BWR.DWM.RFR.2021.NPS TECH SERVICES MSA.Appendix5.10.15.21~1.docx

Appendix 5: AFFIRMATIVE ACTION AND DISADVANTAGED BUSINESS ENTERPRISE (DBE) REQUIREMENTS

In order for their responses to be considered complete and responsive to this RFR, Bidders must provide with their responses the appropriate Equal Employment Opportunity/Affirmative Action (EEO/AA) and Disadvantaged Minority/Women Business Enterprise (D/MBE or D/WBE) information listed below. Commonwealth of Massachusetts Supplier Diversity Program requirements do not apply to this RFR.

For responses, each Bidder must provide a signed EEO/AA Policy Statement on the organization's letterhead, which outlines its company's/agency's commitment to EEO/AA as a company/agency objective of equal importance to other company/agency objectives. Please refer to the EEO/AA Requirements and GUIDANCE FOR EEO/AA POLICY STATEMENT. Each Bidder must also provide a Disadvantaged Minority/WBE Business Statement of Intent. Please refer to Sample Statement of Intent.

EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION FORMS and GUIDANCE

Equal Employment Opportunity/Affirmative Action Requirements for Proposals Utilization of DBEs under the Federal Grant Guidance for EEO/AA Policy Statement Sample EEO/AA Policy Statement Sample Statement of Intent Request for Waiver Form

EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION AND

DISADVANTAGED BUSINESS ENTERPRISE (DBE) REQUIREMENTS

EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION REQUIREMENTS FOR PROPOSALS:

For all proposals, an Equal Employment Opportunity/Affirmative Action Policy Statement must be submitted with the proposal.

UTILIZATION OF DBEs UNDER THE FEDERAL GRANT In May 2008 a United States Environmental Protection Agency (EPA) rule became effective that changed the Minority Business Enterprise (MBE) and Women Business Enterprise (WBE) Program to a Disadvantaged Business Enterprise (DBE) Program.

For firms to qualify under the previous MBE/WBE program, they needed to be socially disadvantaged and had to be certified by the Supplier Diversity Office (SDO). Under the DBE rule, the firms must be both socially and economically disadvantaged, citizens of the United States, and certified as a DBE either by the state or the federal government. Women and certain minorities are presumed to be socially disadvantaged. The economic disadvantage is measured by the owner’s initial and continuing personal net worth of less than $1,320,000.

Because the Clean Water Act requires the use of MBEs and WBEs, these firms can still be utilized to meet utilization goals, but they must also be certified as DBEs. In essence the DBE regulations mean that only a subset of the universe of MBEs and WBEs can be used – those who are also certified as DBEs.

MassDEP has undertaken an availability analysis to develop DBE goals. These goals are 4.2% D/MBE and 4.5% D/WBE respectively for any subcontract for services, construction, goods or equipment.

SDO will continue to be the certifying agency for D/MBEs and D/WBEs.

According to 40 CFR, Part 33 Subpart C, the grantee will make the following good faith efforts whenever procuring construction, equipment, services and supplies.

(2) The six Good Faith Efforts shall include:

(i) Require the DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities. This will include placing qualified disadvantaged minority business and women's business enterprises on solicitation lists and soliciting them whenever they are potential sources;

(ii) Make information on forthcoming opportunities available to DBEs and arrange time frames 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 for a minimum of 30 calendar days before the bid or proposal closing date;

(iii) Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. This will include dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by DBEs;

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

(v) Use the services and assistance of the Small Business Administration, and the Minority Business Development Agency of the Department of Commerce; and

(vi) If the prime subcontractor awards subcontracts, require the prime contractor to take the steps listed in paragraphs (i) through (v) of this section.

GUIDANCE FOR EEO/AA POLICY STATEMENT

The policy statement outlines your company's/agency's commitment to equal employment opportunity and affirmative action as a company/agency objective of equal importance to other company/agency objectives.

The Policy Statement should include:

A. Non-Discrimination in employment and service delivery as an organizational priority and practice.

B. Access to employment and service delivery by all otherwise eligible persons regardless of their race, creed, color, sex, national origin, political affiliation, age, or disability.

C. Goal of having staff at all levels of the organization reflect the proportion of minority, female and disabled persons represented in the service delivery area.

D. Identification of an individual in the organization who is entrusted with enforcing the non-discrimination policy.

E. Signature and title of the organization's Chief Executive Officer.

You may use the attached sample statement as a model. It must be completed and submitted to MassDEP on your agency letterhead. The Chief Executive Officer of your company/agency must sign the Statement, expressing the management endorsement of the policy and assigning responsibility for making that endorsement. The Policy Statement is the basis for the rest of the Affirmative Action Plan, which describes how you will put your commitment to Affirmative Action in practice. The Policy Statement can function as the introduction to your Affirmative Action Plan.

The key individual for developing and implementing the Affirmative Action Program is your company’s Affirmative Action Officer. When assigning/appointing the individual designated on the Policy Statement it should be kept in mind that for the Affirmative Action Officer to be effective, he/she should:

· Participate in the planning, development and implementation of policies involving the budget, personnel, recruitment, contract compliance, training, performance appraisals and program and policy development. The Affirmative Action Officer should work in conjunction with the appropriate staff assigned to the aforementioned responsibilities.

· Be actively involved with minority and women's organizations, training programs and other organizations relating to people identified as members of protected groups.

· Conduct periodic audits of training programs and hiring and promotion patterns to remove barriers to goals and objectives, as well as audits of other plans.

