant
Administrative Section
Fiscal Branch
Alabama Department of Environmental Management
Post Office Box 301463
Montgomery, Alabama 36130-1463
SRF Supplemental General Conditions
SGC-6
The proposed Prime Contractor must submit the following items to the Loan Recipient (Owner):
1) DBE Compliance Form. The Loan Recipient (Owner) must submit this information to the
SRF Section to demonstrate compliance with the DBE requirements. ADEM’s approval is required
prior to award of the construction contract and commencement of any SRF-funded construction.
(Page SGC-8)
2) Certification Regarding Equal Employment Opportunity. This form is required of the
proposed prime contractor (re: all subcontracts executed) and should be submitted with the prime
proposed contractor’s MBE-WBE solicitation submittal to the Loan Recipient (Owner). (Page SGC-24)
3) Debarred Firms Certification. This form is required of the proposed prime contractor (re: all
subcontracts executed) and should be submitted with the prime proposed contractor’s MBE-WBE
solicitation submittal to the Loan Recipient (Owner). (Page SGC-25)
4) EPA Form 6100-2 DBE Subcontractor Participation Form. This form gives a DBE
subcontractor the opportunity to describe the work the DBE subcontractor received from the proposed
prime contractor, how much the DBE subcontractor was paid, and any other concerns the DBE
subcontractor might have. The proposed prime contractor must provide this form to each DBE
subcontractor for the DBE subcontractor’s submittal to the SRF Section's MBE-WBE Compliance Staff
(to be forwarded to EPA’s DBE Coordinator). (Page SGC-10)
5) EPA Form 6100-3 DBE Subcontractor Performance Form. This form captures an intended DBE
subcontractor’s description of work to be performed for the proposed prime contractor and the price of
the work. The proposed prime contractor must provide this form to each DBE subcontractor for the DBE
subcontractor’s submittal to the SRF Section's MBE-WBE Compliance Staff (to be
forwarded to EPA’s DBE Coordinator). (Page SGC-12)
6) EPA Form 6100-4 DBE Subcontractor Utilization Form. This form captures the proposed prime
contractor’s intended use of all identified DBE subcontractors and the estimated dollar amount of the
work. The proposed prime contractor must provide this form to each DBE subcontractor for the DBE
subcontractor’s submittal to the SRF Section's MBE-WBE Compliance Staff (to be forwarded to EPA’s
DBE Coordinator). (Page SGC-14)
7) EPA Form 5700-52 A MBE/WBE Utilization Reports (DBE Annual Report), if applicable. The
Loan Recipient (Owner) must submit this information to the SRF Section within 30 days of the end of the
annual reporting period (October 30th), i.e., by November 30th). (Pages SGC-16 - SGC-17)
8) Changes to Approved DBE Compliance Form, if applicable. If any changes, substitutions, or
additions are proposed to the subcontractors included in previous Department approvals, the Owner
must submit this information to the Department for prior approval in order for the affected subcontract
work to be eligible for SRF funding. (Page SGC-23)
9) Certified Payrolls. These should be submitted to the Loan Recipient (Owner), at least, monthly for
the prime contractor and all subcontractors. The Loan Recipient (Owner) must maintain payroll records
and make these available for inspection
Please note that DBEs, MBEs, and WBEs must be
certified in writing by EPA, SBA, or DOT (or by
state, local, Tribal, or private entities whose certification criteria match EPA’s). Depending upon the
certifying agency, a DBE may be classified as a Disadvantaged Business Enterprise (DBE), a
Minority Business Enterprise (MBE), or a Women’s Business Enterprise (WBE). Written certification
as a DBE (MBE or WBE) is required in order to be counted toward the Loan Recipient/Owner’s MBE-
WBE accomplishments.
The documentation of these good faith solicitation efforts must be detailed in order to allow for
satisfactory review. Such documentation might include fax confirmation sheets, copies of solicitation
letters/emails, printouts of the online solicitations, printouts of online search results, affidavits of
publication in newspapers, etc. The proposed prime contractor is strongly encouraged to follow up
each written, fax, or email solicitation with, at least, 1 logged phone call.
The proposed prime contractor must employ the six affirmative steps to subcontract with DBEs, even if
the proposed prime contractor has achieved its fair share objectives.
SRF Supplemental
General Conditions
SGC-7
The prime contractor must employ the six affirmative steps to subcontract with DBEs, even if the proposed
prime contractor has achieved its fair share objectives. If a DBE subcontractor fails to complete work
under the subcontract for any reason, the proposed prime contractor must notify the Loan Recipient
(Owner) in writing prior to any termination and must employ the six 'good faith efforts'
described above if using a replacement subcontractor. Any proposed changes from an
approved DBE subcontractor must be reported to the Loan Recipient (Owner) and to the SRF Section on
the Changes to Approved Subcontractors Form prior to initiation of the action. EPA Forms Nos. 6100-3 and
6100-4 must also be submitted to the SRF Section for new DBE subcontracts.
VI – Resources for Identifying MBE-WBE (DBE) Contractors/Subcontractors
The following organizations may provide assistance in soliciting DBE participation:
Alabama Department
of Transportation
ATTN: John Huffman
1409 Coliseum Boulevard
Montgomery, Alabama
36130
Ph: (334) 244-6261
http://www.dot.state.al.us
U.S. Department of
Commerce
Minority Business
Development Agency
ATTN: Donna Ennis
75 5
th
Street NW,
Suite 300
Atlanta, Georgia 30308
Ph: (404) 894-2096
http://www.mbda.gov/
Governor’s Office of
Minority and Women’s
Business Enterprises
Hilda Lockhart,
STEP Project Director
401 Adams Avenue
Suite 360
Montgomery, Alabama
36130
Ph: (334) 242-2220
Birmingham Construction
Industrial Authority ATTN:
Ashley Orl or Kimberly
Bivins
601 37
th
Street South
Birmingham, Alabama
35222
Ph: (205) 324-6202
[email protected]
[email protected]
(1) The Loan Recipient (Owner) and the proposed Prime Contractor shall use the necessary resources
to identify and directly solicit no less than three (3) certified DBE/MBE/WBE companies to bid in each
expected contract/subcontract area. If a diligent and documented search of ALDOT, SBA, and MBDA
directories does not identify three (3) potential certified DBE/MBE/WBE firms, then the proposed Prime
Contractor shall post an advertisement in, at least, one (1) of the other online or print resources.
Whenever possible, post solicitation for bids or proposals should be posted/advertised for a minimum of
30 calendar days before the bid or proposal closing date.
(2) Expenditures to a DBE that acts merely as a broker or passive conduit of funds, without
performing, managing, or supervising the work of its subcontract in a manner consistent with normal
business practices may not be counted.
(3) The proposed Prime Contractor should attempt to identify and first solicit DBEs in the geographic
proximity of the project before soliciting those located farther away.
(4) In addition, our SRF DBE Compliance Staff is readily available for assistance, as follows:
Laketa Ross at (334) 271-7727 or [email protected] OR Diane Lockwood (DBE Coordinator)
at (334) 271-7815 or [email protected].
SRF Supplemental General Conditions
NOTE:
City of Birmingham
Office of Economic
Development
ATTN: Monique Shorts,
Economic Specialist
710 20th Street North
Birmingham, Alabama
35203
Ph: (205) 254-2799
Fax: (205) 254-7741
Monique.shorts@birming
hamal.gov
U.S. Small Business
Administration
http://www.pro-
net.sba.gov
National Association
of Minority
Contractors (NAMC)
https://namcatlanta.org/
VII – DBE Compliance Form
Date_______________
________________________________________
(Proposed Prime Contractor Signature)
_
_______________________________________
(Printed Name and Title)
I certify that I have reviewed the information submitted on and with this form and that it meets the
requirements of the Loan Recipient’s/Owner's State Revolving Fund loan contract.
