RFQ - Preliminary Engineering Church Creek Canton.pdf

TOWN OF CANTON

REQUEST FOR QUALIFICATIONS

Preliminary Engineering:

Church Creek Manufactured Home

Park Improvement Study

New York State CDBG Project Number: 174CP513-25

James Smith, Supervisor Town of Canton 60 Main Street Canton, NY 13617

Issue Date: October 16, 2026 Deadline for submission: November 10, 2026 12pm

Town of Canton, New York Preliminary Engineering: Church Creek Manufactured Home Park Improvement Study RFQ – CDBG Project Number 174CP513-25

I. Summary

INTRODUCTION

The Town of Canton, NY (Town) is seeking qualifications from firms to develop a Preliminary Engineering Report for improvements at the Church Creek Manufactured Home Park at 11 Jameson Road, Canton, NY. A completed Preliminary Engineering Report will adhere to the required guidelines of the New York State Community Development Block Grant (CDBG) Program, and will establish proposed community-wide benefits to the manufactured home park. This project is a collaboration of the Town of Canton and a committed site developer.

A survey of the project site and a detailed outline of the requirements for the Preliminary Engineering Report are attached hereto.

The selected firm must comply with all provisions in the contract between the New York State Department of Homes and Community Renewal (NYS HCR) and the Town, including Minority and Women-Owned Business Enterprises (MWBE) participation. Respondents are expected to indicate how they anticipate demonstrating participation.

PROJECT ORGANIZATION

The selected firm will work in connection with the Canton Office of Community Economic Development (OED) to accomplish the project. File management and grant administration will be handled through the OED.

TENTATIVE PROJECT SCHEDULE

The anticipated timeline for this project is as follows:

- RFQ response deadline November 10, 2026, 12pm

- RFQ review, presentations, selection November 16, 2026

- Board approval November 16, 2026

- Contract signed, notice to proceed issued November 20, 2026

- Project completion May 7, 2027

BUDGET

The development of this project is funded by a grant awarded by NYS HCR through the CDBG program. The proposed budget of this project shall not exceed $35,000.00.

SUBMISSION DEADLINE

All valid submissions must be received by 12pm November 10, 2026.

Submissions, accompanied by a cover letter signed by an authorized officer, must be sent by mail or email by the date and time above to:

Leigh Rodriguez, Director of Economic Development Town of Canton 60 Main Street Canton, NY 13617 lrodriguez@cantonny.gov mailto:lrodriguez@cantonny.gov

Submissions are the property of the Town and will not be returned. Submissions received after the date and time designated will not be considered. Any expenses associated with the preparation of the submissions are the responsibility of the respondents and will not be reimbursed by the Town.

If the submission is sent via US Mail, the envelope containing the submission must be sealed and clearly marked with the project name, company name, and address. Failure to do so many necessitate the premature opening of the submission which may compromise its confidentiality.

AWARD OF CONTRACT

Contract will be awarded to the firm with the most favorable, well-developed submission that follows all guidelines outlined in this RFQ. Selected respondent will be notified within 60 days of the proposal’s due date for submission. Respondent pricing shall be valid for 90 days from the date of submission. The selected respondent will be required to enter into an agreement with the Town.

CONTACT PERSON

Questions concerning this RFQ and/or the work being requested within this RFQ, should be directed in writing, either via hardcopy or email, to the below point of contact:

Leigh Rodriguez, Director of Economic Development Town of Canton, 60 Main Street, Canton, NY 13617

(315) 386-2871 #5 | lrodriguez@cantonny.gov

II. Scope of Work The scope of work will involve completion of a Preliminary Engineering Report for the Church Creek Manufactured Home Park at 11 Jameson Road, Canton, NY, in accordance with the guidelines required by the NYS CDBG program. A detailed outline of these guidelines is attached to this request for qualifications.

III. Project Deliverables and Format Unless otherwise specified, the chosen firm shall submit all project related products in the following formats (as appropriate):

• Draft products: one digital copy of each product must be submitted in Microsoft Word and Adobe Acrobat Portable Document Format (PDF), created using 300 dpi scanning resolution.

• Final products: one electronic copy of each product must be submitted in PDF, created using 300 dpi scanning resolution. In addition, one paper copy of each final product (including reports, designs, maps, drawings, and plans) must be submitted upon request.

• Electronic data for all Geographic Information System-based mapping products and associated spatial data must be submitted in either ArcGIS format, or similar product acceptable to the Town and NYS HCR, and comply with the requirements for Contract GIS products. Formal metadata must be provided with all digital GIS data which includes, at minimum, a file summary/abstract, intended use, data, mailto:lrodriguez@cantonny.gov source data, and author information.

• Electronic data for all designs, drawings, and plans must be submitted in the original software that they were created (such as CAD format or other similar product acceptable to the Town and NYS HCR), as well as in JPG format.

• Photographs and images must be submitted in JPG format with a minimum resolution of 300 dpi and must be dated and captioned with the location and a brief description of the activity being documented and include any associated metadata (including the photo’s GPS location where available).

