EXPANSION OF RECLAIMED WATER SYSTEM
XP - 97495304 - 0 Pa e 1
Grant Agreement
ASSISTANCE 10 NO.
PRG DOC 10 AMEND#
XP - 97495304 - 0
TYPE OF ACTION
New
PAYMENT METHOD:
ASAP
Send Payment Request to:
Financial Management Office
PAYEE:
City of Clearwater
1650 N. Arcturas Avenue, Building C
Clearwater, FL 33765-1945
DATE OF AWAijD
AUG 0 9 2004
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RECIPIENT TYPE:
Municipal
RECIPIENT:
City of Clearwater
1650 N. Arcturas Avenue, Building C
Clearwater, FL 33765-1945
EIN: 59-6000289
PROJECT MANAGER
Todd Petrie
1650 N. Arcturas Avenue, Building C
Clearwater, FL 33765-1945
E-Mail: tpetrie@c1earwater-fl.com
Phone: 727/562-4960, ex!. 7221
u.s. ENVIRONMENTAL
PROTECTION AGENCY
MAILING DATE
AUG 2004
ACH#
EPA PROJECT OFFICER
Mario Machado
61 Forsyth Street
Atlanta, GA 30303-8960
E-Mail: Machado.Mario@epa.gov
Phone: 404-562-9338
EPA GRANT SPECIALIST
Hector Buitrago
REG; 04; OPM
E-Mail: Buitrago.Hector@epa.gov
Phone: 404-562-8397
PROJECT TITLE AND DESCRIPTION
XP FL CityofClearwaterPublicUtilities
Expansion of reclaimed water system. The City of Clerwater is expanding its reclaimed water system to meet multiple objectives including potable water
consumption for irrigation and reducing discharges of highly treated effluent to adjacent surface waters. The projects presented are: Seville/Sunset Drive
and Del Oro Groves.
BUDGET PERIOD
01/01/2004 - 12/31/2006
PROJECT PERIOD
01/01/2004 - 12/31/2006
TOTAL BUDGET PERIOD COST
$7,440,000.00
TOTAL PROJECT PERIOD COST
$7,440,000.00
NOTE: The Agreement must be completed In duplicate and the Original returned to the appropriate Grants Management Office listed below,
within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA. Receipt of a written refusal or
failure to return the properly executed document within the prescribed time, may result in the withdrawal of the offer by the Agency.
Any change to the Agreement by the Recipient subsequent to the document being signed by the EPA Award Official, which the
Award Official determines to materially alter the Agreement, shall void the Agreement.
OFFER AND ACCEPTANCE
The United States, acting by and through the U.S. Environmental Protection Agency (EPA), hereby offers
Assistance/Amendment to the Citv of Clearwater for 17.56 % of all approved costs incurred
up to and not exceeding $1,306,700 for the support of approved budget period effort described in application (including
all application modifications) cited in the Project Title and Description above, signed 08/28/2003 included herein
by reference.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
ORGANIZATION / ADDRESS
61 Forsyth Street
Atlanta, GA 30303-8960
AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS
U.S. EPA, Region 4
Water Management Division
61 Forsyth Street
Atlanta, GA 30303-8960
E UNITED S1: TES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
IAL TYPED NAME AND TITLE
J. I. Palmer, Jr., Regional Administrator
This agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance regulations. In
accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned represents that he is duly
authorized to act on behalf of the recipient organization, and (2) the recipient agrees (a) that the award is subject to the applicable
provisions of 40 CFR Chapter 1, Subchapter B and of the provisions of this agreement (and all attachments), and (b) that
acceptance of any payments constitutes an agreement by the payee that the amounts, if any found by EPA to have been overpaid
will be refunded or credited in full to EPA.
SIGNATURE /"f/l.:../ .
BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
TYPED NAME AND TITLE
Mahshid Arasteh, P.E., Administrator, Public Works Dept.
