PGCP Chapter 5 The Aquisition Co : simplebooklet.com

Preface The first edition of A Practical Guide to Capital Projects was published in the BC Region in early 2000 The Practical Guide was one of several initiatives implemented to respond to BC First Nations requests to improve the capital project approval process This edition updates the original edition to reflect changes in the program and provides additional information about capital project approvals A Practical Guide to Capital Projects will be updated as required and will be distributed to First Nations as new editions are published The Guide is intended for the administrators and capital program managers of First Nations and Indigenous organizations First Nations project consultants and Indigenous Services Canada ISC staff It contains information on BC Region s Capital Program process and capital project submission requirements Users of the Guide should refer to the ISC BC Region Program Guide for annual updates regarding BC Region s capital budgets and funding process schedules Your suggestions for improvement will continue to play an important role in adapting this guide to meet your needs Any questions and or feedback concerning this publication can be directed to Nathalie Lapierre Manager Infrastructure Development Community Infrastructure Directorate Indigenous Services Canada BC Region 600 1138 Melville Street Vancouver BC V6E 4S3 Telephone 604 666 0351 Facsimile 604 775 7149 Email Nathalie Lapierre2 canada ca A Practical Guide to Capital Projects v

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Table of Contents Preface v Table of Contents vi Glossary of Abbreviations viii Definitions xi The Acquisition Construction Stage of a Capital Project Introduction 1 5 1 Construction Stage Funding Application PAR 4 5 2 Project Approval Request for Construction PAR Review 9 5 2 1 Capital Management Officer Review 9 5 2 2 Engineer Review 9 5 3 Construction Stage Funding Application Process at ISC 12 5 4 Construction Stage Deliverables 13 5 5 Construction Analysis by First Nations 15 5 6 Construction Stage Deliverable Review by ISC 17 5 6 1 Capital Management Officer 17 5 6 2 Senior Engineer 17 5 7 Construction Stage Processing by ISC 18 Appendices 1 Project Approval Request for Construction PAR 23 2 ISC Environmental Review Process 39 2A ISC Environmental Review Process Summary 41 2B Generic Terms of Reference for Environmental Assessment 43 2C Projects Environmental Assessment Scoping Report 49 3 Project Implementation 53 3A Guidelines for Hiring an Independent Project Manager 55 3B DISC Guidelines for First Nations Engaging a Consultant 61 3C Sample Consultant Evaluation Matrix with Selection Criteria and Weightings 65 3D ISC Sample Professional Services Contract CN2 Template 67 3E Advice on Hiring a Professional Engineer or Professional Geoscientist 69 vi A Practical Guide to Capital Projects

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Glossary of Abbreviations ACEC Association of Consulting Engineering Companies ACRS Asset Condition Reporting System now incorporated into ICMS AIBC Architectural Institute of British Columbia API Annual Performance Inspection ARFA Aboriginal Recipient Funding Agreement varying durations ARFA Block Aboriginal Recipient Funding Agreement Block Agreements varying durations CAIS Capital Asset Inventory System now incorporated into ICMS CCP Comprehensive Community Plan CDP Community Development Plan CEAA Canadian Environmental Assessment Act 2012 CEAP Canada s Economic Action Plan CFMP Capital Facilities and Maintenance Program CID Community Infrastructure Directorate CIDMS Comprehensive Integrated Document Management System CMO Capital Management Officer CPMS Capital Project Management System in transition to ICMS CPRD Capital Facilities Management Program Record Document CRM Cost Reference Manual CRTP Circuit Rider Training Program CSA Canadian Standards Association CSMP Contaminated Sites Management Program DAR Design Approval Request DCI Data Collection Instrument DWA Drinking Water Advisory EHO Environmental Health Officer with First Nations Health Authority EIA Environmental Impact Assessment EIF Education Infrastructure Fund ERP Environmental Review Process ESA Environmental Site Assessment FAR Feasibility Approval Request FL Funding Limit viii A Practical Guide to Capital Projects

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Glossary of Abbreviations FNESS First Nations Emergency Services Society FNIF First Nations Infrastructure Fund FNIIP First Nation Infrastructure Investment Plan FNLMI First Nations Land Management Initiative FNWWEP First Nations Water and Wastewater Enhanced Program FS Funding Services GCIMS Grants and Contributions Information Management System previ ously FNITP NAHS New Approach for Housing Support ICMS Integrated Capital Management System IEMS Integrated Environmental Management System ISC Indigenous Services Canada KPI Key Performance Indicator LCC Life Cycle Costs LED Lands and Economic Development LOSS Level of Service Standard LTCP Long Term Capital Plan MCF Management Control Framework MTSA Municipal Type Service Agreement NFNIIP National First Nations Infrastructure Investment Plan O M Operations and Maintenance OQM Organizational Quality Management P P Programs and Partnerships PAR Project Approval Request for Construction PDP Physical Development Plan PIFI Protocol for ISC Funded Infrastructure previously PAFI RAT Risk Assessment Tool RFNIIP Regional First Nations Infrastructure Investment Plan RFP Request for Proposal RSU Resource Services Unit with Funding Services SDWFNA Safe Drinking Water for First Nations Act SE Senior Engineer and or Specialist Engineer A Practical Guide to Capital Projects ix

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Definitions A Base Funding Recurring set of funds approved by the Treasury Board to ISC at the onset of each budget period for the ongoing delivery of existing programs This funding includes a Vote 1 component for internal department operations and a Vote 10 component for contributions toward on reserve infrastructure B Base Funding or Targeted Funding Funding designed to support specific projects or initiatives such as the First Nations Water and Wastewater Action Plan This funding is provided under individual budget authorities and expires at a predetermined date which can be subsequently renewed or extended Specific terms and conditions are generally attached with utilizing B Base funding Annual Performance Inspection API Yearly inspection of on reserve water and wastewater systems by consulting engineers to assess system performance factors to determine risk levels as per requirements of the Protocol Asset Condition Reporting System ACRS Inspection conducted once every three years to assess the general condition of on reserve infrastructure assets identify the repair and reconstruction needs for these assets and assess the general level of operations and maintenance performance The inspection is for community assets which receive ISC operation and maintenance subsidy funding This inspection can provide information to substantiate the identification of capital project funding Banking Day Monthly meeting at ISC BC Region to review eligible capital projects against the regional infrastructure investment plan and the availability of funds The first priority for approving funding of projects would be for the projects identified in Year One of the Regional First Nation Infrastructure Investment Plan The banking day meeting is also used to assess emerging pressures against the remaining budget A Practical Guide to Capital Projects xi

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Definitions Canadian Environmental Assessment Act 2012 CEAA 2012 Replaces the Canadian Environmental Assessment Act CEAA2012 Includes federal provisions for considering the environmental impacts of projects constructed on First Nations lands before taking any actions that would allow the project to proceed An Environmental Review Process ERP has been developed by ISC to assess every capital project in order to meet the legislative requirements of CEAA 2102 Capital Management Officer CMO Works with the Senior Engineer as the primary capital project contacts for a specific First Nation Capital Management Officers focus on project financial items and FNIIP development Each First Nation is assigned a Capital Management Officer Capital Facilities and Maintenance Program CFMP Incorporates three program activity areas namely the planning of capital infrastructure investments the approval and delivery of on reserve capital infrastructure and the ongoing operation and maintenance of that infrastructure The program financially supports First Nations by providing transfer payments through the mechanics of funding agreements CFM Program Record Document CPRD Internal ISC document managed by the Capital Management Officer used to track project costs and project funding requests Community Development Plan CDP a planning document generally developed after the Comprehensive Community Plan CCP is completed and is intended to create a structured process to transition from the long term goals and objectives generated in the CCP process toward the planning assessment and implementation of community infrastructure improvements to support the CCP vision Comprehensive Community Plan CCP Expresses the vision of the First Nation members for the sustainability and growth of their community Developing a CCP establishes long term community objectives for all facets of community involvement e g social education economic land use infrastructure and identifies strategies targets and priorities for achieving those objectives xii A Practical Guide to Capital Projects

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Definitions Construction Management CM Project construction strategy where the First Nation is the general contractor and hires a professional construction manager to directly manage the project construction process Elements of a project are usually separated on a trade by trade basis and are implemented using competitively awarded tender processes or by using First Nations own employment forces The First Nation assumes the responsibility for project risks such as increasing material prices bankruptcy of subtrades schedule delays health and safety management warranty issues etc ISC does not support the construction management procurement process for building projects greater than 2 0M construction cost or infrastructure projects greater than 500 0K construction cost Contract Documents Generally prepared by professional consultants to fully describe a project and the associated contractual arrangements and are used to obtain quotations bids tenders from general contractors and subtrade contractors Contract documents normally include Instructions to Tenderers a Tender Form used by a contractor to submit a quotation tender a copy of the proposed contractual agreement between the owner and the contractor definitions section general conditions of a contract supplementary conditions of a contract specifications and contract drawings Cost Thresholds Established cost criteria for evaluating investment costs of water and wastewater projects based on geographic remoteness indicators Zones 1 2 3 and 4 Costs are based on unit cost per connection and cost per capita and increase with remoteness i e higher Zone number Project approval levels can be determined by comparing project unit costs to the cost threshold numbers Exceeding the cost threshold number will result in more project scrutiny and project approvals at higher authority levels Design Approval Request DAR Project submission document sent to ISC by a First Nation requesting capital project funds to implement the design stage of a project Feasibility Approval Request FAR Project submission document sent to ISC by a First Nation requesting capital project funds to carry out a feasibility study A Practical Guide to Capital Projects xiii

