APPENDIX C - DBE-SBE .docx

Appendix C NJDEP- Site Remediation Program

USEPA & NJDEP Blended “Fair Share” Goals Requirements

Requirements and Quarterly Reporting Forms

For

Federally Funded Disadvantage Business Enterprise

State Funded Small Business Enterprise

Site Remediation Program Financial Services Element Effective April 2012

New Jersey is an Equal Opportunity Employer l Printed on Recycled Paper and Recyclable

Department of Environmental Protection

KIM GUADAGNO

Lt. Governor

Financial Services Element 401 East State Street – 6th Floor Mail Code 401-06I PO Box 420 Trenton, New Jersey 08625-0420 Phone: (609) 777-0101 Fax: (609) 292-4401

TO: SRP Contract Awardees

Subject: Federally Funded Contracts Requiring Disadvantage Business Enterprise Reporting Requirements

Date: Effective April 2012

The United States Environmental Protection Agency (USEPA) and the New Jersey Department of Environmental Protection has agreed to blended “Fair Share” Goals as are effective as of October 1, 2009. These goals are in effective for three years through September 30, 2012. When the new goals are established in September 2012, you will be provided with the goals and will be effective for the contract upon date of issuance.

The USEPA policy requires that all recipients of USEPA financial assistance through grants and cooperative agreements attempt to award a portion of the sub agreements to small, minority and women-owned business designated as Disadvantage Business Enterprise (DBE) by establishing “Fair Share Goals”. This policy applies to all sub agreements for equipment, supplies, construction and services under all EPA Grants, cooperative agreements and Interagency Agreements (IGAs). As per Contract Section 6.1.2 EPA REQUIREMENTS, you are required to demonstrate compliance with meeting these mandated “Fair Share” Goals.

The blended goals are as follows:

Thank you for your cooperation in this matter. If you have any questions, please contact this office or your State Contract Manager.

Very truly yours,

FEDERALLY FUNDED CONTRACTS REQUIRING DISADVANTAGED BUSINESS ENTERPRISES REPORTING REQUIREMENTS

The contract or site that your firm is bidding on or will be working on is a federally funded site and requires compliance with the Mandated “Fair Share Goals”. The Contractor is required to demonstrate compliance with meeting these mandated “Fair Share” Goals. The “Fair Share Goals” states “The bidder understands that work under this Contract may now or in the future be funded in whole or in part by the United States Environmental Protection Agency (USEPA) pursuant to an assistance agreement with the State. As such, the bidder agrees that its responsibilities hereunder shall be performed consistent with any USEPA requirements for work funded by the USEPA and that all applicable USEPA standards of performance for work of this type are hereby incorporated by reference.”

The USEPA policy requires that all recipients of USEPA financial assistance through grants and cooperative agreements attempt to award a portion of the sub agreements to small, minority and women-owned businesses by establishing “Fair Share Goals”. This policy applies to all sub agreements for equipment, supplies, construction and services under all USEPA Grants, cooperative agreements and Interagency Agreements (IGAs). Information on the USEPA DBE program is located on the United States Environmental Protection Agency's Office of Small Business Programs website at http://www.epa.gov/osdbu/grants.htm.

The USEPA has provided the following definitions on the MBE/WBE Certification Fact Sheet defining the three major acronyms used in the program.

Disadvantaged Business Enterprises (DBEs) are entities owned and/or controlled by a socially and economically disadvantaged individual as described by Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. 7601 note) (10% statute), and Public Law 102-389 (42 U.S.C. 4370d) (8% statute), respectively;

a Small Business Enterprise (SBE);

a Small Business in a Rural Area (SBRA);

a Labor Surplus Area Firm (LSAF); or a Historically Underutilized Business (HUB) Zone Small Business Concern, or a concern under a successor program.

Minority Business Enterprises (MBEs) are entities that are at least 51% owned and/or controlled by a socially and economically disadvantaged individual as described by Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. 7601 note), and Public Law 102-389 (42 U.S.C. 4370d), respectively.

Women’s Business Enterprises (WBEs) are entities that are at least 51% owned and/or controlled by women (under the 10% and 8% statutes).

The Disadvantaged Business Enterprises (DBEs) program includes the Minority Business Enterprises (MBEs) and Women’s Business Enterprises (WBEs) as an integral part of the DBE program. The acronym “DBE “shall be used to designate the entire program.

The NJDEP through the Office of Equal Opportunity and Public Contract Assistance (OEOPCA) has negotiated a “Fair Share Agreement” with the USEPA that went into effect on October 1, 2009 and is effective till September 30, 2012. After September 30, 2012, upon completion of the negotiations with USEPA, the NJDEP OEOPCA office will provide the new goals to NJDEP SRP. NJDEP-SRP will provide these goals to the contractor and the contractor will be required to comply with the blended goals. The current blended goals are as follows:

Please be advised that all DBE certificates have an expiration date. The use of DBEs with expired certificates will not be accepted by the State Government or the Federal Government for compliance with “Fair Share” goal requirements. It is the responsibility of the contractor to check the expiration of the certificate prior to giving any work to the subcontractor. The contractor is required to obtain a written copy of the certificate prior to offering the DBE work.

