maryland environmental service - mwmcakelly ryan, cppo, assistant chief, procurement &...

EXPRESSION OF INTEREST

PROJECT ID No. 13-02-02

PROFESSIONAL SERVICES SHORT LIST FOR MULTIPLE A/E PROJECTS OF THE MARYLAND ENVIRONMENTAL SERVICE

Issued By: Procurement Division

Maryland Environmental Service 259 Najoles Road

Millersville, MD 21108

Issue Date: May 24, 2013

NOTICE: Prospective Offerors who have received this EOI from a source other than the Procurement Office of the Maryland Environmental Service should immediately contact the Procurement Office and Provide their company name, street address, name of their primary contact for this EOI, and that person’s phone number, fax number and e-mail address, to ensure receipt of any changes or additional materials related to this EOI.

MARYLAND ENVIRONMENTAL SERVICE

TABLE OF CONTENTS PROJECT ID No. 13-02-02

Notice to Offerors

MBE Subcontracting Documentation Requirements

Exhibit to Solicitation: MBE Subcontract Participation

Directions to MES Headquarters

Location Map & Delivery Instructions

Instructions to Offerors

Scope of Services

Special Ethics Law Memo

Ethics Certification

Contract Affidavit

Bid Proposal Affidavit

Investment Activities in Iran Certification Form

Minority Business Enterprise Compliance Forms B, C, E, F, G, H

DBE Documents for Federally Funded Projects

Certified MBE Utilization and Fair Solicitation Affidavit MBE Attachment “A” – State Funded Projects

Certified MBE Utilization and Fair Solicitation Affidavit MBE Attachment “A” – Federally Funded Projects

Sample Engineers Contract/Basic Agreement

Engineers General Conditions

Notice to Vendors/Contractors

May 24, 2013

NOTICE TO OFFERORS

PROFESSIONAL SERVICES SHORT LIST FOR MULTIPLE A/E PROJECTS OF THE


Project ID No. 13-02-02 DEADLINE FOR SUBMISSION: July 10, 2013 at 3:00PM PURPOSE: The Maryland Environmental Service (“MES”) is soliciting expressions of interest from Architectural/Engineering (“A/E”) firms to enter into agreements to provide engineering services on an as-needed basis. The variety of projects include solid waste management projects; water and wastewater treatment plant design and upgrade, collection and distribution system assessment and design, biosolids handling and disposal; dredging and dredged material placement including dredging operation facility planning, design and environmental services, Total Maximum Daily Load (TMDL) compliance including BMP (best management practice) development, wetlands and habitat development, infiltration/inflow study/correction; geotechnical services; environmental management systems, engineering, and environmental compliance; energy analysis, design, and support services; mechanical engineering; electrical engineering. Minority Business Enterprise (MBE) SUBCONTRACT PARTICIPATION: Some of the projects may be partially funded with U.S. EPA Grant or State Revolving Loan Funds, and other federal funding sources. Therefore, the A/E firms selected to work on these projects may be required to follow the Federal Disavantaged Business Enterprise (DBE) six affirmative steps and to provide documentation demonstrating that these affirmative steps have been followed. For projects funded from other than federal sources, the Service will set an MBE goal in accordance with COMAR 21.11.03 to achieve the Service's overall goal of twenty-five percent (25%) with sub-goals of 6% African American firms; 2% Hispanic firms; and 9% women owned firms.. MBE/WBE goals may change over the term of the Short List and selected firms will be required to make a good faith effort to reach the changed goals. MBE goals will also apply to contract changes orders and amendments. State certified MBE firms can be found in the MDOT’s online MBE directory by accessing their website: http://mbe.mdot.state.md.us/cgi-bin/mbedir/mbedirectory INFORMATIONAL CONFERENCE: One informational conference is scheduled for 10:00 AM to 12:00 PM and the second is scheduled for 2:00 PM to 4:00 PM on June 3, 2013 at the Maryland Environmental Service Headquarters located on 259 Najoles Road, Millersville, MD 21108. The purpose of the Conference is to allow potential Offerors the opportunity to ask questions requiring clarification. Offerors interested in attending one of the informational conferences must RSVP in writing via email to [email protected] or via fax to (410) 729-8280 by no later than Friday, May 31, 2013 at 4:00 PM. Seating is limited, so attendance is limited to one (1) representative per firm.

http://mbe.mdot.state.md.us/cgi-bin/mbedir/mbedirectory


mailto:[email protected]

CONTRACT TERM: The duration of the A/E Shortlist is three years. MES may, at the end of three years, exercise the options to extend the contract for three additional periods of one-year terms each. DEADLINE FOR SUBMITTAL OF PROPOSALS: The Maryland Environmental Service will receive sealed Proposals at its Headquarters in Millersville, MD. Proposals must be received by 3:00 pm on July 10, 2013. Offerors are solely responsible for the timely receipt of their proposals. Late Proposals will not be accepted. Electronically transmitted proposals will not be accepted. To ensure timely delivery to the Procurement Division before the established proposal due date and time, both the exterior and interior envelopes – particularly those delivered via courier (i.e. UPS, Fed Ex, USPS, etc.) – MUST BE marked as specified. All Expressions of Interest shall be submitted, properly signed with all required attachments, and placed in sealed envelopes addressed to:

Kelly Ryan, CPPO,

Assistant Chief, Procurement & Contracts Maryland Environmental Service

259 Najoles Road Millersville, MD 21108

Expressions of Interest for:

A/E Shortlist EOI ID No. 13-02-02

Do Not Open Before: July 10, 2013 at 3:00 pm

Mark each envelope clearly as to contents and include your company name.

QUESTIONS FROM OFFERORS: Offerors having questions and inquiries regarding either the technical or the procurement sections of the Expressions of Interest shall contact the Service’s Procurement Division (Attn: Irene Hoffman) at [email protected] or via fax at 410-729-8280. Failure to follow these instructions may result in a delayed response to interested company inquiries. Companies are solely responsible for becoming acquainted with the documents before submitting a proposal. The deadline for questions regarding this procurement is June 26, 2013 by 3:00 PM. OBTAINING EOI DOCUMENTS: **THE SOLICITATION DOCUMENTS ARE SENT IN ELECTRONIC FORMAT. Proposal documents may be obtained by contacting the Procurement Office Monday through Friday during the hours of 8:00 AM to 4:00 PM. Please provide the contact name, company name, shipping address, phone and fax number, when requesting solicitation packages. [email protected].

Kelly Ryan, CPPO

Assistant Chief, Procurement & Contracts


(Revised June 2010)

MBE Subcontracting Documentation Requirements

The following changes apply to Invitation for Bids/Request for Proposals

1. As authorized by Code of Maryland Regulations (COMAR) 21.11.03, the

Bidder/Offeror must name its MBE subcontractors, the tasks each will perform and the dollar value of the subcontract with their bid/proposal. The Bidder/Offeror shall structure its procedures for the performance of the work required in this contract to achieve the MBE subcontract participation goal stated in the Invitation for Bids or Request for Proposals. REMINDER: Effective July 1, 2001, both the minority and non-minority prime must exercise all good faith efforts to carry out the requirements set forth in this solicitation. The MBE prime may not use its workforce to achieve the established MBE subcontract goal.

2. If, after making a good faith effort to achieve the MBE subcontract participation goal, the bidder/offeror determines that he/she is unable to achieve the established MBE goal, the Bidder/Offeror may submit a level of participation level less than the established goal with his/her bid/proposal. If an amount less than the established goal is submitted with the bid/proposal, a fully documented full or partial waiver request must be submitted within 10 day of the apparent awardee’s receipt of a Letter of Intent to Award.

3. The Bidder/Offeror shall provide the required documents according to the schedule below:

• The MDOT Certified MBE Utilization and Fair Solicitation Affidavit (MBE

Attachment A) must be submitted with the Bid/Proposal. MES will reject as non-responsive any bid/proposal that does not include MBE Attachment A as required – even if the Bidder/Offeror is the apparent low bidder/apparent awardee.

• The Outreach Efforts Compliance Statement (MBE Attachment B), the

Subcontractor Project Participation Certification (MBE Attachment C), and a fully documented full or partial MBE waiver request (if necessary) must be submitted within 10 working days of receiving a Letter of Intent to Award. If the apparent awardee fails to return each completed document (i.e. MBE Attachments B and C and a full or partial waiver request) within 10-days of receipt of a Letter of Intent to Award, the Procurement Officer may determine that the apparent awardee is not responsible and therefore not eligible for contract award.

All questions regarding these changes, the new MBE Subcontract Participation forms or any other MBE related issues should be directed to the Agency’s MBE Liaison Officer at 410-729-8513 or [email protected].

Revised August 2011 Project ID 13-02-02

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EXHIBIT TO SOLICITATION STATE OF MARYLAND

MARYLAND ENVIRONMENTAL SERVICE MINORITY BUSINESS ENTERPRISE PARTICIPATION

PURPOSE

Contractor shall structure its procedures for the performance of the work required in this contract to attempt to achieve the minority business enterprise (MBE) goal stated in the Invitation for Bids or Request for Proposals. MBE performance must be in accordance with this Exhibit, as authorized by Code of Maryland Regulations (COMAR) 21.11.03. Contractor agrees to exercise all good faith efforts to carry out the requirements set forth in this Exhibit.

MBE GOALS AND SUB GOALS

An MBE subcontract participation goal of percent (0%) of the total contract dollar amount has been established for this procurement. By submitting a response to this solicitation, the bidder or offeror agrees that this percentage of the total dollar amount of the contract will be performed by certified minority business enterprises. OR

An overall MBE subcontract participation goal of twenty-five percent (25%) of the total contract dollar amount has been established for this procurement. This percentage of the total dollar amount includes:

A sub goal of six percent (6%) of the total contract dollar amount to be allocated to certified

minority business enterprises classified as African American-owned businesses. A sub goal of zero percent (0%) of the total contract dollar amount to be allocated to certified

minority business enterprises classified as Asian American-owned businesses. A sub goal of two percent (2%) of the total contract dollar amount to be allocated to certified

minority business enterprises classified as Hispanic American-owned businesses. A sub goal of nine percent (9%) of the total contract dollar amount to be allocated to certified

minority business enterprises classified as women-owned businesses.

By submitting a response to this solicitation, the bidder or offeror agrees that these percentages of the total dollar amounts of the contract will be performed by certified minority business enterprises as specified.

A prime contractor — including an MBE prime contractor — must accomplish an amount of work not less than the MBE subcontract goal with certified MBE subcontractors.

A prime contractor comprising a joint venture that includes MBE partner(s) must accomplish the MBE subcontract goal with certified MBE subcontractors.

SOLICITATION AND CONTRACT FORMATION

A bidder or offeror must include with its bid or offer a completed Certified MBE Utilization and Fair Solicitation Affidavit (Attachment A) whereby:

(1) the bidder or offeror acknowledges the certified MBE participation goal or requests a waiver, commits to make a good faith effort to achieve the goal, and affirms that MBE subcontractors were treated fairly in the solicitation process.

(2) the bidder or offeror responds to the expected degree of Minority Business Enterprise participation as stated in the solicitation, by identifying the specific commitment of certified MBEs at the time of submission. The bidder or offeror shall specify the percentage of contract value associated with each MBE subcontractor identified on the MBE Participation Schedule.


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If a bidder or offeror fails to submit Attachment A with the bid or offer as required, the Procurement Officer shall deem the bid non-responsive or shall determine that the offer is not reasonably susceptible of being selected for award. Within 10 working days from notification that it is the apparent awardee or from the date of the actual award, whichever is earlier, the apparent awardee must provide the following documentation to the Procurement Officer.

(1) Outreach Efforts Compliance Statement (Attachment B) (2) Subcontractor Project Participation Statement (Attachment C) (3) If the apparent awardee believes a waiver (in whole or in part) of the overall MBE goal or of any

sub goal is necessary, it must submit a fully documented waiver request that complies with COMAR 21.11.03.11.

(4) Any other documentation required by the Procurement Officer to ascertain bidder or offeror responsibility in connection with the certified MBE participation goal.

If the apparent awardee fails to return each completed document within the required time, the Procurement Officer may determine that the apparent awardee is not responsible and therefore not eligible for contract award. If the contract has already been awarded, the award is voidable.

CONTRACT ADMINISTRATION REQUIREMENTS Contractor shall: 1. Submit monthly to the Department a report listing payments made to each MBE Subcontractor in the

preceding 30 days and any unpaid invoices, over 30 days old, received from any certified MBE subcontractor, the amount of each invoice and the reason payment has not been made.

2. Include in its agreements with its certified MBE subcontractors a requirement that those subcontractors

submit monthly to the Department a report that identifies the prime contract and lists all payments received from Contractor in the preceding 30 days, as well as any outstanding invoices, and the amount of those invoices.

3. Maintain such records as are necessary to confirm compliance with its MBE participation obligations.

These records must indicate the identity of certified minority and non-minority subcontractors employed on the contract, the type of work performed by each, and the actual dollar value of work performed. Subcontract agreements documenting the work performed by all MBE participants must be retained by the Contractor and furnished to the Procurement Officer on request.

4. Consent to provide such documentation as reasonably requested and to provide right-of-entry at

reasonable times for purposes of the State’s representatives verifying compliance with the MBE participation obligations. Contractor must retain all records concerning MBE participation and make them available for State inspection for three years after final completion of the contract.

5. At the option of the procurement agency, upon completion of the contract and before final payment and/or release of retainage, submit a final report in affidavit form and under penalty of perjury, of all payments made to, or withheld from MBE subcontractors.

ATTACHMENTS

A. Certified MBE Utilization and Fair Solicitation Affidavit (must be submitted with

bid or offer) B. Outreach Efforts Compliance Statement (must be submitted within 10 working

days of notification of apparent award or actual award, whichever is earlier)


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C. Subcontractor Project Participation Statement (must be submitted within 10 working days of notification of apparent award or actual award, whichever is earlier)


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(Revised May 2011)

STATE OF MARYLAND


INSTRUCTIONS TO OFFERORS

(Rev. May 2011)

1. TERM AND APPLICABILITY:

This document sets out instructions generally applicable to requests for proposals for professional, technical or other services.

2. EXEMPTION FROM STATE PROCUREMENT CODE:

A. The Contractor is hereby put on notice that the Maryland Environmental Service is

generally exempt from the provisions of Division II of the State Finance and Procurement Article of the Annotated Code of Maryland. However, the Service is not exempt from Titles 14, 16 and 17 of that Article. Except as specifically provided in this Contract and under State law, the provisions of Division II and the regulations adopted under authority contained in Division II do not apply. In particular, the Maryland State Board of Contract Appeals does not have jurisdiction over disputes arising out of any aspect of the Contract, including, but not limited to, disputes relating to the formation, award, performance, breach, modification or termination of this Contract, or disputes relating to the qualification or selection of bidders or offerors.

B. The Service will enforce, and the Contractor agrees to abide by, Subtitle 3 of Title 14 of

the State Finance and Procurement Article of the Annotated Code of Maryland (1988 volume and as amended) and the regulations adopted pursuant to the Title. The aforesaid statute and regulations generally relate to purchases from minority businesses. In the event the provisions of the aforesaid statute or regulations conflict with the regulations of the Contract, then the statute or regulations shall govern.

3. LATE PROPOSALS, LATE WITHDRAWALS AND LATE MODIFICATIONS:

Any proposal received at the place designated in the solicitation after the time and date set for receipt of proposals is late. Any request for withdrawal or request for modification received after the time and date set for receipt of proposals at the place designated for opening is late. A late proposal, late request for modification, or late request for withdrawal may not be considered. A late modification of a successful proposal which makes its terms more favorable to the State shall be considered at any time it is received and may be accepted.

4. PRE-OPENING MODIFICATION OR WITHDRAWAL OF PROPOSALS:

Proposals may be modified or withdrawn by written notice received in the office designated in the invitation for receipt of proposals before the time and date set for bid opening. If a


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(Revised May 2011)

proposal is withdrawn in accordance with this regulation, the proposal security, if any, shall be returned to the offeror.

5. PRICE PROPOSAL FORM

A. The offeror shall complete as part of its pricing for the scope of work provided in the solicitation on the price proposal form, if provided. Proposals not submitted on the price proposal form, if such form is provided by MES in the solicitation, may be rejected.

B. Unit prices: Should the contractor be required to perform work over and above that

required by contract documents, or should the contractor be ordered to omit work required by contract documents, the contractor will be paid an extra, or shall credit the Service – as the case may be – on basis of unit prices quoted herein. Prices quoted shall be the same for “extra” work and for “credit” work and shall be the sum total compensation payable or creditable for such items of work, including all labor, materials, etc. to cover the services.

C. The total proposal price shall be stated in dollars and cents, and in both words and

figures, or as directed by the price proposal form. If there is a discrepancy between the written words and the figures, the written words shall govern.

6. ADDENDA TO REQUEST FOR PROPOSAL:

Addenda to this invitation, if any, will be furnished to all prospective offerors. Addenda will be distributed within a reasonable time to allow prospective offerors to consider them in preparing their proposals. If the time and date for receipt of proposals does not permit preparation, the time shall be increased to the extent possible in the addendum or, if necessary, by facsimile or telephone and confirmed in the addenda. Offerors must acknowledge receipt of all addenda on the face of the proposal form or by modification to that proposal. Failure to acknowledge an addendum may render a proposal non-responsive.

7. RESERVED RIGHTS:

The Maryland Environmental Service reserves the right to reject any all proposals or to accept any proposal in the public interest. For the same reason, the Service reserves the right to waive any informality in a proposal. The Service reserves the right to cancel this request at any time without liability to any offeror. The Service reserves the right to make the award by item, or group of items, or total proposal if it is in the best interest of the State to do so unless the offeror specifies in his/her proposal that a partial or progressive award is not acceptable.

8. TIME FOR PROPOSAL ACCEPTANCE:


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(Revised May 2011)

All proposals are irrevocable for a period of ninety (90) days following the receipt of proposals. Offerors may be requested to extend the time during which the Service may accept their proposal, with no increase in prices nor change in obligations. Such extensions of time will be at the option of the offeror.

8. LICENSES:

Contractors must be licensed as required by the State of Maryland. When Municipal, County, State or Federal laws require that certain personnel (electricians, plumbers, etc.) be licensed, then all such personnel employed on the Work including subcontractors and their employees, shall be so licensed.

9. BID/PROPOSAL AFFIDAVIT:

The offeror shall, as a part of its proposal, execute the Bid/Proposal Affidavit. Failure to complete this affidavit or falsification of this affidavit shall be cause for a determination of non-responsiveness or, in the event that a contract has been awarded, termination of the contract.

10. CONTRACT AFFIDAVIT:

The successful offeror shall, as part of the contract execution process, execute the Contract Affidavit. Failure to complete this affidavit or falsification of this affidavit shall be cause for forfeiture of contract award or termination of the contract.

11. DISCREPANCIES:

Should an offeror find discrepancies in the Contract Documents or should the offerors be in doubt as to the meaning or intent of any part thereof, the offeror must, not later then ten (10) working days prior to the proposal opening, in writing, request clarification from the Maryland Environmental Service Procurement Officer, who may issue an Addendum or otherwise clarify the matter. Failure to request such clarifications is a waiver to any claim by the offeror for cost made necessary by reason of a later interpretation of the Contract Documents by the Contract Representative. The Procurement Department can be reached at the following address and telephone number: Maryland Environmental Service, 259 Najoles Road, Millersville, MD 21108, (410) 729-8510, Fax (410)729-8280.

12. PUBLIC INFORMATION ACT:

Offerors should give special attention to the identification of those portions of their proposals which they deem to be confidential, to contain proprietary information or trade secrets and provide any justification of why such materials, upon request should not be disclosed by the State under the Maryland Public Information Act, Section 10-611 et.seq. of the State Government Article of the Annotated Code of Maryland.