IV. Proposal Requirements Please organize your response to this RFQ as described in this section. At a minimum, your response should include the following sections:

A) Cover Letter signed by an authorized officer

B) Technical Plan Submissions shall include a narrative description of the approach to the required tasks in the Scope of Work section of this RFQ, including project management. The response must specifically address the approach for public engagement, the planning process, and your strategy for overall success.

Submissions shall also outline resources available to fulfill the project requirements and demonstrate the ability to complete the scope of work within the term of the funding grant contract, which expires on 5/7/2027.

C) Budget Provide a proposed budget that includes a detailed cost estimate for the project (including any additional proposed tasks). The cost breakdown must provide the estimated number of hours dedicated to each task (or sub-task, if applicable). Hourly rates and billing structure used to prepare the proposed budget should also be provided. Periodic and final payments will be tied to the review and acceptance of work products and reports. Firms responding to this RFQ should handle fees on a “not-to-exceed” lump sum basis enumerated on a detailed cost per component area.

D) Schedule Provide a preliminary schedule showing the completion dates for each task.

E) Experience Provide a specific description of your firm’s experience in the North Country Region of New York or New York State with regards to related projects. In particular, identify experience with other CDBG-funded projects your firm may have completed or assisted in. Please provide reference to any supporting documents and contact persons.

F) Project Team Provide a project organization chart that identifies the project manager and the project team members together with sub-consultants and subcontractors if applicable, and include resumes of individuals who will work directly on the project.

G) Minority and Women Owned Business Enterprises (MWBE) Utilization The selected firm shall agree to abide by all applicable Federal, State, and Local Laws, rules, and regulations regarding equal opportunity and affirmative action. The selected firm must explain in the submitted proposal how the objective of using NYS-certified minority and women owned businesses (MWBE) services will be achieved.

Only the use of NYS-certified MWBEs will count towards meeting the MWBE goals for the project.

NYS-certified MWBE contractors should be identified by accessing the NYS MWBE Directory located at https://ny.newnycontracts.com.

Outline your plan to utilize MWBEs including names of MWBE certified firms, work that they will be completing on each task, and/or related costs.

H) Additional Information (Optional) In a separate section of your submission, please include any additional information that you think is relevant to this RFQ and will be helpful to the Town in evaluating your qualifications, e.g., sample of work, etc.

V. Proposal Evaluation & Contract Award It is the Town’s intent to enter into a contract with a firm who best demonstrates the ability and technical plan to expeditiously complete the requirements of this RFQ. The evaluation criteria used for this RFQ are as follows:

1 The submission narrative’s demonstration of ability to complete a project that will accomplish the overall goals; and, 2 The clarity and comprehensiveness of the proposed approach to the entire project; and, 20 3 Expressed understanding of the intended community outcomes of the project; and, 20 4 Experience, professional qualifications, and evidence of project personnel expertise

(contractor and sub-contractors) on similar projects having objectives similar to those described herein; and, 5 Ability to bring the project to a timely conclusion; and, 10 6 Clarity and breakdown of the proposed budget; and, 10 7 MWBE utilization plan. 5

TOTAL 100

A firm will be selected by representatives of the Town and developer. They will evaluate each submission, assessing each firm for each criterion. They will review these assessments and other factors to identify the selected firm.

PRESENTATION BY RESPONDENTS

Presentations may be required of qualified finalists. These presentations will be scheduled for November 12, or 13, 2026, and held via Zoom virtual conference. Finalists will be notified of the date and time.

Presentations will provide an opportunity for the evaluating committee to obtain an understanding of:

https://ny.newnycontracts.com/

● The extent of the firm's depth of knowledge of the subject matter of the RFQ;

● Whether the methods and resources that will be used by the firm in performing services to achieve the project goals and objectives are appropriate and cost effective;

● The firm's ability to draw together specialists and professionals with the necessary skills and experience to contribute to the overall project;

● The primary features and benefits of their proposal;

● The public presentation skills of the proposers; and

● The ability of the firm to enhance work already completed.

Presentation format is left to the discretion of the presenters. Presentations will be limited to a 20-minute period per respondent, which includes questions. All key managerial personnel, as well as key personnel working on the project, should be in attendance at the presentation.

NOTIFICATION OF AWARD

The successful respondent will be notified by phone and/or email. Each respondent whose submission is not accepted will be notified by email.

The Town will authorize the award of a contract to the successful respondent. In the event that a contract cannot be finalized within thirty (30) days of the award, the Town reserves the right to enter into negotiations with another respondent.

The Town may award the work, in whole or in part, to firm(s) to perform the work described herein. The Town reserves the right to reject any bids, waive technicalities, and make the award(s) as deemed in the best interest of the Town.

Issuance of this RFQ does not commit the Town to award any contract, to pay any costs incurred in preparation and/or presentation of a submission, or to procure or contract for services or supplies. All submissions shall become the property of the Town of Canton. The Town reserves the right to, at any time, cancel this RFQ, reject any or all responses to this RFQ, to modify scope of work, to re-advertise for new RFQ responses, or to award contract to any party it deems best. The project related timeline mentioned above is tentative and the Town reserves the right to modify/delay the project timelines, in part or full, as and when it deems necessary.