Date_______________
_______________________________________
(
Signature of Loan Recipient (Owner))
OR*
*
________________________________________
Date________________
(Loan Recipient’s (Owner's) Representative’s Signature, (P.E.))
________________________________________
(
Printed Name and Title)
GENERAL INFORMATION:
Loan Recipient (Owner) Contact: _________________________________________________________
Loan Recipient (Owner) Phone Number/Email: ______________________________________________
Consulting Engineer Contact: ____________________________________________________________
Consulting Engineer Phone Number/Email: _________________________________________________
Proposed Prime Contractor: _____________________________________________________________
Proposed Prime Contractor Contact: ______________________________________________________
Proposed Prime Contractor Phone Number/Email:____________________________________________
Proposed Prime Contract Amount: $ ________________
Proposed Total DBE/MBE Participation: $ ________________ Percentage: ____% Goal: 2.5%
Proposed Total WBE Participation: $ ________________ Percentage: ____% Goal: 3.0%
____________________________________________________________________________________
SGC-8
SRF Supplemental General Conditions
(**Only ONE (1) signature required below.)
NOTE: FOR DBE COMPLIANCE, ONE (1) COPY OF THIS FORM (WITH ALL INFORMATION
OUTLINED) IS REQUIRED (WITH THE LOAN RECIPIENT (OWNER)'S DBE SUBMITTAL) FOR EACH
PR&CS REVIEW. THE LOAN RECIPIENT (OWNER) AND PROPOSED PRIME CONTRACTOR SHOULD
ENSURE THAT THIS INFORMATION IS COMPLETE PRIOR TO THE PR&CS SUBMITTAL TO THE SRF SECTION.
Loan Recipient: ________________________________ SRF Loan (Project) Number: _______________
CERTIFICATIONS:
I certify that the information submitted on and with this form is true and accurate and that this company has met and
will continue to meet the conditions of this construction contract regarding DBE solicitation and utilization. I further
certify that criteria used in selecting subcontractors and suppliers were applied equally to all potential
participants and that EPA Forms 6100-2 and 6100-3 were distributed to all DBE subcontractors.
SGC-9
Please ensure the following is submitted in the full DBE submittal (with the DBE COMPLIANCE FORM
(page SGC-8)):
(1) List of all committed and uncommitted subcontractors by trade, including company name,
address, telephone number, contact person, dollar amount of subcontract, and DBE/MBE/WBE
status. Indicate in writing if no solicitations were made because the contractor intends to use
only its own forces to accomplish the work.
(2) Proof of certification (certificate or letter) by EPA, SBA, DOT (or by state, local, Tribal, or
private entities whose certification criteria match EPA’s) for each subcontractor listed as a DBE, MBE, or WBE.
(3) Documentation of solicitation effort for prospective DBE firms, such as fax confirmation sheets, copies of
solicitation letters/emails, printout of the online solicitations, printouts of online search results,
affidavits of publication in newspapers, etc. The prime contractor is strongly encouraged to follow
up each written, fax, or email solicitation with at least 1 logged phone call. Whenever
possible, post solicitation for bids or proposals should be for a minimum of 30 calendar days before the
bid or proposal closing date.
(4) Justification for not selecting a certified DBE subcontractor that submitted a low bid for any
subcontract area.
(5) Certification By Proposed Prime Contractor or Subcontractor Regarding Equal Opportunity
Employment. (Page SGC-24)
(6) Debarred Firms Certification. (Page SGC-25)
(7) EPA Form 6100-2 DBE Subcontractor Participation Form for each proposed certified DBE subcontractor.*
(Page SGC-10) (*This form is completed by the proposed prime contractor. It is signed by each proposed
subcontractor only.)
(8) EPA Form 6100-3 DBE Subcontractor Performance Form for each DBE subcontractor.**
(Page SGC-12) (**This form is completed by the proposed prime contractor and signed by each proposed certified
subcontractor and the proposed prime contractor per subcontract.)
(9) EPA Form 6100-4 DBE Subcontractor Utilization Form to summarize all DBE subcontracts/subcontractors.***
(Page SGC-14) (***This form is completed and signed by the proposed prime contractor only.)
SRF Supplemental
General Conditions
NOTE:
ALL DBE contractors selected must have a current DBE certificate or letter of certification by an approved certifying agency.
Loan Recipient (Owner) DBE Submittal
At minimum, the Loan Recipient (Owner)'s DBE submittal should always consist of a cover letter (preferred,
but optional) and a VII - DBE Compliance Form (page SGC-8) and DBE solicitation documentation (i.e., DBE
solicitation list(s) with source(s) of list(s) clearly identified, contractor contact information and results/outcomes of each
solicitation (or of the overall solicitation effort, if all results/outcomes were the same), documentation of solicitation
method (i.e., copies of emails, phone logs, faxes, etc.).
Prime Contractor DBE Submittal
At minimum, the Prime Contractor's DBE submittal should always consist of a cover letter (preferred, but optional)
and DBE solicitation documentation (i.e., DBE solicitation list(s) with source(s) of list(s) clearly identified,
subcontractor contact information and results/outcomes of each solicitation (or of the overall solicitation effort, if all
results/outcomes were the same), documentation of solicitation method (i.e., copies of emails, phone logs,
faxes, etc.) OR a "No Subcontractors" Letter (if none will be utilized) and a List of ALL (DBE/non-DBE)
subcontractors contracted/yet to be contracted and ALL EPA 6100 Forms described above (DBE subcontractors
selected or not) and Certification Regarding Equal Employment Opportunity and Debarred Firms Certification.
VIII - EPA Form 6100-2 DBE Subcontractor Participation Form
SRF Supplemental General Conditions SGC - 10
VIII - EPA Form 6100-2 DBE Subcontractor Participation Form
SRF Supplemental General Conditions SGC - 11
IX - EPA Form 6100-3 DBE Subcontractor Performance Form
SRF Supplemental General Conditions SGC - 12
IX - EPA Form 6100-3 DBE Subcontractor Performance Form
SRF Supplemental General Conditions
SGC - 13
X - EPA Form 6100-4 DBE Subcontractor Utilization Form
SRF Supplemental General Conditions
SGC - 14
X - EPA Form 6100-4 DBE Subcontractor Utilization Form
SRF Supplemental General Conditions SGC - 15
U.S. ENVIRONMENTAL PROTECTION AGENCY
MBE/WBE UTILIZATION UNDER FEDERAL GRANTS
AND COOPERATIVE AGREEMENTS
1A. FEDERAL FISCAL YEAR (Oct 1- Sep 30)
1B. REPORT TYPE
20_____
Annual Last Report (Project completed)
2A. EPA FINANCIAL ASSISTANCE OFFICE ADDRESS (ATTN: DBE COORDINATOR)
3A. RECIPIENT NAME AND ADDRESS
2B. EPA DBE COORDINATOR
3B. RECIPIENT REPORTING CONTACT
Name:
Email:
Phone:
Fax:
Name:
Address:
Phone:
Email:
4A. FINANCIAL ASSISTANCE AGREEMENT ID NUMBER
(SRF State Recipients, refer to Instructions for Completion of blocks 4A, 5A and 5C)
4B. FEDERAL FINANCIAL ASSISTANCE PROGRAM TITLE OR CFDA NUMBER:
5A. TOTAL ASSISTANCE AGREEMENT AMOUNT
EPA Share: $ _____________
Recipient Share: $ _____________
N/A (SRF Recipient)/Loan Amount: $__________________
5B. If NO procurements and NO accomplishments were made this reporting
period (by the recipients, sub-recipients, loan recipients, and prime contractors),
CHECK and SKIP to Block No. 7. (Procurements are all expenditures through
contract, order, purchase, lease or barter of supplies, equipment, construction,
or services needed to complete Federal assistance programs. Accomplishments,
in this context, are procurements made with MBEs and/or WBEs.)