Penalties for Failing to Comply with the Regulations

The contractor must make an attempt to meet the “Fair Share Goals” established by the Agreement. There is no penalty for not achieving the Goal. However, the contractor will be penalized if they fail to document the efforts to solicit and utilize DBEs for the project. Failure to document the effort to meet the “Fair Share Goals” and submit the reports to the NJDEP State Contract Manager by the required due dates can lead to withholding of payments to the Contractor.

If the Contractor fails to submit the quarterly reports on time, a letter shall be sent to the Contractor by the State Contract Manager advising the Contractor of the failure to deliver the report. If after thirty days of the date of the letter, the Contractor has not complied with the requirements, payment on all invoices submitted by the contractor for the affected contract will be held until all the required reports are submitted and determined to be acceptable by the Department.

If the Contractor fails to deliver reports that comply with the requirements of the contract and the reporting requirements, the State Contract Manager shall advise the Contractor in writing of the problems and the Contractor shall resubmit the revised reports within thirty days. If the revised reports are not submitted, payment on all invoices submitted by the contractor for the affected contract will be held until all the required reports are submitted and determined to be acceptable by the Department.

If the resubmittals are determined to be unacceptable by the Department, payment on all invoices submitted by the contractor for the affected contract will be held until all the required reports are revised and determined to be acceptable by the Department.

Project and Contract Applicability

For a RFP or contract that is issued for one site, only one DBE Utilization Plan and associated quarterly reports are to be issued.

For a RFP or contract that is considered a term contract that is used for multiple sites, each site requires a DBE Utilization Plan and the associated quarterly reports. The Contractor is not allowed to issue Utilization Plans or quarterly reports that cover more than one site.

The bidders are advised that all contract lines, except for ones that specify the use of contractor personnel and contractor owned heavy equipment or instruments, are subject to the DBE requirements. Therefore, all other services, supplies. equipment and materials including but not limited to the following expendable supplies, expendable equipment, materials, construction materials, temporary buildings or structures, office trailers, and services (not supplied by the contractor by contractor employees) etc., are subject to DBE compliance. The bidder must take in consideration in their development of their cost proposal that the Federal DBE requirements must be met.

Bidders are not required to supply their compliance with these detailed DBE requirements in the bid submission. The bidders are only required to submit the generic requirements as required by Section of the RFP ______________. Only the awardee(s) are required to submit this detailed DBE information.

If after award, the contractor determines that for contract lines identified as utilizing contractor personnel or contractor owned equipment, then proposes to use a subcontractor for personnel or equipment, they are subject to DBE requirements.

If a bidder is awarded a contract and they need to purchase new equipment or instruments to meet the requirements of this RFP, they are subject to DBE requirements on the purchases.

Only the awardee(s) are required to document all efforts to utilize DBEs for each line item for which they are awarded. The contractor is strongly encouraged to breakdown large procurements into smaller units, where practical, to encourage the bidding of DBE subcontractors. For each line item and or procurement, including purchases under $1000.00, the contractor is required to document the effort to obtain a bid from a DBE. Supportive documentation includes, but is not limited to, telephone quotations, letters sent out to prospective bidders for work, advertising in widely read newspapers in the State and nearby states that provide coverage in NJ, etc. Webpage search results from each of the designated agencies are also part of the supportive documentation requirements. The webpage searches will list possible eligible DBEs for the contractor to contact in the attempt to meet the “Fair Share Goals”.

Upon award of the contract, the contractor in the post award submittal of their DBE Utilization Plan must detail their search for qualified DBEs for each of the contract line items that have been awarded to their firm. The contractor must clearly identify for each line item if a DBE was found or not found. If a DBE is eligible for the line item, the contractor must identify if the DBE is going to be used for that particular line. If the cost of using a DBE is not being used, the reason for the non-using a DBE, this must be explained and supportive documentation provided.

This documentation is required to be submitted quarterly with the associated invoices that are submitted to the state for payment. If the invoices for the work conducted by the DBE are submitted in different quarterly time periods, the documentation must be submitted for each quarterly report.

The NJDEP Office of Equal Opportunity and Public Contract Assistance (OEOPCA) is responsible for the review and approval of this plan.

All the required documentation for the DBE usage must be reported in the quarterly report.

Change Orders and Allowance Purchases

If during the course of the work it is determined that an allowance purchase is to be made by the contractor (if such an allowance provision is in the contract) or a change order is required, the DBE Utilization Plan must be revised and approved, and DBE requirements must be met prior to the implementation of the applicable site work.

This requirement applies to all change orders issued and all allowance purchases made under this contract. This includes, but is not limited to, transportation and disposal activities, work activities not covered by the contract, materials and supplies that will be used on the project, etc., that were not a contract line item. The contractor is required to have all documentation prior to submitting the cost estimate to the state for the change order. For anticipated allowance purchases under this contract, the contractor is again required to have all documentation prior to making such purchases.

