DPH: Drinking Water State Revolving Fund (DWSRF) Project Steps and Information

Drinking Water State Revolving Fund (DWSRF) Project Steps and Information

Financial Assistance Application

All Eligibility Applications are reviewed and eligible projects are ranked to form a Project Priority List (PPL).  Projects on the PPL will be asked to submit the Financial Assistance Application (FAA).  The full FAA is the application for a DWSRF loan. 

New in 2017 - The Financial Assistance Application (FAA) is divided into two parts (Part I and Part II). The FAA-Part I should be prepared and submitted to DPH shortly after receiving notification of the availability of DWSRF funding. The FAA-Part I is intended to provide preliminary details of the project and funding needs including:

  • Project planning documentation (Preliminary Engineering Report)
  • Information needed for the DPH to initiate our environmental assessment
  • Procurement documentation for all professional service (engineering) contracts that are intended to be paid for with DWSRF funding
  • Estimated project costs and identification of any other non-DWSRF sources of funding
  • Financial information needed to qualify for a DWSRF loan
  • Preliminary project schedule
  • Project design documentation (Plans and Specifications) and construction contract bidding documentation – if available (for construction phase funding)

The FAA-Part II should be submitted at or around the time when a DWSRF applicant is ready to execute a DWSRF loan for a contract or contracts that will be paid for with DWSRF funding. It is intended to provide information necessary to proceed with the development of the loan agreement with the State.

The FAA Part I and Part II can be submitted separately or together depending on the status of the project(s) and DWSRF funding needs. The FAA has been split into these parts in order to streamline the application process and eliminate/minimize duplication of submittals.

All funding recipients are required to have a “DUNS” Number; please refer to the document below for information on how to verify or obtain a number.

Environmental Assessment

Projects will be required to undergo an Environmental Assessment.  This should begin once the physical footprint and the conceptual design of a project has been determined.  All projects applying for funds must complete and submit the Scoping Notice template.

Many projects will require a Scoping Notice published in the Council on Environmental Quality’s Environmental Monitor.  The DPH DWS will make this determination. 

Preliminary Engineering Report / Project Planning and Selection (all projects)

Each project will require submittal of a Preliminary Engineering Report (PER) or similar project planning document. This report must demonstrate the need for the proposed drinking water project through an evaluation of all feasible alternatives and shall demonstrate that the selected alternative is cost-effective and recognizes environmental considerations. A written acceptance of the PER or similar report should be obtained from the DWS prior to proceeding with the project design.

An Asset Management Plan (AMP) that has been reviewed and accepted by the DPH may suffice for this requirement for certain types of projects, subject to DPH review. Examples include water main replacements or cleaning and relining where existing piping condition assessments have already been performed, storage tank repainting, etc.

Pursuant to RCSA Section 22a-482-3(a)2(B), systems should submit the PER or similar report to the DPH prior to proceeding with the project design.

The EPA partnered with three other federal agencies and developed a Preliminary Engineering Report outline. If you are seeking funding from multiple sources (such as USDA Rural Development), use of the outline will satisfy the requirements of all programs. The required information is defined on the checklist below.  Both the completed checklist and its attachments must be submitted.

Planning and Design Phases

Funding applications for a project’s planning or design stage require review and approval of the procurement process of the proposed firm in accordance with the RCSA Section Sec. 22a-482-4 (h). An applicant must receive an Authorization to Award the professional services contact from the DPH prior to execution of any agreement. The information required to be submitted for this review is outlined on the checklist below.  Both the completed checklist and its attachments must be submitted.

Qualifications Based Selection Requirement for Professional Service Contracts

Applicants for DWSRF funding are required to follow the Qualifications Based Selection (QBS) process for the procurement of professional service contracts during the planning, design or construction phases of their projects.  QBS is an objective and fair process based on the design professional’s qualifications in relation to the project.  The Connecticut QBS Council offers assistance at no cost to the public in implementing a QBS Program. To learn more about the Connecticut QBS Council and the QBS process click here: www.ctqbs.org.  Please contact us prior to beginning the QBS process to ensure you meet all DWSRF requirements.

Value Engineering

All projects for which the building costs are estimated to be greater than $10 million must conduct a Value Engineering (VE) process, pursuant to RCSA Section 22a-482-2(c)(2)(D) and 22a-482-3(d)(1). The VE proposal must be submitted for review prior to initiation of the process. Preliminary and final VE reports must also be submitted for review. The final report is subject to approval of the DPH. The information required to be submitted for this review is outlined on the checklist below.  Both the completed checklist and its attachments must be submitted.

Construction Phase

The DPH DWS performs a review of the construction plans and specifications before a project is put out to bid to ensure that the bidding documents contain all required information. 

Please remember that acceptance of the PER or similar project planning document is necessary even if only the construction phase is to be funded by the DWSRF.

At the same time, a review and approval of the technical plans and specifications is completed. Certain other forms or applications may be required, if applicable to the project. This currently includes:

Following the bid opening and prior to award of any contract, the DPH must review the post-bid information and issue an Authorization to Award for the construction contract.

Funding Eligibility of Construction Work

The DWS has developed general criteria to clarify those items which are generally not eligible for DWSRF funding. Please refer to the memo below. All final eligibility determinations will be at the discretion of the DWS.

Circular Letter 2016-28 - Funding Eligibility of DWSRF Construction Work 

Prevailing Wage Requirements

Projects over $2,000 are subject to the federal prevailing wage requirements contained in the Davis-Bacon and Related Acts (DBRA). Those projects must include mandatory DBRA language in each construction contract. 

Connecticut State prevailing wage laws also apply to the repair, alternation or rehabilitation of any public works project over $100,000.

MBE/WBE Requirements

All projects are subject to Disadvantaged Business Enterprises (DBE) subcontractor participation in the form of Minority Business Enterprises (MBE) and Woman Business Enterprises (WBE) good faith effort requirements. These requirements must be included in all engineering agreements and construction contract documents. The Department of Energy and Environmental Protection determines the subcontracting rates for MBE and WBE. The following forms must be included in the applicable solicitation.

Reporting of all MBE and WBE utilization is required every 6 months.

Use of American Iron and Steel Requirement (AIS)

All DWSRF-funded projects are now required to adhere to the “Use of American Iron and Steel” (AIS) provision, which requires iron and steel products used in these projects to be produced in the United States. For more information, please visit our American Iron and Steel website.

Project Signage

All DWSRF-funded projects have been required to install a project sign as a condition of funding since the inception of the program.  In June 2015, the EPA issued additional signage requirements. The DPH has developed guidance, along with physical sign specifications, to meet this requirement which is provided below.





Content Last Modified on 11/17/2016 10:50:45 AM