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Found Concrete Highway Monument 2.5 feet above grade

Found 5/8-inch Rebar Extends 0.5 feet above grade

Found Conrete Highway Monument

Found 5/8-inch Rebar

0.2 feet below grade

Found 5/8-inch Rebar

0.1 feet below grade

Found 5/8-inch Rebar with a 1 1/4-inch diameter yellow plastic cap Marked "Webb Wilhelm Land Surveyors" Extends 1.1 feet above grade

Found 5/8-inch Rebar with a 1 1/4-inch diameter yellow plastic cap

Marked "Wilhelm Chatelle & Towne WCT Surveyors PC Canton, NY" Extends 0.1 feet below grade

Held for Line

Found 5/8-inch Rebar with a 1 1/4-inch diameter yellow plastic cap Marked "Wilhelm Chatelle & Towne WCT Surveyors PC Canton, NY" Extends 0.4 feet above grade Held for Line

Found 5/8-inch Rebar with a 1 1/4-inch diameter yellow plastic cap

Marked "Wilhelm Chatelle & Towne WCT Surveyors PC Canton, NY" Extends 0.4 feet above grade

Found 5/8-inch Rebar with a 1 1/4-inch diameter yellow plastic cap

Marked "Wilhelm Chatelle & Towne WCT Surveyors PC Canton, NY" Extends 0.4 feet above grade

Found 5/8-inch Rebar

0.1 feet below grade

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24.76' (M)

274.68' (M

Found ipfb 3/4 .2-inch Iron Pipe UNKfeet below grade

Found 1/2-inch Iron Pipe Extends 1.0 feet above grade held for line

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Now ro Form erly

Property of

Gerard and Jane Ashley

Liber 1025 Page 1116

Tax Parcel 102.001-1-7

1.25-acre Parcel

Now or Formerly

Property of

Susanne B. and Bryan F. Smith

Instrument No. 2015-00001188

Tax Parcel 102.001-1-9.2

1.333-acre Parcel

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Liber 9 91 - P age 65

Tax P arce l 102.001-1-14

1.62-acre Parce l

Now or F orm erly

Property of

Gary E and Thadine W ight

Liber 9 64 Page 237

Tax P arce l 1 02.001-1-15.1

1.21-acre Parce l

U.S H igh way

(v ari ab le widt h-A sp ha lt)

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Property of

Nancy L. Brown

Instrument No. 2012-00020727

Tax Parcel 102.001-1-16.121

Contains 4.05 Acres

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Mobile Home

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Garage

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Old Route 11 (A sp halt) Varia ble W idth

Southerly Right-o f-W ay o f O ld Route 11 (A sp halt)

North erly

Right-o f-W ay o f O ld Route 11 (A sp halt)

Point of Beginning:

16.683-acre Parcel Northing: 2,087,061.27' Easting: 306,438.49'

N 33°30'20" W

318.78' (D)

322.08' (M

S 54°08'14" W 147.61' (M) 165.00' (D)

N 33°30'20" W

431.71' (M

N 45 °5

0'0 6"

E

4.5

7' (M

N 75°58'38" E 208.93' (M)

S 34°26'21" E

567.46' (M

S 60°27'24" W

310.43' (M

S 19°54'41" E

231.00' (M

S 48°34'39" W 109.24' (M)

S 47°22'18" W 47.09' (M)

S 49°48'28" W

402.26' (M

2 Chs 2 5 Lks

(D)

4 Chs 88 Lks (D)

28.43'

229.67' (D

30.46'

309.22' (D

24.81' (D)

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Property of

New W orld

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LC.

Instr ument N

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Tax P arce l 102.001-1-13.2

NYSDO

T Easem ent

3.67'

428.04'

Jam eson Road (49.5-foot width)

Easterly Right-of-W ay of Jam eson Road

W esterly Right-of-W ay of Jam eson Road

179.60'

27.58'

200.54'

293.65'

29.33'

Unauthorized alteration or addition to a survey map bearing a licensed land surveyors seal is a violation of Section 7209, Subdivision 2 of the New York State Education Law.

Only copies from the original of this survey marked with an original of the surveyor's inked seal or his embossed seal shall be considered to be valid and true copies.

U.S.G.S. Quadrangle Canton, New York

1" = 2000' +/-

DATEDESCRIPTIONREV

PROJECT NUMBER:

DATE:

SCALE:

CHECKED:

DRAWN: Map of Survey Lands of

Joshua D. Crabtree Tax Parcel 102.001-1-9.1

Town of Canton County of St, Lawrence

State of New York1" = 100'

9/6/2024

4730-03-24

P.O. Box 463 6431 US Highway 11

Canton, New York 13617 T: 315/386-2776 F: 315/386-1012

9478 River Road Marcy, New York 13403

T: 315/733-7278 F: 315/797-1957

Copyright © 2024 Thew Associates LS, PLLC - All Rights Reserved

General Notes:

1. The survey on which this map is based, is referenced horizontally to the North American Datum of 1983, 2011 adjustment (NAD83/2011), projected on the New York State Plane Coordinate System (East Zone).

2. North arrow as shown indicates Grid North referenced to NAD83/2011, projected on the New York State Plane Coordinate System (East Zone).

3. The reference horizontal and vertical control station is a Continuously Operating Reference Station designated as Potsdam CORS ARP (NYPD), NYPD was established by the New York State Department of Transportation and last adjusted by the National Geodetic Survey in June 2019.