DBE Utilization Plan Procedures (Both Types)

For each project that is initiated with Federal monies, a detailed post award DBE Utilization Plan is required. The Utilization Plan must document the procedures that shall be used to comply with the Federal requirements, and specifically define the procedures that shall be used by the Contractor to find qualified certified DBEs. The contractor must identify all their sources used to locate qualified DBEs. The contractor is required to obtain a valid DBE Certificate prior to awarding a subcontractor any work.

The draft DBE Utilization Plan is be submitted electronically to the NJDEP State Contract Manager for submittal to the NJDEP OEOPCA for review and approval.

The Plan must clearly state the name of the contract, contract number (begins with “A”) contractor name, funding source, program issuing the contract and NJDEP State Contract Manager. The plan must document how the contractor is conducting the searches (see above section) and provide detailed information of the DBE searches.

Upon approval of the draft plan by OEOPCA, the contractor is required to submit a hardcopy original and three (3) copies of the Site Specific Utilization Plan to the NJDEP State Contract Manager within thirty (30) days of plan approval. The plan must be signed by the Contractor’s Contract Manager and their designated Federal Compliance Officer for DBE. These hard copy documents must be submitted to the NJDEP State Contract Manager for submittal to the OEOPCA for final approval prior to the initiation of any work at the site.

Any revisions to the DBE Utilization Plan must be submitted electronically to the NJDEP State Contract Manager and must meet the same reporting requirements as the Original Plan. The revised plan will be reviewed and approved by OEOPCA. Upon approval of the OEOPCA, the hardcopy documents (original and three copies) must be submitted within thirty days or with the next quarterly report that is due to the State (whichever is sooner).

Quarterly Report Submittal Information

The NJDEP State Contract Manager is the point of contact for the submittal of all DBE Utilization Plans and quarterly reports. The Contractor is required to submit the quarterly reports to the NJDEP State Contract Manager by the 10th of each month following the end of the calendar quarter. Reports are due to the State Contact Manager by January 10, April 10, July 10, and October 10. If the 10th day falls on the weekend the report is due the Monday following the 10th day of that month.

Quarterly Reports Due Dates

To comply with these Federal requirements, the contractor shall implement the following procedures for each project’s quarterly report:

1. All reports are due in Hardcopy format. The original report and three (3) complete copies must be provided. A complete report consists of the reporting form and all supporting documentation. If any part of the report is missing, the report is considered incomplete and must be resubmitted.

2. This report cannot be revised without the approval of the NJDEP Office of Equal Opportunity and Public Contract Assistance and the NJDEP Site Remediation Program, Financial Services Element.

3. Each project must be submitted individually on their own form and with its own supporting documentation. Submittal of multiple sites on one report will result in rejection of the report.

4, Separate reports are required for each quarterly reporting time period. Each report must cover only a three month (quarterly time period). Submittal of multiple quarters in a report will result in reject of the report.

5. The SRP Federal Disadvantaged Business Enterprises Reporting Form must be used for each project. This form is provided as an enclosure to this document.

6. For each project, the quarterly report submittal must cover all the invoices that are paid by the state during that quarter. For example, if your company works on the project in June 2010 and does not submit invoices for payment to the State until November 2010 and they are paid prior to December 31st, the submittal for the site is due to the State in January 2011. If they are paid after December 31st and prior to March 31st they are due in next report.

7. All written documentation supporting the search for DBEs for this site for each invoice paid in that quarter must be submitted in the quarterly report, If the contractor cannot find a qualified DBE, the contractor must document all their efforts to find a qualified contractor, including where they searched to find a contractor, the methods of searching and the time period for which the search was conducted.

8. The invoices and purchase orders for each DBE listed in the quarterly report must be included as part of the written documentation. If the invoices paid for the work conducted by the DBE are submitted in different quarterly time periods, the documentation must be submitted for each quarterly report.

9. Copy of each DBEs current certificate are required for each invoice a DBE is used.

10. The quarterly report is due even if there is are invoices paid submitted for that reporting period.

Penalties for failing to Comply with the Regulations

The contractor must make an attempt to meet the “Fair Share Goals” established by the Agreement. There is no penalty for not achieving the Goal. However, the contractor will be penalized if they fail to make the aforementioned effort and document the efforts to solicit and utilize DBEs for the project. Failure to document the effort to meet the “Fair Share Goals” and submit the reports to the NJDEP State Contract Manager by the required due dates can lead to withholding of payments to the Contractor.

Locating Eligible Contractors

To facilitate the search for a qualifying DBE subcontractor, below are links to assist you in locating potential eligible contractors. These links were supplied by the NJDEP Office of Equal Opportunity and Public Contract Assistance (OEOPCA).

New Jersey Transit http://www.bipincwebapps.com/njt/biznet/

New Jersey Department of Transportation http://www.nj.gov/transportation/business/civilrights/pdf/directory.pdf

New Jersey Department of Commerce https://www6.state.nj.us/CEG_SAVI/jsps/vendorSearch.jsp

The Port Authority of New York and New Jersey http://www.panynj.gov/

This link is directly from the USEPA website.