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(Revised May 2011)

13. PROPOSAL EVALUATION AND AWARD

Upon evaluation of proposals received, the Contract may be awarded to the contractor submitting the most advantageous offer to the service, in accordance with the evaluation criteria provided on the request for proposals.

14. EXECUTION OF CONTRACT

A. Shortly after the Notice of Intent to Award, the Service shall forward the formal Contract

form to the successful offeror for execution. In addition, the offeror shall furnish the following in the form and content required by the Service.

(1) Contract Affidavit (2) Performance and Payment Bonds, if applicable (3) Outreach Efforts Compliance Statement, if applicable (4) Subcontractor Project Participation Statement, if applicable (5) Fully documented full or partial MBE waiver request, if applicable (2) Certificates of Insurance, if applicable

B. The Contract form and additional documentation shall be returned to the Service within the time specified in the Letter of Intent to Award. This documentation is a prerequisite for execution of the contract. If required, performance and payment bonds shall be in the form specified in COMAR 21.07.02.10.

15. CERTIFIED MBE UTILIZATION AND FAIR SOLICITATION AFFIDAVIT (MBE

Attachment A)

The Certified MBE Utilization and Fair Solicitation Affidavit, if required elsewhere in this solicitation, must be completed, signed and returned with the Price Proposal Form. Failure to do so may render the proposal non-responsive. Offers not submitted with the Certified MBE Utilization and Fair Solicitation Affidavit will be rejected as non-responsive.

16. MBE SUBCONTRACT PARTICIPATION REQUIREMENTS

If a minimum MBE subcontract participation goal has been established as part of the contract, the Offeror shall follow these instructions:

A. The Offeror shall structure its procedures for the performance of the work required in

this contract to attempt to achieve the minority business enterprise (MBE) subcontract participation goal stated in the Requests for Proposals. MBE performance must be in accordance with the Exhibits, as authorized by Code of Maryland Regulations (COMAR) 21.11.03. Contractor agrees to exercise all good faith efforts to carry out the requirements set forth in this solicitation.


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(Revised May 2011)

B. The MBE subcontract participation goal is established as the minimum percentage of the dollar amount of the contract. The Offeror agrees to put forth a good faith effort to achieve the minimum MBE subcontract goal and that Maryland State Certified Minority Business Enterprises will perform the tasks identified and assigned by the Offeror.

C. The MBE prime contractor shall put forth a good faith effort to achieve the minimum

MBE subcontract goal and that Maryland State Certified Minority Business Enterprises will perform the tasks identified and assigned by the Offeror.

D. Minority Business Enterprises are encouraged to respond to this solicitation.

17. CONTRACTOR RESPONSIBILITIES:

A. Once a MBE subcontract participation goal on this Contract has been established the

Contractor agrees that this amount of the Contract and subcontract tasks will be performed by State certified minority business enterprises.

B. Both the MBE prime and subcontractor(s) will remain certified during the term of the

agreement and any extensions thereof. Maintenance of minority business certification shall be considered a material obligation of the agreement.

C. The Offeror shall complete and return with its proposal the Certified MBE Utilization

and Fair Solicitation Affidavit (MBE Attachment A) whereby the Offeror acknowledges the certified MBE participation goal or requests a waiver, commits to make a good faith effort to achieve the goal, and affirms that MBE subcontractors were treated fairly in the solicitation process. Offers submitted without the Certified MBE Utilization and Fair Solicitation Affidavit (MBE Attachment A) will be deemed non-responsive and will be rejected.

D. To achieve the result of meeting the contract minority business enterprise subcontract

participation goal, the Contractor shall:

(1) Identify specific work categories appropriate for subcontracting;

(2) At least ten (10) days prior to the established deadline for submission, solicit minority business enterprises, through written notice that describes the categories of work to be subcontracted and provide specific instructions on how to submit a bid/proposal;

(3) Attempt to make personal contact with MBE firms;

(4) Assist MBE firms with bonding requirements or to obtain a waiver of

those requirements;

(5) In order to publicize contracting opportunities to minority businesses,


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(Revised May 2011)

attend pre-proposal meetings or other meeting scheduled by the agency. 18. DOCUMENTATION

The following documentation shall accompany the Proposal and shall be part of the Contract:

(1) Certified MBE Utilization and Fair Solicitation Affidavit (MBE Attachment A)

If the Offeror is unable to achieve the MBE subcontract participation goal, the Offeror shall submit, in conjunction with the MBE Schedule of Participation, a request for a full or partial waiver.

The following documentation shall be submitted within ten (10) working days from notification that the Contractor is the apparent Successful Offeror or within ten (10) working days following the award, whichever is earlier and shall be part of the Contract:

(3) Outreach Efforts Compliance Statement (MBE Attachment B)

(4) Subcontractor Project Participation Statement of intent (MBE Attachment C)

signed by both the Offeror and each MBE listed in the schedule of participation. Or, if the prime Contract has been awarded, copies of the Subcontract Agreement or Agreements.

(5) Any other documentation considered appropriate by the Service to ascertain

Offeror responsibility in connection with the contract MBE participation goal.

(6) The amount and type of bonds required of MBE Contractors, if any.

(7) The Offeror, by submitting its proposal or offer, consents to provide such documentation as requested by the Service and to provide right of entry at any reasonable time for purposes of the Service's representatives verifying compliance with the MBE Subcontractor requirements.

If the Offeror is unable to achieve the MBE subcontract participation goal, the Offeror shall submit, instead of or in conjunction with MBE Attachment B, a fully documented written request for a full or partial waiver to include the following:

(a) A detailed statement of the efforts made to select portions of the Work proposed to be

performed by MBE's in order to increase the likelihood of achieving the stated goal;

(b) A detailed statement of the efforts made to contact and negotiate with MBE's and non-MBE's including the names, addresses, dates and telephone numbers of MBE's contacted, and a description of the information provided regarding the Plans, Specifications, and anticipated time schedule for portions of the Work to be performed;


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(Revised May 2011)

(c) As to each MBE that placed a Subcontract quotation which the Offeror considers not

to be acceptable, a detailed statement of the reasons for this conclusion; and

(d) A list of minority Subcontractors found to be unavailable. This should be accompanied by a Minority Contractor Unavailability Certificate (MBE Attachment F) signed by the minority business refused to give the written certification.

If the Contract has been awarded and the following documentation is not furnished, the award shall be null and void.

19. RECORDS AND REPORTS:

A. The Contractor shall maintain such records as are necessary to confirm compliance

with its Minority Business Enterprise utilization obligations. These records shall indicate the identify of minority and non-minority Subcontractors employed on the contract, the type of work performed by each, and the actual dollar value of work, services and procurement achieved by each Contractor and Subcontractor.

B. The Contractor shall submit information with his monthly cost breakdown for progress

payments which indicates the dollar value of Contracts awarded to Minority Business Enterprises as the Contract Work occurs. (MBE Attachment G) This information will be submitted as a supplement to the Cost Breakdown For Progress Payments form. Failure of the Contractor to submit the required supplementary MBE participation information may result in delays in processing progress payments.

C. All records concerning MBE participation must be retained by the Contractor and will

be available for inspection by the Service for a period of three years after final completion of the Contract.

20. ENFORCEMENT:

A. The Service is responsible for conducting inspections to confirm compliance with the

terms of this Section. If the Service determines that the Contractor or Subcontractors are not in compliance with this Section, the Service will notify the Contractor of those measures which the Contractor must take to restore the Contractor to a state of compliance.

B. If the documentary material submitted by the Contractor or Subcontractor to determine

minority business status contains false, misleading information or other misrepresentations, the matter will be referred to the Attorney General for appropriate action.

21. CONTRACTOR ASSISTANCE:


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(Revised May 2011)

Contractors requiring assistance in locating Minority Business Enterprises are encouraged to contact the following offices:

Minority Business Enterprise Office

Department of Transportation 7201 Corporate Center Drive

Hanover, MD 21076 410-865-1241


The State of Maryland Business Enterprise Directory is available to Contractors at the location listed above. The Directory contains information about currently certified Minority Business Enterprises.

22. PROTESTS

A. DEFINITION 1. In this Section, the following words have the meanings indicated. 2. Terms Defined.

a) “Interested Party” means a prospective bidder or offeror that may be aggrieved by the solicitation of a contract, or an actual bidder or offeror that may be affected by the award of a contract.

b) “Procurement Officer” means the Chief of Procurement & Contracts for the Maryland Environmental Service, or such other individual designated by the Deputy Director of the Maryland Environmental Service.

c) “Protest” means a complaint filed in accordance with this section relating to the solicitation or award by the Maryland Environmental Service of the contract to be awarded as a result of this procurement. “Protest” does not include the event a contract has not been awarded.

d) “Protester” means any actual or prospective bidder or offeror, or contractor who files a protest in connection with the solicitation or the award of the contract to be awarded as a result of this procurement.

e) “Reviewing Authority” means the Deputy Director of the Maryland Environmental Service, or designee.

B. FILING OF PROTEST

1. An interested party may protest to the Procurement Officer against the award of the contract which is the subject of this solicitation.

2. The protest shall be in writing, addressed to the Procurement Officer, and delivered to the headquarters of the Maryland Environmental Service. A

http://mbe.mdot.state.md.us/cgi-bin/mbedir/mbedirectory�


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(Revised May 2011)

protester may not file a protest by electronic means or by facsimile. C. TIME FOR FILING

1. A protest based upon alleged improprieties in a solicitation shall be filed three business days before the bid opening date or the closing date for receipt of proposals. For procurement by competitive sealed proposals, alleged improprieties that did not exist in the initial solicitation but which are subsequently incorporated in the solicitation shall be filed not later than three business days before the next closing date for receipt of proposals following the incorporation. 2. In cases other than those covered in §C1, protests shall be filed not later

than three business days after the basis for protest is known or should have been known, whichever is earlier.

3. The term “filed” as used in §C1 or §C2 means receipt by the Procurement Officer. Protesters are cautioned that protests should be transmitted or delivered in the manner that shall assure earliest receipt. A protest received by the Procurement Officer after the time limits prescribed in §C1 or §C2 may not be considered., and the protester shall have no further cause of complaint against the Maryland Environmental Service.

D. FORM

To expedite handling and review of protests, the envelope containing the protest should be labeled “Protest.” The written protest shall includes as minimum the following: 1. The name, address, telephone number and email address of the

Protester; 2. The solicitation or contract number; 3. A statement of reasons for the protest; and 4. Supporting exhibits, evidence, or documents to substantiate the reasons

for the protest.

E. TIME FOR SUBMITTING REQUESTED INFORMATION The Procurement Officer may request the protester to submit additional information or substantiation. Any additional information or substantiation shall be submitted to the Procurement Officer within three business days after receipt of notification or such other time as the Procurement Officer may specify in order to expedite consideration of the protest. Failure of any party to comply with a request for information or substantiation by the Procurement Officer may result in a resolution of the protest without consideration of any response to the request that is not timely submitted.

F. RESOLUTION OF THE PROTEST

1. The Procurement Officer may conduct discussions and, if appropriate, negotiations with the protester or any other interested party and may resolve the protest by agreement with any one or more interested parties.


Page 10 of 10

(Revised May 2011)

2. If the protest is not resolved by agreement, the Procurement Officer shall render a decision on the protest, in writing, as soon as possible after receiving all relevant, requested information. The Procurement Officer may render a decision based solely on the relevant information submitted to the Procurement Officer, and does not have to provide any opportunity to any interested party to submit additional information, or to rebut information already submitted to the Procurement Officer.

3. The decision of the Procurement Officer shall be reviewed by the Reviewing Authority. A request to review the decision of the Procurement Officer shall be made in writing and filed within ten (10) days of the date of the Procurement Officer’s decision. The Reviewing Authority may approve, modify, or disapprove the Procurement Officers’ decision, and shall provide a decision in writing. In disapproving a decision, the Reviewing Authority may order the Procurement Officer to resolve the protest in another manner. Unless the protest is remanded to the Procurement Officer, the decision of the Reviewing Authority is the final action by the Maryland Environmental Service.

4. A protest under this section is not a contested case under Title 10, Subtitle 2 of the State Government Article.

23. SCHEDULES

Schedules are required to be submitted by the contractor in accordance with the contract specifications.

MINORITY BUSINESSES ARE ENCOURAGED TO RESPOND TO THIS SOLICITATION.

Project ID No. 13-02-02

A/E Shortlist Page 1 of 15

May 24, 2013 SCOPE OF SERVICES

ARCHITECTURAL AND

ENGINEERING SERVICES SHORT LIST Project ID No. 13-02-02

SOLICITATIONS: Maryland Environmental Service: A/E SERVICES $500,000 or LESS Project Title: Professional services short list for Multiple A/E Projects of the Maryland

Environmental Service. Contact: email: [email protected], fax: 410-313-8541 Attention: Kelly Ryan OVERVIEW: The Maryland Environmental Service (“MES”) is soliciting expressions of interest from Architectural/Engineering (“A/E”) firms to enter into agreements to provide engineering services on an as-needed basis. The variety of projects include: solid waste management projects; water and wastewater treatment plant design and upgrade, collection and distribution system assessment and design, biosolids handling and disposal; dredging and dredged material placement including dredging operation facility planning, design and environmental services, Total Maximum Daily Load (TMDL) compliance including BMP (best management practice) development, wetlands and habitat development, infiltration/inflow study/correction; geotechnical services; environmental management systems and environmental compliance, air quality regulation and air emission engineering management services; remediation planning and design; energy analysis, design, and support services; mechanical engineering; electrical engineering. Some of the projects may be partially funded with State and U.S. EPA Grant or State Revolving Loan Funds, and other federal funding sources. Therefore, the A/E firms selected to work on these projects will be required to follow the Federal Disadvantaged Business Enterprise (DBE) six affirmative steps and to provide documentation demonstrating that these affirmative steps have been followed. The affirmative steps include the following: 1. Include qualified small, minority, and women's businesses on solicitation lists; 2. Assuring that small, minority, and women's businesses are solicited whenever they are

potential sources; 3. Dividing total requirements, when economically feasible into small tasks or quantities to

permit maximum participation of small, minority, and women's businesses; 4. Establishing delivery schedules where the requirements of the work permit, which will

encourage participation by small, minority and women's businesses; 5. Using the services and assistance of the Small Business Administration and the Office of

Disadvantage Business Enterprise of the U.S. Department of Commerce, as appropriate; and




6. If the contractor awards subagreements, requiring the subcontractor to take the affirmative steps (1) through (5).

For projects funded from other than federal sources, the Service will set an MBE goal in accordance with COMAR 21.11.03 to achieve the Service's overall goal of twenty-five percent (25%). Goals for federally funded projects will be set according to the requirements of the federal agency providing the funding. Firms are required, where possible, to contact DBE firms at least thirty days prior to the date proposals are due. MBE sub-goals of 6% for African-American firms; 2% for Hispanic firms; and, 9% for women-owned firms have also been established. MBE/DBE/WBE goals may change over the term of the Short List. Short listed firms will be required to make a good faith effort to reach the changed goals. MBE goals will also apply to contract change orders and amendments. The level and type of participation of MBE participation will vary by project and will be set individually by project. State certified MBE firms can found in Maryland Department of Transportation’s (MDOT) online MBE directory by accessing the website: http://mbe.mdot.state.md.us/cgi-bin/mbedir/mbedirectory. The MDOT MBE Directory also lists DBE firms although the list is not comprehensive. An MBE prime consultant cannot fulfill a MBE subcontract participation goal by the use of its own workforce. Both MBE prime consultants and non-MBE prime consultants are required to contract with MBE sub consultant(s) to fulfill an MBE subcontract participation goal. All MBEs for state contract work must be MDOT certified. WORK DESCRIPTION A/E firms are requested to submit expressions of interest in one or more of the following categories:

1. Water, Wastewater, and Residuals Management 2. Solid and Hazardous Waste Management

3. Dredged Material Management, Habitat Development, and Environmental Investigation &

Documentation

4. Geotechnical Engineering services

5. Environmental Management Systems, Engineering, and Environmental Compliance Services.

6. Remediation Planning, Design, and Management

7. Energy Analysis, Design, and Support Services

8. Electrical Engineering Services, including Cogeneration

9. Mechanical Engineering Services, including Cogeneration

Following is a list of specific scopes of work, which are representative of the technical expertise sought by category: I. WATER, WASTEWATER, AND RESIDUALS MANAGEMENT




1. Design and preparation of construction documents for new, upgraded, and/or expansion of

potable water treatment facilities, potable water storage, and distribution systems typically sized under 1 MGD;

2. Design and preparation of construction documents for new, upgraded, and/or expansion of

wastewater treatment facilities, biological nutrient removal (BNR) and enhanced nutrient removal (ENR) processes, and collection systems typically sized under 1 MGD;

3. Design and preparation of construction documents for subsurface wastewater treatment

and disposal systems sized under 1 MGD; 4. Design and preparation of construction documents for water transmission and distribution,

to include hydraulic modeling and capacity analysis of distribution systems; 5. Inflow/infiltration and hydraulic assessments of wastewater collection systems, and provide

design and construction documents for rehabilitation and/or replacement; 6. Geotechnical and hydrogeologic analysis of potential sites for biosolids disposal and land

application of wastewaters; 7. Design and preparation of construction documents for biosolids storage, treatment, and

ultimate disposal; 8. Conduct surveying: boundary, construction baseline, elevations, and topographic (aerial

and field run); 9. Provide construction inspection and/or management services;

10. Provide design services for stormwater management, sediment and erosion control, and/or permit acquisition;

11. Design of wastewater water reuse systems; 11. Perform feasibility studies, planning, and design services for alternative energy and energy

utilization/optimization projects at water and wastewater treatment plants. II. SOLID AND HAZARDOUS WASTE MANAGEMENT

1. Provide design and construction documents for material recovery facilities 2. Provide design and construction documents for landfill closures and post closure phases

including landfill closure cap design and construction;

3. Provide design and construction documents for solid waste transfer, storage, treatment, and ultimate disposal systems, including landfill design and construction.

4. Provide design and construction documents for landfill leachate treatment and landfill gas

collection.



5. Provide corrective action services related to the environmental compliance of MES and client landfills.;

3. Perform geotechnical analysis of potential sites for land application of landfill leachates,

sanitary landfills, and/or hazardous waste sites; 4. Develop systems to contain, remove, and/or treat contamination at hazardous waste or

leaking underground storage tank sites; 5. Perform wetlands and forest stand delineation and assessments; 6. Perform groundwater quality modeling and/or assessments of solid and hazardous waste

disposal sites; 7. Provide structural and/or mechanical design for upgrades or additions to existing solid

waste management facilities; 8. Provide structural and/or electrical design support for in-house designs; 9. Provide GIS drafting, CADD and GIS services; 10. Conduct surveying: boundary, construction baseline, aerial photography, topography, and

mapping; 11. Provide construction inspection and/or management services; 12. Provide services for leachate management and/or gas collection/disposal; 13. Provide solutions and/or innovative technologies for recycling, reuse, and/or disposal of

scrap tires.

14. Provide design and construction documents for leaf, food and yard waste composting systems.

III. DREDGED MATERIAL MANAGEMENT, HABITAT DEVELOPMENT AND ENVIRONMENTAL

INVESTIGATION, AND DOCUMENTATION 1. Provide planning services and design and construction documents for dredged material

containment facilities, other placement sites and facilities, and environmental mitigation; 2. Provide design and construction documents for aquatic, wetland, and upland habitat

projects using dredged material; 3. Provide design support for dredging and materials management; 4. Provide design and construction support for storm water management and erosion and

sediment control measures; 5. Perform estuarine, marine and land geotechnical investigations, analysis, and assessment

for existing or potential dredged material placement sites;



6. Conduct surveying: topographic (aerial and field run), hydrographic, boundary, and construction baseline;

7. Perform coastal engineering analysis, design, documentation, and reports; 8. Provide construction inspection, QA/QC, and/or management services for dredged material

placement projects; 9. Conduct environmental investigations, evaluations, and documentation for dredging related

and environmental restoration projects; 10. Provide GIS drafting, CADD and GIS services.