4. RTK GNSS surveying techniques were utilized to determine the coordinates and elevations of the primary and secondary on-site horizontal control points.

5. The location of subsurface improvements or encroachments are not always known and often must be estimated. If any subsurface improvements or encroachments exist or are shown, the improvements or encroachments are not certified to by the undersigned Surveyor.

6. This survey was completed without the benefit of an abstract of title and is subject to the facts that may be disclosed.

7. The surveyed premises may be affected by encumbrances that are unknown to the undersigned surveyor. The users of this survey map should verify the title with competent title examiners.

8. The surveyed parcel is subject to all covenants, easements, and restrictions of record, if any.

9. The information shown hereon is based on an instrument survey completed on August 19, 2024.

10. Certifications shown hereon are non-transferrable.

N Y S

G ri d

BSH

Project Site

Legend:

Property Line

Road Centerline

Edge of Gravel

Adjoiner Deed Line

Interior Deed Line

Point not Monumented

Set 5/8-inch rebar with a 1 1/4-inch diameter red plastic cap Marked "Thew Associates"

Found Iron (Pipe, Rebar, et cetera)

(M)

(D)

Measured Distance

Deeded Distance

GRAPHIC SCALE

( IN FEET )

1 inch = 100 ft.

100 0 50 100 200 400

Property of Joshua D. Crabtree

Contains: 16.683 acres

All that tract or parcel of land situate in the Town of Canton, County of St. Lawrence, State of New York, and being more precisely described as follows:

Beginning at a point in the center of Old Route 11(variable width), said a point also being the southeasterly corner of a 1.25-acre parcel of land conveyed by Charles K. and Patricia A. McCormick to Gerald and Jane Ashley by deed dated November 16, 1988 and recorded in the St. Lawrence County Clerk's Office on January 6, 1989 in Liber 1025 of Deeds at Page 1116, said point having New York State plane coordinates (NAD83/2011 - East Zone) of 2,087,061.27 feet North and 306,438.49 feet East;

thence along the easterly and northerly lines of said 1.25-acre parcel, the following two courses and distances:

1. North 33 degrees 30 minutes 20 seconds West a distance of 322.08 feet to a set 5/8-inch rebar with a 1 1/4-inch red plastic cap marked “Thew Associates” (herein after referred to as a 5/8-inch rebar), said course passing over a 5/8-inch rebar set at a distance of 28.43 feet;

2. South 54 degrees 08 minutes 14 seconds West a distance of 147.61 feet to a 5/8-inch rebar set on the easterly line of a parcel of land conveyed by Felix O. and Andrea H. Huber to New World Acres, LLC by deed dated May 29, 2018 and recorded in the St. Lawrence County Clerk's Office on June 12, 2018 as Instrument No. 2018-00007147;

thence North 33 degrees 30 minutes 20 seconds West, along the easterly line of New World Acres, LLC, a distance of

431.71 feet to a point on the southerly bounds of U.S. Highway 11 (variable width), said course passing over a 1/2-inch iron pipe (extending 1.0 feet above grade) found at a distance of 428.04 feet;

thence along the southerly bounds of U.S. Highway 11, the following two courses and distances:

1. North 45 degrees 50 minutes 06 seconds East a distance of 874.57 feet to a set 5/8-inch rebar;

2. North 75 degrees 58 minutes 38 seconds East a distance of 208.93 feet to a point in the center of Jameson Road (49.5-foot width), said course passing over a 5/8-rebar set at a distance of 179.60 feet;

thence South 34 degrees 26 minutes 21 seconds East, along the center of Jameson Road, a distance of 567.46 feet to the northeasterly corner of a 1.333-acre parcel of land conveyed by Darlene C. Fornier to Susanne B. and Bryan F. Smith by deed dated January 15, 2015 and recorded in the St. Lawrence County Clerk's Office on February 2, 2015 as Instrument No. 2015-00001188;

thence along the northerly and westerly lines of said 1.333-acre parcel, the following two courses and distances:

1. South 60 degrees 27 minutes 24 seconds West a distance of 310.43 feet to a found 5/8-inch rebar (0.1 feet below grade), said course passing over a 5/8-inch rebar set at a distance of 27.58 feet;

2. South 19 degrees 54 minutes 41 seconds East a distance of 231.00 feet to a point in the center of Old Route 11, said course passing over a 5/8-inch rebar set at a distance of 200.54 feet;

thence along the center of Old Route 11, the following three courses and distances:

1. South 47 degrees 22 minutes 18 seconds West a distance of 47.09 feet to a point;

2. South 48 degrees 34 minutes 39 seconds West a distance of 109.24 feet to a point;

3. South 49 degrees 48 minutes 28 seconds West a distance of 402.26 feet to the Point of Beginning.

To contain 16.683 acres of land, more or less.

Subject to the rights of the public to and within the right-of-way of and Jameson Road.

The above described parcel of land is intended to be the same premises conveyed by Joshua D. Crabtree, as Ancillary Executor of the Last Will and Testament of Gail G. Crabtree to Joshua D. Crabtree by deed dated February 14, 2022 and recorded in the St. Lawrence County Clerk's Office on February 22, 2022 as Instrument No. 2022-00002280.