United States Environmental Protection Agency Small Business Program-Disadvantage Business Program http://www.epa.gov/osbp

This link is from the “State of New Jersey Business Portal One Stop Shop for Business for Services and Information”. The New Jersey Selective Assistance Vendor Information Database (NJSAVI database) that identifies businesses that are registered as a SBE and or certified M/WBE. These businesses may also be registered DBE under the Federal Program. There is a description of the database on the webpage.

http://www.state.nj.us/njbusiness/contracting/services/

In addition, the NJDEP OEOPCA has offered to assist contractors in locating potential DBEs. The OEOPCA can be reached at (609) 984 -9742.

SRP- OEOPCA Federal Disadvantaged Business Enterprises Quarterly Reporting Form

SRP in conjunction with the NJDEP Office of Equal Opportunity and Public Contract Assistance has developed a Program specific Quarterly Reporting Form for the reporting of this information. The form can be sent electronically to your company.

STATE FUNDED CONTRACTS REQUIRING SMALL BUSINESS ENTERPRISE REPORTING REQUIREMENTS AND NJDEP SBE UTILIZATION PLAN REQUIREMENTS

The contract or site that your firm is bidding on or will be working on is a State funded site and requires the of subcontractors and purchases of equipment, supplies, construction and services. An integral part of these requirements is attempting to meet the Small Business Enterprise targets established by the State of New Jersey. Currently the small business enterprise targets are set pursuant to NJAC 17:13-4 and Executive Order 71. Each contractor who uses subcontractors and makes purchases of equipment, supplies, construction and services are required to make a “Good Faith Effort” to meet the set-aside subcontracting targets. The target of awarding a total of twenty-five percent (25%) of the value of the contract to New Jersey based, small Businesses as per the New Jersey Small Business Set Aside Program. The State of New Jersey has a web site on small businesses certification and the program’s requirements in the “State of New Jersey Business Portal One Stop Shop for Business for Services and Information” at http://www.state.nj.us/njbusiness/contracting/services.

A small business is defined as follows:

· Is independently owned and operated

· Is incorporated or registered in and has its principal place of business located in the State of New Jersey.

· Has one-hundred(100) or fewer employees

· Has gross revenues falling in one of the following three categories:

1. 0 to $500,000 (Category I)

2. $500,001 to $5,000,000 (Category II)

3. $5,000,001 to $12,000,000 (Category III) or the applicable federal revenue standards established at 13 CFR 121.201, whichever is higher.

The current set aside small business subcontracting goals are as follows:

· A minimum of five (5) percent awarded to each of the three categories listed above.

· The remaining ten (10) percent spread across the three categories listed above.

Please be advised that all SBE certificates have an expiration date. The use of SBE Contractors with expired certificates will not be accepted by the State for compliance with “Good Faith Efforts” requirements. It is the responsibility of the contractor to check the expiration of the certificate prior to giving any work to the subcontractor. The contractor is required to obtain a written copy of the certificate prior to offering the SBE work.

Penalties for Failing to Comply with the Regulations

The contractor must make an attempt to meet the “Good Faith Effort” Goals established by the Agreement. There is no penalty for not achieving the Goal. However, the contractor will be penalized if they fail to document the efforts to solicit and utilize SBEs for the project. Failure to document the effort to meet the “Good Faith Effort” Goals” and submit the reports to the NJDEP State Contract Manager by the required due dates can lead to withholding of payments to the Contractor.

If the Contractor fails to submit the quarterly reports on time, a letter shall be sent to the Contractor by the State Contract Manager advising the Contractor of the failure to deliver the report. If after thirty days of the date of the letter, the Contractor has not complied with the requirements, payment on all invoices submitted by the contractor for the affected contract will be held until all the required reports are submitted determined to be acceptable by the Department.

If the Contractor fails to deliver reports that comply with the requirements of the contract and the reporting requirements, the State Contract Manager shall advise the Contractor in writing of the problems and the Contractor shall resubmit the revised reports within thirty days. If the revised reports are not submitted, payment on all invoices submitted by the contractor for the affected contract will be held until all the required reports are submitted and determined to be acceptable by the Department.

If the resubmittals are determined to be unacceptable by the Department, payment on all invoices submitted by the contractor for the affected contract will be held until all the required reports are revised and determined to be acceptable by the Department

Project and Contract Applicability

For a RFP or contract that is issued for a one site, only one SBE Utilization Plan and associated quarterly reports are to be issued.

For a RFP or contract that is considered a term contract that is used for multiple sites, each site requires a SBE Utilization Plan and the associated quarterly reports. The Contractor is not allowed to issue Utilization Plans or quarterly reports that cover more than one site.