7. NAME OF RECIPIENT’S AUTHORIZED REPRESENTATIVE
TITLE
8. SIGNATURE OF RECIPIENT’S AUTHORIZED REPRESENTATIVE
DATE
OMB CONTROL NO. 2030-0020
EPA FORM 5700-52A available electronically at https://www.epa.gov/sites/production/files/2014-09/documents/epa_form_5700_52a.pdf
0.00
0.00
SRF Supplemental General Conditions
SGC-16
PART I OF II
(PAGES SGC-16 & SGC-17)
1. Procurement Made By
2. Business Enterprise
3. $ Value of
Procurement
4. Date of
Procurement
MM/DD/YY
5. Type of Product
or Service
(Enter Code)
6. Name/Address/Phone Number of MBE/WBE Contractor or Vendor
Recipient
Sub-Recipient and/or
SRF Loan Recipient
Prime
Minority
Women
Type of Product or Service Codes: 1 = Construction 2 = Supplies 3 = Services 4 = Equipment
Note: Recipients are required to submit MBE/WBE reports to EPA beginning with the Federal fiscal year the recipients receive the award, continuing until the project is completed.
PART II.
MBE/WBE PROCUREMENTS MADE DURING REPORTING PERIOD
SRF Financial Assistance Agreement Number: __________________
OMB CONTROL NO. 2030-0020
SRF Supplemental General Conditions
SGC-17
PART II OF II
(PAGES SGC-16 & SGC-17)
If reporting DBE procurement, please enter the Loan Project Number and the information in the grid below, as applicable.
If no additional DBE procurement to report, please enter the Loan Project Number and enter 'N/A' in the black box below.
Instructions:
A. General Instructions:
MBE/WBE utilization is based on 40 CFR Part 33.
The reporting requirement reflects the class
deviation issued on November 8, 2013, clarified on
January 9, 2014 and modified on December 2,
2014. EPA Form 5700-52A must be completed
annually by recipients of financial assistance
agreements where the combined total of funds
budgeted for procuring supplies, equipment,
construction or services exceeds $150,000.This
reporting requirement applies to all new and
existing awards and voids all previous reporting
requirements.
In determining whether the $150,000 threshold
is exceeded for a particular assistance
agreement, the analysis must focus on funds
budgeted for procurement under the supplies,
equipment, construction, services or “other”
categories, and include funds budgeted for
procurement under sub-awards or loans
Reporting will also be required in cases where the
details of the budgets of sub-awards/loans are not
clear at the time of the grant awards and the
combined total of the procurement and sub-
awards and/or loans exceeds the $150,000
threshold.
When reporting is required, all procurement
actions are reportable, not just the portion which
exceeds $150,000.
If at the time of award the budgeted funds exceed
$150,000 but actual expenditures fall below, a
report is still required.
If at the time of award, the combined total of funds
budgeted for procurements in any category is less
than or equal to $150,000 and is maintained below
the threshold, no DBE report is required to be
submitted.
Recipients are required to report 30 days after the
end of each federal year, per the terms and
conditions of the financial assistance agreement.
Last reports are due October 30
th
or 90 days after
the end of the project period, whichever comes
first.
MBE/WBE program requirements, including
reporting, are material terms and conditions of the
financial assistance agreement.
B. Definitions:
Procurement is the acquisition through contract,
order, purchase, lease or barter of supplies,
equipment, construction or services needed to
accomplish Federal assistance programs.
A contract is a written agreement between an EPA
recipient and another party (also considered
“prime contracts”) and any lower tier agreement
(also considered “subcontracts”) for equipment,
services, supplies, or construction necessary to
complete the project. This definition excludes
written agreements with another public agency.
This definition includes personal and professional
services, agreements with consultants, and
purchase orders.
A minority business enterprise (MBE) is a business
concern that is (1) at least 51 percent owned by
one or more minority individuals, or, in the case of
a publicly owned business, at least 51 percent of
the stock is owned by one or more minority
SRF Supplemental General Conditions
SGC-18
individuals; and (2) whose daily business
operations are managed and directed by one or
more of the minority owners. In order to qualify
and participate as an MBE prime or subcontractor
for EPA recipients under EPA’s DBE Program, an
entity must be properly certified as required by 40
CFR Part 33, Subpart B.
U.S. citizenship is required. Recipients shall
presume that minority individuals include Black
Americans, Hispanic Americans, Native Americans,
Asian Pacific Americans, or other groups whose
members are found to be disadvantaged by the
Small Business Act or by the Secretary of
Commerce under section 5 of Executive order
11625. The reporting contact at EPA can provide
additional information.
A woman business enterprise (WBE) is a business
concern that is, (1) at least 51 percent owned by
one or more women, or, in the case of a publicly
owned business, at least 51 percent of the stock is
owned by one or more women and (2) whose daily
business operations are managed and directed by
one or more of the women owners. In order to
qualify and participate as a WBE prime or
subcontractor for EPA recipients under EPA’s DBE
Program, an entity must be properly certified as
required by 40 CFR Part 33, Subpart B.
Business firms which are 51 percent owned by
minorities or women, but are in fact not managed
and operated by minorities or females do not
qualify for meeting MBE/WBE procurement goals.
U.S. Citizenship is required.
Good Faith Efforts
A recipient is required to make the following good
faith efforts whenever procuring construction,
equipment, services, and supplies under an EPA
financial assistance agreement. These good faith
efforts for utilizing MBEs and WBEs must be
documented. Such documentation is subject to
EPA review upon request:
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 and
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
quantities 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 and
the Minority Business Development Agency of
the Department of Commerce.
6. If the prime contractor awards subcontracts,
require the prime contractor to take the steps
in paragraphs (a) through (e) of this section.
SRF Supplemental General Conditions
SGC-19
C. Instructions for Part I:
1A. Specify Federal fiscal year this report covers.
The Federal fiscal year runs from October 1st
through September 30th (e.g. November 29, 2014
falls within Federal fiscal year 2015)
1B. Specify report type. Check the annual
reporting box. Also indicate if the project is
completed.
1C. Indicate if this is a revision to a previous year
and provide a brief description of the revision you
are making.
2A-B. Please refer to your financial assistance
agreement for the mailing address of the EPA
financial assistance office for your agreement.
The “EPA DBE Reporting Contact” is the DBE
Coordinator for the EPA Region from which your
financial assistance agreement was originated. For
a list of DBE Coordinators please refer to the EPA
OSBP website at http://epa.gov/osbp/dbe_cord.
3A-B. Identify the agency, state authority,
university or other organization which is the
recipient of the Federal financial assistance and the
person to contact concerning this report.
4A. Provide the Assistance Agreement number
assigned by EPA. A separate report must be
submitted for each Assistance Agreement.
*For SRF recipients: In box 4a list numbers for ALL
OPEN Assistance Agreements being reported on
this form.
4B. Refer back to Assistance Agreement
document for this information.
