SRF_STATE_INSERT.pdf

January 2026

REQUIREMENTS AND CONTRACT PROVISIONS FOR THE TREATMENT WORKS PROJECTS

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 AND STATE 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)

6. COMPLIANCE WITH PREVAILING FEDERAL WAGE RATES UNDER THE DAVIS-

BACON AND RELATED ACTS IN ACCORDANCE TO SECTION VI OF THIS DOCUMENT

7. MARYLAND ANTIDEGRADATION IMPLEMENTATION PROCEDURES

8. COMPLIANCE WITH BUILD AMERICA, BUY AMERICA (BABA) ACT

9. PROHIBITION ON CERTAIN TELECOMMUNICATION AND VIDEO

SURVEILLANCE SERVICES OR EQUIPMENT (2 CFR 200.216)

II. DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION

• GUIDANCE DOCUMENTS AND 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 SIGNS

VI. FEDERAL WAGE RATE REQUIREMENTS UNDER THE DAVIS-BACON AND RELATED ACTS

I. ASSURANCES

The contractor is required to comply with the Federal laws and regulations in regard to non-discrimination in employment, debarment, anti-kickback, contract work hours and safety standards, and prevailing Federal wage rates under the Davis-Bacon and related acts 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).

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.

6. Compliance with Prevailing Federal Wage Rates under the Davis-Bacon and Related Acts in accordance to Section VI of this document.

All laborers and mechanics employed by contractors and sub-contractors on projects funded directly by or assisted in whole or in part by and through the Federal Government programs including the State Revolving Loan fund shall be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code. With respect to the labor standards specified in this section, the Secretary of Labor shall have the authority and functions set forth in Reorganization Plan Numbered 14 of 1950 (64 Stat. 1267; 5 U.S.C.App.) and section 3145 of title 40, United States Code. Most recent Federal prevailing wages can be obtained from:

https://sam.gov/content/wage-determinations

The prevailing wage determination category that should be used for this project is Heavy Construction (including water and sewer). This determination is based on the Federal Department of Labor Wage and Hour Division classification.

7. Maryland Antidegradation Implementation Procedures:

The Clean Water Act requires three components to water quality standards that set goals for and protect each States’ waters. The three components are: (1) designated uses that set goals for each water body (e.g., recreational use), (2) criteria that set the minimum conditions to support the use (e.g., bacterial concentrations below certain concentrations) and (3) an antidegradation policy that maintains high quality waters so they are not allowed to degrade to meet only the minimum standards. The designated uses and criteria set the minimum standards for Tier I.

Maryland’s antidegradation policy has been promulgated in three regulations: COMAR 26.08.02.04 sets out the policy itself, COMAR 26.08.02.04-1, provides for identification and implementation of Tier II (high quality waters) of the antidegradation policy, and COMAR 26.08.02.04-2 that describes Tier III (Outstanding National Resource Waters or ONRW), the highest quality waters. No Tier III waters have been designated at this time. Any capital funding project occurring within Tier II catchment areas, which are areas that drain to Maryland’s high quality designated Tier II stream segments, must undergo Antidegradation Review.

To determine if your project is located within Tier II catchment area, please contact Ms. Angel Valdez of MDE Environmental Standards and Assessment Program, at (410) 537-3606, or at angel.valdez@maryland.gov.

Please be aware that projects subject to an Antidegradation or Tier II review must adequately address comments that arise during the review before funding can be granted.

How Tier II Stream Segments are Designated

• Currently high quality stream segments are designated for the characteristic of biology using Maryland Biological Stream Survey (or comparable) data

• Streams are recorded in Table O (COMAR 26.08.02.04-1) and the pending list of streams awaiting promulgation or corrections is maintained on the MDE website.

The Basic Antidegradation Review Process

Many of the projects funded by the Water Infrastructure Financing Administration (WIFA) at MDE result in a net improvement to water quality. As a result, the antidegradation review process for WIFA generally involves making sure that any land disturbance activities associated with the project includes additional controls. Any other antidegradation reviews specific to project discharges (e.g.

end-of-pipe) will be addressed separately through the permitting process.

To help expedite the review process the following list of practices has been provided. These practices include “accelerated stabilization, redundant controls, increased riparian buffers, passive or active chemical treatment, or a reduction in the size of the grading unit” as stated in the 2011 Maryland Standards and Specifications for Soil Erosion and Sediment Control to address Tier II issues. All practices implemented should be evident in plans. When using the list below to aide in planning keep in mind that application and site specifics will ultimately determine each recommendation’s applicability. Also realize that this list is not exhaustive and additional practices may be identified as specific plans become available.