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Definitions First Nations Infrastructure Investment Plan FNIIP DCI 460674 GCIMS An annual report submitted by First Nations which identifies capital projects that the First Nation is planning on implementing in the upcoming five years The Plan will update progress on current projects and identify a proposed schedule and budget for new projects The investment plan process is a useful tool for First Nations to plan capital projects for the long term benefit of their community The FNIIP is designed to apply a consistent approach to short and medium term planning budget forecasts and to support project funding decisionmaking for regional ISC offices Funding Services Officer FSO Primary First Nation contact for funding agreement implementation and the associated transfer of funds to the First Nation for capital project payments Each First Nation is assigned a Funding Services Officer Grants and Contributions Information Management System GCIMS previously FNITP Web enabled transfer payment management system that automates transfer payment business processes manages funding agreement information and provides on line access for First Nations and other funding recipients Its primary function is to effectively manage transfer payments of departmental grants and contributions to recipients General Contractor A general contractor is chosen using a tender process to construct a project under the terms of a construction contract with the First Nation The general contractor is responsible for coordinating all trades and assumes all risks The First Nation s professional consultant administers the contract between the First Nation and the general contractor Halt List List of First Nations who have not met funding agreement conditions or capital project reporting requirements as identified in GCIMS First Nations on the Halt List are generally ineligible to receive additional capital funding allocations xiv A Practical Guide to Capital Projects

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Definitions Integrated Capital Management System ICMS National database system used to implement the Capital Facilities and Maintenance Program CFMP The Project Tracking Module documents all aspects of capital project development for a specific First Nation including FNIIP planning project approvals and capital funding Integrated Environmental Management System IEMS National database system which tracks all environmental decisions processed under ISC s Environmental Review Process ERP Land Encumbrance Check LEC Confirmation of land tenure ownership rights and infringements relating to specific parcels of on reserve land Level of Service Standards LOSS Infrastructure system facility performance criteria which ISC is willing to fund from its capital program to support the development of First Nations community infrastructure Life Cycle Costs LCC A mathematical procedure which calculates the total costs e g construction operation maintenance major maintenance and disposal of an asset in terms of a present value which reflects the effects of monetary interest and price escalation A LCC analysis provides a hypothetical method of comparing competing options on the basis of total costs over the lifetime of the facility Long Term Capital Plan LTCP Long range structured plan for implementing community capital projects showing estimated project costs and proposed project development years Plan should be minimum duration of five years and preferably ten years or longer The LTCP should include all community capital projects in contrast to the FNIIP which only needs to include ISC funded projects Major Capital Project Projects where the total ISC funding contribution is greater than 1 5 million Minor Capital Project Projects where the total ISC funding contribution is less than 1 5 million A Practical Guide to Capital Projects xv

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Definitions Mitigation Measures Compliance Form Form submitted at the end of a project to substantiate that the mitigation measures prescribed in the environmental review process were incorporated into the project design and tender documents and implemented during the construction of the project The Mitigation Measures Compliance Form is not required for projects that underwent Minor Review only Projects that underwent a Simple Environmental Review may require a Mitigation Measures Compliance Form at ISC s ISCretion Projects that underwent a Detailed Environmental Review will require a Mitigation Measures Compliance Form Municipal Type Service Agreement MTSA An agreement between a First Nation and a local government e g municipality or regional district or a private contractor for providing municipal type services such as water supply fire suppression wastewater disposal solid waste disposal National First Nation Infrastructure Investment Plan NFNIIP National roll up of all regional infrastructure investment plans which is subject to ISC senior management approval The objective of the NFNIIP is to provide a consistent national approach for the expenditure of capital program funds to A Establish and implement national priorities which will Protect and maintain existing assets with an emphasis on health and safety Mitigate health and safety risks through new and existing assets Address water and sewer project backlogs Include other priorities such as investing in sustainable communities and community assets in order to resolve claims or self government agreements B Strengthen ISC s capital management regime and priority ranking criteria to ensure that all capital and related O M funding is used to meet the national priorities C Strengthen and standardize procedures and information systems nationally D Ensure sufficient administration capacity to support an effective capital management regime E Ensure that adequate management controls are in place for all capital projects that include federal funding xvi A Practical Guide to Capital Projects

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Definitions Project Approval Request for Construction PAR Project submission document sent to ISC by a First Nation requesting capital project funds to implement the construction and postconstruction stages of a project Organisational Quality Management OQM Voluntary program sponsored by Engineers and Geoscientists BC where certified engineering firms have committed to an established quality control framework within the workings of their organisations A list of certified OQM firms is available on the Engineers and Geoscientists BC website Regional First Nation Infrastructure Investment Plan RFNIIP ISC s departmental regional roll up of all BC First Nations Infrastructure Investment plans which matches First Nation identified projects project priorities and available regional funding The RFNIIP is approved by the BC Regional Director General and sent to Ottawa to be rolled up into the NFNIIP Risk Assessment Tool RAT Internal ISC risk assessment tabulation document required for all projects with an ISC financial contribution 1 5M The document will assess potential project implementation risks and generated mitigation strategies if risks are rated as medium or high Senior Capital Advisor Provides project selection assistance to an assigned team of CMOs Senior Engineer SE Works with the Capital Management Officer to process project proposals received from First Nations Senior Engineers focus on project technical items Each First Nation is assigned a Senior Engineer Specialist Engineer Specialist engineers available to provide advice and assistance to First Nations Senior Engineers and Capital Management Officers for projects related to their specialty e g water treatment wastewater treatment environmental A Practical Guide to Capital Projects xvii

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The Acquisition Construction Stage of a Capital Project An overview of the Acquisition and Construction Stage of a Capital Project Introduction This Practical Guide to Capital Projects has been developed for use by First Nations First Nations consultants and ISC employees The objective of the guide is to clearly identify capital project submission requirements to provide a road map for project development and to promote consistent decision making for the successful implementation of capital projects The guide deals exclusively with the planning design and construction of community infrastructure assets and facilities Funding processes related to other components of the capital facilities and maintenance program CFMP program such as schools housing and operation and maintenance funding are covered in other documents The guide has been organized to facilitate the preparation of project funding applications Chapter 1 is an overview of the BC Region ISC Capital Program including a step by step description of the project approval process Chapter 2 describes processes for identifying a capital project Chapters 3 through 6 describe the funding application requirements the deliverables and expected results for each stage of a capital project cycle feasibility design construction and post construction Appendices are at the end of the document containing pertinent information for quick reference by the users The Acquisition Construction of a Capital Project 1 5

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The construction stage is when actual physical construction is started and completed At the beginning of this stage a bid process determines the cost of the project using the design completed in the design stage Completion of this stage will result in a project which meets the requirements of the First Nation The construction stage funding application will include funds to complete all work required for the construction stage and for the post construction stage There will not be a separate funding application for the postconstruction stage The proposal for professional consultant services identifying services for the construction stage must also include services required for post construction stage deliverables 2 The Acquisition Construction of a Capital Project

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Figure 1 Work flow for Capital Project Approval Process Design Stage Final Processing ISC Acquisition Construction Stage Deliverables First Nations Acquisition Construction Post Construction Stage Funding Application Preparation and Submission First Nations Construction Stage Analysis First Nations Acquisition Construction Post Construction Stage Funding Application Review ISC Construction Stage Deliverable Review ISC Acquisition Construction Post Construction Stage Financial Application Funding ISC Construction Stage Final Processing ISC Project Construction First Nations Contractor Post Construction Stage Deliverables First Nations The Acquisition Construction of a Capital Project 3

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5 1 Construction Stage Funding Application PAR A construction stage funding application labeled a Project Approval Request PAR for Construction is required for all capital projects except Group 2 ACRS projects and small O M projects and will incorporate a funding request for completing both the construction stage and the post construction stage The amount of information provided in the PAR is intended to match the size and complexity of the project Generating a PAR will be a systematic progression from generating a Design Approval Request DAR to start the design stage See Appendix 1 Project Approval Request for Construction PAR for guidance on completing a PAR A First Nation will generally apply for construction stage funding PAR concurrently with submitting final design stage deliverables to ISC Submission of a PAR formally triggers the construction stage funding request application process If a First Nation has a RFNIIP project scheduled for construction in the following fiscal year the funding application PAR should be submitted in the preceding November The PAR summarizes the project and contains the following sections First Nations Approval Signature indicates FN project concurrence with PAR objectives and project implementation process Executive Summary one page project summary with funding requirements table Project Identification detailed project description with project justification and project funding history Design Criteria summary of design objectives design parameters permits land requirements results from additional investigations and technical issues The final Design Report and the final design drawings specifications and tender documents will have already been submitted as design stage deliverables 4 The Acquisition Construction of a Capital Project

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Project Management Framework proposed First Nation project management plan including the process for engaging a project leader independent project manager if applicable and professional consultant services If the construction management process is being used identify the construction manager and provide qualifications The experience of the project team must reflect the size and complexity of the project Procurement Process identify the proposed project construction procurement strategy If the construction management process is being used outline the key components of the finalized Construction Management Business Plan and describe the prior involvement of the Construction Management Evaluation Team CMET See ISC s website information for the CFM Program Project Information Policies and Directives for information on Operational Parameters for the Review and Evaluation of Construction Management Projects Environmental Assessment Process low or medium environmental risk projects summarize environmental assessment study report issues proposed mitigation measures environmental reporting and any follow up monitoring required The final Environmental Assessment Report will have already been submitted as a design stage deliverable See Appendix 2 Environmental Review Process Financial Information proposed construction stage costs and proposed cash flow including construction costs Class A professional consultant services fees e g tendering contract administration inspection and quality control site surveys geotechnical services environmental inspection project management construction management and post construction completion reporting band administration fees anticipated O M costs technical training costs cost sharing arrangements and municipal type service agreement costs O M Training training requirements and a training plan Project Schedule proposed schedule with milestone dates and responsibilities The PAR appendices should include the following items as applicable A Land Encumbrance Check Updated land encumbrance check B Land Access Documents Rights of way easements and other land agreement requirements to provide entitlement to property The Acquisition Construction of a Capital Project 5