5A. Provide the total amount of the Assistance
Agreement which includes Federal funds plus
recipient matching funds and funds from other
sources.
*For SRF recipients only: SRF recipients will not
enter an amount in 5a. SRF recipients should check
the “N/A” box.
5B. Self-explanatory.
5C. Provide the total dollar amount of ALL
procurements awarded this reporting period by the
recipient, sub-recipients, and SRF loan recipients,
including MBE/WBE expenditures, not just the
portion which exceeds $150,000. For example:
Actual dollars for procurement from the procuring
office; actual contracts let from the contracts
office; actual goods, services, supplies, etc., from
other sources including the central purchasing/
procurement centers).
*NOTE: To prevent double counting on line 5C, if
any amount on 5E is for a subcontract and the
prime contract has already been included on Line
5C in a prior reporting period, then report the
amount going to MBE or WBE subcontractor on
line 5E, but exclude the amount from Line 5C. To
include the amount on 5C again would result in
double counting because the prime contract, which
includes the subcontract, would have already been
reported.
*For SRF recipients only: In 5c please enter the
total annual procurement amount under all of your
SRF Assistance Agreements. The figure reported in
this section is not directly tied to an individual
Assistance Agreement identification number. (SRF
state recipients report state procurements in this
section)
SRF Supplemental General Conditions
SGC-
20
5D. State whether or not sub-awards and/or
subcontracts have been issued under the financial
assistance agreements by indicating “yes” or “no”.
5E. Where requested, also provide the total
dollar amount of all MBE/WBE procurement
awarded during this reporting period by the
recipient, sub-recipients, SRF loan recipients, and
prime contractors in the categories of construction,
equipment, services and supplies. These amounts
include Federal funds plus recipient matching funds
and funds from other sources.
6. If there were no MBE/WBE accomplishments
this reporting period, please briefly how certified
MBEs/WBEs were notified of the opportunities to
compete for the procurement dollars entered in
Block 5C and why certified MBEs /WBEs were not
awarded any procurements during this reporting
period.
7. Name and title of official administrator or
designated reporting official.
8. Signature, month, day, and year report
submitted.
D. Instructions for Part II:
For each MBE/WBE procurement made under this
financial assistance agreements during the
reporting period, provide the following
information:
1. Check whether this procurement was made
by the recipient, sub-recipient/SRF loan recipient,
or the prime contractor.
2. Check either the MBE or WBE column. If a
firm is both an MBE and WBE, the recipient may
choose to count the entire procurement towards
EITHER its MBE or WBE accomplishments. The
recipient may also divide the total amount of the
procurement (using any ratio it so chooses) and
count those divided amounts toward its MBE and
WBE accomplishments. If the recipient chooses to
divide the procurement amount and count portions
toward its MBE and WBE accomplishments, please
state the appropriate amounts under the MBE and
WBE columns on the form. The combined MBE
and WBE amounts for that MBE/WBE contractor
must not exceed the “Value of the Procurement”
reported in column #3
3. Dollar value of procurement.
4. Date of procurement, shown as month, day,
year. Date of procurement is defined as the date
the contract or procurement was awarded, not the
date the contractor received payment under the
awarded contract or procurement, unless payment
occurred on the date of award. (Where direct
purchasing is the procurement method, the date
of procurement is the date the purchase was
made)
5. Using codes at the bottom of the form,
identify type of product or service acquired through
this procurement (e.g., enter 1 if construction, 2 if
supplies, etc.).
6. Name, address, and telephone number of
MBE/WBE firm.
SRF Supplemental General Conditions
SGC-
21
**This data is requested to comply with provisions mandated by: statute or regulations (40 CFR Parts 30, 31, and
33 and/or 2 CFR Parts 200 and 1500); OMB Circulars; or added by EPA to ensure sound and effective assistance
management. Accurate, complete data are required to obtain funding, while no pledge of confidentiality is
provided.
The public reporting and recording burden for this collection of information is estimated to average l hour per
response annually. Burden means the total time, effort, or financial resources expended by persons to
generate, maintain, retain, or disclosure 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 through the use of automated collection
techniques to the Director, OPPE Regulatory Information Division, U.S. Environmental Protection Agency (2136),
1200 Pennsylvania Avenue, NW, Washington, D.C. 20460. Include the OMB Control number in any
correspondence. Do not send the completed form to this address.
SRF Supplemental General Conditions
SGC-
22
XII – Changes to Approved DBE Compliance Form
NOTE: THIS FORM IS REQUIRED OF THE LOAN RECIPIENT (OWNER) (WITH THE PRIME CONTRACTOR’S INPUT) FOR
DBE COMPLIANCE ONLY IF A SUBCONTRACTOR/SUPPLIER/VENDOR IS SOUGHT AND/OR
PROCURED AFTER THE CONTRACT ATA (APPROVAL-TO-AWARD) HAS BEEN ISSUED. IT IS SIMILAR TO
THE DBE COMPLIANCE FORM (PAGE SGC-8) IN THAT IT IS THE COVER/SUMMARY FORM USED TO
DOCUMENT THE ADDITIONAL DBE SOLICITATION AND/OR REVISE THE ORIGINAL DBE APPROVAL STATUS.
Loan (Project) Number: ______________________
Loan Recipient: _____________________________________________
CERTIFICATIONS:
I certify that the information submitted on and with this form is true and accurate and that this company has met and
will continue to meet the conditions of this construction contract regarding DBE solicitation and utilization. I further certify
that criteria used in selecting subcontractors and suppliers were applied equally to all potential participants and that EPA
Forms 6100-2 and 6100-3 were distributed to all DBE subcontractors.
Date_______________
________________________________________
(Prime Contractor Signature)
________________________________________
(Printed Name and Title)
I certify that I have reviewed the information submitted on and with this form and that it meets the requirements of the Loan
Recipient’s/Owner's State Revolving Fund loan contract.
Date_______________
________________________________________
(Signature of Loan Recipient (Owner))
OR*
________________________________________
Date_______________
(Loan Recipient’s (Owner's) Representative’s Signature, (P.E.))
________________________________________
(Printed Name and Title)
GENERAL INFORMATION:
(1) If an approved subcontractor is terminated or replaced, please identify this company and briefly state the reason.
(2) For new or additional subcontractors, list name, trade, address, telephone number, contact person, dollar amount of
subcontract and DBE status.
(3) Attach proof of certification by EPA, SBA, DOT (or by state, local, Tribal or private entities whose certification criteria
match EPA’s) for each subcontractor listed as a DBE, MBE or WBE.
(4) Attach documentation of solicitation effort for prospective DBE firms, such as fax confirmation sheets, copies of
solicitation letters/emails, printouts of the online solicitations, printouts of online search results, affidavits of publication
in newspapers, etc. The prime contractor is strongly encouraged to follow up each solicitation with, at least, one (1)
logged phone call. Whenever possible, post solicitation for bids or proposals should be for a minimum of 30 calendar
days before the bid or proposal closing date.
(5) Provide justification for not selecting a certified DBE subcontractor that submitted a low bid for any subcontract area.
_________________________________________________________________________________________________
SGC-23
(Please attach additional pages to address 1 through 5, as needed.)
SRF Supplemental General Conditions
(*Only ONE (1) signature required below.)
SGC-24
XIII – Certification Regarding Equal Employment Opportunity
The prime contractor is required to comply with Executive Order 112-46
of September 24, 1965 entitled “Equal Employment Opportunity” as amended
by Executive Order 11375 of October 13, 1967.