• Initial Considerations: including limiting vegetative disturbances, phasing and/or sequencing, accelerated stabilization, minimum weekly inspections, and timing of in-stream work to low flow periods or clear weather forecasts mailto:angel.valdez@maryland.gov

• Expanded Riparian Buffers (for new structures/expansions only): from 100 to 230 feet, depending upon slope and soil composition, on all intermittent and perennial streams within project footprint to help further address direct hydrologic impacts to surface waters. See Table 1 for more details.

• Streamside Management Zones (buffer areas for utility projects): where disturbance and work cannot be avoided, utilize minimally disturbing & selective vegetative clearing methods, restorative planting (not seeding) for major near-stream clearings totaling 1 acre or more, no mulch placement within the streamside management zones, if possible allow small shrub growth

• Enhanced Buffer Management: including sheetflow of discharge beyond the minimum 100 foot vegetative buffer or implementing redundant mechanisms in dewatering exercises such as devices in manifold, use of chemical filtration aides, combining two practices such as filter bags with vegetated buffers and silt fencing. Also incorporation of super silt fencing or an equivalent practice when working near streams.

• Enhanced Temporary Access Waterways Crossings: including utilizing horizontal directional drilling/jack and bore for all major stream crossings or sensitive crossings, including a frac-out plan; preferential use of partial diversions (where possible); and utilization of temporary access bridges over fords.

• Special Concern- pH and Water Quality: For all activities related to in-stream grout placement, either in bags or as fill:

1. To prevent impacts to in-stream pH, such operations should occur “in-the-dry”.

2. An emergency treatment plan should be in place to address accidental material releases.

3. Cure time allotted should reflect chemically stable grout material and should also represent the most conservative time in the expected cure range.

4. The water quality standard numeric criteria for pH must be met in the ‘first flush’ before diversion is removed.

• Stormwater Management: follow the current guidelines within the Maryland Stormwater Design Manual (2009 Revised), including ESD to the MEP or other non-structural practices

8. COMPLIANCE WITH BUILD AMERICA, BUY AMERICA (BABA) ACT

None of the funds made available by a State water pollution control revolving fund as authorized by title VI of the Federal Water Pollution Control Act (33 U.S.C. 1381 et seq.) or made available by a drinking water treatment revolving loan fund as authorized by section 1452 of the Safe Drinking Water Act (42 U.S.C. 300j–12) shall be used for a project for the construction, alteration, maintenance, or repair of a public drinking water system or water quality unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States (Build America, Buy America (BABA) Act, P.L. 117-58, Secs 70911 - 70917).

Adjusted Average Optimal Buffer Width Key for HQ Waters (minimum width 100 feet)

Slopes (%) Hydrologic Soil

Group 0-5% 5-15% 15-25% >25% Ab 100 130 160 190 C 120 150 180 210 D 140 170 200 230

Table 1

The Act requires the following Buy America preference:

(1) All iron and steel used in the project are produced in the United States. This means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States.

(2) All manufactured products used in the project are produced in the United States. This means the manufactured product was manufactured in the United States, and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation.

(3) All construction materials are manufactured in the United States. This means that all manufacturing processes for the construction material occurred in the United States. The “construction materials” include an article, material, or supply other than an item of primarily iron or steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand, or gravel; or aggregate binding agents or additives that is or consists primarily of:

• non-ferrous metals;

• plastic and polymer-based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables);

• glass (including optic glass);

• lumber; or

• drywall.

To provide clarity to item, product, and material manufacturers and processers, we note that items that consist of two or more of the listed materials that have been combined together through a manufacturing process, and items that include at least one of the listed materials combined with a material that is not listed through a manufacturing process, should be treated as manufactured products, rather than as construction materials. For example, a plastic framed sliding window should be treated as a manufactured product while plate glass should be treated as a construction material.

Certification Process:

The final manufacturer that delivers the iron, steel, manufactured products, or construction materials to worksite, vendor, or contractor, may provide a certification asserting that all manufacturing processes occurred in the US. The certification should include the name of the manufacturer, the location of the manufacturing facility where the product or process took place (not its headquarters), a description of the product or item being delivered, and a signature by a responsible party.

Additional documentation such as Step Certification may be needed if the certification is lacking important information. A Step Certification is a process under which each handler (supplier, fabricator, manufacturer, processor, etc) of the iron, steel, manufactured products, and construction materials certifies that their step in the process was domestically performed. Each time a step in the manufacturing process takes place, the manufacturer delivers its work along with a certification of its origin.

