Code of Maine Rules › 06 - DEPARTMENT OF ENVIRONMENTAL PROTECTION › 096 - DEPARTMENT OF ENVIRONMENTAL PROTECTION - GENERAL › Chapter 595 - STATE REVOLVING FUND › Section 096-595-A - Introduction Provisions

Current through 2024-29, July 17, 2024
1.
Definitions.
The following words and terms used in this Chapter
				have the following meanings:
(a)
Act.
"Act" means the
Federal Water Pollution Control
				Act
(FWPCA), as amended, found at
				33 U.S.C.§§
											1251
et seq
.
(b)
Applicable Interest Rate.
"Applicable Interest Rate" means that rate of interest which in the judgment of
				the Bank reflects the rate it could obtain on a bond sale of equivalent credit
				rating and term in their current market conditions. The bank shall take the
				Applicable Interest Rate into consideration when setting the interest rate on
				individual SRF loans.
(c)
Authorized Representative.
The "Authorized Representative" means
				the signatory agent of the Eligible Applicant authorized and directed by the
				applicant's governing body to make application for assistance and to sign
				documents required to undertake and complete the Project on behalf of the
				applicant.
(d)
Bank.
"Bank" means the Maine Municipal Bond Bank.
(e)
Best Practicable Waste Treatment
				Technologies (BPWTT).
The "BPWTT" means the cost-effective technology
				that can treat wastewater, combined sewer overflows and non-excessive
				Infiltration and Inflow in wastewater treatment works to meet the applicable
				provisions of federal and state effluent limitations, groundwater protection,
				or other applicable standards.
(f)
Binding Commitment.
A "Binding Commitment" means a legal
				obligation of the Bank to an Eligible Applicant that, subject to the
				availability of funds in the SRF, defines the terms and timing for provisions
				of assistance from the SRF, predicated on the recipient meeting the normal
				terms of obtaining a loan.
(g)
Building.
"Building" means the erection, acquisition, alteration,
				remodeling, improvement or extension of treatment works or other water quality
				improvement or protection Projects.
(h)
Capitalization Grant.
"Capitalization Grant" means the Federal grant assistance awarded to the State
				of Maine for deposit in the State Revolving Fund.
(i)
Change Order.
"Change Order"
				means documents issued by the loan recipient, upon recommendation of the
				Project Engineer and, with the approval of the Department, authorizing a
				change, alteration, or variance in previously approved engineering plans and
				specifications, including, but not limited to, additions or deletions of work
				to be performed pursuant to the contract and/or a change in costs for work
				performed pursuant to the contract.
(j)
Closing.
"Closing" means the
				date on which an Eligible Applicant borrows funds or otherwise is granted
				Financial Assistance from the SRF.
(k)
Collector Sewer.
"Collector
				Sewer" means the common sewers within a publicly owned treatment system that
				are primarily installed to receive wastewater directly from individual systems
				or from private property.
(l)
Competitive Bidding.
"Competitive Bidding" means a procurement
				method where bids from competing contractors, suppliers, or vendors are invited
				by openly advertising the scope, specifications, and terms and conditions of
				the proposed contract as well as the criteria by which the bids will be
				evaluated, and the contract is then awarded to the lowest cost bid from a
				responsive and responsible bidder.
(m)
Construction Fund.
"Construction Fund" means an account established by the Bank within the SRF
				into which is deposited the portion of loan proceeds available to an Eligible
				Applicant for eligible costs of construction of a Project.
(n)
Construction Management At-Risk
				(CMAR).
"Construction Management At-Risk" or "CMAR" mean a construction delivery method where the Eligible
				Applicant or their advisor, prepares a scope of work which may contain
				preliminary design documents, then solicits a Construction Management firm,
				through a Qualifications Based Selection process, to provide construction
				related design input to the design engineer and manage the construction
				activity and subcontracts. Prior to final design, the construction management
				firm and the Eligible Applicant negotiate a guaranteed maximum price(s)or firm
				fixed price for the work.
(o)
Cost-effectiveness Analysis.
"Cost-effectiveness Analysis" means
				an analysis performed to determine which waste treatment management system or
				component part necessary to meet federal, state, and local requirements will
				result in the minimum total costs over time.
(p)
Department.
"Department"
				means the Department of Environmental Protection.
(q)
Design Bid-Build (DBB).
"Design-Bid-Build" or "DBB" means a construction delivery method where the
				Eligible Applicant contracts with a design engineer to prepare 100% design
				documents for Competitive Bidding and contracts with a construction contractor
				to construct the Project.
(r)
Effluent Limitation.
"Effluent Limitation" means any restriction
				established by the state or the EPA administrator on quantities, rates, and
				concentrations of chemical, physical, biological, and other constituents which
				are discharged from a Point Source into waters of the state.
(s)
Eligible Applicant.