11. Perform wetlands and forest stand delineations and assessments.

12. Provide technical support for current and future TMDL compliance; including, but not limited to, scientific investigations (i.e., mass balance studies) and BMP development to meet permitted load allocations at dredged material placement sites.

IV. GEOTECHNICAL ENGINEERING SERVICES

1. Provide geotechnical engineering services, engineering analysis and design, and

geotechnical investigation services; 2. Provide geotechnical support in preparation and review of construction/bid documents

and cost estimates; 3. Provide geotechnical QA/QC services; 4. Development of geotechnical reports; 5. Perform land and bathymetric surveys using Certified Land Surveyors;

6. Provide GIS drafting, CADD and GIS services; 7. Perform geotechnical analyses, including but not limited to, slope stability analysis, slope

and foundation failure analysis, surcharge settlement and dike stability analysis; 8. Conduct drilling and borings using appropriate ASTM Standards with the capability and

equipment to conduct drilling and borings including hollow stem augers with varying diameters on both land and water locations, with capability and experience in the installation of wells and piezometers;

9. Perform field testing and investigation services in conformance with ASTM Standards,

including but not limited to, conducting Standard Penetration Tests, split spoon samples, Shelby Tube samples, Vane shear tests, and CPT on land and underwater sample locations; and

10. Perform certified laboratory testing services in conformance with ASTM Standards,

including conducting testing for but not limited to, water content, grain size distribution,



moisture density, consolidation, Atterberg limits, specific gravity, in-situ density, consolidation, shear, and unified soil classification.

V. ENVIRONMENTAL MANAGEMENT SYSTEMS, ENGINEERING, AND ENVIRONMENTAL

COMPLIANCE SERVICES 1. Perform environmental compliance, engineering, industrial hygiene, and design services

related to Underground and Above Ground Storage Tanks, Hazardous Materials, Asbestos, Lead-based Paint, Stormwater Best Management Practices, and Air Quality;

2. Perform services related to the planning and implementation of Spill Prevention Control

and Countermeasure Plans, Environmental Management Systems, Asbestos Management Plans, Stormwater Pollution Prevention Plans, and Municipal Separate Storm Sewer System (MS4) Permits;

3. Provide State-certified asbestos inspectors, certified industrial hygienists and other

qualified staff for various duties, including environmental management systems implementation and maintenance, environmental compliance, emergency preparedness and response and safety and risk management tasks for MES and their clients;

4. Provide corrective action planning and design services related to the environmental

compliance of MES and client facilities and projects;

5. Provide air, water and waste management support services related to environmental compliance of MES and client facilities and projects;

6. Provide engineers and specialists capable of performing permitting assistance,

implementation plans for air emissions reductions, air emissions inventories, modeling and preparation of air emissions projections, and compliance and mitigation plans for planned projects. These studies and plans could be required for NEPA and/or compliance purposes. Pollutants of interest include NOX, VOC, CO, PM10 and others that may be added as regulatory requirements are modified;

7. Provide regulatory liaison services between MES and their clients and MDE, EPA

Region 3, EPA HQ, and the Corps of Engineers regarding air emissions; and 8. Provide drafting/CADD and GIS services.

VI. REMEDIATION PLANNING, DESIGN, AND MANAGEMENT

1. Planning and design for remediation of impacted media at redevelopment sites, such as

dredged material containment facilities; 2. Preparation and review of remediation plans; inspection, maintenance, and remediation

services;



3. Provision of technical support and assistance with federal, state, local and private, funding and policy discussions; and technical assistance with federal, state and local regulatory issues;

4. Provision of services related to investigation, design, remediation, and operations of

brownfields, landfills and waste sites; 5. Provisions for planning and design to incorporate applicable COMAR regulations; all

state and federal regulations; local permitting and code regulations; and federal codes such as NEPA, NEC (and all associated Hazard Class ratings), NFPA and local fire codes, NEMA ratings, etc.;

6. Provision of professional services including: hydrogeologic investigations; electrical and

plumbing design; remedial system specifications; mechanical, environmental, civil, and structural design and calculations; slurry wall design and fabrication; real calculative specifications; determining effective radius and radius of influence of a treatment system; design calculations and permitting of air and water discharges; injection well design and placement; slurry effectiveness calculations; site planning; and, system labeling;

7. Services in support of environmental investigations pertaining to remediation,

documentation and permitting, including environmental data collection and analysis required for permit or regulatory application, reporting and compliance;

8. Provision of field services related to site investigations required to perform site

characterization and determine remedial options; 9. Provision of services to include, but not be limited to: development and support of

remediation alternatives and programs, preparation of sampling plans and analytical laboratory specifications; and development of monitoring plans;

10. Provision of analytical services on water, soil, and sediment matrices; and 11. Provide GIS drafting, CADD and GIS services.

VII. ENERGY ANALYSIS, DESIGN, AND SUPPORT SERVICES

1. Perform energy analysis on site utility use and usage patterns to determine baselines for use;

2. Provide energy benchmarking services in accordance with the U.S. Environmental

Protection Agency’s (EPA) ENERGY STAR Portfolio Manager program, for facilities including, but not limited to, schools, office buildings, multi-family housing buildings, universities, and wastewater treatment plants;

3. Provide services to approve the buildings for receipt of the EPA ENERGY STAR rating;

4. Perform energy needs analysis studies and energy efficiency audit services for residential,

commercial and/or industrial facilities including, but not limited to, energy conservation measures, energy supply and demand analysis, energy source optimization, utility rate analysis, overview of operations, onsite assessments, photographic documentation, infrared



photographic documentation and development of recommendations for energy savings, providing technical review and technical assistance with the design and installation of energy saving equipment or procedures

5. Perform greenhouse gas (GHG) emissions inventory and assessment which should include

but not be limited to ICLEI (International Council for Local and Environmental Initiatives [also known as Local Governments for Sustainability]) modeling, reporting and associated documentation;

6. Provide services for LEED Certification or ICC (International Code Council) National Green

Building Standard verification for new and/or existing residential, commercial and industrial facilities; and,

7. Perform Energy Feasibility Studies for residential, commercial, and industrial sites, which

shall include, but not be limited to complete utility analysis, identification of current and potential future energy needs of the site, research and recommendations for the potential use of various renewable energy technologies, and calculate potential energy savings and estimated pay back periods;

8. Design and preparation of construction documents for residential, commercial, or industrial

facilities, including but not limited to new, upgraded and or expansion of solar energy systems, wind energy systems, geothermal energy systems, gasification systems for conversion of organic materials

9. Provide outreach and recruiting services including but not limited to coordination with

various potential renewable energy and energy efficiency clients and development of program guidelines and marketing materials; and,

10. Provide technical review of current policy, including but not limited to energy and

environmental.

VIII. ELECTRICAL ENGINEERING SERVICES

1. Conduct comprehensive evaluation of facilities and provide design and construction documents for improvements and/or rehabilitation of power generation, control and distribution systems at the Co-Generation facility.

2. Conduct feasibility of power generation, energy usage and cost benefit analysis in

comparison to alternative power sources. Provide analysis of power production at the co-generation facility and power usage at the ECI Correctional Institution to enable the preparation of master plans for future operations, capital improvements and potential growth of the facility.

3. Conduct an analysis of electrical energy usage efficiency at various MES projects, and

highlight deficiencies and recommend improvements. 4. Provide analysis and recommendations as to the level of outside electrical power

required to maintain reliable service. 5. Provide an analysis of electrical load, load flow analysis, short circuit analysis and power

quality study.



6. Conduct an analysis and make recommendations for improvements to the existing load

shedding computer control system (SYMAX), switchgear, and power distribution and Co-Generation control system as necessary.

7. Provide services in the design and installation of an additional 1000 KW diesel generator

connected to existing switchgear and control systems. 8. Evaluate instrumentation and control systems and design improvements to replace

obsolete components and to improve operational efficiency at various facilities operated by MES.

9. Provide construction management and/or inspection services.

IX. MECHANICAL ENGINEERING SERVICES 1. Conduct comprehensive evaluation of facilities and provide design and construction

documents for improvement and/or rehabilitation of high and low pressure boilers, turbine generators, high pressure steam lines, solid fuel transfer systems, liquid fuel injection systems, ash removal systems, cooling towers, pumps, lift stations, booster pump stations, backflow preventors and storage tanks and associated equipment;

2. Provide an analysis of alternative fuel sources, BTU values, and anticipated emissions

from these sources; 3. Conduct an analysis of feasibility of waste heat recovery and re-use for various needs

including sludge digestion, and wastewater and leachate heating in the winter; 4. Conduct an analysis of the efficiency of the HVAC systems, fire suppressions systems,

and design improvements as necessary; 5. Provide design and construction documents for specialty fuel and gas storage,

dispensing and distribution systems; 6. Provide design and construction documents for instrumentation and control; 7. Provide construction and management and/or inspection services;

8 Perform Environmental Impact Assessments specific to transportation modes, energy

production, regional market stability, traffic studies (i.e. impacts to traffic); 9 Provide Economic Analysis of Alternatives to include financial and economic viability,

socioeconomic analysis, risk assessment/risk management and cost benefit analysis of project and / or policies; and

10. Resource Recovery, Renewable Energy and Alternative Fuel Evaluation for power

generating facilities.

CONSULTANT SERVICES



The consultant services to be provided in connection with the foregoing categories list may include any and/or all of the following: 1. Preparation of studies, evaluations and reports;

2. Permit applications and attendance at public meetings/hearings;

3. Preparation of schematic, design development, detailed engineering designs, plans, and specifications and construction bid documents;

4. Construction cost estimates; construction bid evaluation; 5. Construction management services, including but not limited to shop drawing review,

progress meetings, change order review, construction inspection;

6. Investigation and data collection;

7. Public outreach; and 8. Representing MES in negotiations and meetings with MDE regarding project grant

funding eligibility and for review and issuance of permits or permit renewals. These consultant services shall be provided in accordance with the State of Maryland’s Ethic Statutes “Special Ethics Law Memo,” which is included in the solicitation package. An Ethics certification statement, to be completed and submitted by each prime consultant and each sub-consultant, is also included in the solicitation. SUBMITTAL The expression of interest submittal shall consist of three parts: Part A is a statement of qualifications; Part B is a procurement and financial submittal. Part C is firm’s rate schedule Part A: Statement of Qualifications shall consist of a U.S. Government Standard Form 330 with a letter of interest. Interested firms shall submit four (4) copies of a statement of qualifications for each category of work in which the consultant is seeking consideration. U.S. Government Standard Form 330 shall be completed as directed in the Instructions that accompany this form with the additions noted below. Section F completed U.S. Government Standard Form 330 (SF-330) shall be modified to include, for all projects listed, total project costs (both estimated and actual) and the total fee paid for the engineering services. Completed A/E Client Past Performance Review Forms (Performance Forms), one for each project listed, shall be included in Part A. Offerors are responsible for having the Performance Forms completed by the proposed project reference and including the the completed forms in the Technical Submittal (Part A). Part B: In addition to the four (4) copies of Part A: Statement of Qualifications, the firms shall also submit two (2) copies of Part B, the Procurement and Financial submittal, separately bound. Each copy of Part B will contain the following:



♦ One additional copy of the letter of interest; ♦ One copy of the completed bid/proposal affidavit;

♦ One copy of the Investment Activities in Iran Certification Form;

♦ ♦ One copy of evidence* of insurance in the following categories:

• Workmen's Compensation with Employer's Liability coverage with a minimum $500,000 limit for

each accident, $500,000 disease for each employee and $500,000 disease policy limit;

• Comprehensive General Liability with $1,000,000 for each occurrence of bodily injury and $1,000,000 for each occurrence of property damage;

• Comprehensive Automotive Liability with $500,000/$1,000,000 bodily injury and $1,000,000

property damage. Coverage shall extend to hired and non-owned automobiles;

• Professional Liability with a minimum limit of $1,000,000;

*For this submittal, copies of existing certificates of insurance will suffice to establish insurance levels. Original certificates of insurance naming the Service as additional insured will be required when a contract is let.

♦ Completed and signed “Certified MBE Utilization and Fair Solicitation Affidavit MBE Attachment

A – State Funded Projects”. ♦ Completed and signed “Certified MBE Utilization and Fair Solicitation Affidavit MBE Attachment

A – Federally Funded Projects”.

♦ One copy of the firm's last audited financial statement. Part C: In addition to the four (4) copies of Part A: Statement of Qualifications, two (2) copies of Part B, the Procurement and Financial submittal, firms shall also submit four (4) copies of Part C: the firm’s rate schedule, separately bound. An electronic version of the rate schedule shall also be submitted in Microsoft Excel. Each copy of Part C will contain the following:

♦ One additional copy of the letter of interest;

♦ One copy of the completed rate schedule, which includes the following information • Name of individual, labor classification and labor rate for each employee anticipated

to provide services • Maryland Port Administration (MPA) and Non-MPA Overhead Rates • Fixed fee • Mileage rate



• Per diem • Any other direct costs • From the listing of employees, identify the prime contractor’s or sub-contractor’s

office location • Maximum allowable hotel and travel charges

On projects where MPA is MES’s client, engineering firms shall not exceed the standard MPA overhead ceiling rate of 130% for A/E projects. If the engineering firm has evidence of a higher existing overhead rte previously approved by MPA or MDOT, the engineering firm shall not exceed such a rate. There is also a cap on the highest hourly labor rate of $75 per hour, unloaded and cap on the fee of 10%. Unreasonable rates may be a reason for exclusion from the prequalified list. Rates are firm for the first year. Rates will not exceed an average of 3% increase for each of the following two years of the initial term. However, MES may, at its discretion, approve a different rate of increase if adequate justification is provided. The absence of procurement or financial documentation may disqualify a firm from further consideration. By submitting an expression of interest, a firm signifies its agreement to the provisions of the Maryland Environmental Service Engineer's Contract Basic Agreement (09/12) and Maryland Environmental Service General Conditions Engineer Service Contract (08/12), which are attached. Completed expressions of interest - two separately bound copies of Part B, Procurement and Financial Information; four separately bound copies of part A, Statement of Qualifications, and four separately bound copies of Part C, Rate Schedule for each category for which consideration is desired shall be submitted to:

Maryland Environmental Service 259 Najoles Road

Millersville, MD 21108 Attention: Kelly Ryan

A/E Short List Project ID No. 13-02-02

‘Category of Work Title’ Expressions of interest shall be accepted until 3:00 PM on July 10, 2013. Late expressions shall not be accepted. It is the responsibility of the submitting firm to assure the timely receipt of its submittal by the Service. EVALUATION The Service's Procurement Officer shall determine whether the submittals meet the procurement and financial documentation required in the previous SUBMITTAL section. Non-compliant submittals may be rejected. The Rates submittals will be retained by Procurement until the technical evaluations are complete. The Service's Technical Evaluation Committees (TEC) shall evaluate the statements of qualifications submitted in each category of work. The following general criteria, in descending order of importance, and any additional special criteria set forth in this public notice will be used as evaluation factors in the scoring of the firms:



1. Qualifications and experience of key staff; 2. Related previous work;

3. Past performance;

4. Minority Business Enterprise participation in project teams.

In regard to Item 1, a minimum of two key individuals currently registered with the respective Registration Boards of the Maryland Department of Licensing and Regulation shall be submitted. Attention should be given to project experience, including the number of years of experience, which is relevant to the types of projects listed. The experience of individuals shall be carefully noted to identify for which firm the individuals worked when the submitted projects took place. Offerors shall not submit for consideration project work done by individuals while employed by other firms as project work done by individuals while in the employ of the Offeror. In regard to Item 2, there should be demonstrated engineering experience, which reflects the Architect/Engineer's ability to provide services for the types of projects listed in the specific submittal categories. In regard to Item 2, Offerors shall list only those projects in which the Offeror participated. Experience of individuals on the Offeror’s team while working for another firm shall not be submitted nor shall it be considered in evaluating the Offeror’s experience. Individual experience working for firms other than the Offeror shall be submitted for Item 1 consideration. Please see the note on Item 1. In regard to Item 3, the past performance of the firm shall be evaluated on the projects selected with special emphasis on work quality, management, and adherence to schedules and cost estimating and budget limitations. It shall be the responsibility of the firm to decide which ten (10) projects best illustrate the firm’s current qualifications and forward the enclosed A/E Client Past Performance Review Form to those ten project contacts to complete. It is then the responsibility of the firm to submit the completed Review Forms with their Part A submittal. For federal projects, MES will accept a copy of the ACASS performance evaluation and ranking. MES is limiting Section F of the SF 330 to ten (10) projects for this solicitation of which a maximum of three can be federal projects. Do not exceed ten (10) projects. In addition, for the water, wastewater, and residuals category, six (6) of the ten (10) projects are to have been constructed and in operation. No more than three (3) projects can be from the same client and a minimum of five projects must be performed by the Prime. The Maryland Environmental Service should be considered as an immediate client and the limit of three applies. Offerors are advised to list only those projects in which the Offeror participated. Project experience accruing to individuals while those individuals were employed by other firms shall not be submitted nor evaluated as documentation of past performance by the Offeror.

In regard to Item 4, MBE participation will be evaluated on the integration of MBE sub-consultants into the core work of the team organization. Only MDOT certified MBE firms are acceptable for meeting the MBE goal. MDOT certified MBE firms could be found in the MDOT State Certified MBE Directory on that department’s web site www.mdot.state.md.us. To access the directory, select the “MBE Program”

http://www.mdot.state.md.us/



at the left side of the web site. The State of Maryland's Minority Business Enterprise participation goal for this contract is 25% with sub-goals of 6% for African American firms, 2% for Hispanic firms and 9% for women-owned firms. The teams most likely to achieve the goals stated above shall receive the highest technical scores for this evaluation factor. The TEC will perform a technical evaluation based on the information submitted by each of the A/E firms. The firms will then be scored in each category based on the evaluation criteria listed previously in this section. SELECTION No more than seven (7) firms will be selected in each category. All firms will be notified of the prequalified list by certified mail. Firms may request a debriefing by notifying the Procurement Officer in writing within five calendar days of the receipt of the notice of selection. The base term of the Short list is three years. MES may, at the end of three years, exercise the options to extend the contract for three additional one year periods each. If such options are exercised, rates may be re-negotiated. AWARD As work assignments are approved, MES will select a consultant from the shortlist based on the suitability of the consultants’ experience to the specific project scope of work at hand. No guarantee is made that the work assigned will be rotated among the firms on the short list. Factors that will be considered in making a selection for any specific work assignment include the following: a firm has special experience or qualifications, including geographic proximity, that make its selection in the best interest of MES; the firm’s hours or fees proposed are fair, reasonable, and competitive; the firm is able to fully perform the work assignment within any regulatory constraints. In addition, the following items will be considered by MES when determining the acceptance of task proposals, where applicable: ♦ Well integrated use of multiple MBE/DBE firms; ♦ Labor distribution divided appropriately between senior and support staff; ♦ Appropriate number of hours for each specified task. Each work assignment will be reviewed on a case by case basis to determine a feasible MBE or DBE goal. The selected consultant shall submit a proposal based on the scope of work provided by MES. The proposal shall include the total price, a pricing breakdown, and a schedule to accomplish the work. The consultant and MES shall negotiate each specific project’s scope of work and cost. Upon agreement on services to be performed, the proposal price, and time for completion, the parties shall execute a contract reflecting all terms agreed upon. MES shall then authorize the consultant to proceed with the work. Services will be provided on a cost reimbursable basis of allowable incurred costs in accordance with the approved scope of work and billable rates, not to exceed the available budget. With each proposal, the firm must submit a MDOT Certified MBE Utilization and Fair Solicitation Affidavit and a Subcontractor Project Participation Certification.