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Note Recommended common practice is to continue into the construction stage using the services of the design stage consultant In the few circumstances where this does not occur generating a request for consultant proposals based on a terms of reference to clearly identify the scope of work and services is recommended See Section 2 7 3 and Appendix 9 Project Implementation C Permits Approvals and Comments Comments from organizations and agencies associated with the project should be included Where a permit requires a commitment of construction funding prior to being finalized e g a timber permit or a fisheries authorization a draft of the final permit is to be submitted along with a statement from the First Nation that they will proceed with finalizing the permit immediately upon notification of funding D Relevant Correspondence and Information Specific information pertaining to project construction E Project Manager or Construction Manager Information as applicable Provide proposals for an independent project manager and or a construction manager to provide the appropriate services required during the construction and post construction stages See Section 2 7 2 Hiring a Project Manager Section 2 7 5 Hiring a Construction Manager and Appendix 3 Project Implementation Hiring of Professionals F Terms of Reference TOR for Professional Consultant Services Stipulates the professional consultant services expected by the First Nation This document defines the scope of the project the required technical standards the expected completion schedule and the contractual requirements 6 The Acquisition Construction of a Capital Project

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Note The document CN2 Contracting for Professional Services by First Nations and Aboriginal Communities provides information on how to hire professional consultants and provides a sample contract for consideration by the First Nation See ISC s website information for the CFM Program Project Information Best Practices for Construction Contracting The TOR must clearly identify all required construction stage and postconstruction stage services to be completed by the consultant See Appendix 4 Terms of Reference Construction and Post Construction Stage Sample for assistance when creating a project TOR The Capital Management Officer and Senior Engineer can also assist First Nations in the development of a project specific TOR G Proposal for Consultant Services Provides the written response submitted by a consultant to the First Nation s request for professional services during the construction and post construction stages The proposal must clearly identify a scope of work and all associated costs to provide all applicable services and produce all the deliverables required during project construction and post construction activities as identified in Sections 5 4 and 6 1 The scope of work is to identify the tasks to be performed such as tendering project management contract administration construction inspection commissioning testing operation proofing start up training development of an O M manual development of a facility maintenance management plan environmental monitoring and post completion reporting The Acquisition Construction of a Capital Project 7

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The proposal will also provide information concerning The qualifications and experience of the consultant company The qualifications and experience of the consultant personnel specifically assigned to the project The proposed strategies activities and tasks the consultant will use to provide the services The expected schedule for project completion and a fee schedule and disbursements travel photocopying etc to complete the assignment The consultant fee schedule must detail the hourly rates charged by each consultant team member the number of hours and associated cost estimate for each task to be performed and an estimate of disbursement costs Where sub consultants eg geotechnical environmental will be performing tasks for the prime consultant their task specific proposals with time and costing information are to be included in the overall project proposal See Appendix 3D Sample Professional Services Contract CN2 Template and Appendix 3E Advice on Hiring a Professional Engineer or Professional Geoscientist excerpt from APEGBC Website H Construction Management Business Plan Final if applicable Updated plan summarizing the finalized construction management process to implement the project I Financial Information Provide detailed cost breakdown 8 The Acquisition Construction of a Capital Project

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5 2 Project Approval Request for Construction PAR Review 5 2 1 Capital Management Officer Review The Capital Management Officer will review the PAR for completeness and validity Generally the review will include Confirming that the First Nation accepts the findings and recommendations of the design stage and that they wish to proceed with the construction stage Confirming that the project description and project justification are similar in nature and in scope to those identified in the design stage Any significant deviations must be fully explained and shown to be within the mandate of BC Region s capital program Reviewing the cash flow projections to determine the impact on the ISC budget process Any deficiencies in the funding application will be communicated to the First Nation in writing Assuming the funding application meets the appropriate criteria the Capital Management Officer will generate and populate the design stage version of the previous CFM Program Record Document CPRD and will then forward the CPRD and project information to the Senior Engineer for technical review 5 2 2 Engineer Review The technical review will consider whether the proposed scope of work provides value for the First Nation and ISC meets the project objectives and is appropriate functional cost effective and in accordance with all relevant guidelines standards codes laws and regulations Any deficiencies will be communicated to the First Nation The Acquisition Construction of a Capital Project 9

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The technical review will include Reviewing the final design report design drawings and specifications to ensure that all previous review comments have been incorporated into the project and that the project is ready for implementation Reviewing the project description and project justification to confirm that the nature and scope of work is consistent with the previous submissions and that any changes have been justified Confirming the project priority ranking number Confirming that cost estimates and cash flow are reasonable Comparing the cost estimates with earlier submissions and confirming that any significant variances are fully explained Reviewing the proposal for professional consultant services to assess that All applicable services and deliverables required by Section 5 4 of this chapter and by Section 6 1 of Chapter 6 will be produced The consulting firms and identified project team has the necessary qualifications and experience to administer the construction contract and monitor the construction program The proposed scope of work is sufficient to ensure adequate inspections and construction monitoring which will produce the required level of project quality The proposed schedule is realistic and adequate The professional fees are reasonably within accepted guidelines Adequate management and quality controls are specified to ensure a cost effective technically proficient construction implementation team If applicable reviewing the final construction management business plan If applicable reviewing the Environmental Assessment Study Report to ensure that all proposed mitigation measures have been incorporated into the project Managing the environmental assessment process The Project Description Form will be combined with a Minor Exclusion determination a Simple Report or a Detailed Report to reach a decision that the project does not generate any significant 10 The Acquisition Construction of a Capital Project

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environmental impacts which cannot be reasonably mitigated Any questions regarding adverse environmental impacts need to be addressed before the project can proceed to funding consideration Completed and signed documents will be electronically filed in the Integrated Environmental Management System IEMS Updating the Risk Assessment Tool for projects with a total ISC contribution greater than 5M See Appendix 5 Risk Assessment Tool Sample Comparing the PAR to the Construction Stage Funding Application checklist See Appendix 6 The checklist for construction stage funding application may be useful to the First Nation as a quick guide to verify that the application documentation is complete Inserting required information on to the CPRD form and forward for approvals The Acquisition Construction of a Capital Project 11

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Note Consultation with ISC is recommended before proceeding with any significant changes to the scope of work approved in the funding application which will result in a contingency allowance release or a cost overrun The First Nation will be responsible for providing any funds required to deal with additional costs ISC may or may not allocate additional funds to cover off cost exceedances depending on the type of changes and their magnitude 5 3 Construction Stage Funding Application Process at ISC The Capital Management Officer or Project Engineer will contact the First Nation regarding the status of the funding application If the funding application meets the necessary requirements the Capital Management Officer will process the project for funding eligibility Refer to Chapter 1 for Banking Day procedures and the funding of projects If project funding is received by the First Nation appropriate reporting by the First Nations as specified in the funding agreement amendment must be processed to stay off the Halt List See Appendix 7 Capital Projects Report DCI 460671 12 The Acquisition Construction of a Capital Project

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5 4 Construction Stage Deliverables During the construction stage the project focus will be on project construction contractor performance and consultant team services e g contract administration construction inspection etc The following construction stage deliverables may or may not be required as noted during this stage depending on project developments Summary of tenders required for invitational or public tendering processes A summary of the tenders received a tender analysis a recommendation for contract award and a copy of the executed contract are to be submitted The tender analysis is to compare the recommended bid against the Class A cost estimate and provide an explanation for any variances exceeding 15 Should the lowest tender exceed the allocated ISC funding level a substantiated request for additional funding should be submitted In some cases where funding is limited an assessment of options to reduce the scope of work may be required Project meeting minutes if applicable if ISC are participants in a project team for a major project minutes of any project meetings between the First Nations consultant and contractor are to be submitted to the Capital Management Officer and the Engineer Administrative reporting during the construction stage is to include Capital Project Progress Reporting reporting on project progress in accordance with the schedule identified in the agreement amendment is an ISC funding requirement and failure to report results in a funding halt See Appendix 7 Capital Projects Report DCI 46067 Requests for capital project overrides if this project stage has justifiably taken longer than one year Contingency allowance release if required the First Nation can request the release of a portion or all of any contingency allowance that has been approved and held by ISC To be considered for release the request is to include documentation substantiating the contingency requirement e g the reason for construction change orders Cost overrun application if required a First Nation may request additional project funding above the approved ISC project funding allocation The request for additional funding should be received The Acquisition Construction of a Capital Project 13

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5 5 Construction Analysis by First Nations On completion of the construction stage a technically sound well constructed and cost effective facility should be in place to serve the needs of the community The following questions will have been answered on completion of this stage Question 1 Has the project been constructed in accordance with the design Can the First Nation be assured that the project meets the expectations of the community and has been constructed to meet the applicable guidelines standards codes laws and regulations Question 2 Has a quality project has been delivered Is the First Nation assured that the responsible professional has completed sufficient field inspection and testing to certify the quality of the work Question 3 Are First Nation operators trained in operation and maintenance Can the First Nation be assured that trained operators are in place to assume the operation and maintenance of the completed project Question 4 Is an O M Manual and a Maintenance Management Plan complete Is the First Nation assured that their operators have received a manual to describe the O M requirements of the completed project and a plan to manage their O M activities Question 5 Has project contract administration has been adequately performed The Acquisition Construction of a Capital Project 15

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5 6 Construction Stage Deliverable Review by ISC 5 6 1 Capital Management Officer The Capital Management Officer will review deliverables which will generally include Reviewing the summary of tenders and re confirming cash flow requirements Reviewing progress reports and requests for project overrides Reviewing any requests for contingency releases and or cost overruns 5 6 2 Senior Engineer The Senior Engineer review of the construction stage deliverables will include Reviewing the summary of tenders to assess compliance to ISC tendering policy and comparisons to the Class A cost estimate Reviewing any contingency release and or cost overrun requests The Acquisition Construction of a Capital Project 17

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APPENDIX 1 Appendix 1 Project Approval Request for Construction PAR INDIGENOUS SERVICES CANADA ISC DESIGN APPROVAL REQUEST DAR Date Project Information Submission No is this the first submission 1 2 etc ______________________________________ Project Number CPMS ________________________________________________ Project Name ________________________________________________ Funding Requested include project contingencies __________________________________________ Asset Type ________________________________________________ Link to Community Profile ________________________________________________ First Nation Information Band Number First Nation Reserve Chief ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ Regional Information Region Project Capital Mgmt Officer Project Technical Officer Regional Manager ID Regional Manager CP Regional Director Regional Director General ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ ________________________________________________ Date Submitted for DISC Approval Submitted To Submitted By ____________________________________ ____________________________________ ____________________________________ Project Approval Request 1 Appendices 23