The bidders are advised that all contract lines, except for ones that specify the use of contractor personnel and contractor owned heavy equipment or instruments, are subject to the SBE requirements. Therefore, all other services, supplies. equipment and materials including but not limited to the following expendable supplies, expendable equipment, materials, construction materials, temporary buildings or structures, office trailers, and services (not supplied by the contractor by contractor employees) etc., are subject to SBE compliance. The bidder must take in consideration in their development of their cost proposal, that the State SBE requirements must be met.

Bidders are not required to supply their compliance with these detailed SBE requirements in the bid submission. The bidders are only required to submit the generic requirements as required by Section of the RFP ______________. Only the awardee(s) are required to submit this detailed SBE information.

If after award, the contractor determines that for contract lines identified as utilizing contractor personnel or contractor owned equipment, then proposes to use a subcontractor for personnel or equipment, they are subject to DBE requirements.

For all contract line items that are being bid under RFP, the bidders must comply with the State SBE requirements during the procurement and bidding process. These requirements covers all supplies, equipment, materials, construction and services required under the bid. The bidder must take in consideration in their development of their cost proposal, that the State SBE requirements must be met.

Only the awardee(s) are required to document all efforts to utilize SBEs for each line item for which they are awarded. The contractor is strongly encouraged to breakdown large procurements into smaller units, where practical, to encourage the bidding of SBE subcontractors. For each line item and or procurement, including purchases under $1000.00, the contractor is required to document the effort to obtain a bid from a SBE. Supportive documentation includes, but is not limited to, telephone quotations, letters sent out to prospective bidders for work, advertising in widely read newspapers in the State and nearby states that provide coverage in NJ, etc. Webpage search results from each of the designated agencies are also part of the supportive documentation requirements. The webpage searches will list possible eligible SBEs for the contractor to contact in the attempt to meet the “Good Faith Goals”.

Upon award of the contract, the contractor in the post award submittal of their detailed SBE Utilization Plan must detail their search for qualified SBEs for each of the contract line items that have been awarded to their firm. The contractor must clearly identify for each line item if a SBE was found or not found for each line item. If a SBE is eligible for the line item, the contractor must identify if the SBE is going to be used that particular line. If the cost of using a SBE is not being used the reason for the non-use of a SBE, this must be explained and supportive documentation provided.

In addition, this documentation is required to be submitted quarterly with the associated invoices that are submitted to the state for payment. If the invoices for the work conducted by the SBE are submitted in different quarterly time periods, the documentation must be submitted for each quarterly report

The NJDEP Office of Equal Opportunity and Public Contract Assistance (OEOPCA) is responsible for the review and approval of this plan.

All the required documentation for the SBE usage must be reported in the quarterly report.

Change Orders and Allowance Purchases

If during the course of the work it is determined that an allowance purchase is to be made by the contractor (if such an allowance provision is in the contract or a change order is required, the SBE Utilization Plan must be revised and approved, and SBE requirements must be met prior to the implementation of the applicable site work.

This requirement applies to all change orders issued and all allowance purchases made under this contract. This includes, but is not limited to, transportation and disposal activities, work activities not covered by the contract, materials and supplies that will be used on the project, etc., that were not a contract line item. The contractor is required to have all this documentation prior to submitting the cost estimate to the state for the change order. For anticipated allowance purchases under this contract, the contractor is again required to have all documentation prior to making such purchases.

SBE Utilization Plan Procedures (Both Types)

For each project that is initiated with State monies, a detailed post award SBE Utilization Plan is required. The Utilization Plan must document the procedures that shall be used to comply with the State requirements, and specifically define the procedures that shall be used by the Contractor to find qualified certified SBEs. The contractor must identify all their sources used to locate qualified SBEs. The contractor is required to obtain a valid SBE Certificate prior to awarding the subcontractor any work.

The draft SBE Utilization Plan is be submitted electronically to the NJDEP State Contract Manager for submittal to the NJDEP OEOPCA for review and approval.

The Plan must clearly state the name of the contract, contract number (begins with “A”) contractor name, funding source, for what program issued the contract and NJDEP State Contract Manager. The plan must document how the contractor is doing the searches (see above section) and provide detailed information of the SBE searches.

Upon approval of the draft plan by OEOPCA, the contractor is required to submit a hardcopy original and three (3) copies of the Site Specific Utilization Plan to the NJDEP State Contract Manager within thirty (30) days of plan approval. The plan must be signed by the Contractor’s Contract Manager and their designated State Compliance Officer for SBE. These hard copy documents must be submitted to the NJDEP State Contract Manager for submittal to the OEOPCA for final approval prior to the initiation of any work at the site.

Any revisions to the SBE Utilization Plan must be submitted electronically to the NJDEP State Contract Manager and must meet the same reporting requirements as the Original Plan. The revised plan will be reviewed and approved by OEOPCA. Upon approval of the OEOPCA, the hardcopy documents (original and three copies) must be submitted within thirty days or with the next quarterly report that is due to the State (whichever is sooner).