The contract for the work under this proposal will obligate the prime contractor and
its subcontractors not to discriminate in employment practices.
The prime contractor shall not maintain or provide for his/her employees
the facilities, which are segregated on a basis of race, creed, color or
national origin, whether such facilities are segregated by directive or on a de facto
basis.
The prime contractor must, if requested, submit a compliance report concerning their
employment practices and policies in order to maintain his/her eligibility to
receive the award of the contract.
The prime contractor must be prepared to comply in all respects with any contract
provisions regarding non-discrimination stipulated in conjunction with labor standards.
PRIME CONTRACTOR'S CERTIFICATION:
Prime Contractor's Name:
Address:
1. Bidder has participated in a previous contract or
subcontract subject to the Equal Opportunity Clause.
2. Compliance Reports were required to be filed in
connection with such contract or subcontract.
3. Bidder has filed all compliance reports due under
applicable contract requirements.
Yes____ No____
Yes____ No____
Yes____ No____
If answer to item 3 is “No”, please explain in detail on reverse side of this
certification.
Certification - The information above is true and complete to the best of my knowledge
and belief.
Signature of Prime Contractor:
Title:
Date:
SRF Supplemental General Conditions
SGC-25
XIV – Debarred Firms Certification
All prime construction contractors shall certify that Subcontracts have not and will
not be awarded to any firm that is currently on the General Service
Administration's Master List of Debarred, Suspended and Voluntarily Excluded
Persons, in accordance with the provisions of ADEM Administrative Code
335-6-14-.35. Debarment action is taken against a firm for noncompliance with
Federal Law.
All bidders shall complete this certification in duplicate and submit both copies to
the Loan Recipient (Owner) with the bid proposal. The Loan Recipient
(Owner) shall transmit one copy to the SRF Section within 14 days after the bid
opening.
Project Name/Loan Name*:
(*not Contract Name)
SRF Project No.:
The undersigned hereby certifies that the firm of
has not and will not award a subcontract, in
connection with any contract awarded to it as the result of this bid, to any firm that is
currently on the General Service Administration's Master List of Debarred,
Suspended, and Voluntarily Excluded Persons.
Signature of Prime Contractor:
Title:
Date:
SRF Supplemental General Conditions
SGC-26
XV – Davis-Bacon and Related Acts
Labor Standards Provisions for Federally Assisted Contracts
Wage Rate Requirements Under FY 2013 Continuing Appropriation
I. Requirements under the Consolidated and Further Continuing Appropriations Act. 2013 (P.L.
113-6) For Subrecipients That Are Governmental Entities:
The following terms and conditions specify how recipients will assist EPA in meeting its Davis-Bacon
(DB) responsibilities when DB applies to EPA awards of financial assistance under the FY 2013
Continuing Resolution with respect to State recipients and subrecipients that are governmental entities.
If a subrecipient has questions regarding when DB applies, obtaining the correct DB wage
determinations, DB provisions, or compliance monitoring, it may contact the State recipient. If a State
recipient needs guidance, the recipient may contact Cynthia Y. Edwards at Edwards.Cy[email protected]
or at 404-562-9340 of EPA, Region 4 Grants and SRF Management Section, for guidance. The
recipient or subrecipient may also obtain additional guidance from DOL's web site at
http://www.dol.gov/whd/
1. Applicability of the Davis- Bacon (DB) prevailing wage requirements.
Under the FY 2013 Continuing Resolution, DB prevailing wage requirements apply to the construction,
alteration, and repair of treatment works carried out in whole or in part with assistance made available
by a State water pollution control revolving fund and to any construction project carried out in whole or
in part by assistance made available by a drinking water treatment revolving loan fund. If a subrecipient
encounters a unique situation at a site that presents uncertainties regarding DB applicability, the
subrecipient must discuss the situation with the recipient State before authorizing work on that site.
2. Obtaining Wage Determinations.
(a) Subrecipients shall obtain the wage determination for the locality in which a covered activity subject
to DB will take place prior to issuing requests for bids, proposals, quotes or other methods for soliciting
contracts (solicitation) for activities subject to DB. These wage determinations shall be incorporated into
solicitations and any subsequent contracts. Prime contracts must contain a provision requiring that
subcontractors follow the wage determination incorporated into the prime contract.
(i) While the solicitation remains open, the subrecipient shall monitor www.wdol.gov weekly to
ensure that the wage determination contained in the solicitation remains current. The subrecipients
shall amend the solicitation if DOL issues a modification more than 10 days prior to the closing date (i.e.
bid opening) for the solicitation. If DOL modifies or supersedes the applicable wage determination less
than 10 days prior to the closing date, the subrecipients may request a finding from the State recipient
that there is not a reasonable time to notify interested contractors of the modification of the wage
determination. The State recipient will provide a report of its findings to the subrecipient.
(ii) If the subrecipient does not award the contract within 90 days of the closure of the solicitation,
any modifications or supersedes DOL makes to the wage determination contained in the solicitation
shall be effective unless the State recipient, at the request of the subrecipient, obtains an extension of
the 90 day period from DOL pursuant to 29 CFR 1.6(c)(3)(iv). The subrecipient shall monitor
www.wdol.gov on a weekly basis if it does not award the contract within 90 days of closure of the
solicitation to ensure that wage determinations contained in the solicitation remain current.
(b) If the subrecipient carries out activity subject to DB by issuing a task order, work assignment or
similar instrument to an existing contractor (ordering instrument) rather than by publishing a solicitation,
the subrecipient shall insert the appropriate DOL wage determination from www.wdol.gov into the
ordering instrument.
(c) Subrecipients shall review all subcontracts subject to DB entered into by prime contractors to verify
that the prime contractor has required its subcontractors to include the applicable wage determinations.
SRF Supplemental General Conditions
SRF Supplemental General Conditions SGC-27
(d) As provided in 29 CFR 1.6(f), DOL may issue a revised wage determination applicable to a
subrecipient’s contract after the award of a contract or the issuance of an ordering instrument if DOL
determines that the subrecipient has failed to incorporate a wage determination or has used a wage
determination that clearly does not apply to the contract or ordering instrument. If this occurs, the
subrecipient shall either terminate the contract or ordering instrument and issue a revised solicitation or
ordering instrument or incorporate DOL’s wage determination retroactive to the beginning of the
contract or ordering instrument by change order. The subrecipient’s contractor must be compensated
for any increases in wages resulting from the use of DOL’s revised wage determination.
3. Contract Subcontract Provisions.
(a) The Recipient shall insure that the subrecipient(s) shall insert in full in any contract in excess of
$2,000 which is entered into for the actual construction, alteration and/or repair, including painting and
decorating, of a treatment work under the CWSRF or a construction project under the DWSRF financed
in whole or in part from Federal funds or in accordance with guarantees of a Federal agency or financed
from funds obtained by pledge of any contract of a Federal agency to make a loan, grant or annual
contribution (except where a different meaning is expressly indicated), and which is subject to the labor
standards provisions of any of the acts listed in § 5.1 or the FY 2010 appropriation , the following
clauses:
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally
and not less often than once a week, and without subsequent deduction or rebate on any account
(except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under
the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash
equivalents thereof) due at time of payment computed at rates not less than those contained in the
wage determination of the Secretary of Labor which is attached hereto and made a part hereof,
regardless of any contractual relationship which may be alleged to exist between the contractor and
such laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of
the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or
mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions
made or costs incurred for more than a weekly period (but not less often than quarterly) under plans,
funds, or programs which cover the particular weekly period, are deemed to be constructively made or
incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage
rate and fringe benefits on the wage determination for the classification of work actually performed,
without regard to skill, except as provided in § 5.5(a)(4). Laborers or mechanics performing work in
more than one classification may be compensated at the rate specified for each classification for the
time actually worked therein: Provided, That the employer's payroll records accurately set forth the time
spent in each classification in which work is performed. The wage determination (including any
additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the
Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at
the site of the work in a prominent and accessible place where it can be easily seen by the workers.