Signature page for the City of Clearwater
Re: Grant Agreement - XP-97495304
Project: Seville/Sunset Drive and Del Oro Groves
CITY OF CLEARWATER, FLORIDA
~/6.~4
William B. Horne II
City Manager
By:
Attest:
EPA Funding Information
XP - 97495304 - 0 Page 2
FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL
EPA Amount This Action $ $ 1,306,700 $ 1,306,700
EPA In-Kind Amount $ $ $ 0
Unexpended Prior Year Balance $ $ $0
Other Federal Funds $ $ $0
Recipient Contribution $ $ 2,413,300 $ 2,413,300
.
State Contribution $ $ $0
Local Contribution $ $ 3,720,000 $ 3,720,000
Other Contribution $ $ $0
Allowable Project Cost $0 $ 7,440,000 $ 7,440,000
Assistance Program (CFDA)
66.606 - Surveys - Studies - Investigations and
Special Purpose Grants
Statutory Authority
Appropriations Act of 2002 (PL 107-73)
Consolidated Appropriations Resolution 2003 (PL
108-7)
Regulatory Authority
40 CFR PART 31
Fiscal
Site Name DCN FY Approp. Budget PRC Object Site/Project Cost Obligation /
Code Organization Class Organization Deobligation
VX4050 04 E4C 04VOQOT 202B51E 41.83 - - 1,306,700
1,306,700
XP - 97495304 - 0 Page 3
Approved Budget
Approved Allowable Budget Period Cost
1, Administration Expense $0
2. Preliminary Expense $0
3. Land Structure, Right Of Way $0
4. Architectural Engineering Basic Fees $0
5. Other Architectural Engineering Fees $0
6. Project Inspection Fees $0
7. Land Development $0
8. Relocation Expenses $0
9. Relocation Payments to Individuals & Bus. $0
10. Demolition and Removal $0
11. Construction and Project Improvement $7,440,000
12. Equipment $0
13. Miscellaneous $0
14. Total (Lines 1 thru 13) $7,440,000
15. Estimate Income $0
16. Net Project Amount (Line 14 minus 15) $7,440,000
17. Less: Ineligible Exclusions $0
18. Add: Contingencies $0
19. Total (Share: Recip 82.44% Fed 17.56%) $7,440,000
20. TOTAL APPROVED ASSISTANCE AMOUNT $1,306,700
-
XP - 97495304 - 0 Page 3
Budget Summary Page
Table A - Object Class Category Total Approved Allowable
(Non-construction) Budget Period Cost
1. Personnel $0
2. Fringe Benefits $0
3. Travel $0
4. Equipment $0
5. Supplies $0
6. .Contractual $0
7. Construction $0
8. Other $0
9. Total Direct Charges $0
10. Indirect Costs: % Base $0
11. Total (Share: Recipient 0.00 % Federal 0.00 %.) $0
12. Total Approved Assistance Amount $
13. Program Income $0
XP - 97495304 - 0 Page 4
Administrative Conditions
1, LOBBYING AND LITIGATION - ALL RECIPIENTS
Pursuant to EPA's annual Appropriations Act, the chief executive officer of this
recipient agency shall require that no grant funds have been used to engage in
lobbying of the Federal Government or in litigation against the United States unless
authorized under existing law. As mandated by this Act, the recipient agrees to
provide certification to the award official via EPA Form 5700-53, Lobbying and
Litigation Certificate, within 90 days after the end of project period.
Recipient shall abide by its respective OMS Circular (A-21 , A-87, or A-122), which
prohibits the use of federal grant funds for litigation against the United States. Any
Part 30 recipient shall abide by its respective OMS Circular (A-21 or A-122), which
prohibits the use of Federal grant funds to participate in various forms of lobbying or
other political activities.