The above mentioned coordinates, bearings, and distances are referenced to the North American Datum of 1983, 2011 adjustment (NAD83/2011), projected on the New York State Plane Coordinate System (East Zone).

Surveyor's Measured Description

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DETAILED OUTLINE OF A PRELIMINARY ENGINEERING REPORT

Table of Contents

1. PROJECT PLANNING

a. Location

b. Environmental Resources Present

c. Population Trends

d. Community Engagement

2. EXISTING FACILITIES

a. Location Map

b. History

c. Condition of Existing Facilities

d. Financial Status of any Existing Facilities

e. Water/Energy/Waste Audits

3. NEED FOR PROJECT

a. Health, Sanitation, and Security

b. Aging Infrastructure

c. Reasonable Growth

4. ALTERNATIVES CONSIDERED

a. Description

b. Design Criteria

c. Map

d. Environmental Impacts

e. Land Requirements

f. Potential Construction Problems

g. Sustainability Considerations

i. Water and Energy Efficiency

ii. Green Infrastructure

iii. Other

h. Cost Estimates

5. SELECTION OF AN ALTERNATIVE

a. Life Cycle Cost Analysis

b. Non-Monetary Factors

6. PROPOSED PROJECT (RECOMMENDED ALTERNATIVE)

a. Preliminary Project Design

b. Project Schedule

c. Permit Requirements

d. Sustainability Considerations

i. Water and Energy Efficiency

ii. Green Infrastructure

iii. Other

e. Total Project Cost Estimate

f. Annual Operating Budget

i. Income

ii. Annual O&M Costs

iii. Debt Repayments

iv. Reserves

7. CONCLUSIONS AND RECOMMENDATIONS

OCR Outline for Engineering Report 1 03/2022

1. PROJECT PLANNING

Describe the area under consideration. Service may be provided by a combination of central, cluster, and/or centrally managed individual facilities. The description should include information on the following:

a. Location. Provide scale maps and photographs of the project planning area and any existing service areas. Include legal and natural boundaries and a topographical map of the service area.

b. Environmental Resources Present. Provide maps, photographs, and/or a narrative description of environmental resources present in the project planning area that affect design of the project. Environmental review information that has already been developed to meet requirements of NEPA or a state equivalent review process can be used here.

c. Population Trends. Provide U.S. Census or other population data (including references) for the service area for at least the past two decades if available. Population projections for the project planning area and concentrated growth areas should be provided for the project design period. Base projections on historical records with justification from recognized sources.

d. Community Engagement. Describe the utility’s approach used (or proposed for use) to engage the community in the project planning process. The project planning process should help the community develop an understanding of the need for the project, the utility operational service levels required, funding and revenue strategies to meet these requirements, along with other considerations.

2. EXISTING FACILITIES

Describe each part (e.g., processing unit) of the existing facility and include the following information:

a. Location Map. Provide a map and a schematic process layout of all existing facilities.

Identify facilities that are no longer in use or abandoned. Include photographs of existing facilities.

b. History. Indicate when major system components were constructed, renovated, expanded, or removed from service. Discuss any component failures and the cause for the failure. Provide a history of any applicable violations of regulatory requirements.

c. Condition of Existing Facilities. Describe present condition; suitability for continued use; adequacy of current facilities; and their conveyance, treatment, storage, and disposal capabilities. Describe the existing capacity of each component. Describe and reference compliance with applicable federal, state, and local laws. Include a brief analysis of overall current energy consumption. Reference an asset management plan if applicable.

OCR Outline for Engineering Report 2 03/2022

d. Financial Status of any Existing Facilities. (Note: Some agencies require the owner to submit the most recent audit or financial statement as part of the application package.)

Provide information regarding current rate schedules, annual O&M cost (with a breakout of current energy costs), other capital improvement programs, and tabulation of users by monthly usage categories for the most recent typical fiscal year. Give status of existing debts and required reserve accounts.

e. Water/Energy/Waste Audits. If applicable to the project, discuss any water, energy, and/or waste audits which have been conducted and the main outcomes.

3. NEED FOR PROJECT

Describe the needs in the following order of priority:

a. Health, Sanitation, and Security. Describe concerns and include relevant regulations and correspondence from/to federal and state regulatory agencies. Include copies of such correspondence as an attachment to the Report.

b. Aging Infrastructure. Describe the concerns and indicate those with the greatest impact. Describe water loss, inflow and infiltration, treatment or storage needs, management adequacy, inefficient designs, and other problems. Describe any safety concerns.

c. Reasonable Growth. Describe the reasonable growth capacity that is necessary to meet needs during the planning period. Facilities proposed to be constructed to meet future growth needs should generally be supported by additional revenues.

Consideration should be given to designing for phased capacity increases. Provide number of new customers committed to this project.

4. ALTERNATIVES CONSIDERED

This section should contain a description of the alternatives that were considered in planning a solution to meet the identified needs. Documentation of alternatives considered is often a Report weakness. Alternative approaches to ownership and management, system design (including resource efficient or green alternatives), and sharing of services, including various forms of partnerships, should be considered. In addition, the following alternatives should be considered, if practicable: building new centralized facilities, optimizing the current facilities (no construction), developing centrally managed decentralized systems, including small cluster or individual systems, and developing an optimum combination of centralized and decentralized systems.