Quarterly Report Submittal Information

The NJDEP State Contract Manager is the point of contact for the submittal of all SBE Utilization Plans and quarterly reports. The Contractor is required to submit the quarterly reports to the NJDEP State Contract Manager by the 10th of each month following the end of the calendar quarter. Reports are due to the State Contact Manager by January 10, April 10, July 10, and October 10. If the 10th day falls on the weekend the report is due the Monday following the 10th day of that month.

Quarterly Reports Due Dates

To comply with these State requirements, the contractor shall implement the following procedures for each project’s quarterly report.

1. All reports are due in Hardcopy format. The original report and three (3) complete copies must be provided. A complete report consists of both the reporting form and all supporting documentation. If any part of the report is missing, the report is considered incomplete and must be resubmitted.

2. This report cannot be revised without the approval of the NJDEP Office of Equal Opportunity and Public Contract Assistance and the NJDEP Site Remediation Program, Financial Services Element.

3. Each project must be submitted individually on their own form and with its own supporting documentation. Submittal of multiple sites on one report will result in rejection of the report.

4, Separate reports are required for each quarterly reporting time period. Each report must cover only a three month (quarterly time period). Submittal of multiple quarters in a report will result in reject of the report.

5. The SRP State Disadvantaged Business Enterprises Reporting Form must be used for each project. This form is provided as an enclosure to this document.

6. For each project, the quarterly report submittal must cover all the invoices that are paid by the state during that quarter. For example, if your company works on the project in June 2010 and does not submit invoices for payment to the State until November 2010 and they are paid prior to December 31st, the submittal for the site is due to the State in January 2011. If they are paid after December 31st and prior to March 31st they are due in next report.

7. All written documentation supporting the search for SBEs for this site for each invoice paid in that quarter must be submitted in the quarterly report. If the contractor cannot find a qualified SBE, the contractor must document all their efforts to find a qualified contractor, including where they searched to find a contractor, the methods of searching and the time period a search was conducted.

8. The invoices and purchase orders for each SBE listed in the quarterly report must be included as part of the written documentation. If the invoices paid for the work conducted by the SBE are submitted in different quarterly time periods, the documentation must be submitted for each quarterly report.

11. Copy of each SBEs current certificate are required for each invoice a SBE is used.

12. The quarterly report is due even if there are no invoices paid submitted for that reporting period.

Penalties for failing to Comply with the Regulations

The contractor must make an attempt to meet the “Good Faith Effort Goals” established by the Agreement. There is no penalty for not achieving the Goal. However, the contractor will be penalized if they fail to make the aforementioned effort and document the efforts to solicit and utilize SBEs for State Projects. Failure to document the effort to meet the “Good Faith Effort” and submit the reports to the State Contract Manager by the required due dates can lead to withholding of payments to the Contractor.

Locating Eligible Contractors

To facilitate the search for a qualifying SBE subcontractor below are links to assist you in locating potential eligible contractors. These links were supplied by the NJDEP Office of Equal Opportunity and Public Contract Assistance (OEOPCA). The NJDEP Office of Equal Opportunity and Public Contract Assistance Website is http://www.nj.gov/dep/eo.

New Jersey Transit http://www.bipincwebapps.com/njt/biznet/

New Jersey Department of Transportation http://www.nj.gov/transportation/business/civilrights/pdf/directory.pdf

New Jersey Department of the Treasury- Division of Minority and Women Business Development – New Jersey Selective Assistance Vendor Information https://www6.state.nj.us/CEG_SAVI/jsps/vendorSearch.jsp

The Port Authority of New York and New Jersey http://www.panynj.gov/

This link is from the “State of New Jersey Business Portal One Stop Shop for Business for Services and Information”. The New Jersey Selective Assistance Vendor Information Database (NJSAVI database) that identifies businesses that are registered as a SBE and or certified M/WBE. These businesses may also be registered DBE under the Federal Program. There is a description of the database on the webpage.

http://www.state.nj.us/njbusiness/contracting/services/

In addition, the NJDEP OEOPCA has offered to assist contractors in locating potential SBEs. The OEOPCA can be reached at (609) 984 -9742.

SRP The NJDEP- SRP Contractor’s Subcontractor Usage Reporting Quarterly Reporting Form

SRP in conjunction with the NJDEP Office of Equal Opportunity and Public Contract Assistance has developed a Program Specific Quarterly Reporting Form for the reporting of this information. The form is in the RFP and can be sent electronically to your company.

NEW JERSEY DEPARTMENT OF ENVIRONMENTAL PROTECTION

SITE REMEDIATION PROGRAM

OFFICE OF EQUAL OPPORTUNITY AND PUBLIC CONTRACT

ASSISTANCE

FEDERAL DISADVANTAGED BUSINESS ENTERPRISES

CONTRACTOR’S QUARTERLY REPORTING FORM

Issued by New Jersey Department of Environmental Protection Site Remediation Program Mail Code 401-06J Box 420 Trenton, NJ 08625-0420 April 2012

QUARTERLY REPORTING REQUIREMENTS TO COMPLY WITH THE USEPA DISADVANTAGED BUSINESS ENTERPRISES (DBE) PROGRAM

The USEPA policy requires that all recipients of USEPA financial assistance through grants and cooperative agreements attempt to award a portion of the sub agreements to small, minority and women-owned business designated as Disadvantaged Business Enterprises (DBE) by establishing “Fair Share Goals”. This policy applies to all sub agreements for equipment, supplies, construction and services under all EPA Grants, cooperative agreements and Interagency Agreements (IGAs).