Firms should be aware that projects supported by federal funds may require completion and submittal of DBE Documents for Federally Funded Projects, included herein. Firms shall structure procedures for the performance of the work for each task required in this scope to achieve a minimum overall minority business enterprise MBE/DBE goal defined in each task for the total contract price, which shall be achieved in non-contingent work subtasks. If no agreement is reached, MES will solicit a proposal from the next most qualified Firm until an agreement is reached. A Firm may be awarded more than one contract; however, the amount of any one contract may not exceed $500,000. For each contract that is awarded, the firm and its MBE Subcontractors must complete a MBE compliance meeting and will be required to submit monthly MBE reports for the duration of the contract. Please Note: If a firm (together with its MBE subcontractors) is awarded another contract within six months of having completed a compliance meeting, they will not be required to meet with the MBE office again. Both the prime and the sub-consultants will be sent a Compliance Checklist by email to complete and return in PDF format. If six months or more have elapsed, the consultants will be required to attend another Compliance meeting. MES makes no guarantee as to the amount of work, if any, to be awarded as a result of this solicitation. MES may contract with a firm on the short list for community outreach and public involvement support services. MES also reserves the right to contract with a firm outside the short list on any particular project. The results and status of consultants on the short list solicitation has no influence or relevance for any other MES solicitations. For questions and requests for additional information, please contact the Procurement Office at [email protected], or via fax at 410-729-8280.


ETHICS CERTIFICATION SOLICITATION/CONTRACT NO:_____________

I certify that ________________________ (name of prime consultant) and the sub-consultants listed

below is (are) in compliance with Public Ethics Law, State Government Article Title 15, Section 15-508

with respect to the above-referenced MES Solicitation / Contract.

In preparing its response to the above-referenced MES Solicitation_/ Contract, I further certify that,

except as permitted pursuant to Section 15-508(b) of the State Government Article, the firm of

_____________________ (name of prime consultant)

A. Does not employ any former MES Employee or other former State employee who assisted MES

in preparing this Solicitation, or in its selection or award process;

B. Did not receive assistance or representation, either directly or indirectly, from any other firm or

individual who employed or otherwise hired a former MES employee or other former State

employee who assisted in preparing this solicitation, or in its selection or award process.

C. Certifications from the sub-consultants named above are separately attached and included in

this affirmation.

Further, ___________________________________ and its sub-consultants shall not assign to any

former MES or State employee any work under this contract if the work involves a matter in which that

former MES or State employee participated significantly while working for MES or other units of the

State of Maryland.

The prime consultant and the sub-consultants shall report the hire of any former MES or State

employees to the Manager, Contract Administration, at MES.

___________________ ___________________ ________________________________

Date Name (Print) Signature

________________________

Title

Contract Affidavit

Page 1 of 4 Effective 8/8/2011

THIS FORM MUST BE COMPLETED AND SUBMITTED WITHIN 10 DAYS OF RECEIPT OF NOTICE OF INTENT TO AWARD

CONTRACT AFFIDAVIT

A. AUTHORITY I HEREBY AFFIRM THAT: I, ________________________________ (print name), possess the legal authority to make this Affidavit. B. CERTIFICATION OF REGISTRATION OR QUALIFICATION WITH THE STATE DEPARTMENT OF ASSESSMENTS

AND TAXATION I FURTHER AFFIRM THAT: The business named above is a (check applicable box):

(1) Corporation — domestic or foreign; (2) Limited Liability Company — domestic or foreign; (3) Partnership — domestic or foreign; (4) Statutory Trust — domestic or foreign; (5) Sole Proprietorship. and is registered or qualified as required under Maryland Law. I further affirm that the above business is in

good standing both in Maryland and (IF APPLICABLE) in the jurisdiction where it is presently organized, and has filed all of its annual reports, together with filing fees, with the Maryland State Department of Assessments and Taxation. The name and address of its resident agent (IF APPLICABLE) filed with the State Department of Assessments and Taxation is:

Name and Department ID Number: ___________________________________________________ Address:__________________________________________________________________________.

and that if it does business under a trade name, it has filed a certificate with the State Department of

Assessments and Taxation that correctly identifies that true name and address of the principal or owner as:

Name and Department ID Number: ___________________________________________________ Address:__________________________________________________________________________.

C. FINANCIAL DISCLOSURE AFFIRMATION I FURTHER AFFIRM THAT: I am aware of, and the above business will comply with, the provisions of State Finance and Procurement

Article, §13-221, Annotated Code of Maryland, which require that every business that enters into contracts, leases, or other agreements with the State of Maryland or its agencies during a calendar year under which the business is to receive in the aggregate $100,000 or more shall, within 30 days of the time when the aggregate value of the contracts, leases, or other agreements reaches $100,000, file with the Secretary of State of Maryland certain specified information to include disclosure of beneficial ownership of the business.

Contract Affidavit


D. POLITICAL CONTRIBUTION DISCLOSURE AFFIRMATION I FURTHER AFFIRM THAT: I am aware of, and the above business will comply with, Election Law Article, §§14-101 — 14-108, Annotated

Code of Maryland, which requires that every person that enters into contracts, leases, or other agreements with the State of Maryland, including its agencies or a political subdivision of the State, during a calendar year in which the person receives in the aggregate $100,000 or more shall file with the State Board of Elections a statement disclosing contributions in excess of $500 made during the reporting period to a candidate for elective office in any primary or general election.

E. DRUG AND ALCOHOL FREE WORKPLACE (Applicable to all contracts unless the contract is for a law enforcement agency and the agency head or the

agency head’s designee has determined that application of COMAR 21.11.08 and this certification would be inappropriate in connection with the law enforcement agency’s undercover operations.)

I CERTIFY THAT:

(1) Terms defined in COMAR 21.11.08 shall have the same meanings when used in this certification. (2) By submission of its bid or offer, the business, if other than an individual, certifies and agrees that, with

respect to its employees to be employed under a contract resulting from this solicitation, the business shall:

(a) Maintain a workplace free of drug and alcohol abuse during the term of the contract; (b) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing,

possession, or use of drugs, and the abuse of drugs or alcohol is prohibited in the business' workplace and specifying the actions that will be taken against employees for violation of these prohibitions;

(c) Prohibit its employees from working under the influence of drugs or alcohol; (d) Not hire or assign to work on the contract anyone who the business knows, or in the exercise of due

diligence should know, currently abuses drugs or alcohol and is not actively engaged in a bona fide drug or alcohol abuse assistance or rehabilitation program;

(e) Promptly inform the appropriate law enforcement agency of every drug-related crime that occurs in

its workplace if the business has observed the violation or otherwise has reliable information that a violation has occurred;

(f) Establish drug and alcohol abuse awareness programs to inform its employees about:

(I) The dangers of drug and alcohol abuse in the workplace; (II) The business's policy of maintaining a drug and alcohol free workplace; (iii) Any available drug and alcohol counseling, rehabilitation, and employee assistance programs;

and

Contract Affidavit


(iv) The penalties that may be imposed upon employees who abuse drugs and alcohol in the workplace;

(g) Provide all employees engaged in the performance of the contract with a copy of the statement

required by §E(2)(b), above; (h) Notify its employees in the statement required by §E(2)(b), above, that as a condition of continued

employment on the contract, the employee shall:

(i) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug or alcohol abuse conviction for an offense occurring in the

workplace not later than 5 days after a conviction;

(i) Notify the procurement officer within 10 days after receiving notice under §E(2)(h)(ii), above, or otherwise receiving actual notice of a conviction;

(j) Within 30 days after receiving notice under §E(2)(h)(ii), above, or otherwise receiving actual notice of a

conviction, impose either of the following sanctions or remedial measures on any employee who is convicted of a drug or alcohol abuse offense occurring in the workplace:

(i) Take appropriate personnel action against an employee, up to and including termination; or (ii) Require an employee to satisfactorily participate in a bona fide drug or alcohol abuse assistance or

rehabilitation program; and

(k) Make a good faith effort to maintain a drug and alcohol free workplace through implementation of §E(2)(a)—(j), above.

(3) If the business is an individual, the individual shall certify and agree as set forth in §E(4), below, that the

individual shall not engage in the unlawful manufacture, distribution, dispensing, possession, or use of drugs or the abuse of drugs or alcohol in the performance of the contract.

(4) I acknowledge and agree that:

(a) The award of the contract is conditional upon compliance with COMAR 21.11.08 and this certification; (b) The violation of the provisions of COMAR 21.11.08 or this certification shall be cause to suspend

payments under, or terminate the contract for default under COMAR 21.07.01.11 or 21.07.03.15, as applicable; and

(c) The violation of the provisions of COMAR 21.11.08 or this certification in connection with the contract

may, in the exercise of the discretion of the Board of Public Works, result in suspension and debarment of the business under COMAR 21.08.03.

F. CERTAIN AFFIRMATIONS VALID I FURTHER AFFIRM THAT: To the best of my knowledge, information, and belief, each of the affirmations, certifications, or

acknowledgements contained in that certain Bid/Proposal Affidavit dated __________ , 20____ , and executed

Contract Affidavit


by me for the purpose of obtaining the contract to which this Exhibit is attached remains true and correct in all respects as if made as of the date of this Contract Affidavit and as if fully set forth herein.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS

AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF. Date: ________________ By: _________________________________ (printed name of Authorized Representative and Affiant)

__________________________________ (signature of Authorized Representative and Affiant)

of 6 Effective 8/8/2011

SUBMIT WITH BID/PROPOSAL

BID/PROPOSAL AFFIDAVIT

A. AUTHORITY

I HEREBY AFFIRM THAT:

I, ________________________ (print name), possess the legal authority to make this Affidavit.

B. CERTIFICATION REGARDING COMMERCIAL NONDISCRIMINATION

The undersigned bidder hereby certifies and agrees that the following information is correct: In preparing its bid on this project, the bidder has considered all proposals submitted from qualified, potential subcontractors and suppliers, and has not engaged in "discrimination" as defined in §19-103 of the State Finance and Procurement Article of the Annotated Code of Maryland. "Discrimination" means any disadvantage, difference, distinction, or preference in the solicitation, selection, hiring, or commercial treatment of a vendor, subcontractor, or commercial customer on the basis of race, color, religion, ancestry, or national origin, sex, age, marital status, sexual orientation, or on the basis of disability or any otherwise unlawful use of characteristics regarding the vendor's, supplier's, or commercial customer's employees or owners. "Discrimination" also includes retaliating against any person or other entity for reporting any incident of "discrimination". Without limiting any other provision of the solicitation on this project, it is understood that, if the certification is false, such false certification constitutes grounds for the State to reject the bid submitted by the bidder on this project, and terminate any contract awarded based on the bid. As part of its bid or proposal, the bidder herewith submits a list of all instances within the past 4 years where there has been a final adjudicated determination in a legal or administrative proceeding in the State of Maryland that the bidder discriminated against subcontractors, vendors, suppliers, or commercial customers, and a description of the status or resolution of that determination, including any remedial action taken. Bidder agrees to comply in all respects with the State's Commercial Nondiscrimination Policy as described under Title 19 of the State Finance and Procurement Article of the Annotated Code of Maryland.

B-1. CERTIFICATION REGARDING MINORITY BUSINESS ENTERPRISES.

The undersigned bidder hereby certifies and agrees that it has fully complied with the State Minority Business Enterprise Law, State Finance and Procurement Article, §14-308(a)(2), Annotated Code of Maryland, which provides that, except as otherwise provided by law, a contractor may not identify a certified minority business enterprise in a bid or proposal and:

(1) Fail to request, receive, or otherwise obtain authorization from the certified minority business enterprise to identify the certified minority proposal;


(2) Fail to notify the certified minority business enterprise before execution of the contract of its inclusion in the bid or proposal;

(3) Fail to use the certified minority business enterprise in the performance of the contract; or

(4) Pay the certified minority business enterprise solely for the use of its name in the bid or proposal.

Without limiting any other provision of the solicitation on this project, it is understood that if the certification is false, such false certification constitutes grounds for the State to reject the bid submitted by the bidder on this project, and terminate any contract awarded based on the bid.

C. AFFIRMATION REGARDING BRIBERY CONVICTIONS

I FURTHER AFFIRM THAT:

Neither I, nor to the best of my knowledge, information, and belief, the above business (as is defined in Section 16-101(b) of the State Finance and Procurement Article of the Annotated Code of Maryland), or any of its officers, directors, partners, controlling stockholders, or any of its employees directly involved in the business's contracting activities including obtaining or performing contracts with public bodies has been convicted of, or has had probation before judgment imposed pursuant to Criminal Procedure Article, §6-220, Annotated Code of Maryland, or has pleaded nolo contendere to a charge of, bribery, attempted bribery, or conspiracy to bribe in violation of Maryland law, or of the law of any other state or federal law, except as follows (indicate the reasons why the affirmation cannot be given and list any conviction, plea, or imposition of probation before judgment with the date, court, official or administrative body, the sentence or disposition, the name(s) of person(s) involved, and their current positions and responsibilities with the business):

____________________________________________________________

____________________________________________________________

___________________________________________________________.

D. AFFIRMATION REGARDING OTHER CONVICTIONS


Neither I, nor to the best of my knowledge, information, and belief, the above business, or any of its officers, directors, partners, controlling stockholders, or any of its employees directly involved in the business's contracting activities including obtaining or performing contracts with public bodies, has:

(1) Been convicted under state or federal statute of:


(a) A criminal offense incident to obtaining, attempting to obtain, or performing a public or private contract; or

(b) Fraud, embezzlement, theft, forgery, falsification or destruction of records or receiving stolen property;

(2) Been convicted of any criminal violation of a state or federal antitrust statute;

(3) Been convicted under the provisions of Title 18 of the United States Code for violation of the Racketeer Influenced and Corrupt Organization Act, 18 U.S.C. §1961 et seq., or the Mail Fraud Act, 18 U.S.C. §1341 et seq., for acts in connection with the submission of bids or proposals for a public or private contract;

(4) Been convicted of a violation of the State Minority Business Enterprise Law, §14-308 of the State Finance and Procurement Article of the Annotated Code of Maryland;

(5) Been convicted of a violation of §11-205.1 of the State Finance and Procurement Article of the Annotated Code of Maryland;

(6) Been convicted of conspiracy to commit any act or omission that would constitute grounds for conviction or liability under any law or statute described in subsections (1)—(5) above;

(7) Been found civilly liable under a state or federal antitrust statute for acts or omissions in connection with the submission of bids or proposals for a public or private contract;

(8) Been found in a final adjudicated decision to have violated the Commercial Nondiscrimination Policy under Title 19 of the State Finance and Procurement Article of the Annotated Code of Maryland with regard to a public or private contract; or

(9) Admitted in writing or under oath, during the course of an official investigation or other proceedings, acts or omissions that would constitute grounds for conviction or liability under any law or statute described in §§B and C and subsections D(1)—(8) above, except as follows (indicate reasons why the affirmations cannot be given, and list any conviction, plea, or imposition of probation before judgment with the date, court, official or administrative body, the sentence or disposition, the name(s) of the person(s) involved and their current positions and responsibilities with the business, and the status of any debarment):

____________________________________________________________

____________________________________________________________

___________________________________________________________.


E. AFFIRMATION REGARDING DEBARMENT


Neither I, nor to the best of my knowledge, information, and belief, the above business, or any of its officers, directors, partners, controlling stockholders, or any of its employees directly involved in the business's contracting activities, including obtaining or performing contracts with public bodies, has ever been suspended or debarred (including being issued a limited denial of participation) by any public entity, except as follows (list each debarment or suspension providing the dates of the suspension or debarment, the name of the public entity and the status of the proceedings, the name(s) of the person(s) involved and their current positions and responsibilities with the business, the grounds of the debarment or suspension, and the details of each person's involvement in any activity that formed the grounds of the debarment or suspension).

____________________________________________________________

____________________________________________________________

___________________________________________________________.

F. AFFIRMATION REGARDING DEBARMENT OF RELATED ENTITIES


(1) The business was not established and it does not operate in a manner designed to evade the application of or defeat the purpose of debarment pursuant to Sections 16-101, et seq., of the State Finance and Procurement Article of the Annotated Code of Maryland; and

(2) The business is not a successor, assignee, subsidiary, or affiliate of a suspended or debarred business, except as follows (you must indicate the reasons why the affirmations cannot be given without qualification):

____________________________________________________________

____________________________________________________________

___________________________________________________________.

G. SUB-CONTRACT AFFIRMATION


Neither I, nor to the best of my knowledge, information, and belief, the above business, has knowingly entered into a contract with a public body under which a person debarred or suspended under Title 16


of the State Finance and Procurement Article of the Annotated Code of Maryland will provide, directly or indirectly, supplies, services, architectural services, construction related services, leases of real property, or construction.

H. AFFIRMATION REGARDING COLLUSION


Neither I, nor to the best of my knowledge, information, and belief, the above business has:

(1) Agreed, conspired, connived, or colluded to produce a deceptive show of competition in the compilation of the accompanying bid or offer that is being submitted;

(2) In any manner, directly or indirectly, entered into any agreement of any kind to fix the bid price or price proposal of the bidder or offeror or of any competitor, or otherwise taken any action in restraint of free competitive bidding in connection with the contract for which the accompanying bid or offer is submitted.

I. CERTIFICATION OF TAX PAYMENT


Except as validly contested, the business has paid, or has arranged for payment of, all taxes due the State of Maryland and has filed all required returns and reports with the Comptroller of the Treasury, the State Department of Assessments and Taxation, and the Department of Labor, Licensing, and Regulation, as applicable, and will have paid all withholding taxes due the State of Maryland prior to final settlement.

J. CONTINGENT FEES


The business has not employed or retained any person, partnership, corporation, or other entity, other than a bona fide employee, bona fide agent, bona fide salesperson, or commercial selling agency working for the business, to solicit or secure the Contract, and that the business has not paid or agreed to pay any person, partnership, corporation, or other entity, other than a bona fide employee, bona fide agent, bona fide salesperson, or commercial selling agency, any fee or any other consideration contingent on the making of the Contract.

K. ACKNOWLEDGEMENT

I ACKNOWLEDGE THAT this Affidavit is to be furnished to the Procurement Officer and may be distributed to units of: (1) the State of Maryland; (2) counties or other subdivisions of the State of Maryland; (3) other states; and (4) the federal government. I further acknowledge that this Affidavit is


subject to applicable laws of the United States and the State of Maryland, both criminal and civil, and that nothing in this Affidavit or any contract resulting from the submission of this bid or proposal shall be construed to supersede, amend, modify or waive, on behalf of the State of Maryland, or any unit of the State of Maryland having jurisdiction, the exercise of any statutory right or remedy conferred by the Constitution and the laws of Maryland with respect to any misrepresentation made or any violation of the obligations, terms and covenants undertaken by the above business with respect to (1) this Affidavit, (2) the contract, and (3) other Affidavits comprising part of the contract.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF.

Date: _______________________

By: __________________________________ (print name of Authorized Representative and Affiant)

___________________________________ (signature of Authorized Representative and Affiant)

PROC-26 (3/2013)

Return with Bid or Proposal

CERTIFICATION REGARDING INVESTMENTS IN IRAN

1. The undersigned certifies that, in accordance with State Finance & Procurement Article, §17-

705: a. it is not identified on the list created by the Board of Public Works as a person engaging in

investment activities in Iran as described in §17-702 of State Finance & Procurement; and

b. it is not engaging in investment activities in Iran as described in State Finance & Procurement Article, §17-702.