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APPENDIX 1 APPROVAL SIGNATURES First Nation Approvals ______________________________________________ Chief or person authorized by C C ________________________ Date ISC Regional Approvals ______________________________________________ ISC Regional Project Technical Officer ________________________ Date _____________________________________________ ISC Regional Manager ________________________ Date ______________________________________________ ISC Regional Director ________________________ Date ______________________________________________ ISC Regional Director General ________________________ Date ISC Headquarter Approvals ______________________________________________ ISC Senior Assistant Deputy Minister Regional Operations High Risk Projects and all Projects above 10M 24 Appendices 2 Project Approval Request ________________________ Date

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APPENDIX 1 Introduction This guide is to assist those preparing a Project Approval Request for Construction for submission to Indigenous Services Canada British Columbia Region The Project Approval Request for Construction replaces the Treasury Board Style Submissions and is required for projects with a total cost since feasibility over 0 5 million Project Approval for Construction is generally provided on the basis of Class A cost estimates Approval permits the spending of remaining project funds Project Approval Request 3 Appendices 25

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APPENDIX 1 Executive Summary All Project Approval Request documents submitted are to include a one page Executive Summary The Executive Summary is to incorporate and present the following items Brief project description Provide a brief justification for project to receive funding for design Should include reference to the Priority Ranking Framework and or ISC policy Provide a brief rationale to demonstrate that the option chosen is the most physically environmentally and economically feasible option to meet the needs of the community For the option chosen identify the project risk recipient risk and the overall rating as per the Management Control Framework ISC TO COMPLETE THIS BULLET Yearly cash flows and Total Estimated Cost TEC for Construction in current dollars Estimated yearly cash flows and Total Estimated Cost TEC for the construction stage including engineering and contingencies use table below Project X Yearly Cash Flows Pre design Design Year 1 Year 2 Year 3 A Base Targeted Funds Other ISC Total ISC Funding FN Funding Other Funding Source 1 Other Funding Source 2 Total Non ISC Funding Total Estimated Cost TEC Total Notes 1 If there are more than two other funding sources then add the appropriate number of rows for the funding sources 2 If the project will be completed in more than three years add additional columns for the additional years If the project will be completed in one year use only one column 4 Project Approval Request 26 Appendices

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APPENDIX 1 Table of Contents 1 0 Identification of Need 7 1 1 Requirement of the Asset and Justification 7 1 2 Priority Ranking Framework and other ISC Policies Programs 7 1 3 Space Allowance applicable to Schools only 7 1 4 Previous Approvals and Project Expenditures 7 2 0 Existing Conditions 2 1 Basic Community Profile 2 2 Location 8 2 3 Inspections of existing asset s related to the project if applicable 8 3 0 8 Design 8 9 3 1 Recommended option 9 3 2 Design Criteria 9 3 3 Technical Difficulties 4 0 Project Management Framework 10 4 1 ISC Roles and Responsibilities 10 4 2 First Nation Roles and Responsibilities 10 4 3 Project Manager Roles and Responsibilities 10 4 4 Architect Engineering Services 11 4 5 General Contractor If applicable 11 5 0 6 0 9 Procurement 11 5 1 11 Procurement Stream Environment 11 6 1 11 Mitigation Measures 7 0 Financial 12 7 1 Project Costs 12 7 2 Cost Sharing Arrangements if applicable 12 7 3 Municipal Type Service Agreements if applicable 12 Project Approval Request 527 Appendices

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APPENDIX 1 1 0 Identification of Need 1 1 Requirement of the Asset and Justification Description of the needs of the First Nation Justification for the asset project based on the findings of the feasibility study Identify conformance to the applicable ISC Level of Service Standards LOSS Describe if the proposed works relate to a Physical Development Plan Comprehensive Community Plan Infrastructure Master Plan or similar document Description of existing facility or system disposal of facility or system as applicable and applicable operation and maintenance O M funding Identify who will manage the O M activities 1 2 Priority Ranking Framework and other ISC Policies Programs Reference of where the project is on the Project Priority Ranking Framework and why it is there ISC TO COMPLETE THIS BULLET Reference any other ISC policy or program that was applicable in identifying this project as a necessity ISC TO COMPLETE THIS BULLET 1 3 Space Allowance applicable to Schools only Space Allowance for the school building based on student enrolment using the most recent School Space Accommodations Standards SSAS Use of allowable size based on SSAS i e classrooms gym size special purpose rooms Use of recreational area 1 4 Previous Approvals and Project Expenditures Identify approved budget and provide dates for feasibility stage project approval including project allocations and expenditures Explain any significant events that happened or issues raised that caused the project to be modified or delayed Expand on each section and provide any additional information that would be pertinent to the Project being submitted Project Approval Request 7 Appendices 29

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APPENDIX 1 2 0 Existing Conditions 2 1 Basic Community Profile Existing population on and off reserve Number of residences identify the number of buildings serviced by the existing infrastructure water and sewer Describe the community buildings Describe the level of certification of the existing operators 2 2 Location Location and access include a site plan in the appendices Identify location of asset system on and or off reserve as applicable Identify access routes to the project site Remoteness Classification with reference to origin of classification Zone Classification Calculation of geographic and site indices 2 3 Inspections of existing asset s related to the project if applicable What inspections of the existing asset s were completed ACRS or others Provide a summary of the asset condition as reported in the Capital Assets Inventory System CAIS and Assets Condition Reporting System ACRS ISC TO COMPLETE THIS BULLET What were the main findings that justify immediate replacement of the asset For example is it health and safety fire etc 8 Project Approval Request 30 Appendices

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APPENDIX 1 3 0 Design 3 1 Recommended option Identify the option chosen including a brief description and associated costs capital O M and 20 year life cycle costs Identify any unique factors materially affecting the project e g timing of approval financial management plans and cost sharing arrangements Identify if Municipal Type Agreements MTAs exist 3 2 Design Criteria Summarize the design objectives Provide a rationale and design parameters for the proposed works Identify projected population existing 10 year and 20 year design horizon Also identify the annual population growth rate Provide supporting demographic studies data or statistics for review Identify current and projected water demands wastewater flows fire flows traffic volume etc as applicable Provide a rationale for the proposed demands or flows i e the assumptions or data used for the projections Provide a summary of the recommendations or findings from the following studies typically undertaken during feasibility geotechnical environmental archaeological hydrogeological etc Append copies of each report as applicable Append all permits and approvals from all applicable regulatory agencies Summarize land requirements or issues of concern Append ROW agreements easements etc List the appropriate standards that will be followed include in the appendices 3 3 Technical Difficulties Identify complicating technical project difficulties which may be a factor in either increasing project costs or delaying the project schedule Project Approval Request 9 Appendices 31

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APPENDIX 1 4 0 Project Management Framework 4 1 ISC Roles and Responsibilities Review of project approval requests Processing project funding requests in the funding allocation process Generating a risk management framework Generating Aboriginal Recipient Funding Arrangement amendments Ensuring funding is available for allocation to First Nations in accordance with the funding process 4 2 First Nation Roles and Responsibilities Ensuring that projects are kept on budget Ensuring deliverables are met and project is on schedule Issuing payments as recommended by the Project Manager Verifying the performance of the Project Manager and adjusting payments as required Attendance at project meetings Verifying a change in scope approval process and approving change in scope as required Ensuring project expenditures are consistent with expected audit expenditures 4 3 Project Manager Roles and Responsibilities A guide on hiring a Project Manager is included in Appendix1 of the ISC Practical Guide to Capital Projects Verifying that the work is delivered as per contractual terms and conditions Ensuring payments are controlled based on contractual obligations proposal project scope quality schedule and price Reviewing and verifying all invoices and recommending payment to the Band and Project Team Reviewing of significant project items Overseeing the work s quality to verify that the designer s implement appropriate Quality Control and Quality Assurance Reviewing and recommending to Band and Project Team draft contractual clauses including but not limited to appropriate financial leverage e g payment terms warranty and process warranty clauses insurance scope definition quality assurance quality control expectations and terms of payment s alignment with measurable verifiable milestone deliverables Ensuring deliverables are met and project is on schedule Reporting Attendance at Project meetings Recommending change in scope requests 10 Project Approval Request 32 Appendices

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APPENDIX 1 4 4 Architect Engineering Services Providing documentation drawings specifications design reports tender documents etc Providing completion documents that meet ISC requirements Meeting required schedules Provide technical advice as required Inspection of work to verify conformance to specifications and design Conformance to funding amounts Following all Federal Legislations Following all Federal and Provincial codes standards regulations etc as applicable QA QC services Budget control Assessing changes in scope 4 5 General Contractor If applicable Identify the General Contractor s role and responsibility in the following Staying within budget Meeting Project milestones and schedules Building to Federal and Provincial Legislation Identifying risks and providing mitigation strategies Change order Approval process 5 0 Procurement 5 1 Procurement Stream Identify the proposed procurement process Describe the manner in which the project will be implemented e g by public tendered contract construction management multiple contracts etc 6 0 Environment 6 1 Mitigation Measures Identify proposed mitigation measures during construction or post construction monitoring if required Identify roles and responsibilities reporting and ongoing costs associated with environmental impacts and costs Project Approval Request 11 Appendices 33

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APPENDIX 1 7 0 Financial 7 1 Project Costs Indicate that expenditures and commitments will not exceed the budget shown in this submission without prior approval from the First Nation and funding agency ISC Identify estimated construction costs including contingency amount typically 10 engineering services and Band administration fees during construction Identify the O M costs Identify the 20 year Life Cycle Cost Provide a detailed cost breakdown in the appendices for construction as follows Tabular format separated into construction and non construction costs Where the project costs are shared add lines after the total project costs showing each party s share in current dollars for each year as well as in total Summarize sharing arrangements If applicable show the following non construction costs consultant design fees site survey and geotechnical costs inspection and quality control fees First Nation project management and or project administration costs technical training maintenance management system hydro telephone etc Provide a detailed cost breakdown in the appendices of the estimated annual O M costs and the amount allowed under CAIS A detailed cost breakdown for engineering services during construction should be included in the consultant s proposal Indicate an increase decrease of the O M costs in comparison to those for the existing facility or system if it is being replaced Where Class A estimates are not available an explanation is required 7 2 Cost Sharing Arrangements if applicable Explain any project cost sharing arrangements and the rationale for the cost sharing proportion for capital O M and future works 7 3 Municipal Type Service Agreements if applicable Summarize any municipal type service agreements generated during the project Identify on going impacts of the agreements and cost implications Identify roles and responsibilities for parties to the agreement 7 4 Risk Elements Clearly state in lay terms major risks for the project if any followed by the percentage figure and the base cost used to calculate the dollar amount allocated for each risk item 12 Project Approval Request 34 Appendices