The prime contractor for each project that is funded using monies from the Federal Government is required to complete this form for each quarter for which invoices are submitted to the SRP Program. The form must be submitted to the SRP State Contract Manager for the Contract within 10 days following the close of each fiscal year quarter (i.e., January 10, April 10, July 10, and October 10).

All reports are due in Hardcopy format. The original report and three (3) complete copies must be provided. A complete report consists of both the reporting form and all supporting documentation. If any part of the report is missing, the report is considered incomplete and must be resubmitted.

This report cannot be revised without the approval of the NJDEP Office of Equal Opportunity and Public Contract Assistance and the SRP- Financial Services Element.

Separate reports are required for each site that the prime contractor is working. Submittal of multiple sites on one report will result in rejection of the report.

Separate reports are for required for each quarterly reporting time period. Each report must cover only a three month (quarterly time period). Submittal of multiple quarters in a report will result in rejection of the report.

INSTRUCTIONS FOR FILLING OUT DBE QUARTERLY UTILIZATION REPORT

1. Reporting Time period: List the date of the start of the quarter and end date of the quarter. Include the year.

2. Funding Source: This information to be obtained from State Contract Manager.

3. Name of the SRP State Contract Manager for the Contract.

4. Contractor Name and Address

5. State Contract Number beginning with “A” and the Name of the Contract.

6. Site Information: The contractor must complete all lines. This is the site information at which Federal monies is being used.

7. Summary of actions or work carried out for this quarterly report. (Add additional space if needed)

8. Amount of Purchase Order issued and Purchase Order Number(s). If numerous purchase orders are issued, this information must be listed individually on the lines provided. (Add additional lines sets if needed.) Including the amount for each additional Purchase order referenced in the report.

If the total amount issued is adjusted by a change order, the change order date must be listed and the Purchase Order numbers listed in this section

9. Enter Date of first Purchase Order issued using Federal monies.

10. Enter estimated date of Project Completion using Federal monies.

11. Indicate if Initial quarterly report is being submitted.

12. Indicate if Final quarterly report is being submitted.

13. Indicate MBE and WBE goals based upon project plan for DBE utilization developed in consultation with the Office. The actual dollar amount and percentage amounts are to be provided base on the dollar amount paid for that quarter.

14. List all new DBEs used in this quarterly reporting period.

15. Additional comments or explanations. Refer to the specific item number on the form, if applicable.

16. The Contractor must list the backup documentation provided for each DBE determination.

17. Enter the name, address and telephone number of each DBE participating in the activity at the site under agreement with the Contractor. Check applicable MBE or WBE status of each listed DBE. Explain type of service rendered and list the total dollar amount of the subcontract. Each entry must be accompanied by a copy of the signed subcontract and invoices. A Copy of the MBE/WBE certification must be included. Add lines sets as necessary.

18. Required Signatures. State Contract Manager must sign the form after receiving the report from the contractor. An authorized representative of the contractor is required to sign the report.

DBE Reporting Requirements and Reporting Form for NJDEP SRP Contracts April 2012

NEW JERSEY DEPARTMENT OF ENVIRONMENTAL PROTECTION

SITE REMEDIATION PROGRAM

OFFICE OF EQUAL OPPORTUNITY AND CONTRACT ASSISTANCE

USEPA DISADVANTAGED BUSINESS ENTERPRISES PROGRAM (DBE)

QUARTERLY REPORTING FORM

State Agency: State of New Jersey, Department of Environmental Protection

Mail Code 401-06J Box 420

1. Reporting time Period (months and years): ______________________

2. Funding Source: ___________________

3. SRP State Contract Manager Name: _____________________________________________

4. Contractor Name: _____________________________________________________________

Contractor Address: _________________________________________________________

5. Contract Number: A-_______________

Contract Name: _______________________________________

6. Site Information:

Site Name: __________________________________ Job Number: _____________

Address: ________________________________

Municipality: ______________________________

County: _____________________

7. Summary of activities conducted at the site: ______________________________________

8. Purchase Order $________________________________ PO number: _______________

Adjusted amount base on Change Order increase/decrease: _________________

List any other Purchase Orders numbers: _______________________________

9. First Purchase Order Issuance Date: ___________

10. Estimated date of Project Completion: ___________

11. Initial Quarterly Submittal on Engagement: Yes or No (__________)

12. Final Quarterly Submittal on Engagement: Yes or No (__________)

13. Utilization Summary for this Quarter

Total Dollar Amount Paid on Project this Quarter $______________

DOLLAR AMOUNT PAID PERCENTAGE OF CONTRACT

AMOUNT PAID

MBE $ _______________ ________ %

WBE $ _______________ ________ %

DBE $ _______________ ________ %

TOTAL DBE $ _______________ ________ %

14. List all new DBEs used in this reporting period

15. Space Provided for Additional Comments or Explanations

16. List of Attachments provided.

1.______________________________________ ______ _________________________ ____________ __________

