SUBJECT: Water and Waste Processing Checklist

TO: RUS Water and Environmental Programs Staff.

EFFECTIVE DATE: Date of approval.

OFFICE OF PRIMARY INTEREST: Water and Environmental Programs.

INSTRUCTIONS: 

AVAILABILITY: This Bulletin is available on the Internet at

http://www.rurdev.usda.gov/RDU_Bulletins_Water_and_Environmental.html

PURPOSE: 

DISCLAIMER: The contents of this guidance document does not have the force and effect of law 

and is not meant to bind the public in any way. This document is intended only to provide clarity to 

the public regarding existing requirements under the law or agency policies.

UNITED STATES DEPARTMENT OF AGRICULTURE

Rural Utilities Service

RUS BULLETIN 1780-6

RD-GD-1999-30
RUS Bulletin 1780-6

Page 1

WATER AND WASTE

PROCESSING CHECKLIST

Applicant Contact Person Telephone

TYPE OF FACILITY

Water

Sewer

Solid Waste

Drainage

Project Name Agency Contact/Phone

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

1 3 Notice of Intent to File Application -

1780.19

Publication Applicant

2 3 Application for Federal Assistance

Submission - 1780.31(b)

SF 424.2 Applicant

3 3 Financial Statements or Audit -

1780.33(e)

Applicant

4 3 Other Credit Information - 1780.7(d)

and .33(d)

Certification Applicant

Agency’s Determination and

Documentation - 1780.7(d) and Staff

Inst. 1780-2(2.1)

Written Agency

5 4 State Inter-governmental Review and

Recommendations - 1780.33(b)

Letter Applicant

6

7

9 5 Evidence of Legal Authority and

Organization - 1780.7(e) & 1780.33(e)

Applicant
RUS Bulletin 1780-6

Page 2

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

10 5 Supporting Documentation on Existing

Debt - 1780.33(e)

Applicant

11 3 Documentation for Income Survey -

1780.1(b)

Memo or Running

Record

Agency

12 3 Identify known

Relationships/Association with

Agency Employee - 1780.1(f)

Memo Applicant

13 5 Articles of Incorporation, Certificate of

Incorporation and Good Standing -

1780.33(e)

Applicant

14 5 Bylaws, Rules, and Regulations -

1780.33(e)

Applicant

15 5 Organizational Minutes - 1780.33(e) Applicant

16

17

18

19 3 Eligibility Determination and

Recommendations to State Director -

Staff Inst. 1780-2(2.4)(d)

Memo Agency

20 3 Evidence of Application Review -

1780.32(b)

Memo Approval

Office

21 3 Project Selection Criteria - 1780.17 RB 1780-1 Agency

22 3 Justification for Additional Project

Points - 1780.17(e)

Memo Agency

23 3 Evidence Proposed Facility Will Be

Consistent With Development Plans -

1780.1(h)

Letter Applicant
RUS Bulletin 1780-6

Pag e 3

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

24 3 Tying Arrangements 1780.33(h)(8) - Certification Applicant

25 3 Evidence No Outstanding Judgment

Obtained - 1780.7(g)

Letter Applicant

26 3 Site Visit - Staff Inst. 1780-2 (2.4)(a) Memo Agency

27 3 Inequities Within Service Area -

1780.11

Memo/ Running

Record

Agency

28

29

30

31 3 Evidence of Processing Conference -

1780.39(a)

Letter & Checklist Agency

32 3 Notice of Public Information

Meeting/Minute- 1780.19

Minutes

Publication

Applicant

33 6 Preliminary Engineering Report/

Evidence of Review by Agency

Engineer - 1780.33(c)

Report Letter Applicant &

Agency

34 6 Agreement for Engineering Services/

Agency Concurrence 1780.39(b)(1) - 

*RD 1942-19 Applicant &

Agency

35

36

37 5 Legal Services Agreement/ Agency

Concurrence 1780.39(b)(2) - 

*RB 1780-7 Applicant &

Agency

38

39 3 Environmental Checklist for

Categorical Exclusion

RD 1940-22 Agency
RUS Bulletin 1780-6

Page 4

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

40 3 Request for Environmental

Information/ Attachments - 1780.33(f)