Alternatives should be consistent with those considered in the NEPA, or state equivalent, environmental review. Technically infeasible alternatives that were considered should be mentioned briefly along with an explanation of why they are infeasible, but do not require full analysis. For each technically feasible alternative, the description should include the following information:

a. Description. Describe the facilities associated with every technically feasible alternative. Describe source, conveyance, treatment, storage, and distribution facilities for each alternative. A feasible system may include a combination of centralized and decentralized (on-site or cluster) facilities.

b. Design Criteria. State the design parameters used for evaluation purposes. These parameters should comply with federal, state, and agency design policies and regulatory requirements.

OCR Outline for Engineering Report 3 03/2022

c. Map. Provide a schematic layout map to scale and a process diagram if applicable. If applicable, include future expansion of the facility.

d. Environmental Impacts. Provide information about how the specific alternative may impact the environment. Describe only those unique direct and indirect impacts on floodplains, wetlands, other important land resources, endangered species, historical and archaeological properties, etc., as they relate to each specific alternative evaluated. Include generation and management of residuals and wastes.

e. Land Requirements. Identify sites and easements required. Further specify whether these properties are currently owned, to be acquired, leased, or have access agreements.

f. Potential Construction Problems. Discuss concerns such as subsurface rock, high water table, limited access, existing resource or site impairment, or other conditions which may affect cost of construction or operation of facility.

g. Sustainability Considerations. Sustainable utility management practices include environmental, social, and economic benefits that aid in creating a resilient utility.

i. Water and Energy Efficiency. Discuss water reuse, water efficiency, water conservation, energy efficient design (i.e., reduction in electrical demand), and/or renewable generation of energy, and/or minimization of carbon footprint, if applicable to the alternative. Alternatively, discuss the water and energy usage for this option as compared to other alternatives.

ii. Green Infrastructure. Discuss aspects of project that preserve or mimic natural processes to manage stormwater, if applicable to the alternative. Address management of runoff volume and peak flows through infiltration, evapotranspiration, and/or harvest and use, if applicable.

iii. Other. Discuss any other aspects of sustainability (such as resiliency or operational simplicity) that are incorporated into the alternative, if applicable.

h. Cost Estimates. Provide cost estimates for each alternative, including a breakdown of the following costs associated with the project: construction, non- construction, and annual O&M costs. A construction contingency should be included as a non-construction cost. Cost estimates should be included with the descriptions of each technically feasible alternative. O&M costs should include a rough breakdown by O&M category (see example below) and not just a value for each alternative. Information from other sources, such as the recipient’s accountant or other known technical service providers, can be incorporated to assist in the development of this section. The cost derived will be used in the life cycle cost analysis described in Section 5 a.

OCR Outline for Engineering Report 4 03/2022

Example O&M Cost Estimate

Personnel (i.e., Salary, Benefits, Payroll Tax, Insurance, Training)

Administrative Costs (e.g., office supplies, printing, etc.)

Water Purchase or Waste Treatment Costs Insurance Energy Cost (Fuel and/or Electrical) Process Chemical Monitoring & Testing Short Lived Asset Maintenance/Replacement* Professional Services Residuals Disposal Miscellaneous Total

* See Appendix A for example list

5. SELECTION OF AN ALTERNATIVE

Selection of an alternative is the process by which data from the previous section, “Alternatives Considered” is analyzed in a systematic manner to identify a recommended alternative. The analysis should include consideration of both life cycle costs and non-monetary factors (i.e., triple bottom line analysis: financial, social, and environmental). If water reuse or conservation, energy efficient design, and/or renewable generation of energy components are included in the proposal provide an explanation of their cost effectiveness in this section.

a. Life Cycle Cost Analysis. A life cycle present worth cost analysis (an engineering economics technique to evaluate present and future costs for comparison of alternatives) should be completed to compare the technically feasible alternatives.

Do not leave out alternatives because of anticipated costs; let the life cycle cost analysis show whether an alternative may have an acceptable cost. This analysis should meet the following requirements and should be repeated for each technically feasible alternative. Several analyses may be required if the project has different aspects, such as one analysis for different types of collection systems and another for different types of treatment.

i. The analysis should convert all costs to present day dollars.

ii. The planning period to be used is recommended to be 20 years but may be any period determined reasonable by the engineer and concurred on by the state or federal agency.

iii. The discount rate to be used should be the “real” discount rate taken from Appendix C of OMB circular A-94;

iv. The total capital cost (construction plus non-construction costs) should be included.

v. Annual O&M costs should be converted to present day dollars using a uniform series present worth (USPW) calculation.

https://www.whitehouse.gov/wp-content/uploads/2020/12/2020_Appendix-C.pdf

OCR Outline for Engineering Report 5 03/2022

vi. The salvage value of the constructed project should be estimated using the anticipated life expectancy of the constructed items using straight line depreciation calculated at the end of the planning period and converted to present day dollars.

vii. The present worth of the salvage value should be subtracted from the present worth costs.