Number of Full-time Employees ________

2.______________________________________ ______ _________________________ ____________ __________

Number of Full-time Employees ________

3.______________________________________ ______ _________________________ ___________ __________

Number of Full-time Employees ________

4.______________________________________ _______ _________________________ ____________ __________

Number of Full-time Employees ________

5.______________________________________ ______ _________________________ ____________ __________

Number of Full-time Employees ________

6.______________________________________ ______ _________________________ ____________ __________

NEW JERSEY DEPARTMENT OF ENVIRONMENTAL PROTECTION

OFFICE OF EQUAL OPPORTUNITY AND PUBLIC CONTRACT

ASSISTANCE

NEW JERSEY SMALL BUSINESS ENTERPRISE

CONTRACTOR’S QUARTERLY REPORTING FORM

Issued by New Jersey Department of Environmental Protection Site Remediation Program Mail Code 401-06J Box 420

April 2012

QUARTERLY REPORTING REQUIREMENTS TO COMPLY WITH THE NEW JERSEY SMALL BUSINESS ENTERPRISES (SBE) PROGRAM

The contract that your firm was awarded requires the use of subcontractors and an integral part of these requirements is attempting to meet the Small Business subcontracting targets established by the State of New Jersey. Currently the small business subcontracting targets are set pursuant to N.J.A.C. 17:13-4 and Executive Order 71. Each contractor who uses subcontractors are required to make a “Good Faith” effort to meet the set-aside subcontracting targets of awarding a total of twenty-five percent (25%) of the value of the contract to New Jersey based, New Jersey Department of the Treasury, Division of Minority and Women Business Development (DMWBD) registered small business. The State of New Jersey has a web site on small businesses certification and the program’s requirements at http://www.state.nj.us/njbusiness/contracting/services/small_business_set_aside.shtml.

The prime contractor for each project is required to complete this form for each quarter for which invoices are submitted to the SRP Program. The form must be submitted to the SRP State Contract Manager for the Contract within 10 days following the close of each fiscal year quarter (i.e., January 10, April 10, July 10, and October 10).

All reports are due in Hardcopy format. The original report and three (3) complete copies must be provided. A complete report consists of the both the reporting form and all supporting documentation. If any part of the report is missing, the report is considered incomplete and must be resubmitted.

This report cannot be revised without the approval of the NJDEP Office of Equal Opportunity and Public Contract Assistance and the SRP-Financial Services Element.

Separate reports are required for each site that the prime contractor is working. Submittal of multiple sites on one report will result in rejection of the report.

Separate reports are for required for each quarterly reporting time period. Each report must cover only a three month (quarterly time period). Submittal of multiple quarters in a report will result in rejection of the report.

INSTRUCTIONS FOR FILLING OUT SBE UTILIZATION REPORT

13. Reporting Time period: List the date of the start of the quarter and end date of the quarter. Include the year.

14. Funding Source: This information to be obtained from State Contract Manager.

15. Name of the SRP State Contract Manager for the Contract.

16. Contractor Name and Address

17. State Contract Number beginning with “A” and the Name of the Contract.

18. Site Information: The contractor must complete all lines. This is the site information at which State monies is being used.

19. Summary of Remedial Action carried out for this quarterly report. (Add additional space if needed)

20. Amount of Purchase Order issued and Purchase Order Number(s). If numerous purchase orders are issued, this information must be listed individually on the lines provided. (Add additional lines sets if needed.) Including the amount for each additional Purchase order referenced in the report.

If the total amount issued is adjusted by a change order, the change order date must be listed and the Purchase Order numbers listed in this section

21. Enter Date of first Purchase Order issued for the site work.

22. Enter estimated date of Project Completion of the site work.

23. Indicate if Initial quarterly report is being submitted.

24. Indicate if Final quarterly report is being submitted.

13. Indicate SBE goals based upon project plan for SBE utilization developed in consultation with the Office. The actual dollar amount and percentage amounts are to be provided base on the dollar amount paid in this quarter.

14. List all new DBEs used in this quarterly reporting period.

15. Additional comments or explanations. Refer to the specific item number on the form, if applicable.

16. The Contractor must list the backup documentation provided for each SBE determination.

17. Enter the name, address and telephone number of each SBE participating in the Remedial Action as a subcontractor under agreement with the Contractor. Check applicable SBE status of each listed DBE. Explain type of service rendered and list the total dollar amount of the subcontract. Each entry must be accompanied by a copy of the signed subcontract and invoices. A Copy of the SBE certification must be included. Add lines sets as necessary.

18. Required Signatures. State Contract Manager must sign the form after receiving the report from the contractor.