Waiver:

A request for waiver may be submitted to MDE. Pursuant to Section 70914(c) of the BABA Act, a waiver may be considered under one of the following categories:

1. Applying the domestic content procurement preference would be inconsistent with the public interest (a “public interest waiver”);

2. Types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality (a “nonavailability waiver”); or

3. Inclusion of iron, steel, manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25 percent (an “unreasonable cost waiver”).

MDE may agree with the waiver request and submit it to the Administrator of the Environmental Protection Agency for final approval. Alternatively, MDE may, in its sole discretion, reject the waiver request and elect not to fund the project.

De Minimis Nationwide Waiver:

A De Minimis Nationwide Waiver was issued by EPA, on October 21, 2022, waiving Build America, Buy America requirements for products used in and incorporated into a project that cumulatively comprise no more than five percent of the total project cost.

To be covered under this waiver, the grant/loan recipient must, in consultation with the contractor, take the following actions:

1. Retain relevant documentation (i.e. invoices) as to those items being covered under this waiver in their project files.

2. Summarize in reports to MDE the types and/or categories of items to which this waiver is applied, including the cost of each category/type. The report must also include the total cost of items covered by the waiver (including installation cost), the total project cost, and the percentage of covered items calculated by cost.

3. Upon the receipt of the report, MDE, within 30 calendar day of receipt, will accept and file the report, request additional information, or advise the grant/loan recipient that the items cannot be covered under this waiver and a project specific waiver is needed.

4. If no comments are received by MDE within 30 calendar days, the grant/loan recipient would not need to take any further action, unless more items need to be covered, at which time cumulative summary would need to be submitted to MDE.

9. Borrower agrees to comply with 2 CFR 200.216, which requires that EPA recipients and subrecipients, including borrowers under EPA funded revolving loan fund programs, are prohibited from obligating or expending loan or grant funds to procure or obtain; extend or renew a contract to procure or obtain; or enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Public Law 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

Within seven (7) days of the bid opening, 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, contract work hours and safety, compliance with prevailing Federal wage rates under the Davis-Bacon and related acts, Maryland Antidegradation Implementation Procedures, and compliance with Build America, Buy America (BABA) Act. The form is appended herewith in Section I.

ASSURANCES FOR COMPLIANCE WITH FEDERAL LAWS AND REGULATIONS

FOR WATER QUALITY-TREATMENT WORKS AND DRINKING WATER PROJECT

Project Name: _____________________________ Contract No. (if applicable): _____________________

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).

6. The prevailing Federal wage rates as determined by the U.S. Department of Labor under the Davis-Bacon and related acts. The prevailing wage determination category that should be used for this project is Heavy Construction (including water and sewer). Available at: https://sam.gov/content/wage-determinations

General Decision Number: ____________________ Date: __________

7. Maryland Antidegradation Implementation Procedures as promulgated in three regulations: COMAR

26.08.02.04 sets out the policy itself, COMAR 26.08.02.04-1, provides for identification and implementation of Tier II (high quality waters) of the antidegradation policy, and COMAR 26.08.02.04-2 that describes Tier III (Outstanding National Resource Waters or ONRW), the highest quality waters. No Tier III waters have been designated at this time.

8. Use of the iron, steel, manufactured products, and construction materials produced in the United States (Build

America, Buy America (BABA) Act, P.L. 117-58, Secs 70911 - 70917).

9. 2 CFR 200.216, which requires that EPA recipients and subrecipients, including borrowers under EPA funded revolving loan fund programs, are prohibited from obligating or expending loan or grant funds to procure or obtain; extend or renew a contract to procure or obtain; or enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Public Law 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

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 regulations will be sufficient reason to cause termination of the contract.

Contractor

Signed by: _______________________________________ _________________________ Authorized Officer Date

Name (Print) Title (Print)

II. Maryland Department of the Environment Maryland Water Quality & Drinking Water Revolving Loan Fund Programs

Disadvantaged Business Enterprise Program (DBE) Guidance for Prime (Construction & A/E) Contractors

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 have been approved as of February 6, 2019. The goals below are not a quota and apply to DBE participation only.