2. RECYCLING TERM AND CONDITION
ALL APPLICANTS:
In accordance with EPA Order 1000.25 and Executive Order 13101, Greening the
Government Through Waste Prevention, Recycling, and Federal Acquisition, the
recipient agrees to use recycled paper for all reports which are prepared as a part of
this agreement and delivered to EPA. This requirement does not apply to reports
prepared on forms supplied by EPA, or to Standard Forms, which are printed on
recycled paper and are available through the General Services Administration. Please
. note that Section 901 of E.O. 13101, dated September 14, 1998, revoked E.O. 12873,
Federal Acquisition, Recycling, and Waste Prevention in its entirety,
STATE AGENCIES AND POLITICAL SUBDIVISIONS:
Any State agency or agency of a political subdivision of a State which is using
appropriated Federal funds shall comply with the requirements set forth in Section 6002
of the Resource Conservation and Recovery Act (RCRA) (42 U.S.C. 6962).
Regulations issued under RCRA Section 6002 apply to any acquisition of an item where
the purchase price exceeds $10,000 or where the quantity of such items acquired in the
course of the preceding fiscal year was $10,000 or more. RCRA Section 6002 requires
that preference be given in procurement programs to the purchase of specific products
containing recycled materials identified in guidelines developed by EPA. These
guidelines are listed in 40 CFR 247.
STATE AND LOCAL INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND
NON-PROFIT ORGANIZATIONS:
Pursuant to 40 CFR 30.16, State and local institutions of higher education, hospitals,
and non-profit organizations that receive direct Federal funds shall give preference in
their procurement programs funded with Federal funds to the purchase of recycled
products pursuant to EPA's guidelines.
3. EXECUTIVE ORDER 13202
The assistance recipient agrees to comply with Executive Order 13202 (Feb. 22, 2001,
66 Fed. Reg. 11225) of February 17, 2001, entitled "Preservation of Open Competition
and Government Neutrality Towards Government Contractors' Labor Relations on
Federal and Federally Funded Construction Projects," as amended by Executive Order
13208 (April 11, 2001, 66 Fed. Reg. 18717) of April 6, 2001, entitled "Amendment to
Executive Order 13202, Preservation of Open Competition and Government Neutrality
Towards Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects."
4. HOTEUMOTEL CONDITION
The recipient agrees to ensure that all conference, meeting, convention, or training
space funded in whole or in part with Federal funds, complies with The Hotel and Motel
Fire Safety Act of 1990.
5. MBE/WBE AND SMALL BUSINESS CONDITION for non-SRF Recipients
REQUIREMENTS:
The recipient agrees to comply with the requirements of EPA's Program for
Utilization of Small, Minority, and Women's Business Enterprises in procurement
under assistance agreements.
FAIR SHARE GOALS:
(a) The recipient accepts the Minority Business Enterprise/Women's
Business Enterprise (MBE/WBE) "fair share" goals and objectives
negotiated with EPA as follows:
FLORIDA
SRF Construction:
(both SRFs)
A & E Services:
Commodities:
Contractual:
Construction:
(non SRF)
11% MBE and 3% WBE
10% MBE and 15% WBE
7% MBE and 17% WBE
14% MBE and 36% WBE
10% MBE and 11% WBE
(b) If the recipient does not want to rely on the applicable State's MBE/WBE
goals, the recipient agrees to submit proposed MBE/WBE goals based on
availability of qualified minority and women-owned businesses to do work
in the relevant market for construction, services, supplies and equipment.
"Fair share" objectives must be submitted to the EPA Grants Management
Office, 61 Forsyth Street, Atlanta, GA 30303 within 30 days of award and
approved by EPA no later than 30 days thereafter.
PURPOSE AND OBJECTIVE:
The recipient agrees to ensure, to the fullest extent possible, that at least the
applicable "fair share" objectives of Federal funds for prime contracts or
subcontracts for supplies, construction, equipment or services are made
available to organizations owned or controlled by socially and economically
disadvantaged individuals, women and Historically Black Colleges and
Universities.