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APPENDIX 1 7 5 Payment Identify the procedure for managing and releasing holdback payments including roles and responsibilities and the amount of the holdback payment Identify the procedure for managing and releasing progress payments including roles and responsibilities and the amount of the progress payments Identify the procedure for managing and releasing final payments including roles and responsibilities and the amount of the final payment Identify the procedures including roles and responsibilities for managing payments to consultants or other professionals providing services during construction 8 0 O M Training Identify training requirements and a training plan to ensure operators are available to operate and maintain the facility system being constructed 9 0 Risk Assessment Summarize the findings of the risk assessment carried out by ISC for this project stage and include a copy of the Risk Assessment Tool RAT in Appendix 8 Project Approval Request 13 Appendices 35

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APPENDIX 1 10 0 Project Schedule Provide an estimate for completion of each project milestone identified in the following table as applicable Completion Date Responsibility Design Report Selection of Consultant for Construction Selection of Project Manager for Construction if applicable Construction Funding Submission PAR Funding for Construction Tender Close Review of Tenders Contract Award Site Mobilization Substantial Completion Construction Completion Completion documentation One year warranty period expire date The responsibility will fall under one or more of the following Indigenous Services Canada ISC First Nation FN Design Consultant DC Supplier Manufacturer S M 14 Project Approval Request 36 Appendices

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APPENDIX 1 Appendices 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Additional Information Data Relevant correspondence Permits approvals or comments from agencies Right of way easements and or land agreements School Space Accommodation Standard SSAS table and enrollment data consultant to complete for school projects only ISC to assist List of applicable standards and codes Detailed cost breakdown capital and O M Risk Assessment Tool RAT for the project ISC TO COMPLETE THIS TASK Proposal for engineering services during construction including fee table and schedule Project team contact identification and information in a tabulated format Site Plan and facility or system layout a Site plan reduced to 8 by 11 inches but no larger than 11 by 14 inches b Facility or system layout plan to give general outline and location of major elements of the project Land Encumbrance Check Design report sealed and signed Design drawings sealed and signed Specifications sealed and signed Tender documents Other reports such as environmental geotechnical archaeological hydrogeological etc Project Manager Qualifications resume Project Approval Request 15 Appendices 37

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APPENDIX 2A Appendix 2A ISC Environmental Review Process Summary All federally funded projects must follow an Environmental Review Process ERP to ensure that no significant adverse environmental effects result from the implementation of a project The objectives of the ERP are predict the environment effects of a proposed project identify measures to mitigate the effects determine the significance of residual environmental effects and applicable mitigation measures recommend follow up programs to monitor impacts of environmental effects fulfill the federal Duty to Consult with other Aboriginal interests regarding projects to be constructed on lands subject to treaty claims The level of environmental review should match the risk and likelihood of significant adverse effects associated with carrying out a project Larger more complex projects adjacent to water bodies or discharging into receiving waters would generally require a higher degree of environmental analysis The project environmental review process begins at the feasibility stage with an Environmental Scoping Study to outline potential issues A project description form is initiated If no significant issues are apparent that cannot be mitigated with standard procedures the project is considered a minor project and considered negligible environmental risk ISC has developed a Minor Projects List for identifying routine projects normally considered negligible environmental risk although any project may be elevated past the minor level for a more detailed assessment if conditions warrant Renovations or upgrades are typical minor level projects No further environmental information is required for a minor project If the Environmental Scoping Study identifies potentially significant environmental issues the ISC engineer will request an Environmental Detailed Study to be completed during the design stage usually at the pre design phase Depending on the study results the ISC engineer may classify the project as a low environmental risk requiring a Simple Environmental Review Form The ISC engineer may request additional environmental information to confirm a low environmental risk rating Appendices 41

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APPENDIX 2 Construction of a water treatment plant or a residential subdivision would be typical projects in the low risk category If the project is large or complex and the report indicates risks and potential effects are not readily known the project will be referred to an ISC environmental specialist who will manage a more comprehensive evaluation of environmental effects and generate a Detailed Environmental Review Form Projects requiring this form will require higher level approval authorities Depending on the scope of the environmental mitigation measures incorporated into the project a Mitigation Measures Compliance Report may be required as part of the project completion reporting This report is used to confirm that the mitigation measures prescribed in the environment review were incorporated into the project This form is not required for projects that underwent a Minor Review Projects that underwent a Simple Environmental Review may require this form at ISC s discretion Projects that underwent a Detailed Environmental Review will require form completion Environmental decisions will be tracked by the Integrated Environmental Management System IEMS which was launched in April 2014 42 Appendices

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APPENDIX 2B Appendix 2B Community Infrastructure Generic Terms of Reference for Environmental Assessments The Generic Terms of Reference TOR presented here as an annotated table of contents provides the proponent with the guidelines in planning and conducting an environmental assessment Executive Summary 1 Introduction Provide contextual background information on the project and the proponent and project justification 1 1 Proponent Information 1 2 Project Overview including Title and Location 1 3 Regulatory Framework e g Funding Permits and or Approvals Appendices 43

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APPENDIX 2B 2 Project Description and scope of project Provide a detailed project description The project description should cover all aspects of the project including anticipated environmental impacts to the project A detailed description will allow the RA s to scope the project components and activities appropriately Note For projects involving cutting of timber the description must include the RPF s break down of volume species based upon a timber cruise to be cut from the subject area and the proposed harvesting system A detailed project description at the start of the project design phase clarifies potential interactions with the environmental and thereby reduces the risk that ISC or other RAs will require additional information to assess the project Community Infrastructure Projects require a Scoping Report submitted during the feasibility stage of the project Part 4 Identify all components that were scoped into the project including all necessary activities and with First Nation consultation early on in the development process 2 1 Project Background 2 2 Location of project and mapping and study areas 2 3 Project Facilities and associated infrastructure 2 4 Construction activities 2 5 Operations activities 2 6 Decommissioning plans 2 7 Alternative means of carrying out the project 2 8 First Nations Consultation 44 Appendices

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APPENDIX 2B 3 Project Setting Provide a detailed description of the existing environment in the project area including landscape water bodies archaeology natural resources and environmental uses e g wildlife habitat natural resource harvesting residential properties etc Indicate the areas affected by the project Outline known environmentally significant historical uses and First Nations uses in the area of the project if available Develop and or update the list of VECs in the project area Identify all environmental components that were scoped into the assessment i e Valued Ecosystem Components 3 1 Geophysical Environment 3 2 Atmospheric Environment 3 3 Aquatic Environment and Hydrology Surface Hydrology 3 4 Terrestrial Environment Wildlife Species at Risk 3 5 Land Use Setting 3 6 Develop list of Valued Ecosystem Components 3 7 Socio economic Conditions 3 8 First Nations Historical Use 3 9 First Nations Interests and Involvement Appendices 45

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APPENDIX 2B 4 Environmental Effects Provide a narrative description of assessment approach and methodology used to conduct the EA Note data sources and indicators used to consider the effects and discuss mitigation and any residual effects of the project and whether those effects are significant or not Summarize the results and recommendations of studies carried out as part of the EA e g geotechnical studies water quality investigations SARA wildlife habitat surveys archaeological investigations survey results fisheries studies etc Describe the project environment interactions Cumulative effects including past and foreseeable future developments e g Phase II of a subdivision Phase II of a commercial park need to be addressed appropriately Effects assessment may be summarized in an Interaction Matrix based on the VECs 4 1 Impact Assessment Methodology 4 2 Construction Phase Effects Assessment 4 3 Operations and Maintenance Phase Effects Assessment 4 4 Decommissioning Effects Assessment 4 5 Socio economic Effects on First Nations communities 4 6 Accidents and Malfunctions 4 7 Effects of the Environment on the Project 4 8 Cumulative Effects 46 Appendices

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APPENDIX 2B 5 Mitigation Provide a narrative summary of how environmental effects will be mitigated and show how the mitigation measures have been included in the design implementation of the project Applicable portions of the design and or operation and maintenance information should be referenced in the EA report document to confirm that mitigation measures have been incorporated Mitigation measures may also be used as conditions of the lease permit and or funding agreement presented as a table of commitments Where a project causes interactions with species at risk specific mitigation measures must be identified Mitigation strategies for species at risk are hierarchical with avoidance being preferred e g timing design location change followed by minimization through project modification or implementation under special conditions and lastly compensatory mitigation e g replacement of lost habitat A table of commitments and assurances may drafted and signed by the proponent to ensure that mitigation measures are incorporated and implemented in the final design and construction activities This table must also be incorporated in the contractor s tender 5 1 Narrative Summary of Project Impacts and Mitigation Measures Table See Sample Mitigation Table Template Appendix 2 5 2 Summary of Commitments Table of Commitments and Assurances The EA provided for a project that involves cutting of timber must include a Registered Professional Forester RPF breakdown of volume species to be cut and a 1 5 000 Logging Plan map LP map signed and sealed by a RPF The RPFs LP Map must be superimposed over the sub division site or development map for that project show the North arrow the boundary of the reserve the area in which timber will be cut the method of harvesting clear cut selective or other identify streams wet lands water bodies archaeological sites sensitive habitats or SARA Species or other SARA sites on the map and identify on the map each mitigative measures specified for cutting of timber component of that project The LP Map must identify who will ensure compliance on site with these mitigative measures during logging how when it will be done Appendices 47