RD 1940-20 Applicant

41 3 Environmental Assessment for Class I

I Action / Attachments

Exhibit H 1940-G Agency

42

43

44

45 3 Evidence of Public Notice

Requirements -- Preliminary / Final

News Adv

Certified Minutes

Applicant

46 3 Farmland Conversion Impact Rating AD-1006 NRCS &

Agency

47 3 Finding of No Significant Impact

(FONSI)/ Evidence of Publication

Exhibit I & RD

1940-G & News

Ad

Agency &

Applicant

48 3 Evidence of Private Party Notification Letter & List Applicant

49 3 Evidence of Distribution of FONSI Memo & List Agency

50 3 Evidence of Environmental Review for

General Exclusion

Running Record Agency

51 3 Evidence of Environmental Review

and adoption of other Federal Agency

Assessment

Running Record Agency

52 3 Environmental Impact Statement Agency

53 3 Agreement Between Applicant and

Individual Users - 1780.9(g)(2)

Agreement Applicant

54

55
RUS Bulletin 1780-6

Pag e 5

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

56 5 Water Purchase Contract or Sewage

Treatment Contract, Agency

Concurrence 1780.62 and 1780.63 - 

*RD 442-30 Applicant &

Agency

57 5 Water User Agreement/ Sewer User

Agreement or Evidence of Mandatory

Hook-Up-Ordinance 1780.39(c) - 

RB 1780-9 Applicant

58

59 5 Management Agreement/Agency

Concurrence 1780.39(b)(4) - 

RB 1780-8 Applicant &

Agency

60 2 Evidence of Availability of Other

Funds - 1780.44(f)

Memo Applicant &

Agency

61 3 Initial Operating Budget 1780.33(h) - RD 442-7 Applicant

62 8 Appraisal Report Water and Waste

Disposal Systems 1780.44(g) - 

RD 442-10 Agency or

Other

63 2 Water and Waste Disposal Grant

Determination 1780.35(b) - Automated Form

Agency

64 2 Evidence Regarding Median

Household Income, if other than

census data is used 1780.1(b) - 

Survey or Other

Data

Applicant &

Agency

65 2 Documentation relative to Health or

Sanitary Hazards 1780.10(c)(1) and - 

1780.13(b)(1)

Applicant

66 2 Association Project Fund Analysis -

1780.41(a)

RD 1942-14 Agency

67 1 Project Summary -- Water and Waste

Disposal and other Utility-type

Projects/Attachments 1780.41(a) - 

RD 1942-45, 

442-7, 1942-14

Agency

68
RUS Bulletin 1780-6

Pag e 6

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

69 3 Letter of Conditions 1780.41(a)(5) - Letter-RB 1780-19 Agency

70 3 Evidence of Overall Review of

Applicant's Financial Status - Staff

Inst . 1780-2(2.4)(c)

Memo Agency

71 2 Project Announcement - Staff Inst.

1780-2(2.7)(e)

Exhibit A RD

2015-C

Agency

72 3 Letter of Intent to Meet Conditions -

1780.41(a)(6)

RD 1942-46 Applicant

73 2 Certifications Regarding Lobbying -

1780.33(h)

Exhibit A or Exhibit

A-1

Applicant and

Others

74 2 Certification Regarding a Drug-Free

Workplace 1780.33(h) - 

AD-1049 Applicant

75 3 Certificates Regarding Debarment or

Suspension 1780.33(h) - 

AD-1047 AD1048Applicant

76 3 Application Certification, Federal

Collection Policies for Consumer or

Commercial Debt 1780.33(h) - 

RD 1910-11 Applicant

77

78

79

80 2 Request for Obligation of Funds -

1780.41(a)

RD 1940-1 Applicant &

Agency

81 Notification to LAPAS Staff Ins - .t

1780-2(2.7)(e)

 Agency

82 2 Evidence Applicant notified of

Approval 1780.41(b) - 

 Agency

83 5 Certificate of Official Seal and

Signature Identification

Applicant
RUS Bulletin 1780-6

Page 7

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

84 5 Certified List of Members and Users Applicant

85 5 Certified list of Association Officers,

Term and Expiration Date

Applicant

86

87

88

89

90 3 Agreements/Contracts with

Professional and Technical

Reps/Agency Concurrence -

1780.39(b)

Agreement/ Letter Applicant &

Agency

91 5 Stock or Membership Authorization -

1780.39(f)

Applicant &

Agency

92 3 Evidence of Program to Encourage

Use of Facility / Agency Approval -

1780.39(c)(5)

Letter Applicant &

Agency

93 2 Verification of Users and Other Funds

- 1780.44(b)

Memo Agency

94 2 Verification of Applicant Contribution -

1780.44(b)

Memo Applicant

95 6 Equal Opportunity Agreement - RD

Inst. 1901-E

RD 400-1 Applicant

96 3 Assurance Agreement - RD Inst. 