BID DOCUMENTS FOR PRIME AND SUBCONTRACTORS:
The recipient agrees to include in its bid documents the applicable "fair share"
objectives and require all of its prime contractors to include in their bid
documents for subcontracts the negotiated "fair share" percentages.
REQUIRED STEPS AND DOCUMENTATION:
The recipient agrees to follow the six affirmative steps or positive efforts stated in
40 CFR 930.44(b), 40 CFR 931.36(e), or 40 CFR 935.6580, as appropriate, and
retain records documenting compliance.
REPORTING:
The recipient agrees to submit an EPA form 5700-52A "MBE/WBE Utilization
Under Federal Grants, Cooperative Agreements and Interagency Agreements,"
beginning with the Federal fiscal year quarter the recipient receives the award
and continuing until the project is completed, These reports must be submitted to
the Grants Management Office within 30 days of the end of the Federal fiscal
quarter (January 30, April 30, July 30, and October 30). For assistance awards
for continuing environmental programs and assistance awards with institutions of
higher education, hospitals and other non-profit organizations, the recipient
agrees to submit an EPA form 5700-52A to the EPA Grants Management Office,
61 Forsyth Street, Atlanta, GA 30303 by October 30 each year.
RACE AND GENDER NEUTRAL ACTION:
If race and lor gender neutral efforts prove inadequate to achieve a "fair share"
objective, the recipient agrees to notify EPA in advance of any race andlor
gender conscious action it plans to take to more closely achieve the "fair share"
objective,
SMALL AND RURAL BUSINESSES:
In accordance with Section 129 of Public Law 100-590, the Small Business
Administration Reauthorization and Amendment Act of 1988, the recipient
agrees to utilize and to encourage any prime contractors under the assistance
agreement to utilize small business located in rural areas to the maximum extent
possible. The recipient agrees to follow the six affirmative steps stated in 40
CFR 30.44(b), 31.36 or 35.6580 as appropriate, in the award of any contracts
under this assistance agreement. Compliance with this requirement will be
monitored during management review conducted by EPA.
6. PERFORMANCEPOUCY
This agreement is performance based and developed consistent with EPA's Policy on
Performance Based Grants and Reaion 4's Policy for Manaaement of Grants and
Cooperative Aareements. The workplan constitutes the recipient's and EPA's
commitment to accomplish the program goals and objectives. EPA's review and
evaluation of performance under this agreement and EPA's response to the findings of
oversight will be carried out in accordance with the stated policies.
7. PRE-AWARD COSTS APPROVED
This agreement is a project cooperative/grant agreement subject to the terms and
conditions of the approved work program. Pre-Award costs as of January 1, 2004, to
carry out the work have been approved,
8. HISTORIC PROPERTIES
The recipient agrees to consult with the appropriate State Office in the identification and
evaluation of any pre-1946 structures which may be impacted by scheduled project
activities, or properties located adjacent to the activities areas. The recipient agrees to
comply with efforts to identify, evaluate and appropriately design project activities to
avoid or minimize adverse project impacts to any historic properties listed, or which
satisfy the criteria for eligibility for listing (36 CFR 60.4), in the National Register of
Historic Places,
9. PROCUREMENT FOR CONSTRUCTION
The cost of construction contracts procured in compliance with the minimum standards
for procurement under grants (see 40 CFR 31.36) are allowable costs for
reimbursement with grant funds. No grant funds may be used to reimburse the federal
share of any construction contract(s) found to be in noncompliance with the grant
procurement regulations. (Note: all project expenditures are deemed to include both
the federal and nonfederal shares).
The recipient agrees to conduct all procurement for construction in compliance with 40
CFR 31.36(b)-(k) and include the "EPA Supplemental General Conditions for Federally
Assisted Construction Contracts" (enclosed) including Minority Business Enterprise and
Women's Business Enterprise Goals in any bidding documents. The recipient also
agrees to submit to EPA for pre-award and/or post award review procurement
documents including, but not limited to: invitations for bids, independent cost estimates,
bid documents, disadvantaged business enterprise documentation, etc.