Procurement Category MBE Goal (%) WBE Goal (%) Construction 22 16 Equipment 23 11 Services 25 18 Supplies 23 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 Social and Economic Mobility (DOSEM), 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, MWIFA

1800 Washington Blvd., Baltimore MD 21230 Phone: 410-537-3146, FAX: 410-537-3968 https://mde.maryland.gov/programs/water/WQFA/Pages/mwbe.aspx

Disadvantaged Business Enterprise Program (DBE)

Guidance for Prime (Construction & A/E) Contractors

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 Social and Economic Mobility (DOSEM)

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.

MARYLAND DEPARTMENT OF THE ENVIRONMENT

1800 Washington Boulevard, Suite 515 Baltimore MD 21230-1718

410-537-3119, 1-800-633-6101 https://mde.maryland.gov/programs/water/WQFA/Pages/mission_statement.aspx Disadvantaged Business Enterprise (DBE) Good Faith Efforts Checklist

To be Completed by Loan Recipient

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 via eMMA, minority, local/regional papers or Dodge Yes No Report?

A3 Did you send invitation for bids to DBE trade associations? Yes No A4 Did you contact US-SBA/MBDA/DOSEM? Yes No A5 Did you provide Prime Contractors with Bidders List 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 prime contractors? Yes No B2 Did you break down the project, where economically feasible, into smaller components?

o For DBE firms to bid as prime contactor Yes No o For DBE firms to bid as sub-contactors Yes No

B3 Do project components have reasonable delivery schedules? Yes No B4 Did you allow a reasonable time for DBEs to bid (e.g., min. of 30 days)? Yes No B5 Did you encourage DBEs to bid as a consortium due to project size? Yes No

C: Require prime contractor to Undertake Good Faith Efforts C1 Did you include the “MDE Insert” in the bidding documents? Yes No C2 Did you require the prime contractors to apply the good faith efforts? Yes No C3 Is DBE a “responsiveness” criteria in bid documents? Yes No

D: Solicitation Summary of DBE firms (Use Attachment 1 for each prime contract) D1 Did you use the Bidders List to solicit prime contractors? Yes No D2 Did DBE firms bid as prime contractors? Yes No D3 Did you select any DBE firms as prime contractor? Yes No D4 Is the prime contractor using any subcontractors? Yes No

Loan recipient must also complete Attachment 1 and have prime contractor list each DBE subcontractor on WIFA 6100 Form. In addition, WIFA 6100 Form must be submitted with bid proposal after completion by prime contractor.

Supporting Documentation

In support of the actions taken in items A, B, C and D (above), all borrowers and 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 prime 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 prime contractors that submitted bids/RFP.

Loan Recipient’s Name and Title Loan Recipient Official’s Signature/ Date

Contact Phone #

Attachment 1

SOLICITATION OF FIRMS

Loan Recipient must complete one form for each prime (construction & A/E) contract

Total Contract Amount (Prime Construction Contractor):

Please answer the following questions for each prime contract

Procurement Category: Check only one procurement category for each prime contract being reported under the above referenced project. Construction Equipment Services Supplies

Summary of Prime Contractors Solicited

1 Number of firms solicited (attach list/documentation):

2 Number of firms that responded (attach documentation):

3 Number of DBE firms that responded (attach documentation):

Details of Selected Firm

4 Name of Firm:

5 Address:

6 Contact Person (Name and Phone):

7 Total amount of Contract

8 Is the firm a Minority Business Enterprise? (MBE) Yes No

9 Is the firm a Women Business Enterprise? (WBE) Yes No

10 If the response to question 8 or 9 is Yes, please complete the following:

o M/WBE Certification Number:

o Certification Date:

o Expiration Date (if applicable):

o Certifying Agency:

Please submit all information to:

DBE Coordinator, MWIFA

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

1800 Washington Boulevard Suite 515 Baltimore MD 21230-1718

410 537 3119 1-800-633-6101

Disadvantaged Business Enterprise (DBE) Good Faith Efforts Checklist

To be completed by Prime (Construction & A/E) Contractor

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 via eMMA, minority, local/regional papers or Dodge Yes No Report?

A3 Did you send invitation for bids to DBE trade associations? Yes No A4 Did you contact US-SBA/MBDA/DOSEM? 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 subcontractors? Yes No B2 Did you break down the project, where economically feasible, into smaller components for DBE firms to bid as subcontractors? 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 WIFA 6100 Form) C1 Did you use the Bidders List to solicit subcontractors? Yes No C2 Did DBE firms bid as subcontractors (provide list, work type, & price)? Yes No C3 Did you select any DBE firms as subcontractor? Yes No C4 Is the subcontractor using any additional subcontractors? Yes No

Prime contractor must provide to loan recipient: (1) list of ALL subcontractors (DBE and non-DBE) with type of work and estimated dollar amounts; (2) completed WIFA 6100 Form.