1901-E

RD 400-4 Applicant

97 5 Evidence of Acquisition of Necessary

Property - 1780.44(g)

Letter / Agreement Applicant
RUS Bulletin 1780-6

Page 8

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

98

99

100

101 5 Right-of-Way and Easement -

1780.44(g)(1)

Applicant

102 5 Evidence of Title to Assets -

1780.44(g)(2)

Applicant

103 5 Lease Agreements - 1780.44(g)(4) Agreement Applicant

104 5 Water Rights - 1780.44(g)(3) Letter Applicant

105

106 5 Opinion of Counsel Relative to Rightsof-Way - 1780.44(g)(1)(i)*RD 442-22 Attorney

107 5 Deed to Real Property - 1780.44(g) Applicant

108

109

110

111

112

113

114 7 Evidence of Insurance -- Property

Insurance, General Liability, Flood,

and Worker's Compensation -

1780.39(g)

List of Policies or

Other Documents

Applicant
RUS Bulletin 1780-6

Page 9

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

115 7 Fidelity or Employee Dishonesty Bond

- 1780.39(g)(3)

Copy of Bond Applicant

116

117

118

119 5 Specifying Material and Design -

1780-70(b)

Letter Agency

120 5 Evidence for Existing Systems on

Water Loss - 1780.57(f)

Letter Applicant

121 5 Evidence of Conformity with Drinking

Water and Water Pollution Control

Standards - 1780.57 (g) and (h)

Letter State/ Federal

Agency

122 3 Evidence of Date Nonprocurement

List was Checked Prior to Closing

Running Record Agency

123 2 Exception for Metering Devices -

1780-57(m)

Letter Applicant &

Agency

124

125 5 Membership Authorization -

1780.39(f)

RD 1942-8

126 5 Loan Resolution (Public Bodies) -

1780.45(a)(2)

RUS Bulletin

1780-27

Applicant &

Agency

127

128 5 Loan resolution (Security Agreement)

- 1780.45(a)(2)

RUS Bulletin

1780-28

Applicant &

Agency

129 2 Association Water or Sewer System

Grant Agreement - 1780.45(c)

RB 1780-12 Applicant &

Agency
RUS Bulletin 1780-6

Page 10

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

130 2 Interim Financing: Evidence of

Commitment from Commercial Lender

and Notice of Agency's Commitment -

1780.39(d)

RB 1780-10 or 10a Applicant /

Agency

131 2 Evidence of Commitment of Other

Funds/Agency Verification -

1780.44(f)

Letter Applicant /

Agency

132 5 Title Insurance Binder - 1780.44(a) Binder Applicant

133

134 5 Preliminary Title Opinion -

1780.44(g)(2)

*RD 1927-9 Attorney

135 5 Final Title Opinion - 1780.44(g)(2) *RD 1927-10 Attorney

136 5 Evidence of Waiver of Title Defects -

1780.44(g)(2)(ii)

Letter Agency

137 5 Title Insurance - 1780.44(g)(2)(i) Policy Applicant

138 5 Closing Instructions - 1780.44(h) Memo OGC

139 5 Initial Compliance Review -

1780.44(c)

RD 400-8 Agency

Official

140

141

142

143

144

145
RUS Bulletin 1780-6

Page 11

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

146 5 Post Review of Loan Closing -

1780.45 (g)

Memo OGC

147

148 2 Evidence Bond Transmitted to

Finance Office

Memo Agency

149 Bond and Bond Transcript - 1780.83 Applicant

Attorney

150 Final Unqualified Opinion of Bond

Counsel

Opinion Bond Counsel

151 2 Promissory Note - 1780.45(a)(1) *RD 440-22 Agency

152 5 Mortgage Attorney

153 6 Performance and Payment

Bonds/Treasury Circular - 1780.75(c)