2. The undersigned is unable make the above certification regarding its investment activities in Iran

due to the following activities:

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________

3. ACKNOWLEDGEMENT I ACKNOWLEDGE THAT this Certification is to be furnished to the Procurement Officer and may be distributed to units of: (1) the State of Maryland; (2) counties or other subdivisions of the State of Maryland; (3) other states; and (4) the federal government. I further acknowledge that this Certification is subject to applicable laws of the United States and the State of Maryland, both criminal and civil, and that nothing in this Certification or any contract resulting from the submission of this bid or proposal shall be construed to supersede, amend, modify or waive, on behalf of the State of Maryland, or any unit of the State of Maryland having jurisdiction, the exercise of any statutory right or remedy conferred by the Constitution and the laws of Maryland with respect to any misrepresentation made or any violation of the obligations, terms and covenants undertaken by the above business with respect to (1) this Certification, (2) the contract, and (3) other Affidavits and/or Certifications comprising part of the contract.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF. Date: _______________________ By: ____________________________________ (print name of Authorized Representative and Affiant) _____________________________________ (signature of Authorized Representative and Affiant)

1996-1 Attachment B

Outreach Efforts Compliance Statement Complete and submit this form within 10 working days of notification of apparent award or actual award, whichever is earlier.

In conjunction with the bid or offer submitted in response to Solicitation No. _________, Bidder/Offeror states the following:

1. Bidder/Offeror identified opportunities to subcontract in these specific work categories.

2. Attached to this form are copies of written solicitations (with bidding

instructions) used to solicit MDOT certified MBEs for these subcontract opportunities.

3. Bidder/Offeror made the following attempts to contact personally the

solicited MDOT certified MBEs. 4. Select ONE of the following:

a. � This project does not involve bonding requirements. OR

b. � Bidder/Offeror assisted MDOT certified MBEs to fulfill or seek waiver of bonding requirements (describe efforts).

5. Select ONE of the following:

a. � Bidder/Offeror did/did not attend the pre-bid/proposal conference.

OR b. � No pre-bid/proposal conference was held.

____________________________________ By: _____________________________________ Bidder/Offeror Printed Name Signature Email:

Address: _____________________________________

_____________________________________

_____________________________________

1996-1 Attachment C

Subcontractor Project Participation Certification

Please complete and submit one form for each MDOT certified MBE listed on Attachment A within 10 working days of notification of apparent award.

_________________________ (prime contractor) has entered into a contract with _________________________ (subcontractor) to provide services in connection with the Solicitation described below.

Prime Contractor Address and Phone Project Description

Project Number Total Contract Amount $

Minority Firm Name MBE Certification Number

Work To Be Performed

Percentage of Total Contract

The undersigned Prime Contractor and Subcontractor hereby certify and agree that they have fully complied with the State Minority Business Enterprise law, State Finance and Procurement Article §14-308(a)(2), Annotated Code of Maryland which provides that, except as otherwise provided by law, a contractor may not identify a certified minority business enterprise in a bid or proposal and: (1) fail to request, receive, or otherwise obtain authorization from the certified minority business

enterprise to identify the certified minority business enterprise in its bid or proposal; (2) fail to notify the certified minority business enterprise before execution of the contract of its

inclusion of the bid or proposal; (3) fail to use the certified minority business enterprise in the performance of the contract; or (4) pay the certified minority business enterprise solely for the use of its name in the bid or

proposal. PRIME CONTRACTOR SIGNATURE SUBCONTRACTOR SIGNATURE By: _________________________________ By: _________________________________ Name, Title Name, Title Date Date

FULL OR PARTIAL WAIVER REQUESTS MUST BE SUBMITTED WITHIN 10 DAYS OF RECEIVING A LETTER OF INTENT TO AWARD

Revised January 2009

MBE Attachment E

STATE OF MARYLAND MARYLAND ENVIRONMENTAL SERVICE

FULL/PARTIAL MBE GOAL WAIVER REQUEST INSTRUCTIONS

If the apparent awardee believes a waiver (in whole or in part) of the overall MBE goal or of any sub goal is necessary, it must submit a fully documented waiver request that complies with COMAR 21.11.03.11. The instructions for requesting a full/partial waiver are as follows:

A. If for any, reason, the apparent successful bidder or offeror is unable to achieve the contract goal

for certified MBE participation, the bidder or offeror may request, in writing, a waiver (an exception to the goal with justification) to include the following:

(1) A detailed statement of the efforts made to select portions of the work proposed to be

performed by certified MBEs in order to increase the likelihood of achieving the stated goal; (2) A detailed statement of the efforts made to contact and negotiate with certified MBEs

including:

(a) The names, addresses, dates, and telephone numbers of certified MBEs contacted and (b) A description of the information provided to certified MBEs regarding the plans,

specifications, and anticipated time schedule for portions of the work to be performed;

(3) As to each certified MBE that placed a subcontract quotation or offer that the apparent successful bidder or offeror considers not to be acceptable, a detailed statement of the reasons for this conclusion;

(4) A list of minority subcontractors found to be unavailable. This list should be accompanied by

an MBE unavailability certification (MBE Attachment F) signed by the minority business enterprise, or a statement from the apparent successful bidder or offeror that it was unable to obtain the written certification from the MBE; and

(5) The record of the apparent successful bidder’s or offeror's compliance with the outreach efforts required under COMAR 21.11.03.09.

B. A waiver of a certified MBE contract goal may be granted only upon a reasonable demonstration by the bidder or offeror that certified MBE participation was unable to be obtained or was unable to be obtained at a reasonable price and if the Director or designee determines that the public interest is served by a waiver. In making a determination under this section, the Director or designee may consider engineering estimates, catalogue prices, general market availability, and availability by certified MBEs in the area in which the work is to be performed, other bids or offers and subcontract bids or offers substantiating significant variances between certified MBE and non-MBE cost of participation, and their impact on the overall cost of the contract to the State and any other relevant factor.

C. The Director or designee may waive any of the provisions of COMAR 21.11.03.09-.10 for a sole source, expedited, or emergency procurement in which the public interest cannot reasonably accommodate use of those procedures.



MBE Attachment E Page 2 of 2

D. When a waiver is granted, except waivers under §C, one copy of the waiver determination and

the reasons for the determination shall be kept by the MBE Liaison Officer with another copy forwarded to the Office of Minority Affairs.



MBE Attachment F Page 1 of 2

STATE OF MARYLAND

MINORITY CONTRACTOR UNAVAILABILITY CERTIFICATE 1. It is hereby certified that the firm of ______________________________________________________________________

Prime Contractor Name

___________________________________________, on _____________ contacted the Address: Number, Street, City, State, Zip Date Minority Business Enterprise: _______________________________________________ MBE Name ______________________________________________________________________ Address: Number, Street, City, State, Zip

seeking to obtain a bid for the work/service in relation to project number: _______________or project name: ___________________________________________

2. List the type of work/service required: ________________________________________ ______________________________________________________________________ 3. Indicate the form of bid sought: _________________________________ 4. To the best of our knowledge and belief, said Minority Business Enterprise is unavailable

for the work/service relation to the project number: ______________; or, is unable to prepare a bid for the following reason(s):

Reason(s):______________________________________________________________ ______________________________________________________________________ Printed MBE Name: __________________________________________ ________________________ Signature of MBE __________________________________________ ________________________ __________________________________________ Date



MBE Attachment F

Page 2 of 2

5. It is hereby certified the above Minority Business Enterprise was offered an opportunity to bid on project:

___________________________________________ on ______________ by the above Name and Number Date named prime contractor. The above statement is a true account of why the above MBE

firm did not submit a bid on the project. 6. Reason why Prime Contractor was unable to obtain MBE signature. ______________________________________________________________________ ______________________________________________________________________ ______________________________________ ___________________________ Prime Printed Name Signature of Prime ______________________________________ ___________________________ Title Date

TO BE SUBMITTED BY CONTRACTOR/VENDOR WITH EACH INVOICE

MES-PROC-23 Revised 1/2005

MBE Attachment G

MONTHLY COST BREAKDOWN FOR PROGRESS SUBCONTRACTOR PAYMENTS

(INCLUDE ALL MBE AND NON-MBE SUBCONTRACTORS)

Contract ID#: ___________________ Project Name: ____________________________ Name of Prime Contractor: ______________________________________ Notice to Proceed Date: ________

Contract MBE Subcontract Goal(s): MBE Subcontract Goal(s) Achieved to Date: Overall MBE Goal _________% Overall MBE Goal ____________%

Sub-goals: Sub-goals: _____% Women-owned firms _____% Women-owned firms _____% African-Americans owned firms _____% African-Americans owned firms Invoice Date: ________________ Invoice #: ________________ Invoice Amount: $____________________

SUBCONTRACT PAYMENT INFORMATION

SUBCONTRACTOR’S NAME & MDOT MBE

CERTIFICATION No. (if applicable)

TOTAL DOLLAR VALUE OF SUBCONTRACTOR’S

WORK

TOTAL DOLLAR

AMOUNT OF SUB’S WORK INCLUDED IN THIS INVOICE

TOTAL DOLLAR

AMOUNT OF SUB’S WORK

INVOICED TO DATE

TOTAL DOLLAR

AMOUNT PAID TO SUBCONTRACTOR

TO DATE

Name: MDOT # ___________

Name: MDOT # ___________

Name: MDOT # ___________

Name: MDOT # ___________

CERTIFIED AS CORRECT: _______________________________________________________________________ ____________________________

Signature Print Name Date ____________________________________________________________________________________ Address City State Zip Phone Number ____________________________________________________ Email

_____________________________________________________________ ____________________________

Signature of MES Project Manager Date

DATE (MM/YYYY) __________________ MBE SUBCONTRACTOR ________________________________________________ MBE ID# ____________________

EMAIL ___________________________________________________________ PHONE ________________________________FAX ________________________

ADDRESS ________________________________________________________ CITY __________________________________ STATE_________ ZIP___________

PROJECT NAME ______________________________________________________________________ PROJECT ID# ____________________________________

PRIME CONTRACTOR ___________________________________________________________________ FINAL REPORT? Y / N

CURRENT TOTAL SUBCONTRACT AMOUNT _______________________________ TOTAL PAID BY PRIME CONTRACTOR TO DATE _________________________

INVOICE DATE INVOICE AMOUNT

SIGNATURE ______________________________________________________ DATE ________________________________

NAME ___________________________________________________________ TITLE ____________________________________

EMAIL ___________________________________________________________ PHONE ______________________________

Please return via: email fax mail

[email protected] 410.729.8280 MES

ATTN: MBE Office

259 Najoles Rd.

MES-PROC-25 Millersville, MD 21108

MBE ATTACHMENT H

MBE SUBCONTRACTOR PAYMENT REPORT

Questions? Please contact the MBE staff at MES at

[email protected], [email protected] or 410.729.8513

DATE PAID BY

PRIME

AMOUNT PAID BY

PRIME CONTRACTOR

AMOUNT OVER 30

DAYS LATE

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REQUIREMENTS AND CONTRACT PROVISIONS FOR THE PROJECT

FINANCED THROUGH THE MARYLAND WATER QUALITY REVOLVING LOAN

FUND AND THE MARYLAND DRINKING WATER REVOLVING LOAN FUND

DEPARTMENT OF THE ENVIRONMENT

STATE OF MARYLAND The project or segment thereof to be constructed in accordance with these contract documents is subject to the following requirements. In the event of conflict with other requirements of the contract documents, the following requirements control unless the requirement is a minimum requirement. Nothing in this document shall be construed to prohibit the owner from requiring additional assurances, guarantees, indemnities, or other contractual requirements from any other party to this agreement. I. ASSURANCES FOR COMPLIANCE WITH THE FOLLOWING FEDERAL LAWS AND

REGULATIONS: 1. NON-DISCRIMINATION IN EMPLOYMENT 2. DEBARMENT 3. ANTI-KICKBACK

4. CONTRACT WORK HOURS AND SAFETY STANDARDS. 5. COMPLIANCE WITH CFR 40 247– 254 (RCRA - SECTION 6002)

II. DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION

• GUIDANCE DOCUMENTS AND FORMS (EPA & STATE FORMS) (Performance of the good faith steps are required, regardless of goal achievement. All information is to be submitted to the owner, prior to the owner’s award of the contract, UNLESS OTHERWISE DIRECTED BY THE OWNER).

III. PRESIDENTIAL DOCUMENTS

• ATTACHMENT II

EXECUTIVE ORDER 13202 of February 17, 2001 EXECUTIVE ORDER 13208 of April 8, 2001

IV. SEVERABILITY V. PROJECT SIGN

bkess

Typewritten Text

DBE Documents for Federally Funded Projects

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Typewritten Text

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Typewritten Text

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I. ASSURANCES The contractor is required to comply with the Federal laws and regulations in regard to non-discrimination

in employment, debarment, anti-kickback, and contract work hours and safety standards as delineated below.

1. Non-discrimination in Employment: The contractor is required to comply with Executive Order 11246 of September 24, 1965 entitled

“Equal Employment Opportunity” as amended by Executive Order 11375 of October 13, 1967. The contract for the work under this proposal will obligate the prime contractor and its

subcontractors not to discriminate in employment practices. The contractor shall not maintain or provide for his/her employees the facilities, which are

segregated on a basis of race, creed, color, or national origin, whether such facilities are segregated by directive or on a de facto basis.

The contractor must, if requested, submit a compliance report concerning their employment

practices and policies in order to maintain his/her eligibility to receive the award of the contract. The contractor must be prepared to comply in all respects with the Contract Provisions regarding

non-discrimination, as stipulated under the Labor Standards. 2. Debarment: Under Executive Order 12549, an individual or organization debarred from participation in Federal

assistance or benefit programs may not receive any assistance award under a Federal program, or a sub-agreement thereunder for $25,000 or more.

Therefore, the bidder as an individual or as an organization, presently debarred, suspended,

proposed for debarment, will be declared ineligible to participate in bidding the proposed contract as a prospective recipient of financial assistance from the Maryland Department of the Environment.

The contractor shall not enter into any sub-contract with any individual, firm or organization

debarred from Government contracts pursuant to Executive Order 11246. 3. Anti-kickback: The contractor and/or its sub-contractors shall comply with the Copeland “Anti-Kickback” Act (18

U.S.C. 874). Any evident illicit kickback practice in any shapes or forms will cause termination of the contract.

4. Contract Work Hours and Safety Standards: The contractor and/or its sub-contractors shall comply with Sections 103 and 107 of the Contract

Work Hours and Safety Standards Act (40 U.S.C. 327-330). 5. Compliance with 40 CFR: 247– 254 (RCRA - Section 6002)

The contractor shall comply with the guidelines contained in 40 CFR 247– 254 (Section 6002 of the Resource Conservation and Recovery Act).

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State and local recipients and sub-recipients of grants, loans, cooperative agreements or other instruments funded by appropriated Federal funds shall give preference in procurement programs to the purchase of recycled products pursuant to the EPA guidelines.

At the time of bidding, the apparent low bidder shall sign the form of “Assurances for Compliance with Federal Laws and Regulations” pertaining to non-discrimination in employment, debarment, anti-kickback, and contract work hours and safety. The form is appended herewith in Section I.

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ASSURANCES FOR COMPLIANCE WITH FEDERAL LAWS AND REGULATIONS The contractor is required to comply with the following Federal laws and regulations:

1. Non-discrimination in Employment in accordance with Executive Order 11246 of September 24, 1965 entitled “Equal Employment Opportunity” as amended by Executive Order 11375 of October 13, 1967.

2. Debarment in accordance with the Executive Order 12549 and Executive Order 11246.

3. Anti-kickback in accordance with the Copeland “Anti-Kickback” Act (18 U.S.C. 874).

4. Contract Work Hours and Safety Standards in accordance with Sections 103 and 107 of the

Contract Work Hours and Safety Standards Act (40 U.S.C. 327-330).

5. Compliance with Guidelines Contained in 40 CFR 247-254 (RCRA - Section 6002). I do solemnly declare and affirm that I am obligated to comply with the above Federal laws and regulations. It is understood that non-compliance with any one of the above Federal laws and regulation will be the sufficient reason to cause termination of the contract. _______________________________________

Contractor Signed by: _______________________________________ _________________________ Authorized Officer Date _______________________________________ __________________________ Name (Print) Title (Print)

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DDiissaaddvvaannttaaggeedd BBuussiinneessss EEnntteerrpprriissee PPrrooggrraamm ((DDBBEE)) GGuuiiddaannccee ffoorr PPrriimmee ((CCoonnssttrruuccttiioonn && AA//EE)) CCoonnttrraaccttoorrss

The Maryland Water Quality and Drinking Water Revolving Loan Fund Programs (RLF) receive federal funds from the U.S. Environmental Protection Agency (EPA). The funds are used to provide low interest rate loans to finance water quality and drinking water capital projects. As a condition of federal grant awards, EPA regulations require that loan recipients and sub-recipients (i.e., prime contractors and subcontractors) make a good-faith effort to award a fair share of work to DBEs who are small business enterprises (SBE’s), minority business enterprises (MBE’s) and women’s business enterprises (WBE’s). A/E service consultants who receive loan funds are also considered as prime contractors and must comply with DBE requirements. Additionally, EPA’s DBE rule requires loan recipients and sub-recipients to adhere to the terms and conditions in Appendix A attached hereto. To ensure compliance with EPA DBE requirements, the MWQFA has developed guidance for both Loan Recipients and Prime Contractors (sub-recipients) to undertake certain good faith efforts to provide opportunities for DBE firms to participate in contracts. EPA regulations require evidence of the demonstration of the six good faith efforts in trying to achieve the DBE participation goals. MDE’s negotiated DBE participation goals with EPA for any project during FY 2007 - 2009 are below. The goals below are not a quota and apply to DBE participation only. Procurement Category MBE Goal (%) WBE Goal (%) Construction 11 11 Equipment 11 11 Services 12 10 Supplies 11 11

Good Faith Efforts: The following good faith efforts apply to the procurement categories involving EPA financial assistance funds (See Appendix B: EPA Good Faith Efforts):

Step 1: Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities by placing qualified DBEs on solicitation lists whenever they are potential sources.

Step 2: Establishing delivery schedules, where the requirement permits to encourage participation by DBEs. The prime contractor should allow a 30-day minimum advertising period for bidding.

Step 3: Dividing total requirements, when economically feasible, into small tasks or quantities, to permit maximum participation of DBEs.

Step 4: Encourage contracting with a consortium of DBEs, when a contract is too large for one of these firms to handle individually.

Step 5: Using the services and assistance of the Maryland Department of Transportation (MDOT), the United States Small Business Administration (SBA) and the Minority Business Development Agency (MBDA) of the U.S. Department of Commerce (See Appendix C).

Step 6: Require each sub-contractor, if subcontracts are to be let, to take the steps 1-5.