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APPENDIX 2B 6 Permits Approvals and Correspondence with Other Government Departments Provide information on the status of required environmental permits and approvals necessary to undertake the project e g rights of ways fisheries authorization navigable waters sand and gravel and timber permits When available include correspondence and or comments by other government departments e g preliminary DFO EC Parks Canada Health Canada B C Ministry of Water Land and Air Protection BC Ministry of Sustainable Resource Management Archaeology and Registry Services Branch etc 7 Public Participation and Engagement Document strategies used to assess project input from the First Nation community and or public Identify concerns that were raised and how they were addressed and or mitigated For First Nations this may be in the form of a letter from Chief and Council and or a Band Council Resolution 8 Summary Provide a narrative summary of the environmental effects associated with the proposed project not likely significant or significant Identify significance For significant impacts summarize proposed mitigation strategies and how they will reduce environmental effects Quantify wherever possible Where follow up is recommended discuss planned follow up activities Include a table which shows VECs project activities environmental effects mitigation measures and reference to supporting documents For VECs where impacts are found to be not likely significant ensure that justification is provided Provide a recommendation regarding project viability based on environmental considerations 8 1 Summary and Table 8 2 Conclusion 9 Appendices Attach any additional information including Supporting Documents Other Permits or Approvals Maps Figures Photos etc 10 Access It is Proponent s responsibility to obtain assured access to egress from the Indian Reserve for all phases of the Project including access to Certificate of Possession Holders lands provided to ISC 48 Appendices

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APPENDIX 2C Appendix 2C Community Infrastructure Projects Environmental Assessment Scoping Report Although scoping is part of the EA process for all projects an EA scoping report is only required for ISC Community Infrastructure Projects and where specifically directed by your ISC environmental or natural resources specialist for ISC Lands and Economic Development An EA scoping report is to be a stand alone document which includes the project description environmental setting significant environmental issues valued ecosystem components VECs and completed and planned EA investigations This report is completed during the feasibility stage of a CI Project and when directed by LED and will be used in the assessment of project viability The following are to be addressed in the EA scoping report Introduction Provide a summary description of the project including construction site preparation clearing trees operation decommissioning and other activities expected during the life of the project Project proponent contact information including organization name mailing address telephone number and email address if available are required Provide a list of information sources used Maps Plans Provide plans showing the geographical location of the project with latitude and longitude the proposed location s of the project within the context of the Reserve and an overall preliminary plan for the project Include environmentally significant features e g water bodies forests significant elevation changes species ranges known habitats etc Where appropriate and readily available inclusion of First Nation nomenclature for place names flora fauna etc should be considered Copies of topographic maps and aerial photos mosaics should be provided where available Appendices 49

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APPENDIX 2C Environmental Setting Provide a summary description of the existing environment in the project area including landscape waterbodies archaeology natural resources and environmental uses e g wildlife habitat natural resource harvesting residential properties etc Indicate the areas potentially affected by the project Outline known environmentally significant historical uses and develop a list of VECs for the project Where multiple sites are being considered during the feasibility stage environmental restrictions and impacts at each site must be considered and incorporated into the site selection process Socio economic conditions should be described if potentially impacted by environmental changes caused by the proposed project Environmental Effects Indicate known and suspected environmental effects of the project on listed VECs Identify any cumulative effects that are anticipated on the basis of initially available information Include effects likely to result from the project in combination with other pre existing developments and or in combination with developments that will be carried out as a direct result of this project 50 Appendices

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APPENDIX 2C Studies Investigation Describe the scope of work for the planned EA for all phases of the project Document site assessments completed to date Identify further investigations which are required to address situations where environmental effects are unknown or to determine appropriate mitigation activities A determination must be made as to the likely presence of wildlife birds aquatic life flora and or habitat at risk in the project area This determination must be made using relevant data base lists range maps local knowledge where available and other existing information on species known to occur in the project area Where the range of a species at risk overlaps with the proposed project area existing information sources must be checked and documented to determine whether actual or potential habitat or residences for these species are present Example information sources include the Conservation Data Centre CDC for rare element occurrence records Committee on the Status of Endangered Wildlife in Canada COSEWIC the Species at Risk Public Registry for recovery strategies recovery teams action plans and management strategies and the Ministry of Sustainable Resource Management s Species and Ecosystem Explorer Public Consultation Document consultation with other government departments and agencies Provide contact information Outline any additional consultation planned with the community public or other government departments and agencies as part of the EA Accessory Activities Accessory activities planned during the design stage must be assessed e g geotechnical surveys etc Identify activities causing significant environmental impacts on VECs and outline mitigation measures that will be implemented Note Accessory activities planned during feasibility and associated mitigation measures must be summarized in the feasibility stage proposal Appendices 51

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APPENDIX 3 Appendix 3 Project Implementation an Hiring Professionals Appendix 3A Guidelines for Hiring an Independent Project Manager Appendix 3B ISC Guidelines for First Nations Engaging a Consultant on a CFMP Capital Project Appendix 3C Sample Consultant Evaluation Matrix with Selection Criteria and Weightings Appendix 3D DISC Sample Professional Services Contract CN2 Template Appendix 3E Advice on Hiring a Professional Engineer or Professional Geoscientist excerpt from EGBC website Appendices 53

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APPENDIX 3A Appendix 3A Guidelines for Hiring an Independent Project Manager 1 0 Introduction An independent project manager provides project management services without being directly associated with the consulting firms providing planning design and construction services The person hired to perform the duties must have suitable technical and professional qualifications matching the size and complexity of the project Usually the project manager is either a registered architect or professional engineer with over five years experience in construction project management and has experience successfully managing similar projects The project manager may be a sole practitioner or may work for a project management company The project manager is often involved with a project from start to completion but can also be engaged only during the design or construction stages of a project Hiring an independent project manager is often the first significant step to implement a large project The three main tasks associated with hiring a project manager if using a multiple proposal call are Preparing a terms of reference TOR setting out expected roles and responsibilities for the proposed project manager Sending out requests for proposals RFP to selected project management firms Evaluating received proposals against pre determined criteria Where a First Nation has established a successful working relationship with an architectural or engineering consultant they may consider using this consultant to provide project management services until the completion of the Feasibility Stage and defer hiring an independent project manager until the beginning of the Design Stage An independent project manager should be at arm s length from the project consultant designers An independent project manager is an advocate for the First Nation and should not be in collaboration with the design consultant Appendices 55

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APPENDIX 3A Hiring the right person to be the project manager can result in a successful project that 1 Meets the project objectives of the First Nation 2 Stays on schedule 3 Stays on budget 2 Duties of a Project Manager The duties of the Project Manager fall under three major headings and involve the following 2 1 Implementation Planning and Project Monitoring confirming the project definition and First Nation requirements establishing the project team roles and responsibilities establishing lines of communication with all parties throughout the life of the project generating a project strategy for carrying out the project and for developing the project work activities preparing a detailed project schedule monitoring project progress against the schedule and making revisions where necessary preparing the various project submissions for funding approval maintaining project records and files reporting on the status of the project to the First Nation administration and or Chief and Council evaluating the scope time cost and quality implications of the project and any changes 2 2 Consultant Services Selection writing the terms of reference TOR to request proposals determining consultant selection criteria selecting a team to choose a consultant recommending approval for award of contract to the successful consultant and negotiating the terms of the consulting agreement 56 Appendices

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APPENDIX 3A 2 3 Consultant and Construction Contract Management Services providing advice and recommendations on project procurement options eg public or invited tender or construction management in accordance with the First Nation s approved tendering policy ensuring compliance with the terms of the consultant and construction contracts checking and dealing the First Nation s responsibilities for insurance issuing change orders resolving claims and disputes assessing the value of work completed reviewing progress claims and authorizing payments reporting on construction deficiencies to the consultant and contractor and making recommendations for corrective action obtaining final reports record drawings warranties manuals and completion certificates recommending final payment based on the satisfactory completion of the contract requirements evaluating the consultant and the contractor 3 Terms of Reference for Hiring an Independent Project Manager If a First Nation has already established a successful relationship with an individual or firm and does not wish to seek competitive proposals for the position the terms of reference used to hire a project manager can be relatively brief and informal However as a minimum they should set out the duties of the project manager as described above and also include Description of specific project management services required including duration of services Specifying minimum qualifications e g the project manager must be either a professional engineer or a registered architect licensed to practice in British Columbia the minimum number of years of experience etc Providing any relevant project information eg reports or studies or special or unusual project issues that will be helpful to the individual or firm submitting a proposal Appendices 57

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APPENDIX 3A Listing members of the First Nation project team Identifying a proposed schedule Specifying the terms of payment and cost control 4 Requesting Proposals Prospective project managers asked to submit proposals should provide information under the following headings If a First Nation has established a successful relationship with an individual or firm and is proceeding on a sole source basis the following information should still be submitted to the First Nation in a proposal for services names and related experience of staff to be part of the project team a work plan outline anticipated project schedule proposed fees For more complex projects additional information should be provided regarding understanding of the project work plan and associated work activities references project staffing plans staff r sum s 5 0 Evaluating Proposals Criteria normally used to evaluate proposals are as follows Weights are often assigned to the criteria to establish a comparative level of criteria importance Cost of services is generally not weighted as a primary criteria In comparing proposals the quality of the services and the experience of the personnel are considered the key criteria Understanding of the project Scope of services work plan and schedule Management of the provided services Consultant team 58 Appendices

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APPENDIX 3A Qualifications and experience of the firm Cost of services 6 0 Project Management Fees Provided by DISC Fees requested for project management are part of the project approval process and will be reviewed along with project submissions The maximum allowable fee for the combined total of project management and local project coordination is 3 of the construction cost Disbursements would be additional expenses Fees which are considered eligible for reimbursement may be much less than 3 and will be based on the size of the project and the services provided as detailed in the submitted project management proposal If an independent project management is engaged for the feasibility stage an initial proposal for project management services only for the feasibility stage can often simplify the process by eliminating the uncertainty to forecast future project costs and complexity Project management fees can be reviewed and revised through all project development stages Appendices 59