viii. The net present value (NPV) is then calculated for each technically feasible alternative as the sum of the capital cost (C) plus the present worth of the uniform series of annual O&M (USPW (O&M)) costs minus the single payment present worth of the salvage value (SPPW(S)):

NPV = C + USPW (O&M) – SPPW (S)

ix. A table showing the capital cost, annual O&M cost, salvage value, present worth of each of these values, and the NPV should be developed for state or federal agency review. All factors (major and minor components), discount rates, and planning periods used should be shown within the table.

x. Short lived asset costs (See Appendix A for examples) should also be included in the life cycle cost analysis if determined appropriate by the consulting engineer or agency. Life cycles of short-lived assets should be tailored to the facilities being constructed and be based on generally accepted design life. Different features in the system may have varied life cycles.

b. Non-Monetary Factors. Non-monetary factors, including social and environmental aspects (e.g., sustainability considerations, operator training requirements, permit issues, community objections, reduction of greenhouse gas emissions, wetland relocation) should also be considered in determining which alternative is recommended and may be factored into the calculations.

6. PROPOSED PROJECT (RECOMMENDED ALTERNATIVE)

The engineer should include a recommendation for which alternative(s) should be implemented. This section should contain a fully developed description of the proposed project based on the preliminary description under the evaluation of alternatives. Include a schematic for any treatment processes, a layout of the system, and a location map of the proposed facilities. At least the following information should be included as applicable to the specific project:

a. Preliminary Project Design.

i. Drinking Water:

• Water Supply. Include requirements for quality and quantity. Describe recommended source, including site and allocation allowed.

OCR Outline for Engineering Report 6 03/2022

• Treatment. Describe process in detail (including whether adding, replacing, or rehabilitating a process) and identify location of plant and site of any process discharges. Identify capacity of treatment plant (i.e., Maximum Daily Demand).

• Storage. Identify size, type and location.

• Pumping Stations. Identify size, type, location and any special power requirements. For rehabilitation projects, include description of components upgraded.

• Distribution Layout. Identify general location of new pipe, replacement, or rehabilitation: lengths, sizes, and key components.

ii. Wastewater/Reuse:

• Collection System/Reclaimed Water System Layout. Identify general location of new pipe, replacement, or rehabilitation: lengths, sizes, and key components.

• Pumping Stations. Identify size, type, site location, and any special power requirements. For rehabilitation projects, include description of components upgraded.

• Storage. Identify size, type, location, and frequency of operation.

• Treatment. Describe process in detail (including whether adding, replacing, or rehabilitating a process) and identify location of any treatment units and site of any discharges (end use for reclaimed water). Identify capacity of treatment plant (i.e., Average Daily Flow).

viii. Solid Waste:

• Collection. Describe process in detail and identify quantities of material (in both volume and weight), length of transport, location and type of transfer facilities, and any special handling requirements.

• Storage. If any, describe capacity, type, and site location.

• Processing. If any, describe capacity, type, and site location.

• Disposal. Describe process in detail and identify permit requirements, quantities of material, recycling processes, location of plant, and site of any process discharges.

ix. Stormwater:

• Collection System Layout. Identify general location of new pipe, replacement, or rehabilitation: lengths, sizes, and key components.

• Pumping Stations. Identify size, type, location, and any special power requirements.

OCR Outline for Engineering Report 7 03/2022

• Treatment. Describe treatment process in detail. Identify location of treatment facilities and process discharges. Capacity of treatment process should also be addressed.

• Storage. Identify size, type, location and frequency of operation. Disposal.

Describe type of disposal facilities and location.

• Green Infrastructure. Provide the following information for green infrastructure alternatives:

• Control Measures Selected. Identify types of control measures selected (e.g., vegetated areas, planter boxes, permeable pavement, rainwater cisterns).

• Layout: Identify placement of green infrastructure control measures, flow paths, and drainage area for each control measure.

• Sizing: Identify surface area and water storage volume for each green infrastructure control measure. Where applicable, soil infiltration rate, evapotranspiration rate, and use rate (for rainwater harvesting) should also be addressed.

• Overflow: Describe overflow structures and locations for conveyance of larger precipitation events.

b. Project Schedule. Identify proposed dates for submittal and anticipated approval of all required documents, land and easement acquisition, permit applications, advertisement for bids, loan closing, contract award, initiation of construction, substantial completion, final completion, and initiation of operation.

c. Permit Requirements. Identify any construction, discharge and capacity permits that will/may be required because of the project.

d. Sustainability Considerations (if applicable).

i. Water and Energy Efficiency. Describe aspects of the proposed project addressing water reuse, water efficiency, and water conservation, energy efficient design, and/or renewable generation of energy, if incorporated into the selected alternative.

ii. Green Infrastructure. Describe aspects of project that preserve or mimic natural processes to manage stormwater, if applicable to the selected alternative. Address management of runoff volume and peak flows through infiltration, evapotranspiration, and/or harvest and use, if applicable.

iii. Other. Describe other aspects of sustainability (such as resiliency or operational simplicity) that are incorporated into the selected alternative, if incorporated into the selected alternative.