Please submit all information to: DBE Coordinator, MWQFA

1800 Washington Blvd., Baltimore MD 21230 Phone: 410-537-3146, FAX: 410-537-3968

http://www.mde.state.md.us

http://www.mde.state.md.us/

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GGuuiiddaannccee ffoorr PPrriimmee ((CCoonnssttrruuccttiioonn && AA//EE)) CCoonnttrraaccttoorrss

Demonstration of the Six Good Faith Efforts. See Appendices A & B for additional bidding instructions and contract administrative provisions. A: Prime contractors are required to undertake good faith efforts. Steps 1 & 5 can be attained by developing a bidders list of qualified DBE firms that can bid as sub-contractors. The prime contractors should advertise in minority, local and regional newspapers and obtain a bidders list from the loan recipient to supplement their list. The bidders list used during sub-contractor solicitation must be available throughout the project’s construction period. In developing bidders list of qualified DBE firms for participation as sub-contractors in construction, equipment, services, and supplies, the prime contractors should contact and gather information from different resources (See Appendix C) such as:

• Loan Recipient • U.S. Small Business Administration (US-SBA) • Minority Business Development Agency (MBDA) of the US Department of Commerce • Maryland Department of Transportation (MDOT)

The DBE bidders lists may be classified with Standard Industrial Classification (SIC) or NAICS codes, should be updated periodically, and should be made available to sub-contractors to solicit additional sub-contractors, if necessary. The prime contractor is required to keep the bidders list throughout the project’s construction period. B: Prime contractors are also required to undertake good faith efforts. Steps 2, 3, & 4, can be utilized during the project planning, design and/or pre-bidding phase, to assure that qualified DBE firms have procurement opportunities in construction, equipment, services, and supplies. To provide procurement opportunities to DBE firms, the Prime Contractor should undertake the following:

• Conduct pre-bid meetings to inform potential bidders/contractors about DBE requirements and provide

guidance in undertaking the required good faith efforts. • Use the bidders list developed in Item A (above) to solicit DBE firms as sub contractors. • Invite DBE firms, where appropriate, to meetings, conferences, etc., to inform them of procurement

opportunities and develop, where possible, reasonable contract and delivery schedules that encourage and facilitate participation by DBEs.

• Determine if a project can be broken down into smaller components/contracts to allow opportunity for DBE firms to bid as sub-contractors.

• For projects broken down into smaller components (e.g., painting, roofing, excavation, pipe laying, etc.) ensure that the delivery schedules are reasonable.

• Encourage DBE firms, where appropriate, to apply as a consortium, or as part of a consortium of DBEs, when a contract is too large for one of these firms to handle individually.

OCTOBER 1, 2008

MARYLAND DEPARTMENT OF THE ENVIRONMENT 1800 Washington Boulevard Suite 515 Baltimore MD 21230-1718

410 537 3146 1-800-633-6101 http://www.mde.state.md.us

7

DDiissaaddvvaannttaaggeedd BBuussiinneessss EEnntteerrpprriissee ((DDBBEE)) GGoooodd FFaaiitthh EEffffoorrttss CChheecckklliisstt To be completed by Prime (Construction & A/E) Contractor

Project Name:

Procurement Category: Check box for all M/WBE procurement categories being reported under the above referenced project. Construction Equipment Services Supplies

For each procurement action, please answer the following questions

A: Develop Bidders List of DBE firms A1 Did you develop a Bidders List of DBE firms? Yes No A2 Did you advertise in minority, local, regional papers or Dodge Report? Yes No A3 Did you send invitation for bids to DBE trade associations? Yes No A4 Did you contact US-SBA/MBDA/MDOT? Yes No A5 Did you receive Bidders List from Loan Recipient? Yes No A6 Did you provide MDE with Bidders List? Yes No B: Smaller work components and delivery schedules B1 Did DBE firms have opportunities to bid as sub contractors? Yes No B2 Did you break down the project, where economically feasible, into smaller components for DBE firms to bid as sub-contractors? Yes No B3 Do project components have reasonable delivery schedules? Yes No B4 Did you allow a reasonable time for DBEs to bid? Yes No B5 Did you encourage DBEs to bid as a consortium due to project size? Yes No C: Solicitation Summary of DBE firms (Prime Contractor must fill EPA Form 6100-4) C1 Did you use the Bidders List to solicit subcontractors? Yes No C2 Did DBE firms bid as sub contractors (provide list, work type, & price)? Yes No C3 Did you select any DBE firms as sub-contractor? Yes No C4 Is the subcontractor using any additional subcontractors? Yes No Prime contractor must fill out EPA Form 6100-4. Prime contractor must provide EPA Forms 6100-2 & 6100-3 to each subcontractor. Prime contractor must submit completed EPA Form 6100-3 & 6100-4 to loan recipient. Supporting Documentation In support of the actions taken in items A, B, and C, (above), all prime contractors must attach this checklist along with supporting documentation for “Yes” answers and an explanation for “No” answers. Examples of supporting documentation include: (i) Bidders List of DBE firms; (ii) list of sub-contract work elements possible under the prime contract; (iii) proof of contact with DBE firms as potential sub contractors (copies of invitations for bids/RFP, contact letters, faxes and telephone call sheets, etc.; (iv) copies of all procurement advertisements; and, (v) list of all sub contractors that submitted bids/RFP. ______________________________________ ________________________________ Prime Contractor’s Name and Title Prime Contractor Official’s Signature/ Date Contact Phone # ______________________

http://www.mde.state.md.us/

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APPENDIX A: EPA DISADVANTAGED BUSINESS ENTERPRISE PROGRAM EPA’s Disadvantaged Business Enterprise Program rule applies to contract procurement actions funded in part by EPA assistance agreements awarded after May 27, 2008. The rule is found at Federal regulation Title 40, Part 33. Specific responsibilities are highlighted below. Loan Recipient Responsibilities:

• Include MDE’s DBE guidance in each contract with a primary contractor, MDE, October 2008.

• Employ the six Good Faith Efforts during prime contractor procurement (§ 33.301).

• Require prime contractor to comply with the following prime contractor requirements of Title

40 Part 33:

a) To employ the six Good Faith Efforts steps in paragraphs (a) through (e) of § 33.301 if the prime contractor awards subcontracts (§ 33.301(f)).

b) To provide EPA form 6100-2 – DBE Subcontractor Participation Form to all DBE

subcontractors (Optional submittal by subcontractors) (§ 33.302(e)). c) To submit EPA forms 6100-3 – DBE Program Subcontractor Performance Form and

6100-4 – DBE Program Subcontractor Utilization Form with bid package or proposal. (§ 33.302 (f) and (g)).

d) To pay its subcontractor for satisfactory performance no more than 30 days from the

prime contractor’s receipt of payment from the recipient (§ 33.302(a)). e) To notify recipient in writing by its prime contractor prior to any termination of a DBE

subcontractor for convenience by the prime contractor (§ 33.302(b)). f) To employ the six good faith efforts described in § 33.301 if soliciting a replacement

subcontractor after a DBE subcontractor fails to complete work under the subcontract for any reason. (§ 33.302(c)).

g) To employ the six good faith efforts described in § 33.301 even if the prime contractor

has achieved its fair share objectives under subpart D of Part 33. (§33.302(d)). h) Provide grant recipient DBE participation achievements with bid proposal

• Maintain records documenting its compliance with the requirements of Title 40 Part 33,

including BIDDERS LIST and documentation of its, and its prime contractors’, good faith efforts (§ 33.501(a)).

Prime Contractor Responsibilities:

• Employ the six Good Faith Efforts steps in paragraphs (a) through (e) of § 33.301 if the prime contractor awards subcontracts (§ 33.301(f)).

OCTOBER 1, 2008

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• Provide EPA form number 6100-2 – DBE Program Subcontractor Participation Form and form number 6100-3 – DBE Program Subcontractor Performance Form to each DBE subcontractor prior to opening of the contractor’s bid or proposal (§ 33.302(e) and (f)).

• Complete EPA form number 6100-4 – DBE Program Subcontractor Utilization Form (§ 33.302(g).

• Submit to recipient with it bid package or proposal the completed EPA form number 6100-4, plus an EPA form number 6100-3 for each DBE subcontractor used in the contractor’s bid or proposal (§ 33.302(f) and (g)).

• Pay subcontractors for satisfactory performance no more than 30 days from the prime contractor’s receipt of payment from the recipient (§ 33.302(a)).

• Notify the recipient in writing prior to prime contractor termination of a DBE subcontractor for convenience (§ 33.302(b)).

• Employ the six good faith efforts described in § 33.301 if soliciting a replacement subcontractor after a DBE subcontractor fails to complete work under the subcontract for any reason. (§ 33.302(c)).

• Employ the six good faith efforts described in § 33.301 even if the prime contractor has achieved its fair share objectives under subpart D of Part 33. (§33.302(d)).

• Provide grant recipient DBE participation achievements with bid proposal.

• Maintain records documenting its compliance with the requirements of Title 40 Part 33, including BIDDERS LIST documentation of its, and its prime contractors’, good faith efforts (§ 33.501(a)).

Subcontractor Responsibilities:

• May submit EPA form 6100-2 – DBE Subcontractor Participation Form to Romona McQueen, EPA Region 3 DBE Coordinator (§ 33.302(e)).

• Must complete EPA form 6100-3 – DBE Program Subcontractor Performance Form, and submit it to the prime contractor soliciting services from the subcontractor prior to the opening of bids for the prime contract.

EPA Form Requirement Provided By Completed By Submitted To

EPA Form 6100-2

Loan Recipients required to have prime contractors provide form to Subcontractors

Prime Contractors

DBE Subcontractors (Optional)

EPA Region 3 DBE Coordinator Romona McQueen

EPA Form 6100-3

Loan Recipients required to have prime contractors provide form to Subcontractors

Prime Contractors

DBE Subcontractors with Prime Contractor’s Signature

Loan Recipients as part of a bid or proposal package

EPA Form 6100-4

Loan Recipients required to have prime contractors complete the form

Loan Recipients

Prime Contractors Loan Recipients as part of a bid or proposal

Source: Federal Requirements and Contract Provisions for Special Appropriation Act Projects, US Environmental Protection Agency, Region III, June 2008

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APPENDIX B: TITLE 40 PART 33 SUBPART C—GOOD FAITH EFFORTS § 33.102 When do the requirements of this part apply? The requirements of this part apply to procurement under EPA financial assistance agreements performed entirely within the United States, whether by a loan recipient or its prime contractor, for construction, equipment, services, and supplies. § 33.106 What assurances must EPA financial assistance recipients obtain from their contractors? The recipient must ensure that each procurement contract it awards contains the term and condition specified in Appendix A to this part concerning compliance with the requirements of this part. § 33.206 Is there a list of certified MBEs and WBEs? EPA OSDBU will maintain a list of certified MBEs and WBEs on EPA OSDBU’s Home Page on the Internet. Any interested person may also obtain a copy of the list from EPA OSDBU. The Maryland Department of Transportation will also have a bidders list. § 33.301 What does this subpart require? A recipient, including one exempted from applying the fair share objective requirements by § 33.411, is required to make the following good faith efforts whenever procuring construction, equipment, services and supplies under an EPA financial assistance agreement, even if it has achieved its fair share objectives under subpart D of this part:

(a) Ensure DBEs are made aware of contracting opportunities fully practicable through outreach and recruitment activities. For Indian Tribal, State and Local and Government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources.

(b) Make information on forthcoming opportunities available to DBEs, arrange periods for contracts, and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date.

(c) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by DBEs in the competitive process.

(d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually.

(e) Use the services and assistance of the SBA and the Minority Business Development Agency of the Department of Commerce.

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(f) If the prime contractor awards subcontracts, require the prime contractor to take the steps in paragraphs (a) through (e) of this section.

§ 33.302 Are there any additional contract administration requirements?

(a) Loan recipient must require its prime contractor to pay its subcontractor for satisfactory performance no more than 30 days from the prime contractor’s receipt of payment from the recipient.

(b) Its prime contractor must notify loan recipient in writing prior to any termination of a DBE subcontractor for convenience by the prime contractor.

(c) If a DBE subcontractor fails to complete work under the subcontract for any reason, the recipient must require the prime contractor to employ the six good faith efforts described in § 33.301 if soliciting a replacement subcontractor.

(d) A recipient must require its prime contractor to employ the six good faith efforts described in § 33.301 even if the prime contractor has achieved its fair share objectives under subpart D of this part.

(e) A recipient must require its prime contractor to provide EPA Form 6100–2—DBE Program Subcontractor Participation Form to all of its DBE subcontractors. EPA Form 6100–2 gives a DBE subcontractor the opportunity to describe the work the DBE subcontractor received from the prime contractor, how much the DBE subcontractor was paid and any other concerns the DBE subcontractor might have, for example reasons why the DBE subcontractor believes it was terminated by the prime contractor. DBE subcontractors may send completed copies of EPA Form 6100–2 directly to the appropriate EPA DBE Coordinator.

(f) A recipient must require its prime contractor to have its DBE subcontractors complete EPA Form 6100–3—DBE Program Subcontractor Performance Form. A recipient must then require its prime contractor to include all completed forms as part of the prime contractor’s bid or proposal package.

(g) A recipient must require its prime contractor to complete and submit EPA Form 6100–4—DBE Program Subcontractor Utilization Form as part of the prime contractor’s bid or proposal package.

(h) Copies of EPA Form 6100–2—DBE Program Subcontractor Participation Form, EPA Form 6100–3—DBE Program Subcontractor Performance Form and EPA Form 6100–4—DBE Program Subcontractor Utilization Form may be obtained from EPA OSDBU’s Home Page on the Internet or directly from EPA OSDBU.

(i) A recipient must ensure that each procurement contract it awards contains the term and condition specified in the Appendix A concerning compliance with the requirements of this part. A recipient must also ensure that this term and condition is included in each procurement contract awarded by an entity receiving an identified loan under a financial assistance agreement to capitalize a revolving loan fund.

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§ 33.410 Can a recipient be penalized for failing to meet its fair share objectives?

A recipient cannot be penalized, or treated by EPA as being in noncompliance with this subpart, solely because its MBE or WBE participation does not meet its applicable fair share objective. However, EPA may take remedial action under § 33.105 for a recipient’s failure to comply with other provisions of this part, including, but not limited to, the good faith efforts requirements described in subpart C of this part. Source: Federal Requirements and Contract Provisions for Special Appropriation Act Projects, US Environmental Protection Agency, Region III, June 2008

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APPENDIX C: RESOURCE LISTING AND CONTACT INFORMATION FOR UTILIZATION OF MINORITY AND WOMEN’S BUSINESS ENTERPRISES

Resource Listing

Contact

Website if applicable

State of Maryland Governor’s Office of Minority Affairs The mission of the Governor's Office of Minority Affairs (GOMA) is facilitating minority business enterprise activities through coordinating and promoting government programs aimed at strengthening and preserving the state’s minority and women owned businesses.

Governor's Office of Minority Affairs Suite 1502 6 Saint Paul Street Baltimore MD 21202 767-8232 1-(877) 558-0998 f-(410) 333-7568 [email protected]

http://www.oma.state.md.us/

U.S. Small Business Administration (SBA) In addition to the national office, the SBA has local district and regional offices to assist small businesses in contracting with the public and private sector.

Website www.sba.gov/businessop/findop/matchmaking.html

CCR/Pro-Net is an extensive database that combines the SBA’s Pro-Net database and the DOD’s Central Contractor Registration database of small businesses.

CCR Assistance Center 888-227-2423 269-961-5757 DSN: 661-5757

www.ccr.gov/Select “Dynamic Small Business

U. S. Small Business Administration (SBA) - MD. District Office

City Crescent Bld. 6th Floor 10 South Howard St. Baltimore MD 21201 Phone: 410 962-6195

www.sba.gov/md/index.html

Minority Business Development Administration (MBDA): The MBDA is an agency within the U.S. Dept. of Commerce, created to foster the development and growth of minority businesses in the U.S. and coordinates resources in the public and private sectors to help MBE’s. Recipients and bidders should contact the centers and provide notices of contracting opportunities. Also, see the Phoenix database, which matches minority companies with business opportunities.

1401 Constitution Ave NW Washington, D.C. 20230 Email: [email protected]

www.mbda.gov/

Standard Industrial Classification Codes (SIC) or North American Industry Classification System (NAICS) codes visit the website.

Website www.sba.gov/size/sizetable2002.html

Maryland Department of Transportation (MDOT) and the Minority/Disadvantaged Business Enterprise (MDOT – MBE/DBE). Loan

Office Address 7201 Corporate Drive Hanover, MD 21076

www.mdot.state.md.us/MBE_Program/index.html


http://www.oma.state.md.us/

http://www.sba.gov/businessop/findop/matchmaking.html

http://www.sba.gov/businessop/findop/matchmaking.html

http://www.ccr.gov/

http://www.sba.gov/md/index.html


http://www.mbda.gov/

http://www.sba.gov/size/sizetable2002.html

http://www.sba.gov/size/sizetable2002.html

http://www.mdot.state.md.us/MBE_Program/index.html

http://www.mdot.state.md.us/MBE_Program/index.html

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recipients and bidders may locate qualified M/WBE’s through the MBE/WBE Directory.

Or Mailing Address: P.O. Box 548 Hanover, MD 21076

http://www.e-mdot.com/MBE_Program/directoryClick on “Proceed to Directory. Select any combination of the fields to identify M/WBE’s for the specific project opportunities.

U.S. EPA Office of Small, Disadvantaged Business Utilization (OSDBU) – OSDBU’s mission includes “fostering opportunities for partnerships, contracts, subagreements, and grants for small and socioeconomically disadvantaged concerns”. One of the resources to assist prime contractors is a listing of small and disadvantaged businesses (a vendor profile system) registered with OSDBU.

US.EPA Office of Small Programs 1200 Pennsylvania Avenue NW Mail Code 1230T Washington, D.C. 20460

http://cfpub.epa.gov/sbvps/http://www.epa.gov/osdbu/Select “search the OSDBU Registry” Click on the search criteria of interest (ethnicity, size, SIC, etc.)

National Black Chamber of Commerce 1350 Connecticut Ave. N.W. Suite 405 Washington D.C. 20036 Phone: 202 466-6888 Fax: 202 466-4918

www.nationalbcc.org Email: [email protected]

Virginia Hispanic Chamber of Commerce (Northern Va.)

8300 Boone Blvd., 4TH Floor Vienna, VA 22182 Phone: 804.378.4099 Fax: 703 893-1269

www.vahcc.com

U.S. Hispanic Chamber of Commerce 2175 K Street NW Suite 100 Washington, D.C. 20037

www.ushcc.com

National Association of Minority Contractors (NAMC)

666 11 Street N.W. Suite 520 Washington D.C. 20001 Phone: 202 347-8250

www.namcline.com

Maryland/Washington Minority Contractors (MWMCA)

1107 North Point Blvd, Suite 227 Baltimore, MD 21224 410.282.6101 410.282.6102 –fax

www.mwmca.org

National Association of Women’s Business Owners (NAWBO) – National

1760 Old Meadow Rd. Ste 500 McLean VA 22102 Phone: 800.556.NAWBO 703.506.3268 703.506.3266-fax

www.nawbo.org

http://www.e-mdot.com/MBE_Program/directory



http://cfpub.epa.gov./sbvps/

http://www.epa.gov/osdbu/

http://www.nationalbcc.org/

http://www.vahcc.com/

http://www.ushcc.com/

http://www.namcline.com/

http://www.mwmca.org/

http://www.nawbo.org/

OCTOBER 1, 2008

21

NAWBO Baltimore Regional Chapter 4404 Silverbrook Lane,

Suite E-204 Owings Mills MD 21117 Phone: 410 876-0502 410.654.9734-fax

www.nawbomaryland.org Email: [email protected]

NAWBO Delaware Chapter P.O. Box 4657 Greenville Station Greenville, DE 19807-4657 Phone: 302 355.9945

www.nawbodelaware.org Email: [email protected]

MD/DC Minority Supplier Development Council (MSDC)

10770 Columbia Pike Lower Level, Suite L100 Silver Spring MD 20901 Phone: 301 592-6710 Fax: 301 592-6704

http://mddccouncil.org/

National Minority Supplier Development Council, Inc. (NMSDC)

1040 Avenue of the Americas, 2nd Floor New York, New York 10018 Phone: 212 944-2430 212.719.9611-fax

www.nmsdcus.org/

UIDA Business Services is a Native American Procurement and Technical Assistance Center- maintains a comprehensive database of Native American owned firms

86 South Cobb Drive, MZ:0510 Marietta, GA 30063-0510 Phone, 770 494-0431 770.494.1236-fax or Northeast Region 2340 Dulles Corner Blvd Mail Stop: 1n01 Herndon, VA 20171 Phone: 703.561.3120 703.561.3124-fax

www.uida.org

Diversity Business (A multi-cultural online resource)

200 Pequot Avenue Southport, CT 06890 Phone 203.255.8966 203.255.8501-fax

www.diversitybusiness.com/

National Association of Women in Construction

327 S. Adams Street Fort Worth, TX 76104 Phone: 1-800-552-3506 Phone: 817.877.5551 817.877.0324-fax

www.nawic.org/

http://www.nawbomaryland.org/


http://www.nawbodelaware.org/


http://mddccouncil.org/

http://www.nmsdcus.org/

http://www.uida.org/

http://www.diversitybusiness.com/

http://www.nawic.org/

OCTOBER 1, 2008

22

III PRESIDENTIAL DOCUMENTS PRESIDENTIAL EXECUTIVE ORDER 13202 OF FEBRUARY 17, 2001 and PRESIDENTIAL

EXECUTIVE ORDER 13208 OF APRIL 8, 2001 are appended as Attachment II. IV. SEVERABILITY

In the event any provision of the within and foregoing Requirement, including any attachment thereto, shall be held illegal, invalid, unconstitutional or unenforceable by any court of competent jurisdiction, such holding shall not invalidate, render unenforceable or otherwise affect any other provision hereof.