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APPENDIX 3B Appendix 3B DISC Guidelines for First Nations Engaging a Consultant on a CFMP Capital Project Purpose This document provides parameters for First Nations to procure a consultant to provide professional consulting services for the development and implementation of capital projects funded by the DISC Capital Facilities and Maintenance Program CFMP General The following procedures are recommended when engaging a consultant 1 Written Terms of Reference TOR to define the assignment 2 First Nation acceptance of a written proposal from the consultant which includes assignment deliverables schedules and fees 3 Written standard contract signed by the First Nation and the consultant which includes dispute mechanisms and termination clauses and directly references the written proposal submitted by the consultant 4 Confirmation of consultant personnel who will work on the assignment 5 On going process for monitoring schedule and costs written Engaging a consultant without the written acceptance of a documented proposal to define the scope of the assignment and to determine a schedule and fees is actively discouraged Verbal communication and a handshake are not considered to be in the best interests of meeting mutual expectations and an ongoing professional relationship A proposal submitted from a professional consultant can be subsequently revised based on mutual discussions between the First Nation and the consultant before becoming part of the contract There may be a revision in fees due to proposal revisions Appendices 61

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APPENDIX 3B Definitions Terms of Reference TOR A description of the assignment to be completed by a professional consultant A TOR can be verbal but is almost always written to document a common understanding of the assignment Proposal A written response to a TOR from a professional consultant identifying how the assignment will be carried out to achieve the specific project objectives The proposal will generally include experience of the firm personnel to be assigned to the project work processes to be completed a proposed schedule and proposed fees Request for Proposal RFP An invitation to a number of professional consultants or one professional consultant in selected cases to submit a proposal in response to a written TOR A set of criteria which will be used to evaluate the firms submitting proposals should be included with the RFP Total DISC Project Cost TIPC All DISC costs for all stages including contingencies as applicable Minor Projects Estimated TIPC 1 5M Major Projects Estimated TIPC 1 5M Consultant Selection The process for selecting a consultant will be influenced by the factors listed A larger more complex project will generally result in a longer and more stringent selection process Complexity of the project Size of the project Expected consultant costs Previous working relationship with a consultant Expertise of a consultant Availability of consultant to assign time and resources to the project 62 Appendices

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APPENDIX 3B Consultant selection will generally follow one of two processes 1 Multiple source selection numerous consultants generally 3 to 5 are solicited to submit proposals to complete the assignment The proposals received are comparatively assessed to award the contract to the professional consultant with the best value proposal which meets the objectives of the TOR 2 Sole source selection one consultant is solicited to submit a proposal to complete the assignment Consultant Costs The Association of Professional Engineers and Geoscientists in B C APEGBC and the Architectural Institute of BC AIBC publish guidelines for determining professional fees Professional costs can include project management fees design fees subconsultant fees and expenses disbursements Fees for large value projects are generally considered on a basis while small value projects generally are costed on an hourly basis Procurement Guidelines 1 Feasibility Stage Professional Services Procurement of professional consultants for any value of project can be a sole source selection or a multiple source selection 2 Design Stage Professional Services Procurement of professional consultants should be in accordance with the criteria listed below Unless specifically required in the feasibility stage contract not usual and not recommended there is no obligation for a First Nation to engage the feasibility stage consultant for design stage professional services Minor Projects Multiple source selection or sole source selection Major Projects Multiple source selection is the recommended approach Appendices 63

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APPENDIX 3B 3 Construction Stage Professional Services Engaging the design stage consultant based on a sole source selection to provide construction stage professional services is highly recommended If there is a working relationship issue between the First Nation and the design stage consultant and the procurement of another professional consultant is required at this stage procurement of a professional consultant for any value of project can be multiple source selection or a sole source selection 64 Appendices

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APPENDIX 3D Appendix 3D ISC Sample Professional Services Contract CN2 Template The document CN2 Contracting for Professional Services by First Nations and Aboriginal Communities provides information on how to hire professional consultants and provides a sample contract for consideration by the First Nation See ISC s website information for the CFM Program Project Information Best Practices for Construction Contracting https www sac isc gc ca eng 1493133359279 1533649821050 Appendices 67

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APPENDIX 4 Appendix 4 Terms of Reference Construction and Post Construction Stage Sample NOTES REGARDING THE USE OF THIS STANDARD TERMS OF REFERENCE The square brackets and contents inside square brackets should be deleted and replaced with the required information This Terms of Reference is intended for use on band managed projects for the planning and design of new development areas TERMS OF REFERENCE PROVISION OF ENGINEERING SERVICES FOR TENDERING CONSTRUCTION STAGE AND POST CONSTRUCTION STAGE OF MUNICIPAL WORKS FOR THE Insert Name TABLE OF CONTENTS 1 Introduction 2 Background 3 Objectives 4 Project Team 5 Scope of Work 6 Execution 7 Terms of Payment Appendices 87

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APPENDIX 4 1 0 INTRODUCTION Insert Band Name seeks the provision of engineering services during the tendering construction stage and post construction stage for the insert project name The Consultant will adopt a team approach in working together with Insert Band Name representatives prospective bidders contractor and Indigenous and Northern Affairs Canada DISC staff 2 0 BACKGROUND Insert project description and background 3 0 OBJECTIVES The objective of this contract is to provide all engineering services required during the tendering construction stage and post construction stage of the above mentioned project Elaborate including project objectives 4 0 PROJECT TEAM 4 1 Band The Band refers to the insert band name The contract for engineering services is between the Band and the Consultant These Terms of Reference form part of the contractual agreement between the Band and Consultant 4 2 Project Manager or Project Leader The project manager or project leader is a representative of the Band engaged to manage the contract between the Band and consultant and between the Band and contractor as well as the funding agreement between the Band and DISC 88 Appendices

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APPENDIX 4 4 3 Consultant The consultant is the individual firm or corporation identified in contact to provide the services stipulated in these Terms of Reference 4 4 DISC Engineer The DISC engineer is a technical representative of DISC The DISC engineer will monitor the progress of the project and review contingency release and cost overrun applications and the completion report 5 0 SCOPE OF WORK The scope of work includes but is not necessarily limited to the following 5 1 Tender Administration 5 1 1 Administer all works related to the tender call including Preparing tender documents specifications and drawings Advertising Reply to queries and preparing addendums Arranging a site inspection by interested bidders if deemed necessary Witnessing the tender opening 5 1 2 Review and assess tenders and make recommendations for award Prepare a summary of the tenders received a tender analysis a recommendation for contract award and submit a copy of the executed contract The tender analysis is to compare the recommended bid against the Class A cost estimate and provide an explanation for any variances exceeding 15 Should the lowest tender exceed the allocated DISC funding level a substantiated request for additional funding should be submitted In some cases where funding is limited an assessment of options to reduce the scope of work may be required Appendices 89

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APPENDIX 4 5 2 Construction Services 5 2 1 Provide the services of a Field Reviewer FR who is a Professional Engineer to be responsible for assurance of the works in all material respects to design and construction standards The FR should make regular site visits until completion of the works The FR may or may not be the Engineer of Record EOR 5 2 2 Provide a resident inspector to inspect monitor measure and test the Contractor s work on a full time basis until completion of the work to assure that construction works substantially comply in all material respects to design and construction standards The resident inspector may or may not be the Field Review or a Professional Engineer Where the resident inspector is not a Professional Engineer direct supervision by the FR should provide specific instructions on what to observe check confirm test record and report Where engineering judgement or decisions is required the inspector must refer back to the FR The FR may call on the Engineer of Record to address the issue 5 2 3 Check and certify the Contractor s progress claims for the purpose of recommending payment 5 2 4 Provide a liaison between the Contractor the Band and others e g B C Hydro B C Tel Water Rights DISC etc 5 2 5 Resolve conflicts that may arise between parties during construction 5 2 6 Ensure that all required approvals have been obtained 5 2 7 Arrange for such services as concrete testing soils testing and analysis and other services that the Consultant deems necessary 5 2 8 Arrange for environmental monitoring and or archaeological monitoring as deemed necessary 5 2 9 Prepare interim and final completion performance certificates 90 Appendices

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APPENDIX 4 5 3 Environmental Monitor If required provide an environmental monitor as recommended by the Environmental Detailed Study and or as required by permits approvals regulation and or guidelines The environmental monitor shall be a scientist or engineer specializing in the environment 5 4 Archaeological Monitor If required provide an archaeological monitor as recommended by the Archaeological Assessment Study and or as required by Band s archaeological policy 5 5 Permits and Approvals Obtain any permits and approvals from regulatory agencies that were not finalized as part of the design stage 5 6 Project Meeting Arrange a preconstruction meeting monthly progress meetings and a project completion meeting between the Contractor First Nations representatives and Consultant 5 7 Builders Lien Act and Certificate of Completion The Consultant shall act as the Payment Certifier for the head contractor with reference to the Builders Lien Act 5 8 Commissioning If required manage the commissioning of the project and provide additional startup services as outlined in the Commissioning Plan included in the design stage deliverables 5 9 Training If required provide training as outlined in the Draft Training Plan included in the design stage deliverables Appendices 91

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APPENDIX 4 5 10 Legal Survey Provide the services of a Land Surveyor commissioned by the Association of British Columbia Land Surveyors to complete a legal survey of the project area and register the survey plan 5 11 Documentation 5 11 1 Daily Inspection Reports The resident inspector shall prepare daily inspection reports The report shall include for that day Work completed Inspection test completed Contractors equipment and crew working on site Material delivered to site Weather and temperature Changes to Contract Record of force account work Visitors to site Discussion with contractor and or other relevant agencies Coloured photos 5 11 2 Project Meeting Minutes Prepare minutes of any project meetings between the First Nations representatives Consultant and Contractor and submitted to all parties involved in the meeting 5 11 3 Change Orders and Force Account Work All change orders and force account work shall be approved by the Project Manager or Project Leader Prepare submissions for change orders and force account work approval The submissions should include a detailed description of the necessity for such work the quantities involved the Consultant s estimate and the Contractor s quote 92 Appendices