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 # ______________________

Maryland Department of the Environment -- Water Infrastructure Financing Administration Disadvantaged Business Enterprise (DBE) Program

DBE Subcontractor Utilization Form (MDE WIFA 6100 Form)

This form is intended to capture the prime contractor’s actual and/or anticipated use of identified certified DBE1 subcontractors2 and the estimated dollar amount of each subcontract. An EPA Financial Assistance Agreement Recipient must require its prime contractors to complete this form and include it in the bid or proposal package.

Prime contractors should also maintain a copy of this form on file.

PRIME CONTRACTOR NAME PROJECT NAME

CONTACT NAME CONTACT PHONE

ADDRESS

Please list all DBE subcontractors you plan to utilize on this project. Use additional sheets as necessary.

SUBCONTRACTOR NAME COMPANY ADDRESS EST. DOLLAR AMOUNT

TO BE SUBCONTRACTED

CURRENTLY

DBE

CERTIFIED?

YES/NO

I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware that in the event of the replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302(c).

PRIME CONTRACTOR SIGNATURE TITLE

PRINT FULL NAME DATE

1 A DBE is a Disadvantaged, Minority or Woman Business Enterprise that has been certified by any entity from which EPA accepts certifications as described in 40 CFR 33.204-33.205.

2 Subcontractor is defined as a company, firm, joint venture or individual who enters into an agreement with a contractor to provide services pursuant to an EPA award of financial assistance.

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 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)).

c) 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)).

d) 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)).

e) 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)).

f) 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)).

• 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 loan recipient DBE participation achievements with bid proposal: (1) list of ALL subcontractors (DBE and non-DBE) with type of work and estimated dollar amounts; (2) completed WIFA 6100 Form.

• 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)).

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 Social and Economic Mobility 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.

(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 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.

§ 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

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 info@mdminoritybusiness.com http://www.oma.state.md.us/ eMARYLAND MARKETPLACE ADVANTAGE The official online procurement tool for the state of Maryland.

Website https://emma.maryland.gov/pa ge.aspx/en/usr/login?ReturnUrl =%2fpage.aspx%2fen%2fbuy %2fhomepage

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/category/navigati on-structure/contracting/working-with-government

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/tools/local-assistance/districtoffices

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: support@mbda.gov 1.888.324.1551 www.mbda.gov/

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

Website www.sba.gov/content/north-american-industry-classification-system-codes-and-small-business-size-standards mailto:info@oma.state.md.us http://www.oma.state.md.us/ https://emma.maryland.gov/page.aspx/en/usr/login?ReturnUrl=%2fpage.aspx%2fen%2fbuy%2fhomepage https://emma.maryland.gov/page.aspx/en/usr/login?ReturnUrl=%2fpage.aspx%2fen%2fbuy%2fhomepage https://emma.maryland.gov/page.aspx/en/usr/login?ReturnUrl=%2fpage.aspx%2fen%2fbuy%2fhomepage https://emma.maryland.gov/page.aspx/en/usr/login?ReturnUrl=%2fpage.aspx%2fen%2fbuy%2fhomepage http://www.sba.gov/category/navigation-structure/contracting/working-with-government http://www.sba.gov/category/navigation-structure/contracting/working-with-government http://www.sba.gov/category/navigation-structure/contracting/working-with-government http://www.sba.gov/category/navigation-structure/contracting/working-with-government http://www.ccr.gov/ http://www.sba.gov/tools/local-assistance/districtoffices http://www.sba.gov/tools/local-assistance/districtoffices mailto:support@mbda.gov http://www.mbda.gov/ http://www.sba.gov/content/north-american-industry-classification-system-codes-and-small-business-size-standards http://www.sba.gov/content/north-american-industry-classification-system-codes-and-small-business-size-standards http://www.sba.gov/content/north-american-industry-classification-system-codes-and-small-business-size-standards http://www.sba.gov/content/north-american-industry-classification-system-codes-and-small-business-size-standards

Maryland Department of Social and Economic Mobility (DOSEM) -- Loan recipients and bidders may locate qualified M/WBE’s through the MBE/WBE Directory.

Office Address 100 Community Place, 4th Floor Crownsville, MD 21032 https://economicmobility .maryland.gov/Pages/defa ult.aspx https://marylandmdbe.gob2g.com/ Click on “Search Directory of Certified Firms.” 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: info@nationalbcc.org

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.namcnational.org/

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.