Subrecipients may obtain wage determinations from the U.S. Department of Labor’s web site,
www.dol.gov.
(ii)(A) The subrecipient(s), on behalf of EPA, shall require that any class of laborers or mechanics,
including helpers, which is not listed in the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage determination. The State award official shall
approve a request for an additional classification and wage rate and fringe benefits therefore only when
the following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a classification in the
wage determination; and
SRF Supplemental General Conditions SGC-28
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to
the wage rates contained in the wage determination.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or
their representatives, and the subrecipient(s) agree on the classification and wage rate (including the
amount designated for fringe benefits where appropriate), documentation of the action taken and the
request, including the local wage determination shall be sent by the subrecipient (s) to the State award
official. The State award official will transmit the request, to the Administrator of the Wage and Hour
Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210 and
to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative,
will approve, modify, or disapprove every additional classification request within 30 days of receipt and
so advise the State award official or will notify the State award official within the 30-day period that
additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their
representatives, and the subrecipient(s) do not agree on the proposed classification and wage rate
(including the amount designated for fringe benefits, where appropriate), the award official shall refer
the request and the local wage determination, including the views of all interested parties and the
recommendation of the State award official, to the Administrator for determination. The request shall be
sent to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized
representative, will issue a determination within 30 days of receipt of the request and so advise the
contracting officer or will notify the contracting officer within the 30-day period that additional time is
necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs
(a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing work in the classification under
this contract from the first day on which work is performed in the classification.
(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics
includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the
benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly
cash equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the contractor may
consider as part of the wages of any laborer or mechanic the amount of any costs reasonably
anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary
of Labor has found, upon the written request of the contractor, that the applicable standards of the
Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a
separate account assets for the meeting of obligations under the plan or program.
(2) Withholding.
The subrecipient(s), shall upon written request of the EPA Award Official or an authorized
representative of the Department of Labor, withhold or cause to be withheld from the contractor under
this contract or any other Federal contract with the same prime contractor, or any other federally-
assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same
prime contractor, so much of the accrued payments or advances as may be considered necessary to
pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor
or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the
work, all or part of the wages required by the contract, the (Agency) may, after written notice to the
contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the
suspension of any further payment, advance, or guarantee of funds until such violations have ceased.
SRF Supplemental General Conditions SGC-29
(3) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of
the work and preserved for a period of three years thereafter for all laborers and mechanics working at
the site of the work. Such records shall contain the name, address, and social security number of each
such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions
or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in
section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made
and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the
wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing
benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor
shall maintain records which show that the commitment to provide such benefits is enforceable, that the
plan or program is financially responsible, and that the plan or program has been communicated in
writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual
cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved
programs shall maintain written evidence of the registration of apprenticeship programs and certification
of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates
prescribed in the applicable programs.
(ii)(A) The contractor shall submit weekly, for each week in which any contract work is performed, a
copy of all payrolls to the subrecipient, that is, the entity that receives the sub-grant or loan from the
State capitalization grant recipient. Such documentation shall be available on request of the State
recipient or EPA. As to each payroll copy received, the subrecipient shall provide written confirmation in
a form satisfactory to the State indicating whether or not the project is in compliance with the
requirements of 29 CFR 5.5(a)(1) based on the most recent payroll copies for the specified week. The
payrolls shall set out accurately and completely all of the information required to be maintained under 29
CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on
the weekly payrolls. Instead the payrolls shall only need to include an individually identifying number for
each employee (e.g., the last four digits of the employee's social security number). The required weekly
payroll information may be submitted in any form desired. Optional Form WH-347 is available for this
purpose from the Wage and Hour Division Web site at
https://www.dol.gov/agencies/whd/forms/wh347 or its successor site. The prime contractor is
responsible for the submission of copies of payrolls by all subcontractors. Contractors and
subcontractors shall maintain the full social security number and current address of each covered
worker, and shall provide them upon request to the subrecipient(s) for transmission to the State or EPA if
requested by EPA , the State, the contractor, or the Wage and Hour Division of the Department of
Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not
a violation of this section for a prime contractor to require a subcontractor to provide addresses and
social security numbers to the prime contractor for its own records, without weekly submission to the
subrecipient(s).
(B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the
contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
employed under the contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under § 5.5
(a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under § 5.5
(a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
contract during the payroll period has been paid the full weekly wages earned, without rebate, either
directly or indirectly, and that no deductions have been made either directly or indirectly from the full
wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of work performed, as specified in the applicable wage
determination incorporated into the contract.
SRF Supplemental General Conditions SGC-30
(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional
Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by
paragraph (a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil
or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States
Code.
(iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this
section available for inspection, copying, or transcription by authorized representatives of the State,
EPA or the Department of Labor, and shall permit such representatives to interview employees during
working hours on the job. If the contractor or subcontractor fails to submit the required records or to
make them available, the Federal agency or State may, after written notice to the contractor, sponsor,
applicant, or owner, take such action as may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon
request or to make such records available may be grounds for debarment action pursuant to 29 CFR
5.12.
(4) Apprentices and trainees.
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work
they performed when they are employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the U.S. Department of Labor, Employment and Training
Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State
Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of
probationary employment as an apprentice in such an apprenticeship program, who is not individually
registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer
and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary
employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any
craft classification shall not be greater than the ratio permitted to the contractor as to the entire work
force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is
not registered or otherwise employed as stated above, shall be paid not less than the applicable wage
rate on the wage determination for the classification of work actually performed. In addition, any
apprentice performing work on the job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage determination for the work actually
performed. Where a contractor is performing construction on a project in a locality other than that in
which its program is registered, the ratios and wage rates (expressed in percentages of the
journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be
observed. Every apprentice must be paid at not less than the rate specified in the registered program for
the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in
the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the
provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits,
apprentices must be paid the full amount of fringe benefits listed on the wage determination for the
applicable classification. If the Administrator determines that a different practice prevails for the
applicable apprentice classification, fringes shall be paid in accordance with that determination. In the
event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship
Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will
no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work
performed until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the
predetermined rate for the work performed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on
the job site shall not be greater than permitted under the plan approved by the Employment and
Training Administration. Every trainee must be paid at not less than the rate specified in the approved
program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate
specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with
the provisions of the trainee program.
SRF Supplemental General Conditions SGC-31
If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe
benefits listed on the wage determination unless the Administrator of the Wage and Hour Division
determines that there is an apprenticeship program associated with the corresponding journeyman
wage rate on the wage determination which provides for less than full fringe benefits for apprentices.
Any employee listed on the payroll at a trainee rate who is not registered and participating in a training
plan approved by the Employment and Training Administration shall be paid not less than the applicable
wage rate on the wage determination for the classification of work actually performed. In addition, any
trainee performing work on the job site in excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the wage determination for the work actually
performed. In the event the Employment and Training Administration withdraws approval of a training
program, the contractor will no longer be permitted to utilize trainees at less than the applicable
predetermined rate for the work performed until an acceptable program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this
part shall be in conformity with the equal employment opportunity requirements of Executive Order
11246, as amended, and 29 CFR part 30.