"Eligible Applicant'' means any interstate agency, city, town, county,
				district, plantation, village corporation, or other public body created by or
				pursuant to state law which has authority to dispose of sewage, industrial
				wastes, or other waste, or is involved in water quality improvement or
				protection, or an authorized Indian tribal organization. "Eligible Applicant"
				includes a privately-owned water quality improvement or protection Project that
				is eligible under Title VI of the Act.
(t)
EPA.
"EPA" means the U. S.
				Environmental Protection Agency.
(u)
Facilities Plan.
"Facilities
				Plan" means plans and studies that directly relate to the treatment works
				needed to comply with all applicable state and federal permits, statutes and
				rules. It consists of a systematic evaluation of alternatives that are feasible
				in light of the unique demographic, topographic, hydrologic and institutional
				characteristics of the area and will demonstrate that the selected alternative
				is cost-effective.
(v)
Financial Assistance.
"Financial Assistance" includes but is not limited
				to, loans by the Bank from the SRF, loans made by the Bank from revenue bond
				proceeds or any other purpose authorized pursuant to
				30-A M.R.S.
				§6006-A in association with a
				Project.
(w)
Fixed-Price
				Design-Build (FPDB)
. "Fixed-Price Design-Build" or "FPDB" means a
				construction delivery method where the Eligible Applicant or their advisor,
				prepares a scope of work which may contain preliminary design documents, then
				solicits proposals from a Design-Builder or a Design-Build team to complete the
				design and construct the Project. The Design-Builder(s) is selected based on
				qualifications and cost to produce the most value for the Eligible Applicant.
				The design and construction cost is set at the time of contract
				award.
(x)
Force
				Account.
"Force Account" means the use of a municipality's own work
				force to design, build or inspect portions of a Project.
(y)
Infiltration.
"Infiltration"
				means water other than wastewater that enters a sewerage system (including
				sewer service connections) from the ground through such means as defective
				pipe, pipe joints, connections, or manholes.
(z)
Inflow.
"Inflow" means water
				other than wastewater that enters a sewerage system (including sewer service
				connections) from sources such as, but not limited to, roof leaders, cellar
				drains, yard drains, area drains, drains from springs and swampy areas, manhole
				covers, cross connections between storm sewers and sanitary sewers, catch
				basins, cooling towers, storm waters, surface runoff, street wash waters, or
				drainage. Inflow does not include, and is distinguished from
				Infiltration.
(aa)
Initiation
				of Operation.
"Initiation of Operation" means the date the treatment
				works or other eligible Project is fully operational or capable of being
				operated as determined by the Department. "Initiation of Operation" may also be
				referred to as "Substantial Completion".
(bb)
Intended Use Plan.
"Intended Use Plan" means a plan identifying the intended uses of the amount of
				funds available for loans in the SRF for each federal fiscal year as described
				in 40 CFR § 3150. The Project Priority List is part of the Intended Use
				Plan.
(cc)
Interceptor
				Sewer.
An "Interceptor Sewer" means a sewer that is designed for one or
				more of the following purposes:
(1) to
				intercept wastewater from a final point in a Collector Sewer and convey such
				wastes directly to a treatment facility or another interceptor;
(2) to replace an existing wastewater
				treatment facility and transport the wastes to an adjoining Collector Sewer or
				Interceptor Sewer for conveyance to a treatment plant;
(3) to transport wastewater from one or more
				municipal Collector Sewers to another municipality or to a Regional Facility
				for treatment; and
(4) to intercept
				an existing major discharge of raw or inadequately treated wastewater for
				transport directly to another interceptor or to a treatment facility.
(dd)
MBE/WBE
				Requirements.
"MBE/WBE Requirements" means federal requirements for the
				participation of minority and women owned business enterprises (MBE/WBE).
				"MBE/WBE" may also be referred to as "DBE" or Disadvantaged Business
				Enterprise.
(ee)
Non-Point
				Source.
"Non-Point Source" means any diffuse, nonconfined source of
				pollution other than Point Source (see definition below).
(ff)
Plans and Specifications (Contract
				Documents).
"Plans and Specifications" or "Contract Documents" means the
				engineering description of the Project including engineering drawings, maps,
				technical specifications, design reports and construction contract documents in
				sufficient detail to allow contractors to bid on the work. "Plans and
				Specifications" may also be referred to as "Contract Documents".
(gg)
Point Source.
A "Point
				Source" means any discernible, confined and discrete conveyance, including but
				not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete
				fissure, container, rolling stock, concentrated animal feeding operation, or
				vessel or other floating craft, from which pollutants are or may be discharged.
				This term does not include agricultural stormwater discharges and return flows
				from irrigated agriculture.
(hh)
Progressive Design-Build (PDB).