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APPENDIX 4 5 11 4 Progress Estimates and Budget Tracking The consultant shall prepare Progress Estimates within 5 days after the end of the calendar month for the purpose of Evaluating the contractor s progress claim and issuing Payment Certificates and Tracking and updating the project budget The Progress Estimate shall set out as of the end of the last day of the proceeding month a The total value of the Work completed and the materials and products incorporated into the Work b Total quantity or percentage completed for each payment item c Holdback amounts if any d Total amount owing by the Band to the Contractor In addition to the amount set out in the proceeding month the Progress Estimate shall also include the previous Progress Estimate amounts and the projected contract value The projected contract value shall include all change orders and force account work whether approved or foreseen The projected contract value shall be tracked for budget purposes 5 11 5 Project Schedule Updates The tender and contract documents shall require the contractor to submit a project schedule with the Form of Tender and to update the schedule if changes occur The schedule shall show all major and critical tasks and the critical path of the project The consultant shall monitor the progress of the project relative to the schedule If the consultant observes the contractor falling behind schedule or if changes occur to the contract which will extend the contract the consultant shall request an updated schedule with an explanation for the delays All schedule update shall be forwarded to the Project Manager or Project Leader with explanation 5 11 6 Contingency allowance release if required Assist the First Nation in preparing documentation to request the release of a portion or all of any contingency allowance that has been approved and held by DISC Appendices 93

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APPENDIX 4 5 11 7 Cost overrun application if required Assist the First Nation in preparing documentation to may request additional project funding above the approved total project cost 5 12 Completion Report Completion report to be submitted on letter size paper bound in a three ring binder Prints of reduced drawings are to be stamped and sealed and bound into the binder The completion report is to include 5 12 1 Project Expenditure Accounting All final project expenditures including all First Nation consultant and contractor expenses as applicable must be reconciled by the First Nation This reconciliation must match the project expenditure accounting which will be detailed in the First Nation financial audit report The final project costs are to be broken down according to the various elements of the project and are to be compared to the Class A estimates and to the approved requests for DISC project funding Any significant variances are to be explained The final costs are to include the costs of planning design project management construction include final contractor payment certificate complete with all change orders professional services during construction and completion reporting Any surplus funding shall be identified Consult with the Band in preparation of the project expenditure accounting 5 12 2 Capital Asset Inventory System CAIS Forms Completed and seal the CAIS forms The Project Manager will forward the forms to chief councillor for signature as required for each new community asset The forms are also to identify any existing assets that were deleted by the new project See DISC s A Practical Guide to Capital Projects BC Region Appendix 15 for blank CAIS forms 94 Appendices

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APPENDIX 4 5 12 3 Project Implementation History a Description of the project including why the project was necessary and the option selected to resolve the problem b Project construction or procurement process e g public tender construction management c The construction contract award process and rationale including a comparison of the costs from all bidders d The number of construction contracts in the project complete with a description of the contracts e A project synopsis describing problems or outstanding issues areas of special interest variances from the original project scope complete with their justification project scheduling challenges project deficiencies f Consultant summary of construction costs including budgets variances and change order history g A description of any training programs implemented including the duration of training and number of personnel trained 5 12 4 Project Participants Listing During the duration of the project including the project team members the project manager and or project management firm the design professional s the construction inspector s and contractors 5 12 5 Project Milestones Chronological Listing Dates of design completion project approval funding approval contract award construction start substantial completion date final completion date start and end of warranty period and completion reporting submission date 5 12 6 Project Documentation as applicable a Field inspection reports as prepared by the project professionals inspectors during construction b Inspection test results for any materials and installation testing conducted during construction c Colour photographs to document the project history from start to finish d Commissioning report s for the final inspection testing set up and startup of systems and controls e National Building Code Schedules A B and C for building projects Appendices 95

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APPENDIX 4 a Fuel tank registration b A complete set of reduced record drawing prints The Record Drawings are annotated signed and sealed as follows These Record Drawings accurately record all significant design changes known to me having exercised due diligence in monitoring construction of the work and the design as represented by these Record Drawings substantially conforms with the design intent c One complete set of digital record drawings in Adobe Acrobat pdf format d DISC Design Guidelines for Water and Wastewater Systems outline the requirements for the development of O M Manuals See Appendix 16 for location of these guidelines e Copy of the posted legal survey plan In that legal registration of the survey plan may not be available for some time after project completion a copy of the ready for registration plan that has been submitted for registration is acceptable The registered plan is to ensure that all community assets are legally protected for the use operation and maintenance by the First Nation f Copies of all permits and authorizations DFO issued g Mitigation Measures Compliance Form sign off form documenting environmental compliance during construction for projects where a Detailed Environmental Review was required This form may also be required at DISC s discretion for projects where a Simple Environmental Review was required See Appendix 11G for a copy of this form h A signed sealed and dated professional certification statement by a qualified professional architect engineer that should read I hereby give assurance that all constructed works in this project have been completed in general accordance with the record drawings the project specifications and the general codes and standards that all required testing has been carried out in accordance with the specifications applicable codes and standards and generally accepted procedures and that required environmental mitigation measures identified in the project have been implemented Note The completion report will be forwarded to DISC by the Band to meet the reporting requirements of the funding agreement In addition to the documentation prepared by the consultant the Band will need to provide following documentation First Nation Letter of Acceptance states chief and council s acceptance of the completed project and confirmation of final costs including First Nation consultant 96 Appendices

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APPENDIX 4 and contractor costs as applicable The letter is to be signed by authorized personnel usually the chief administrator or band manager and should be addressed to the First Nation s assigned capital specialist Certificate of Completion is to be completed by the First Nation s authorized project manager and attached to the letter of acceptance DISC s A Practical Guide to Capital Projects BC Region Appendix 13 includes a sample Certificate of Completion for Capital Project form from the First Nations National Reporting Guide 6 0 EXECUTION 6 1 Implementation The Consultant shall execute all tasks stipulated in these Terms of Reference scope of work in a timely manner Appendices 97

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APPENDIX 4 6 2 Deliverables Deliverable Format Reviewer Tender Document Specification an Drawings 2 hard copies bound for First Nation Bound hard copies as Required by Tenderers First Nation Representatives Contract Documents 3 hard copies bound signed and sealed First Nation Representatives Daily Site Inspection Reports and Inspection Test Results 1 copy Email Fax or Hardcopy First Nation Representatives Schedule Updates As required 1 copy Eail and hard copy First Nation Representatives Payment Certificates and Progress Estimates Monthly 1 copy Email and hard copy First Nation Representatives Completion Report Project Expenditure Accounting CAIS forms Project Implementation History Project Participants List Project Milestones Chronological List Site Inspection Reports Inspection Test Results Colour Photographs Commissioning Report National Building Code Schedules Fire Commissioner s Final Inspection Letter Signed and Sealed Record Drawings Record Drawings PDF Format O M Manual Copies of Permits and Authorizations Posted Legal Survey Plan Professional Certification Statement One paper copy and one digital signed and sealed First Nation Representatives Management Officer and DISC Engineer 98 Appendices

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APPENDIX 4 6 3 Schedule Time is of the essence The work stipulated in these Terms of Reference starting with the call for tenders and preparation of tender documents shall commence within 1 weeks of notice of award The consultant is responsible for tracking the progress of the project 6 4 Project Cost Control The consultant is responsible for managing the overall cost of the project If at any time the scope of the project is changed resulting from unforeseen circumstances or requests to modify the design which will affect the overall cost of the project or O M cost the constant shall immediately notify the Project Manager or Project Leader and provide an explanation and updated cost estimated 7 0 TERMS OF PAYMENT 7 1 Payments will be based on the contract 7 2 The Consultant will on a monthly or other approved interval submit an invoice detailing the services performed Invoices shall show the hours charged by each person for each task and the hourly rate Back up for these items or itemized receipt shall be provided with every invoice The proportion of hours spent by team members on tasks shall generally conform to the proposal The hourly rate shall be identical to the rate quoted in the proposal 7 3 The Consultant s proposal shall include an allowance for meetings discussions and responding to review comments 7 4 No payment will be made on the cost of work incurred to remedy errors or omissions for which the Consultant is responsible 7 5 If at any time during the progress of the work the Consultant considers that the cost figure outlined in the contract will be exceeded either by some unforeseen event or change in the Terms of Reference he shall immediately provide the Project Manager with complete details AT NO TIME SHALL THE CONTRACT FEE i e the ceiling cost figure BE EXCEEDED WITHOUT PRIOR WRITTEN AUTHORIZATION OF THE PROJECT MANAGER Appendices 99

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APPENDIX 6 Appendix 6 Construction Stage Funding Application Checklist for Acquisition Construction Stage Funding Application Project Name _____________________________________________________ CPMS ICMS _______________ First Nation Letter of Support Project Description Rationale Project Implementation Plan Schedule Final Design Information Final Design Drawings signed sealed Final Specifications signed sealed Final Design Report signed sealed Filed in Technical Library GCdocs _________ Tender Documents signed sealed Class A Total Capital Cost Estimate Cash Flow Projection ISC to review and sign off IEMS Simple or Detailed Environmental Review Form Land Encumbrance Check Right of ways Identified Confirmed Required Permits Draft Timber Permit Other Draft Permits ___________ Omitted ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ Submitted ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ Not Applicable _______ _______ _______ _______ _______ _______ _______ _______ _______ _______ _______ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ Gravel extraction permit solid waste disposal permit burning permit provincial land tenure permit Comments by other Regulatory Agencies ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ ________ Environment Canada Fisheries Canada DFO FNHA Transport Canada BC Ministry of Environment BC FLNRO MoTI etc Class A O M Cost Estimate For WTP WWTPs only Complete Design Guideline Checklist Commissioning Plan Draft O M Manual Draft Emergency Response Plan ERP Draft Maintenance Management Plan O M Training Plan Proposals for Consultant Subconsultants Services and Fee Estimate Project Construction Process Final Construction Mgmt Business Plan Funding Submission PAR for Construction Check Level of Service Standard LoSS CI Technical Reviewer Date _______________________________ _______________________________ Checklists are for the use of CI Technical Reviewer Information listed may not all be required or additional information may be required WTP Water Treatment Plant WWTP Waste Water Treatment Plant Appendices 103