(5) Compliance with Copeland Act requirements.
The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by
reference in this contract.
(6) Subcontracts.
The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR
5.5(a)(1) through (10) and such other clauses as the EPA determines may by appropriate, and also a
clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime
contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with
all the contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment.
A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for
debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis-Bacon and Related Act requirements.
All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and
5 are herein incorporated by reference in this contract.
(9) Disputes concerning labor standards.
Disputes arising out of the labor standards provisions of this contract shall not be subject to the general
disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of
the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this
clause include disputes between the contractor (or any of its subcontractors) and Subrecipient(s), State,
EPA, the U.S. Department of Labor, or the employees or their representatives.
(10) Certification of eligibility.
(i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or
firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government
contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
SRF Supplemental General Conditions SGC-32
4. Contract Provision for Contracts in Excess of $100,000.
(a) Contract Work Hours and Safety Standards Act. The subrecipient shall insert the following clauses
set forth in paragraphs (a)(1), (2), (3), and (4) of this section in full in any contract in an amount in
excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety
Standards Act. These clauses shall be inserted in addition to the clauses required by Item 3, above or
29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and
guards.
(1) Overtime requirements.
No contractor or subcontractor contracting for any part of the contract work which may require or involve
the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any
workweek in which he or she is employed on such work to work in excess of forty hours in such
workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-
half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages.
In the event of any violation of the clause set forth in paragraph (a)(1) of this section the contractor and
any subcontractor responsible therefore shall be liable for the unpaid wages. In addition, such
contractor and subcontractor shall be liable to the United States (in the case of work done under
contract for the District of Columbia or a territory, to such District or to such territory), for liquidated
damages. Such liquidated damages shall be computed with respect to each individual laborer or
mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph
(a)(1) of this section, in the sum of $10 for each calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty hours without payment of the overtime
wages required by the clause set forth in paragraph (a)(1) of this section.
(3) Withholding for unpaid wages and liquidated damages.
The subrecipient, upon written request of the EPA Award Official or an authorized representative of the
Department of Labor, shall withhold or cause to be withheld, from any moneys payable on account of
work performed by the contractor or subcontractor under any such contract or any other Federal
contract with the same prime contractor, or any other federally-assisted contract subject to the Contract
Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may
be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid
wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section.
(4) Subcontracts.
The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (a)(1)
through (4) of this section and also a clause requiring the subcontractors to include these clauses in any
lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor
or lower tier subcontractor with the clauses set forth in paragraphs (a)(1) through (4) of this section.
(b) In addition to the clauses contained in Item 3, above, in any contract subject only to the Contract
Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1, the
Subrecipient shall insert a clause requiring that the contractor or subcontractor shall maintain payrolls
and basic payroll records during the course of the work and shall preserve them for a period of three
years from the completion of the contract for all laborers and mechanics, including guards and
watchmen, working on the contract. Such records shall contain the name and address of each such
employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly
number of hours worked, deductions made, and actual wages paid. Further, the Subrecipient shall
insert in any such contract a clause providing hat the records to be maintained under this paragraph
shall be made available by the contractor or subcontractor for inspection, copying, or transcription by
authorized representatives of the (write the name of agency) and the Department of Labor, and the
contractor or subcontractor will permit such representatives to interview employees during working
hours on the job.
SRF Supplemental General Conditions SGC-33
5. Compliance Verification
(a) The subrecipient shall periodically interview a sufficient number of employees entitled to DB
prevailing wages (covered employees) to verify that contractors or subcontractors are paying the
appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in
confidence. The subrecipient must use Standard Form 1445 (SF 1445) or equivalent documentation to
memorialize the interviews. Copies of the SF 1445 are available from EPA on request.
(b) The subrecipient shall establish and follow an interview schedule based on its assessment of the
risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract
or subcontract. At a minimum, the subrecipient should conduct interviews with a representative group of
covered employees within two weeks of each contractor or subcontractor’s submission of its initial
weekly payroll data and two weeks prior to the estimated completion date for the contract or
subcontract. Subrecipients must conduct more frequent interviews if the initial interviews or other
information
indicates that there is a risk that the contractor or subcontractor is not complying with DB. Subrecipients
shall immediately conduct necessary interviews in response to an alleged violation of the prevailing
wage requirements. All interviews shall be conducted in confidence.
(c) The subrecipient shall periodically conduct spot checks of a representative sample of weekly payroll
data to verify that contractors or subcontractors are paying the appropriate wage rates. The subrecipient
shall establish and follow a spot check schedule based on its assessment of the risks of noncompliance
with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a
minimum, if practicable, the subrecipient should spot check payroll data within two weeks of each
contractor or subcontractor’s submission of its initial payroll data and two weeks prior to the completion
date the contract or subcontract . Subrecipients must conduct more frequent spot checks if the initial
spot check or other information indicates that there is a risk that the contractor or subcontractor is not
complying with DB. In addition, during the examinations the subrecipient shall verify evidence of fringe
benefit plans and payments there under by contractors and subcontractors who claim credit for fringe
benefit contributions.
(d) The subrecipient shall periodically review contractors and subcontractors use of apprentices and
trainees to verify registration and certification with respect to apprenticeship and training programs
approved by either the U.S Department of Labor or a state, as appropriate, and that contractors and
subcontractors are not using disproportionate numbers of, laborers, trainees and apprentices. These
reviews shall be conducted in accordance with the schedules for spot checks and interviews described
in Item 5(b) and (c) above.
(e) Subrecipients must immediately report potential violations of the DB prevailing wage
requirements to the EPA DB contact listed above and to the appropriate DOL Wage and Hour District
Office listed at https://www.dol.gov/agencies/whd/contact/local-offices.
SRF Supplemental General Conditions SGC-34
(Insert applicable wage rate determination here.)
Wage Rates are county specific for Heavy Construction and can be found at:
https://sam.gov/content/wage-determinations
SRF Supplemental General Conditions SGC-35
XVI – American Iron and Steel Requirement
Section 4.13 Compliance with 2014 Appropriations Act. (a) The Loan Recipient agrees to
comply with all federal requirements applicable to the Authority Loan (including those imposed by P.L.
113-76, Consolidated Appropriations Act (the "2014 Appropriations Act") and related SRF Policy
Guidelines) which the Loan Recipient understands includes, among other things, requirements that all
of the iron and steel products used in the Project are to be produced in the United States ("American
Iron and Steel") unless (i) the Loan Recipient has requested and obtained a waiver from the U.S.
Environmental Protection Agency pertaining to the Project or (ii) the Authority has otherwise advised the
Loan Recipient in writing that the Buy American Requirement is not applicable to the Project. .
(b) The Loan Recipient also agrees to comply with all recordkeeping and reporting requirements under
the Clean Water Act (codified generally under 33 U.S.C. §1251 et seq.) (the "Clean Water Act"),
including any reports required by a federal agency or the Authority such as performance indicators of
program deliverables, information on costs and Project progress. The Loan Recipient understands that
(i) each contract and subcontract related to the Project is subject to audit by appropriate federal and
state entities, and (ii) failure to comply with the Clean Water Act and this Agreement may be an Event of
Default hereunder that results in a repayment of the Authority Loan in advance of the maturity of the
Evidence of Indebtedness and/or other remedial actions.