e. Total Project Cost Estimate (Engineer’s Opinion of Probable Cost). Provide an itemized estimate of the project cost based on the stated period of construction. Include construction, land and rights-of-way, legal, engineering, construction program management, funds administration, interest, equipment, construction contingency, refinancing, and other costs associated with the proposed project. The construction subtotal should be separated out from the non-construction costs. The non-construction subtotal should be included and added to the construction subtotal to establish the total project cost. An appropriate construction contingency should be added as part of the non-

OCR Outline for Engineering Report 8 03/2022 construction subtotal. For projects containing both water and waste disposal systems, provide a separate cost estimate for each system as well as a grand total. If applicable, the cost estimate should be itemized to reflect cost sharing including apportionment between funding sources. The engineer may rely on the owner for estimates of cost for items other than construction, equipment, and engineering.

f. Annual Operating Budget. Provide itemized annual operating budget information. The owner has primary responsibility for the annual operating budget, however, there are other parties that may provide technical assistance. This information will be used to evaluate the financial capacity of the system. The engineer will incorporate information from the owner’s accountant and other known technical service providers.

i. Income. Provide information about all sources of income for the system including a proposed rate schedule. Project income realistically for existing and proposed new users separately, based on existing user billings, water treatment contracts, and other sources of income. In the absence of historic data or other reliable information, for budget purposes, base water uses on 100 gallons per capita per day. Water use per residential connection may then be calculated based on the most recent U.S. Census, American Community Survey, or other data for the state or county of the average household size. When large agricultural or commercial users are projected, the Report should identify those users and include facts to substantiate such projections and evaluate the impact of such users on the economic viability of the project.

ii. Annual O&M Costs. Provide an itemized list by expense category and project costs realistically. Provide projected costs for operating the system as improved. In the absence of other reliable data, based on actual costs of other existing facilities of similar size and complexity. Include facts in the Report to substantiate O&M cost estimates. Include personnel costs, administrative costs, water purchase or treatment costs, accounting and auditing fees, legal fees, interest, utilities, energy costs, insurance, annual repairs, and maintenance, monitoring and testing, supplies, chemicals, residuals disposal, office supplies, printing, professional services, and miscellaneous as applicable. Any income from renewable energy generation which is sold back to the electric utility should also be included, if applicable. If applicable, note the operator grade needed.

iii. Debt Repayments. Describe existing and proposed financing with the estimated amount of annual debt repayments from all sources. All estimates of funding should be based on loans, not grants.

iv. Reserves. Describe the existing and proposed loan obligation reserve requirements for the following:

• Debt Service Reserve – For specific debt service reserve requirements consult with individual funding sources. If General Obligation bonds are proposed to be used as loan security, this section may be omitted, but this should be clearly stated if it is the case.

GENERAL OUTLINE OF A PRELIMINARY ENGINEERING REPORT

OCR Outline for Engineering Report 9 03/2022

Short-Lived Asset Reserve – A table of short-lived assets should be included for the system (See Appendix A for examples). The table should include the asset, the expected year of replacement, and the anticipated cost of each. Prepare a recommended annual reserve deposit to fund replacement of short-lived assets, such as pumps, paint, and small equipment. Short-lived assets include those items not covered under O&M; however, this does not include facilities such as a water tank or treatment facility replacement that are usually funded with long-term capital financing.

7. CONCLUSIONS AND RECOMMENDATIONS

Provide any additional findings and recommendations that should be considered in development of the project. This may include recommendations for special studies, highlighting of the need for special coordination, a recommended plan of action to expedite project development, and any other necessary considerations.

GENERAL OUTLINE OF A PRELIMINARY ENGINEERING REPORT

OCR Outline for Engineering Report 10 03/2022

Appendix A: Example List of Short-Lived Asset Infrastructure

Estimated Repair, Rehab, Replacement Expenses by Item within up to 20 Years from Installation)

Drinking Water Utilities Wastewater Utilities

Source Related Treatment Related

Pumps Pump

Pump Controls Pump Controls

Pump Motors Pump Motors

Telemetry Chemical feed pumps

Intake/ Well screens Membrane Filters Fibers

Water Level Sensors Field & Process Instrumentation Equipment

Pressure Transducers UV lamps

Treatment Related Centrifuges

Chemical feed pumps Aeration blowers

Altitude Valves Aeration diffusers and nozzles

Valve Actuators Trickling filters, RBCs, etc.

Field & Process Instrumentation Equipment Belt presses & driers

Granular filter media Sludge Collecting and Dewatering Equipment

Air compressors & control units Level Sensors

Pumps Pressure Transducers

Pump Motors Pump Controls

Pump Controls Back‐up power generator

Water Level Sensors Chemical Leak Detection Equipment

Pressure Transducers Flow meters

Sludge Collection & Dewatering SCADA Systems

UV Lamps Collection System Related

Membranes Pump

Back‐up power generators Pump Controls

Chemical Leak Detection Equipment Pump Motors

Flow meters Trash racks/bar screens

SCADA Systems Sewer line rodding equipment

Distribution System Related Air compressors

Residential and Small Commercial Meters Vaults, lids, and access hatches

Meter boxes Security devices and fencing

Hydrants & Blow offs Alarms & Telemetry

Pressure reducing valves Chemical Leak Detection Equipment

Cross connection control devices

Altitude valves

Alarms & Telemetry

Vaults, lids, and access hatches

Secur…