· Review company/agency policies to assure equal opportunity for protected groups and prevent possible adverse impact on these groups.

· Hold regular discussions with managers and supervisors to advise them of their responsibilities and accountabilities, and review progress toward divisional affirmative action goals and implementation of agency affirmative action policies.

· Monitor and review the qualifications of all employees to ensure that minorities, women and other protected group members are given full opportunities for training and promotion.

· Be familiar with, and understand the various State and Federal regulations that impact employment practices (i.e., Title VII, Section 504, Chapter 533, Age Discrimination Act).

· Meet regularly with the hiring sources to review progress toward agency affirmative action goals.

SAMPLE: Place on Letterhead of Organization

EEO/AA POLICY STATEMENT

(Name of Organization) has a statutory mandate under law to guarantee equal treatment for all who seek access to its services or opportunities for employment and advancement. No discrimination will be tolerated on the basis of race, creed, political affiliation, color, sex, national origin, age, or handicap. The ultimate goal is for personnel of this organization to reflect the proportions of minority, female, and handicapped persons in the populations they serve.

(Name of Organization) will meet its legal, moral, social, and economic responsibilities for Equal Employment Opportunity/Affirmative Action as authorized and required by all pertinent state and federal legislation, executive orders and rules and regulations, including the following:

In addition, the Provider agrees to be familiar with and abide by:

* Massachusetts Executive Order 565

* Massachusetts Executive Order 526

* Equal Pay Act of 1963

* Massachusetts Architectural Barriers Board Act

* Federal Executive Orders 11246 and 11375 as amended.

All employees, unions, subcontractors and vendors must make genuine and consistent efforts:

The responsibility for implementing and monitoring this policy has been delegated to:

Name and Title of Employee

Furthermore, (Name of Organization) prohibits that any employee, or applicant, be subjected to coercion, intimidation, interference or discrimination for filing a complaint or assisting in an investigation under this program. No portion of this Equal Employment Opportunity/Affirmative Action Policy shall be construed as conflicting with any existing or future judicial or legislative mandate where a constriction consistent with that mandate is reasonable.

Signature of Chief Executive

Title of Chief Executive

Date

SAMPLE

Place on Letterhead of Organization

(Must be included with the proposal package)

Statement of Intent

The Section 319 Nonpoint Source Competitive Grant Program asks for a good faith effort that minimum Fair Share Disadvantaged Minority and Women Business Enterprise goals will be met or exceeded for this project. The ___ (name of your organization)___ plans to contract with DMBE/DWBE vendors for ___(specify type of Construction, Equipment, Goods or Services)___ during this project.

The Fair Share utilization goals for this project are 4.2% DMBE and 4.5% DWBE on the total project dollars. To comply with the DMBE/DWBE participation goals, it is anticipated that $___for DMBE and $___DWBE will be adhered to.

BWR-DWM-RFR-2021-NPS TECH SERVICES MSA / COMMBUYS Bid# BD-22-1045-BWR00-BWR01-68022

REQUEST FOR WAIVER

Upon exhausting all known sources and making every possible effort to meet the minimum requirements for DBE participation, the Contractor may seek relief from these requirements by filing this form with the request and submitting a completed waiver package. Failure to comply with this process shall be cause to reject the bid thereby rendering the Contractor not eligible for award of the subcontract.

General Information Project Number:

Project Location:

Project Title:

Awarding Authority/Contractor:

Mailing Address:

Contact Person:

Minimum Requirements

The Contractor must show that good faith efforts were undertaken to comply with the percentage goals as specified. The Contractor seeking relief must show that such efforts were taken appropriately in advance of the time set for opening bid proposals to allow adequate time for response(s) by submitting the following:

A. A detailed record of the effort made to contact and negotiate with disadvantaged minority and/or woman owned businesses, including:

1. names, addresses, telephone numbers and contact dates of all such companies contacted;

1. copies of written notice(s) which were sent to DBE potential subcontractors prior to bid opening;

1. a detailed statement as to why each subcontractor contacted (i) was not willing to do the job or (ii) was not qualified to perform the work as solicited; and

1. in the case(s) where a negotiated price could not be reached the bidder should detail what efforts were made to reach an agreement on a competitive price.

1. copies of advertisements, dated not less than ten (10) days prior to bid opening, as appearing in general publications, trade-oriented publications, and applicable minority/women-focused media detailing the opportunities for participation;

1. MassDEP may require the Contractor to produce such additional information as it deems appropriate.

C. No later than ten (10) days after submission of all required information and documentation, MassDEP shall make a determination, in writing, whether the waiver request is granted and shall provide that determination to the Contractor and Awarding Authority. If the waiver request is denied, the facts upon which a denial is based will be set forth in writing.

Special Note

If at any time, MassDEP determines that one or more of the DBE contractors as submitted by the Contractor is not certified, the Contractor shall have 10 working days, following notification to MassDEP, to either find a certified DBE contractor to perform work equal to or greater than that of the uncertified contractor or submit a waiver request.

CERTIFICATION

The undersigned herewith certifies that the above information and appropriate attachments are true and accurate to the best of my knowledge and that I have been authorized to act on behalf of the bidder in this matter.

(authorized original signature)

DATE

MAILING INSTRUCTIONS: (CERTIFIED MAIL)

MALCOLM HARPER

8 NEW BOND STREET

WORCESTER, MA 01606

Malcolm.Harper@mass.gov

YITLING SLAYMAN

ONE WINTER STREET - 4TH FLOOR

BOSTON, MA 02108

YitLing.Slayman@mass.gov

March 2021 EEO-DEP-490