The Loan Recipient agrees to cause all contractors and subcontractors to comply with (through the
inclusion of appropriate terms and conditions in all contracts, subcontracts and lower tiered transactions,
such terms and conditions to be in substantially the form set forth in connection with the development
and construction of the project
The Contractor acknowledges to and for the benefit of the , Alabama
("Purchaser"), and the Alabama Water Pollution Control Authority or the Drinking Water Finance
Authority (the "State Authority") that it understands the goods and services under this Agreement are
being funded with monies made available by the Clean Water State Revolving Fund that have statutory
requirements commonly known as "American Iron and Steel;" that requires all of the iron and steel
products used in the project to be produced in the United States ("American Iron and Steel") including
iron and steel products provided by the Contractor pursuant to this Agreement. The Contractor hereby
represents and warrants to and for the benefit of the Purchaser and the State Authority that (a) the
Contractor has reviewed and understands the American Iron and Steel Requirement, (b) all of the iron
and steel products used in the project will be and/or have been produced in the United States in a
manner that complies with the American Iron and Steel Requirement, unless a waiver of the
requirement is approved, and (c) the Contractor will provide any further verified information, certification
or assurance of compliance with this paragraph, or information necessary to support a waiver of the
American Iron and Steel Requirement, as may be requested by the Purchaser or the State Authority.
Notwithstanding any other provision of this Agreement, any failure to comply with this paragraph by the
Contractor shall permit the Purchaser or State Authority to recover as damages against the Contractor
any loss, expense, or cost (including without limitation attorney's fees) incurred by the Purchaser or
State Authority resulting from any such failure (including without limitation any impairment or loss of
funding, whether in whole or in part, from the State Authority or any damages owed to the State
Authority by the Purchaser). While the Contractor has no direct contractual privity with the State
Authority, as a lender to the Purchaser for the funding of its project, the Purchaser and the Contractor
agree that the State Authority is a third-party beneficiary and neither this paragraph (nor any other
provision of this Agreement necessary to give this paragraph force or effect) shall be amended or
waived without the prior written consent of the State Authority.
SRF Supplemental General Conditions SGC-36
XVII – Project Sign Detail - CWSRF
1. Sign is to be constructed of ½” MDO plywood, 4’ x 8’. Alternate materials may
be used if approved by ADEM prior to use.
2. Paint with two (2) coats oil-base enamel before lettering.
3. Background color white; lettering black.
4. Lettering may be painted or vinyl. All lettering sizes to be proportionate to sign
layout.
5. Sign shall be attached to 4” x 4” x 8’ treated posts. Alternatives may be used if
approved by ADEM prior to use.
6. Sign shall be placed in prominent location, easily readable from existing street or
roadway.
7. Sign shall be maintained in good condition until completion of project.
STATE OF ALABAMA
Honorable (name), Governor
ALABAMA WATER POLLUTION CONTROL AUTHORITY
POLLUTION CONTROL PROJECT
(NAME OF OWNER)
(NAME OF PROJECT)
$(amount) STATE REVOLVING FUND LOAN
(NAME OF CONTRACTOR) • CONTRACTOR
(NAME OF ENGINEER) • CONSULTING ENGINEER
ALABAMA DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
U.S. ENVIRONMENTAL PROTECTION AGENCY
SRF Supplemental General Conditions SGC-37
XVIII – Project Sign Detail - DWSRF
1. Sign is to be constructed of ½” MDO plywood, 4’ x 8’. Alternate materials may
be used if approved by ADEM prior to use.
2. Paint with two (2) coats oil-base enamel before lettering.
3. Background color white; lettering black.
4. Lettering may be painted or vinyl. All lettering sizes to be proportionate to sign
layout.
5. Sign shall be attached to 4” x 4” x 8’ treated posts. Alternatives may be used if
approved by ADEM prior to use.
6. Sign shall be placed in prominent location, easily readable from existing street or
roadway.
7. Sign shall be maintained in good condition until completion of project.
STATE OF ALABAMA
Honorable (Name), Governor
ALABAMA DRINKING WATER FINANCE AUTHORITY
INFRASTRUCTURE PROJECT
(NAME OF OWNER)
(NAME OF PROJECT)
$(amount) STATE REVOLVING FUND LOAN
(NAME OF CONTRACTOR) • CONTRACTOR
(NAME OF ENGINEER) • CONSULTING ENGINEER
ALABAMA DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
U.S. ENVIRONMENTAL PROTECTION AGENCY
SRF Supplemental General Conditions SGC-38
XIX – Construction Contract Requirements
This checklist is to be completed by the Loan Recipient (Owner)/Engineer
when submitting plans and specifications to the SRF Section for review. It affirms to
the SRF reviewer that the Loan Recipient (Owner)/Engineer has addressed these
items (in boilerplate form) within the specifications manual.
Contract Satisfied
Page No. Yes/No
Bid Advertisement (including date, time, and location
of bid opening).
Bid Bond.
Performance Bond (100%).
Payment Bond (Not less than 50%).
Contract Length.
Liquidated Damages.
Liability Insurance (including workman’s comp, public
liability, and builder’s risk, if applicable).
Method of Award (i.e. lowest, responsive, responsible bidder).
Air testing of gravity sewers (if applicable).
Within 14 days after the bid opening, the Loan Recipient (Owner)/Engineer is to prepare the
Project Review and Cost Summary (per the PR&CS Checklist, page SGC-39) and submit it to the
SRF Section of ADEM. Upon completion of review, a written ATA (Approval-to-Award) will be issued.
NOTE:
The Loan Recipient (Owner) assumes all financial risk, if the construction contract
is awarded prior to the issuance of an ATA letter by the SRF Section.
SGC-39
XX – Project Review and Cost Summary
1. Date of plans and specifications concurrence letter from ADEM-SRF Section:
Date of construction permit issuance from ADEM-DW Branch:
2. Attach copies of the following documents:
a. Bid advertisement with certification by publisher and date(s) of publication.
b. Certified bid tabulation.
c. Proposal of the selected bidder.
d. Bid bond.
e. Engineer’s letter to the loan recipient recommending award of the contract. If the award is
made to other than the low bidder, provide justification.
f. Site certificates for the project, if not previously submitted with the SRF loan application.
g. DBE Documentation from the loan recipient (owner) and the prime contractor.
Utilization, solicitation and documentation requirements (with a list of required documents)
are discussed in detail in Parts III - V (pages SGC-3 - SGC-23) of the ADEM
SRF Supplemental General Conditions for SRF Assisted Public Drinking Water and
Wastewater Facilities Construction Contracts.
h. Copy of the wage determination used in bidding.
i. Any addenda that have been issued after ADEM review of the plans and specifications.
g. Documentation from the loan recipient (owner) and the proposed prime contractor.
The list of required documents can be found in Part III (page SGC-3) of the ADEM
SRF Supplemental General Conditions for SRF Assisted Public Drinking Water and
Wastewater Facilities Construction Contracts (ADEM FORM 341).
h. Copy of the wage determination used in bidding.
i. Any addenda that have been issued after ADEM review of the plans and specifications.
Comments:
Form Revised
07-2021
Alabama Department of Environmental Management
ADEM
SRF Project Review and Cost Summary
Contract Name:
Project Number:
This form is to be completed and submitted (with supporting documentation) to the
SRF Section within 14 days after bid opening. Following satisfactory
review, an ATA (Approval-to-Award) letter will be issued. After the ATA is issued/
award of the contract, a pre-construction conference should be scheduled (with the
SRF Project Manager in attendance). A complete, bound set of the
executed contract documents manual should be forwarded to the SRF
Section for review and written approval following the pre-construction conference.
Loan Recipient:
Project Name:
Contract Number:
SRF Supplemental General Conditions