"Progressive Design-Build" or
				"PDB" means a construction delivery method where the Eligible Applicant or
				their advisor, prepares a scope of work which may contain preliminary design
				documents, then uses a Qualifications Based Selection process to select a
				design-builder or design-build team to complete the design and possibly the
				construction. Before final design, the design-builder or design-build team and
				the Eligible Applicant negotiate a guaranteed maximum price or firm fixed price
				for the work. If negotiations are successful, the design-builder or team
				completes the design and constructs the Project; if not, the Eligible Applicant
				retains the completed design work and has the option to continue negotiations
				with another design-builder or take the partially completed design and proceed
				with a Design-Bid-Build procurement.
(ii)
Project.
The "Project"
				means the scope of work for which a loan or other Financial Assistance is
				sought by an Eligible Applicant from the SRF.
(jj)
Project Account.
A "Project
				Account" means an account designated by an Eligible Applicant for the
				disbursement of the portion of loan proceeds available for eligible costs of
				construction of a Project from the Construction Fund within the SRF.
(kk)
Project Engineer.
The
				"Project Engineer" means the licensed engineer or engineering firm retained by
				the Eligible Applicant to provide professional engineering services during the
				planning, design, and construction of a Project.
(ll)
Project Priority List.
A
				"Project Priority List" means a list of Projects established by the Department
				pursuant to
				30-A M.R.S.
				§6006-A(3) for which
				SRF assistance may be requested. The Project Priority List is part of the
				Intended Use Plan.
(mm)
Qualifications Based Selection (QBS).
"Qualifications Based
				Selection" or "QBS" is a public procurement process where an Eligible Applicant
				uses the Request for Qualifications (RFQ) process to pre-qualify firms for
				further discussions (which should absence of extenuating circumstances include
				a minimum of three firms), then negotiates the cost for services with the most
				highly qualified firm, and if those negotiations are unsuccessful, the Eligible
				Applicant goes to the next highest qualified firm and negotiates the cost for
				services with that next firm, and so on.
(nn)
Regional Facility.
A
				"Regional Facility" means a wastewater collection and treatment facility, which
				incorporates multiple service areas into an area wide service facility, thereby
				reducing the number of required facilities, or any system which serves an area
				that is other than a single county, city, special district, or other political
				subdivision of the state, the specified size of which is determined by any one
				or combination of population, number of governmental entities served, and
				service capacity. Regional wastewater treatment facilities may also include
				those identified in the approved state water quality management plan and the
				annual updates to that plan.
(oo)
Request for Proposal (RFP).
"Request for Proposal" or "RFP" means
				a public procurement process evaluating both cost and non-cost criteria to rank
				responding firms with the intent of selecting the firm that will provide the
				most value to an Eligible Applicant's Project, and where the criteria are
				assessed a relative weight (percentage/points) and the firm with the most
				points is selected.
(pp)
Request for Qualifications (RFQ).
"Request for Qualifications" or
				"RFQ" means a public solicitation process evaluating non-cost criteria to rank
				responding firms with the intent to pre-qualify firms for further
				consideration. Cost is not a criterion for evaluation in this
				process.
(qq)
State
				Allotment.
The "State Allotment" means the sum allocated or re-allocated
				to the State of Maine for a federal fiscal year, from funds appropriated by
				Congress pursuant to the Act.
(rr)
SRF.
The "SRF" means the Revolving loan fund in Title
				30-A M.R.S.
				§6006-A.
(ss)
Substantial Completion.
"Substantial Completion" means the time at which the construction work (or a
				specified part thereof) has progressed to the point where, in the opinion of
				the Project Engineer, the work is sufficiently complete, in accordance with the
				Contract Documents, so that the work can be utilized for the purposes for which
				it is intended. "Substantial Completion" may also be referred to as "Initiation
				of Operation".
(tt)
Treatment
				Works.
"Treatment Works'' means any devices and systems that are used in
				the storage, treatment, recycling, and reclamation of municipal sewage or
				industrial wastes of a liquid nature to implement section 201 of the Act, 33.
				U.S.C. § 1281, or necessary to recycle or reuse water at the most
				economical cost over the estimated life of the works, including intercepting
				sewers, outfall sewers, sewage collection systems, pumping, power, and other
				equipment, and their appurtenances; extensions, improvements, remodeling,
				additions, and alterations thereof; elements essential to provide a reliable
				recycled supply such as standby treatment units and clear well facilities; and
				acquisition of the land that will be an integrated part of the treatment
				process (including land use for the storage of treated wastewater in land
				treatment systems prior to land application) or will be used for ultimate
				disposal of residues resulting from such treatment and acquisition of other
				land, and interests in land, that are necessary for
				construction.
See
33
				U.S.C. §
											1292(2-A)
				(eff. Oct. 1, 2014).
(uu)
Value Engineering.
"Value Engineering" means a specialized cost
				control technique that uses a systematic and creative approach to identify and
				to focus on unnecessarily high costs in a Project to arrive at a cost saving
				without sacrificing the reliability or efficiency of the Project.
(vv)
Waste Discharge Permit.
A
				"Waste Discharge Permit" means the permit granted by the Department that
				establishes the conditions or limits under which waste may be discharged into
				or adjacent to waters of the state.