V. PROJECT SIGN The prime contractor shall provide and erect a sign at a prominent location at each construction site. The

owner shall approve the site for the sign erection. The sign shall be prepared in accordance with detailed instructions to be provided by Maryland Department of the Environment (MDE).

It shall be the responsibility of the contractor to protect and maintain the sign in good conditions throughout

the life of the project.

OCTOBER 1, 2008

23

OCTOBER 1, 2008

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OCTOBER 1, 2008

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OCTOBER 1, 2008

28

PROJECT SIGN

THE MATERIAL FOR THE SIGN SHALL BE EXTERIOR DENSITY OVERLAID PLYWOOD OR EQUAL

ADEQUATE SUPPORT OF THE SIGN SHALL BE PROVIDED THE SIGN SHALL BE POSTED AT A PROPER LOCATION AND AT DISTANCE ABOVE TO PERMIT PUBLIC VIEWING

MDE DECAL TO BE PROVIDED BY THE MARYLAND DEPARTMENT OF THE ENVIRONMENT


MBE ATTACHMENT A CERTIFIED MBE UTILIZATION AND FAIR SOLICITATION

AFFIDAVIT – STATE FUNDED PROJECTS NOTE: This document must be included with the bid or offer. If the bidder or offeror fails to submit this form with the bid or offer as required, the procurement officer shall deem the bid non-responsive or shall determine that the offer is not eligible to be selected for award. My company, _______________________________________________, affirms the following:

(Name of Bidder/Offeror)

In conjunction with the bid or offer submitted in response to Solicitation No. 13-02-02, Professional Services Short List for Multiple A/E Projects of the Maryland Environmental Service, we acknowledge the overall certified Minority Business Enterprise (MBE) participation goal to be determined at time of contract with sub goals to be determined at time of contract. We have made a good faith effort to achieve this goal. 1. Good Faith Efforts: The following good faith efforts apply to the procurement

categories involving US Federal Government financial assistance funds: Step 1: Ensure DBEs are made award of contracting opportunities to the fullest extend

practicable through outreach and recruitment activities by placing qualified DBEs on solicitation lists whenever they are potential sources.

Step 2: Establishing delivery schedules, where the requirement permits to encourage

participation by DBEs. The prime contractor should allow a 30-day minimum advertising period for bidding.

Step 3: Dividing total requirements, when economically feasible, into small tasks or quantities,

to permit maximum participation of DBEs. Step 4: Encourage contracting with a consortium of DBEs, when a contract is too large for one

of these firms to handle individually. Step 5: Using the services and assistance of the Maryland Department of Transportation

(MDOT), the United States Small Business Administration (SBA) and the Minority Busiess Development Agency (MBDA) of the U.S. Department of Commerce (See Appendix C: Resource Listing and Contact Information for Utilization of Minority and Women’s Business Enterprises).

Step 6: Require each subcontractor, if subcontracts are to be let, to take the steps 1-5. 2. In the event the contract involves US EPA funding, we have identified the specific

commitment of certified DBEs by completing and submitting an EPA FORM 6100-3 (DBE Subcontractor Performance Form) and EPA FORM 6100-4 (DBE


Page _____ of _____

MBE Attachment A

Subcontractor Utilization Form) with the proposal.

3. We understand that if we are notified that we are the apparent awardee , we must submit any other documentation required by the Procurement Officer to ascertain bidder or offeror responsibility in connection with the certified MBE participation goal within 10 working days of receiving notice of the potential award or from the date of conditional award, whichever is earlier. We acknowledge that if we fail to return each completed document within the required time, the Procurement Officer may determine that we are not responsible and therefore not eligible for contract award. If the contract has already been awarded, the award is voidable.

4. In the solicitation of subcontract quotations or offers, MBE subcontractors were provided not less than the same information and amount of time to respond as were non-MBE subcontractors.

We solemnly affirm under the penalties of perjury that the contents of this paper are true to the best of my knowledge, information, and belief. _________________________________ ______________________________________

Name of Firm Signature of Affiant _________________________________ ______________________________________

Address Printed Name, Title _____ ______________________________________

Address Date SUBMIT WITH BID/PROPOSAL


MBE ATTACHMENT A

CERTIFIED MBE UTILIZATION AND FAIR SOLICITATION AFFIDAVIT – FEDERALLY FUNDED PROJECTS

NOTE: This document must be included with the bid or offer. If the bidder or offeror fails to submit this form with the bid or offer as required, the procurement officer shall deem the bid non-responsive or shall determine that the offer is not eligible to be selected for award. My company, _______________________________________________, affirms the following:

(Name of Bidder/Offeror)

In conjunction with the bid or offer submitted in response to Solicitation No. 13-02-02, Professional Services Short List for Multiple A/E Projects of the Maryland Environmental Service, we acknowledge the overall certified Minority Business Enterprise (MBE) participation goal to be determined at time of contract with sub goals to be determined at time of contract. We have made a good faith effort to achieve this goal. 1. Good Faith Efforts: The following good faith efforts apply to the procurement

categories involving US Federal Government financial assistance funds: Step 1: Ensure DBEs are made award of contracting opportunities to the fullest extend

practicable through outreach and recruitment activities by placing qualified DBEs on solicitation lists whenever they are potential sources.

Step 2: Establishing delivery schedules, where the requirement permits to encourage

participation by DBEs. The prime contractor should allow a 30-day minimum advertising period for bidding.

Step 3: Dividing total requirements, when economically feasible, into small tasks or quantities,

to permit maximum participation of DBEs. Step 4: Encourage contracting with a consortium of DBEs, when a contract is too large for one

of these firms to handle individually. Step 5: Using the services and assistance of the Maryland Department of Transportation

(MDOT), the United States Small Business Administration (SBA) and the Minority Business Development Agency (MBDA) of the U.S. Department of Commerce (See Appendix C: Resource Listing and Contact Information for Utilization of Minority and Women’s Business Enterprises).

Step 6: Require each subcontractor, if subcontracts are to be let, to take the steps 1-5. 2. In the event the contract involves US EPA funding, we have identified the specific

commitment of certified DBEs by completing and submitting an EPA FORM 6100-3


Page _____ of _____

MBE Attachment A

(DBE Subcontractor Performance Form) and EPA FORM 6100-4 (DBE Subcontractor Utilization Form) with the proposal.

3. We understand that if we are notified that we are the apparent awardee, we must submit any other documentation required by the Procurement Officer to ascertain bidder or offeror responsibility in connection with the certified MBE participation goal within 10 working days of receiving notice of the potential award or from the date of conditional award, whichever is earlier. We acknowledge that if we fail to return each completed document within the required time, the Procurement Officer may determine that we are not responsible and therefore not eligible for contract award. If the contract has already been awarded, the award is voidable.

4. In the solicitation of subcontract quotations or offers, MBE subcontractors were provided not less than the same information and amount of time to respond as were non-MBE subcontractors.

We solemnly affirm under the penalties of perjury that the contents of this paper are true to the best of my knowledge, information, and belief. _________________________________ ______________________________________

Name of Firm Signature of Affiant _________________________________ ______________________________________

Address Printed Name, Title _____ ______________________________________

Address Date SUBMIT WITH BID/PROPOSAL


ENGINEERS CONTRACT/BASIC AGREEMENT

9/12

(I.D. No.: )

THIS CONTRACT, entered into this ______ day of _____________________, 2012, by

and between the


259 Najoles Road

Millersville, Maryland 21108

hereinafter ("Service")

and

_______________________________

_______________________________

_______________________________

(hereinafter ("Engineer")

WHEREAS, the Service has chosen the Engineer, and the Engineer has agreed to perform

the work herein and be bound by the terms of this Contract.

NOW, THEREFORE, for and in consideration of the mutual covenants herein contained

be it agreed by and between the parties hereto as follows:

ARTICLE I - SCOPE OF WORK

The general objective of this Contract is that the Engineer shall provide

__________________________________________________

________________________________________________________________,

in accordance with _____________________________________________

________________________________________________________________,

which are attached hereto and expressly incorporated herein and made a part of this Contract.

ARTICLE II - COMPENSATION AND METHOD OF PAYMENT

MES ENGINEERS CONTRACT/BASIC AGREEMENT

CONTRACT I.D. NO:

Page 2

The services set forth above shall be performed during the term of the Contract as stated

herein for (complete one):

A. A fixed amount of ____________________________________

_______________________________________________($__________), or

B. Cost plus a fixed fee of ____________________________

_______________________________________________($__________), or

C. Other: _______________________________________________

________________________________________________________________

_______________________________________________________________.

The Engineer shall submit billings for all costs expended in the performance of this

Contract in accordance with the Payment Schedule attached hereto. In the absence of a Schedule,

billing shall be monthly. A standard billing format shall be followed including, but not limited to,

the Engineer's Federal Tax Identification Number of , or a Social Security Number of

__________________, and the Contract Identifying Number set out above. Billings shall be due

and payable within thirty (30) days of receipt by the Service. A cost accounting practice will be

followed in accordance with COMAR 21.09, and uniform practices of the profession as acceptable

to the Service.

ARTICLE III - TERM

The term of this Contract shall be from the date established in the Notice to Proceed and in

accordance with _________________

______________________________. No work may be initiated under this Contract until it has

been fully executed by all parties and the Engineer has been instructed to proceed by the Service.

ARTICLE IV - CONTRACT REPRESENTATIVES

The following individuals are designated as Contract Representatives for their respective

parties (name and address):


CONTRACT I.D. NO:

Page 3

Service

259 Najoles Road

Millersville, Maryland 21108

Phone

Fax

Engineer

Phone

Fax

The scope of authority of the designated Contract Representatives to act for their respective

parties is set forth in Article III of the Service's General Conditions which is attached hereto and

expressly made a part of this Contract in accordance with Article V.

ARTICLE V - GENERAL CONDITIONS

The conditions contained in the document entitled Maryland Environmental Service-

General Conditions-Engineers Contract 8/12, which is attached hereto, are expressly incorporated

and made a part of this Contract herein.

ARTICLE VI - MERGER

This Contract embodies the whole agreement of the parties. There are no promises, terms,

conditions, or obligations referring to the subject matter, other than those contained herein or

incorporated herein by reference.


CONTRACT I.D. NO:

Page 4

IN WITNESS WHEREOF, the parties have executed this Contract I.D. No. , by

causing the same to be signed on the day and year first above written.

ENGINEER

___________________________ BY ___________________________

WITNESS Name:

Title:


__________________________ BY ___________________________

WITNESS JAMES M. HARKINS

DIRECTOR

Approved as to form and legal

sufficiency this _____ day of

______________________, 2012.

_____________________________

Assistant Attorney General


GENERAL CONDITIONS

ENGINEERS CONTRACT

(REV. 08/12)

ARTICLE I - TERMS AND APPLICABILITY This document sets out the provisions generally applicable to consulting contracts involving technical research and analysis, with formal reporting of results to the Maryland Environmental Service. The provisions herein do not constitute a complete agreement, and must be appended to a document, executed by all parties, which identifies the specific work to be performed, compensation, term of the agreement, and special conditions, if any. This document and the Basic Agreement are intended to be complementary and shall be construed accordingly. However, should there be a direct contradiction between the terms and conditions contained herein and the Basic Agreement, then the Basic Agreement shall govern and control the Contract. Specific terms used in this document have the following definitions: (a) "Basic Agreement" means the executed document to which the General Conditions contained herein are appended and incorporated. (b) "Contract" means the direct contractual relation between the Service and the Engineer including all terms and conditions contained herein and in the Basic Agreement. (c) "Engineer" means the person, firm, corporation or other entity obligated to perform services for the Service under this Contract. (d) "Scope of Work" or "Work" refers to the specific contractual obligation of the Engineer, as identified in the Basic Agreement, Proposal, or other work statement incorporated into the Contract. (e) "The Service" means the Maryland Environmental Service. ARTICLE II - EXEMPTION FROM STATE PROCUREMENT CODE

(a) The Engineer is hereby put on notice that the Service is generally exempt from the provisions of Division II of the State Finance and Procurement Article of the Annotated Code of Maryland. However, the Service is not exempt from Titles 14, 16 and 17 of that Article. Except as specifically provided in this Contract and under State law, the provisions of Division II and the regulations adopted under authority contained in Division II do not apply. In particular, the Maryland State Board of Contract Appeals does not have jurisdiction over disputes arising out of any aspect of this Contract, including, but not limited to, disputes relating to the formation, award, performance, breach, modification or termination of this Contract, or disputes relating to the qualification or selection of bidders or offerors.

(b) The Service will enforce, and the Engineer agrees to abide by, Subtitle 3 of Title 14 of the State Finance and Procurement Article of the Annotated Code of Maryland and the regulations adopted pursuant to that Title. The aforesaid statute and regulations generally relate to purchases from minority businesses. In the event the provisions of the aforesaid statute or regulations conflict with the regulations of this Contract, then the statute or regulations shall govern.


ENGINEERS CONTRACT

GENERAL CONDITIONS

Page 2

ARTICLE III - INDEPENDENT CONTRACTOR The Engineer is not an employee of the Service but is an independent contractor as that term is normally defined. The Engineer shall be responsible for providing all supplies and materials necessary for performance of all work under the Contract, and for withholding any taxes and Social Security payments due in relation to the Contract. The Engineer is not an agent of the Service or the State of Maryland, and cannot commit the Service or the State to any expenditure of funds, or enter into any contractual obligation on behalf of the Service or the State.

ARTICLE IV - CONTINGENT FEES The Engineer warrants that it has not employed or retained any person, partnership, corporation, or other entity, other than a bona fide employee, bona fide agent, bona fide salesperson, or commercial selling agency working for the Engineer, to solicit or secure this Contract, and that it has not paid or agreed to pay any person, partnership, corporation, or other entity, other than a bona fide employee, bona fide salesperson, or commercial selling agency, any fee or other consideration contingent on the making of this Contract. ARTICLE V - CONTRACT REPRESENTATIVE Unless otherwise specified in an addendum to this Contract, the Engineer's Contract Representative as identified in the Basic Agreement, shall be deemed to have authority to render any decision or take any action required under the Contract. The Service's Contract Representative, as identified in the Basic Agreement, is the person to be contacted by the Engineer for the purposes of communicating routine information, requesting assistance, or making routine inquiries with respect to the Contract. Unless otherwise specified by law or regulation or in an addendum to the Basic Agreement, the Service's Procurement Officer is the only official authorized to enter into or administer the Contract, to make determinations and findings with respect to the Contract, authorize changes to the Scope of Work, or issue Stop Work Orders. Service of any notice required by the Contract shall be complete upon receipt of such notice, postage prepaid, to the appropriate Contract Representative at the address indicated in the Basic Agreement. If no Contract Representative is named, then the person executing the Contract for a party shall be the Contract Representative for purposes of notice.

ARTICLE VI - WARRANTY The Engineer agrees to prosecute all work under this Contract continuously and diligently, and to meet all milestones contained in the Scope of Work except due to circumstances beyond reasonable control of the Engineer. The Engineer shall be responsible for the supervision and inspection of, and the technical accuracy and coordination of all data and work pursuant to this Contract, and shall produce a product meeting professional standards of quality and methodology, and shall indicate clearly and accurately in such detail as may be necessary, what is to be furnished, and the final results to be obtained as to architectural detail, structural strength, clearances, mechanical and electrical sufficiency, and dimensional accuracy.


ENGINEERS CONTRACT

GENERAL CONDITIONS

Page 3

ARTICLE VII - MODIFICATIONS TO SCOPE OF WORK The Service, by written direction to the Engineer, may make additions and changes within the general subject matter of this Contract. Within fifteen (15) days of receipt of a Notice of Change, the Engineer shall advise the Service of the effect, if any, such changes would have on budgeting, cost, delivery schedules, milestones or any other Contract provisions. If such effects are acceptable to the Service, the Service shall issue a Notice to Proceed With Changes, upon receipt of which, the Engineer shall immediately institute all such requested changes. Such directed additions or changes to the Scope of Work shall become part of the contractual obligation. ARTICLE VIII - RETENTION OF RECORDS - AUDIT

The Engineer shall retain and maintain all records and documents relating to this Contract three (3) years after final payment by the Service hereunder or any applicable statute of limitations, whichever is longer, and shall make them available for inspection and audit by the Service. The Service shall have the right, during usual business hours, to examine and audit pertinent records of the Contractor to verify invoices submitted pursuant to this Contract.

ARTICLE IX - PATENTS AND COPYRIGHTS

The Engineer agrees that the State of Maryland shall become the sole owner of any U.S. or foreign patent or patents either conceived or first actually reduced to practice in the course of performance under this Contract, or resulting from the scope of this Contract as delineated herein. The Engineer also agrees that the State of Maryland shall become the sole owner of any U.S. or foreign copyrights obtained on material conceived or first actually written in the course of performance under this Contract, or resulting from data or analyses conducted in relation thereto. The Engineer further agrees that it retains no ownership interest or rights in such patents or copyrights, and that it will faithfully and promptly execute and deliver any documents required to officially establish ownership of such in the name of the State of Maryland. The Engineer shall have the duty to disclose to the Service any invention associated with or reduced to practice in the course of performance under this Contract. Furthermore, the Engineer agrees that, if at any time during the course of performance of this Contract, it should become aware of a potential conflict between the rights of the State of Maryland under this Contract, and those of any other party or entity, as to ownership of any patent or copyright interests developing in relation to said performance, then the Service shall be immediately notified of such conflict. In such a case, it is agreed and understood that the terms of this Contract may be adjusted to provide for an equitable relationship between moneys expended hereunder in pursuant of such patent or copyright interests, and benefits to be obtained therefrom by the Service. This provision shall be construed as a material term of this Contract.