Contractor

Owner

154 6 Record of Pre-Construction

Conference - 1780.76(a)

RD 1924-16 Agency

Applicant

155

156

157 6 Agreement for Prior Concurrence in

Bills and Vouchers - 1780.45(e)

Agreement Applicant

Agency

158 2 Pledge of Collateral - 1780.45(e)(2)

and (3)

Letter Agency

159 2 Estimate of Funds Needed for 30 Day

Period - 1780.45(b)(1)(ii)

*RD 440-11 Applicant

160 2 Bond Anticipation Note or other

Temporary Debt

Instrument/Preliminary Opinion of

Counsel - 1780.90

Applicant

Attorney
RUS Bulletin 1780-6

Page 12

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

161 6 Resume of Resident

Inspector/Borrower and Agency

Approval - 1780.76(c)

Letter Engineer

Agency

Owner

162 2 Deposit Agreement - 1780.45(e)(3) RD 402-1 Agency

Official

163 2 Monitoring Project Costs -

1780.45(e)(1)

RD 402-2 Agency

Official

164 6 Approval of Invoices - 1780.45(e)(1)

and 1780.76(e)

*RD 1924-18 Payee 

Applicant 

Agency

165 Contract Documents - 1780.61(a) Standard

Documents

Owner

Agency OGC

166 5 Legal Certification Regarding

Adequacy of Contract Documents -

1780.61(b)

Owner

Attorney

167 6 Review and Approval of Contract

Documents - 1780.61(b) and

1780.75(i)

Letter Agency

168 6 Compliance Statement RD 400-6 Contractor

169 6 Bid Tabulation Sheet/Agency

Approval - 1780.61(b)

Sheets Letter Owner

Agency

170

171

172 6 Inspection Services - 1780.67 Letter Agency

Engineer

173 6 Evidence and Certifications for

Contracts Awarded Prior to

Application - 1780.74

Certification Owner

174 6 Release by Claimants - 1780.75(c) RD 1924-10 Owner

175 6 Certificate of Contractors Release -

1780.75(c)

RD 1924-9 Owner
RUS Bulletin 1780-6

Page 13

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

176 6 Contract Change Order/Agency

Approval - 1780.75(h) and 1780.76(h)

RD 1924-7 Agency

Owner

177 6 Evidence of Daily Diary and

Inspection Reports - 1780.76(d)

RB 1780-18 Owner

178 6 Project Monitoring - Staff Inst. 1780-

2(3.1)

RD 1924-12 Agency

Official

179 6 Monitoring Reports - 1780.76(b) Report Owner

180 2 Planned Use of Remaining Funds/

Agency Concurrence - 1780.45(f)

Applicant

Agency

181 6 Prefinal Inspections - 1780.76(f) RD 1924-12 Agency

Owner

182 6 Final Inspections - 1780.76(g) RD 1924-12 Agency

183

184 6 Statement Regarding Date of

Substantial Completion and Warranty

Expiration Date

Letter Engineer

185 6 Certification that Contract Has Been

Completed in accordance with Plans

and Specifications

Letter Engineer

186 5 Statement from Engineer, Attorney(s),

and Each Contractor They Have Been

Paid to Date in Accordance with

Contract Agreement

Letter Engineer 

Attorney

Contractor

187

188

189 6 Operating Permit for Facility - 1780.57 Letter Applicant
RUS Bulletin 1780-6

Page 14

Item

No.

Folder File

Position

Document Document or Form

Number

Prepared By Target

Date

Date

Rec'd

190 6 Evidence That "as built" Plans Have

Been Delivered to Owner

Letter Engineer

191 6 Warranty Inspection - Staff Inst.

1780-2(3.2)(a)(i)(A)

RD 1924-12 Agency

Official

192 3 Operational Review - Staff Inst.

1780-2(3.2)(a)(i)(B)

Memo Agency

Official

193 6 Subsequent Inspections of Facility

and Operation - Staff Inst. 

1780-2(3.2)(a)(ii)

Letter Agency

Official

194 3 Quarterly Reports - 1780.47(f)(1) Borrower

195 3 Annual Management Reports -

1780.47(f)(2)

Borrower

196

197

198

199 3 Audits - 1780.47(d) Borrower

200 2 Evidence that RCFTS Records Have

Been Updated at Various Processing

and Servicing Stages

Computer

Printouts

Agency