ARTICLE X - OWNERSHIP OF INFORMATION, CONFIDENTIALITY All technical information, documents or data such as compositions, specifications, drawings, photographs, test data, software, processes, or methods (collectively “Service Information”) which are prepared by the Engineer and form a part of his services shall, upon


ENGINEERS CONTRACT

GENERAL CONDITIONS

Page 4

completion of the Service Information, become the property of the Service and shall be delivered to the Service. The Engineer shall be responsible for the protection and/or replacement of any Service Information in its possession. The Service shall receive all original drawings and the Engineer shall retain a reproducible copy of such drawings. The Service Information, as instruments of personal professional services, are not to be used by the Service to design any other Project beyond the scope of the Project that is the subject of this Agreement unless the Service, prior to such use, executes and delivers to the Engineer an agreement in writing absolving, releasing, indemnifying and saving harmless the Engineer for any such use or provides the Engineer appropriate compensation and the right and opportunity to determine the feasibility and propriety of any such intended use. The Engineer shall not, without the express written consent of the Service, publish, disclose, or divulge to any person, firm, corporation or governmental authority, directly or indirectly, or use for its own benefit or for the benefit of any person, firm or corporation or governmental authority, any information related to the Contract (including Service Information, and any information that may be received by the Engineer from the Service or any of its contractors), unless such disclosure is compelled by legislative or judicial process. Unless otherwise required by law, access to all such information, including the making of copies thereof, shall be restricted to only those employees of the Engineer who need to know the information for purposes of performing the Engineer’s obligations hereunder. To the extent permitted by law, the Engineer will, upon the written request of the Service, return all materials, papers, and all other documents, as well as copies, excerpts, summaries thereof and other tangible materials representing or containing such information. In the event the Engineer is directed to destroy such information, then with fifteen (15) days the Engineer will certify in writing that such destruction has occurred and identify the specific information that has been destroyed.

In the event the Engineer desires to publish, submit for publication, distribute or otherwise publicly disseminate any information received or prepared in the course of performing its obligations hereunder, the Engineer shall in all cases submit to the Service three (3) copies of any scientific or technical paper, abstract, report or other vehicle pertaining in whole or in part to this Contract. Such submission shall be made by the Engineer to the Service at least thirty (30) days prior to its planned initial public dissemination, disclosure, or submission for publication. The Engineer shall include in any such documents or vehicles of public disclosure a statement which acknowledges the Service, the specific programs therein, and the financial support provided by this Contract. Furthermore, upon receipt of a written request from the Service, the Engineer shall also provide a disclaimer stating that the contents of the aforesaid document or vehicle of public disclosure do not in any way reflect the views, opinions, or policies of the Service.

ARTICLE XI - INSURANCE

The Engineer shall at all times have and maintain Professional Liability Insurance in the following minimum amount: One Million Dollars ($1,000,000). Certificates of such insurance shall be filed with the Service.

ARTICLE XII - SUBLETTING OR ASSIGNING OF CONTRACTS The benefits and obligations hereunder shall inure to and be binding upon the parties hereto and their respective successors, provided that the personnel of any such successor,


ENGINEERS CONTRACT

GENERAL CONDITIONS

Page 5

whether such successor be an individual, a partnership or a corporation, is acceptable to the Service. The Engineer shall not hire consultants, sublet, sell, transfer, assign or otherwise dispose of this Contract in any portion thereof, or of its right, title or interest therein, without the prior written consent of the Service. In the case of any subcontract, the Engineer agrees to bind the subcontractor and every subcontractor agrees to be bound by all terms of this Contract unless particular provisions are expressly waived, in writing, by the Service.

ARTICLE XIII - MARYLAND SAVED HARMLESS The Engineer will be responsible for all losses or damage to life and property caused by its willful misconduct or negligent acts or omissions, or those of its agents, employees, or subcontractors, in connection with its negligent performance under this Contract. The Engineer shall indemnify and save harmless the Service, the State of Maryland and all of its representatives from all suits, actions, or claims of any character, brought on account of any injuries or damage sustained by any person or property in consequence of the willful misconduct or negligent acts, errors or omissions of the Engineer for any work performed under this Contract, either by the Engineer or any its subcontractors, or their employees, agents, or representatives. This responsibility is not to be deemed as a waiver of any immunity which may exist in any action against the Service. ARTICLE XIV - NON-DISCRIMINATION IN EMPLOYMENT The Engineer agrees: (1) not to discriminate in any manner against an employee or applicant for employment because of race, color, religion, creed, age, sex, marital status, national origin, ancestry, or physical or mental handicap unrelated in nature and extent so as reasonably to preclude the performance of such employment; and (2) to post and to cause subcontractors to post in conspicuous places available to employees and applicants for employment, notices setting forth the substance of this clause. ARTICLE XV - SANCTIONS UPON IMPROPER ACTS

In the event the Engineer, or any of its officers, partners, principals or employees, is convicted of a crime arising out of or in connection with the procurement, performance, or payment of this Contract, the Contract shall, in the discretion of the Service, be terminated without liability. Such sanction shall be applicable, as appropriate and in the discretion of the Service, to any conviction during, or after the expiration of, the term of the Contract.

ARTICLE XVI - NON-HIRING OF EMPLOYEES No employee of the State of Maryland or the Service, or any department, commission, agency, or branch thereof, whose duties as such employee include matters relating to or affecting the subject matter of this Contract, shall, while such employee, become or be an employee of the party or parties hereby contracting with the State of Maryland, the Service, or any department, agency or branch thereof.


ENGINEERS CONTRACT

GENERAL CONDITIONS

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ARTICLE XVII - DISPUTES All disputes under this Contract, if not resolved by the parties, shall be resolved by courts of competent jurisdiction in the State of Maryland and in accordance with the laws of the State of Maryland.

ARTICLE XVIII - TERMINATION FOR DEFAULT If the Engineer fails to fulfill its obligations under this Contract properly and on time, or otherwise violates any material provision of the Contract without substantial cure after ten (10) days receipt of notice, the Service may terminate the Contract by written notice to the Engineer. The notice shall specify the acts or omissions relied on as cause for termination. All finished or unfinished work provided by the Engineer under this Contract, shall at the Service's option, become the Service's property. The Service shall pay the Engineer fair and equitable compensation for satisfactory performance prior to receipt of notice of termination, less the amount of damages caused by the Engineer's breach. If the damages are more than the compensation payable to the Engineer, the Engineer will remain liable after termination and the State can affirmatively collect damages.

ARTICLE XIX - TERMINATION FOR CONVENIENCE OF THE SERVICE The performance of work under this Contract may be terminated by the Service in accordance with this Article in whole, or from time to time in part, whenever the Service shall determine that such termination is in its best interest. The Service will pay all reasonable costs associated with this Contract that the Engineer has incurred up to the date of termination and all reasonable costs associated with termination of the Contract. However, the Engineer shall not be reimbursed for any anticipatory profits or for profits not earned as of the date of termination. ARTICLE XX - SUSPENSION OF PERFORMANCE The Service may, at any time, order in writing a temporary suspension in performance for a period of time it deems appropriate. An adjustment shall be made for any increase in the cost of performance of this Contract (excluding profit) caused by an unreasonable suspension or a suspension for an unreasonable length of time. Should an adjustment be necessary, the Contract shall be modified in writing accordingly. Any adjustment claimed by the Engineer under this Article must be presented in writing to the Service as soon as practicable after the termination of the suspension, but, not later than the date of final payment under the Contract. ARTICLE XXI - POLITICAL CONTRIBUTION DISCLOSURE

The Engineer shall comply with the Election Law Article, Title 14, of the Annotated Code of Maryland, which requires that every person that enters into contracts, leases, or other agreements with the State, a county, or an incorporated municipality, or their agencies, during a calendar year in which the person receives in the aggregate $100,000 or more, shall file with the State Board of Elections a statement disclosing contributions that cumulatively exceed $500 made during the reporting period to a candidate for elective office in any primary or general election. The statement shall be filed with the State Board of Elections: (1) before a purchase or execution of a lease or contract by the State, a county, an incorporated municipality or their agencies, and shall cover the preceding two calendar years; and (2) if the contribution is made after the execution of a


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lease or contract, then twice a year, throughout the contract term, on: (a) February 5, to cover the 6-month period ending January 31; and (b) August 5, to cover the 6-month period ending July 31. ARTICLE XXII - EFFECTIVE DATE It is understood and agreed by the parties hereto that this Contract shall not become effective or enforceable until executed by both parties.

ARTICLE XXIII - LAW APPLICABLE

This Contract shall be governed by the laws of the State of Maryland, and the parties hereby expressly agree that the courts in the State of Maryland shall have exclusive jurisdiction to decide any question arising hereunder.

ARTICLE XXIV - SEVERABILITY It is understood and agreed by the parties hereto that if any of these provisions shall contravene, or be invalid under, the laws of the particular state, county or jurisdiction where used, such contravention or invalidity shall not invalidate the whole agreement, but the Contract shall be construed as if not containing the particular provision or provisions held to be invalid in the said particular state, county, or jurisdiction, and the rights and obligations of the parties shall be construed and enforced accordingly.

ARTICLE XXV - - MINORITY BUSINESS ENTERPRISE UTILIZATION

PURPOSE:

The Contractor shall structure its procedures for the performance of the work required in

this contract to attempt to achieve the minority business enterprise (MBE) subcontract participation goal stated in the Invitation for Bids. MBE performance must be in accordance with this Exhibit, as authorized by Code of Maryland Regulations (COMAR) 21.11.03. The Bidder agrees to exercise all good faith efforts to carry out the requirements set forth in this Exhibit.

DEFINITIONS:

As used in this Section, the following words have the meanings indicated. A. "Certification" means a determination through the procedures outlined in

COMAR 21.11.03 that a legal entity is a minority business enterprise. B. "Certified Minority Business Enterprise" means a minority business enterprise

that holds a certification. C. "Control" means the exercise of the power to manage and operate a business

enterprise.


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D. "Joint Venture” means an association of two or more persons to carry out a single business activity for a limited purpose or time. A joint venture itself can never be certified as a minority business. The money invested in a joint venture reflects the percentage of participation by the parties in the joint venture. Only the money paid to a certified MBE in a joint venture may be credited by a prime Contractor toward reaching an MBE goal. The joint venture agreement must reveal the scope of the MBE’s managerial and financial responsibilities.

E. “Minority Business Enterprise" or "MBE" means any legal entity, other than a

joint venture, organized to engage in commercial transactions, that is at least 51 percent owned and controlled by one or more minority persons, or a nonprofit entity organized to promote the interests of the physically or mentally disabled.

F. (1) "Minority person" means a member of a socially or economically

disadvantaged minority group, and includes African Americans, Hispanics, American Indians, Asians, women, and the physically or mentally disabled.

(2) “Minority person” includes, for contracts funded wholly or in part by federal

funds, a federal definition of “minority person” if the use of the definition in Section 10.2 F(1) above is not acceptable to the federal government and the use of the federal definition is required as a condition of federal participation in the Contract.

G. “MBE Liaison Officer” means the employee designated by the Service to

administer the Service’s MBE Program. H. "Ownership" means: (1) For a sole proprietorship, that the sole proprietor is a minority person. If

the ownership interest held by a minority person is subject to formal or informal restrictions such as options, security interests, agreements, etc., held by a non-minority person or business entity, the options, security interest, agreements, etc., held by the non-minority person or business entity may not significantly impair the minority person's ownership interest.

(2) For a partnership, that at least 51 percent of the partnership's assets or

interests are owned by a minority person or minority persons. If the ownership interest held by a minority person is subject to formal or information restrictions such as options, security interests, agreements, etc., held by a non-minority person or business entity, the options, security interests, agreements. etc., held by a non-minority person or business entity may not significantly impair the minority person's ownership interest.

(3) For a corporation, that legal and equitable ownership of at least 51

percent of all classes of stock, bonds, or other securities issued by the corporation is owned by a minority person or minority persons. If an ownership interest held by a minority person is subject to formal or


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informal restrictions such as options, security interests, agreements, etc., held by a non-minority person or business entity, the options, security interests, agreements, etc., held by the non-minority person or business entity may not significantly impair the minority person's ownership interest.

I. "Solicitation notice" means public notice of a solicitation for bids, offers, or

expressions of interest which contains the nature of the procurement, relevant dates, the availability of solicitation documents, if any, and other pertinent information. The notice must consist of but is not limited to:

(1) Legal advertisement; (2) Newspaper notice; (3) Bid Board Notice; or (4) Bid or proposal documents including the invitation for bids or request for

proposals.

CONTRACTOR RESPONSIBILITIES:

A. If a MBE subcontract participation goal has been established in the Service's

solicitation documents, the Contractor agrees that this amount of the Contract will be performed by Maryland State Certified Minority Business Enterprises.

B. The MBE prime contractor shall to put forth a good faith effort to achieve the

established MBE subcontract goal and that Maryland State Certified Minority Business Enterprises will perform the tasks identified and assigned by the Bidder.

C. The documentation requirements of F, below, are applicable only if Maryland State

Certified MBE subcontractors are to be utilized in the performance of the Contract.

D. Only Maryland State certified MBE subcontractors may be utilized to meet the established MBE subcontract participation goal on this contract.

E. Each bid or offer submitted in response to this solicitation shall be accompanied by a

completed MBE Utilization Affidavit (MBE Attachment A), whereby the bidder acknowledges the certified MBE participation goal or requests a waiver, commits to make a good faith effort to achieve the goal, and affirms that MBE subcontractors were treated fairly in the solicitation process. Whether or not the MBE Utilization Affidavit is filed with the bid, by submission of a bid each bidder acknowledges the MBE goal stated in the solicitation and promises to make a good faith effort to achieve the goal.

F. Each bid or offer submitted in response to this solicitation shall be accompanied by a

complete MBE Participation Schedule (MBE Attachment B) whereby the bidder or offeror responds to the expected degree of Minority Business Enterprise participation as stated in the solicitation, by identifying the specific commitment of


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certified MBEs at the time of submission. The bidder or offeror shall specify the price and/or the percentage of contract value associated with each MBE subcontractor identified on the MBE Participation Schedule

G. To achieve the result of meeting the contract minority business enterprise

subcontract participation goal, the contractor shall:

(1) Identify specific work categories appropriate for subcontracting; (2) At least ten (10) days prior to the bid opening, solicit minority business

enterprises, through written notice that describes the categories of work to be subcontracted and provide specific instructions on how to submit a bid;

(3) Attempt to make personal contact with MBE firms; (4) Assist MBE firms with bonding requirements or to obtain a waiver of

those requirements;

(5) In order to publicize contracting opportunities to minority business enterprises, attend pre-bid meetings or other meeting scheduled by the agency.

H. Documentation

The following documentation shall accompany the Bid and shall be part of the Contract:

(1) Certified MBE Utilization and Fair Solicitation Affidavit (MBE Attachment A) (2) MBE Participation Schedule (MBE Attachment B)

If the bidder is unable to achieve the MBE subcontract participation goal, the Bidder shall submit, in conjunction with MBE Attachments A and B, a request for a full or partial waiver.

The following documentation shall be submitted within ten (10) working days from

notification that the Contractor is the apparent low Bidder or within ten (10) working days following the award, whichever is earlier and shall be part of the Contract:

(1) Outreach Efforts Compliance Statement (MBE Attachment C)

(2) Subcontractor Project Participation Statement of intent (MBE Attachment D)

signed by both the Bidder and each MBE listed in the schedule of participation. Or, if the prime Contract has been awarded, copies of the Subcontract Agreement or Agreements.

(3) Any other documentation considered appropriate by the Service to ascertain

bidder responsibility in connection with the contract MBE participation goal.


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(4) The amount and type of bonds required of MBE Contractors, if any.

(5) The Contractor, by submitting its bid or offer, consents to provide such documentation as requested by the Service and to provide right of entry at any reasonable time for purposes of the Service's representatives verifying compliance with the MBE Subcontractor requirements.

If the bidder is requesting a full or partial waiver of the MBE subcontract

participation goal, the Bidder shall submit, in conjunction with MBE Attachments C, a fully documented written request for a full or partial waiver to include the following:

(a) A detailed statement of the efforts made to select portions of the Work

proposed to be performed by MBEs in order to increase the likelihood of achieving the stated goal;

(b) A detailed statement of the efforts made to contact and negotiate with

MBEs and non-MBEs including the names, addresses, dates and telephone numbers of MBEs contacted, and a description of the information provided regarding the Plans, Specifications, and anticipated time schedule for portions of the Work to be performed;

(c) As to each MBE that placed a Subcontract quotation which the bidder

considers not to be acceptable, a detailed statement of the reasons for this conclusion; and

(d) A list of minority Subcontractors found to be unavailable. This should be

accompanied by a Minority Contractor Unavailability Certificate (MBE Attachment F) signed by the minority business refused to give the written certification.

If each completed document is not returned within the required time, the

Procurement Officer may determine that the apparent awardee is not responsible and therefore not eligible for contract award. If the contract has already been awarded, the award is voidable.

RECORDS AND REPORTS:

A. The Contractor shall maintain such records as are necessary to confirm compliance with its Minority Business Enterprise utilization obligations. These records shall indicate the identify of minority and non-minority Subcontractors employed on the contract, the type of work performed by each, and the actual dollar value of work, services and procurement achieved by each Contractor and Subcontractor.

B. The Contractor shall submit information with his monthly cost breakdown for

progress payments which indicates the dollar value of Contracts awarded to


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Minority Business Enterprises as the Contract Work occurs. (MBE Attachment G) This information will be submitted as a supplement to the Cost Breakdown For Progress Payments form. Failure of the Contractor to submit the required supplementary MBE participation information may result in delays in processing progress payments.

C. All records concerning MBE participation must be retained by the Contractor and

will be available for inspection by the Service for a period of three years after final completion of the Contract.

ENFORCEMENT:

A. The Service is responsible for conducting inspections to confirm compliance with the terms of this Section. If the Service determines that the Contractor or Subcontractors are not in compliance with this Section, the Service will notify the Contractor of those measures, which the Contractor must take to restore the Contractor to a state of compliance.

B. If the documentary material submitted by the Contractor or Subcontractor to

determine minority business status contains false, misleading information or other misrepresentations, the matter will be referred to the Attorney General for appropriate action.

CONTRACTOR ASSISTANCE: A. Contractors requiring assistance in locating Minority Business Enterprises are

encouraged to contact the following offices:

Minority Business Enterprise Office Department of Transportation 7201 Corporate Center Drive

P.O. Box 548 Hanover, Maryland 21076

410-865-1241

The State of Maryland Minority Business Enterprise Directory is available to Contractors online and at the location listed above. The Directory contains information about currently certified Minority Business Enterprises.

Revised 08/12 APPROVED as to form and legal sufficiency

Maryland Environmental Service

Office of the Attorney General

STATE OF MARYLAND

NOTICE TO VENDORS/CONTRACTORS In order to help us improve the quality of State solicitations, and make our procurement process more responsive and business-friendly, we ask that your take a few minutes and provide comments and suggestions regarding this solicitation. Please return your comments with your bid or proposal (or no bid), as the case may be. Thank you for your assistance. Bid/Proposal Number: _________________, entitled: _________________________________ I. If you have responded with a no bid, please indicate the reason below:

O Other commitments preclude our participation at this time. O The subject of the contract is not something we normally provide. O We are inexperienced in the work/commodities required. O The specifications are either unclear or too restrictive. (Please explain in remarks

section.) O The scope of work is beyond our current capacity. O Doing business with government is simply to complicated O We cannot be competitive. (Please explain in remarks section) O Time for completion is insufficient. O Bonding/insurance requirement are prohibitive. (Please explain in remarks section.) O Bid/proposal requirements, other than specifications, are unreasonable or too risky.

(Please explain in remarks section.) O Prior experience with State of Maryland contracts was unprofitable or otherwise

unsatisfactory. (Please explain in remarks section.) O Other: ___________________________________________________________

II. If you have submitted a bid or proposal, but wish to offer suggestions or express

concerns, please use the remarks section below. (Use the back for additional information.)

Remarks: __________________________________________________________________________________________________________________________________________________________________________________________________________________ Vendor Name: ___________________________________________ Date: _______________ Contact: _____________________________________ Phone: (____) __________________ Address:_____________________________________________________________________ ____________________________________________________________________________ Email Address:

THANK YOU!!!

MES-PROC-16