No payments may be made under this grant until EPA has reviewed the construction
procurement documents for compliance with the minimum standards for procurement.
10. PROCUREMENT FOR ENGINEERING AND OTHER PROFESSIONAL
SERVICES
The costs of professional engineering and any other professional services contracts
procured in compliance with the minimum standards for procurement under grants (see
40 CFR 31.36) are allowable costs for reimbursement with grant funds. No grant funds
may be used to reimburse the federal share of any engineering or other professional
services contract(s) found to be in noncompliance with the grant procurement
regulations. (Note: all project expenditures are deemed to include both the federal and
nonfederal shares).
The recipient agrees to conduct all procurement for engineering and other professional
services in compliance with 40 CFR 31.36(b)-(k) (copy attached). The recipient also
agrees to submit to EPA for pre-award and/or post-award review procurement
documents including, but not limited to: selection procedures, requests for
qualifications and/or proposals, evaluation methodology and results, memorandum of
review or negotiation, cost analyses, proposed contract documents, etc.
No payments may be made under this grant until EPA has received and reviewed the
procurement documents for compliance with the minimum standards for procurement.
11. THIRD PARTY FUNDS OR SERVICES CONDITION
This offer is made contingent upon EPA receipt and review of evidence that firm
commitments for all sources of required matching share for this EPA grant are in effect
prior to advertising for bids on the project. This contingency includes third party
sources where third parties are in any manner furnishing funds or services which will be
used as required matching share for this EPA grant. No payments will be made by EPA
under this assistance agreement until EPA has received and reviewed the requested
documentation.
Proarammatic Conditions
1. The grantee shall not advertise or award any land purchase or any final design
or construction contract that may receive federal or matching funds under this grant,
and no final design or construction shall otherwise commence or continue, until the
NEPA process under the National Environmental Policy Act, 42 U.S.C. 4321 et seq,
and its implementing regulations, 40 CFR Part 6 and 40 CFR Part 1500 et seq is
satisfactorily completed.
2. The grantee will specifically address comments received as a result of the
Executive Order 12372 process, in the Environmental Information Document (EID) and
the public meeting to be held as a part of the NEPA process.
3. The grantee will contact the State Historic Preservation Officer for comments
concerning impacts of the proposed project and include the comments and resolution in
the EID.
4. Before the initiation of construction, the grantee will obtain all necessary permits,
including a construction permit from the state regulatory agency.
5. Generally, a minimum of thirty (30) days shall be allowed from the first day of
publication and the bid opening.
6. Generally, the time interval between acceptance of bids and award of contracts
should not exceed sixty (60) days.
7. The grantee shall notify EPA of any contract award.
8. The grantee agrees to comply with the Cross-Cutting Federal Laws and
Authorities,
9. The grantee will assure the EPA prior to construction that all easements and
rights-of-way have been obtained.
10. The grantee shall submit to the EPA Project Officer a quarterly progress report
and a final report pursuant to 40 CFR 31.40. These reports will consist of updated
progress toward work objectives, problems encountered, actions taken to resolve
problems and discussion of remaining tasks.
11. The grantee shall conduct a preconstruction conference, if applicable for each
contract in cooperation with EPA.
12. The grantee must have EPA approval of the grant project's Plans and
Specifications, before construction begins, for the construction costs to be grant
eligible.
Revised: April 28, 2003
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION 4
SUPPLEMENTAL GENERAL CONDITIONS
FOR
FEDERALLY ASSISTED CONSTRUCTION CONTRACTS
EP A SPECIAL CONDITIONS
The attached instructions and regulations as listed below shall be incorporated into the
Specifications and comprise EP A's Special Conditions.
~ EP A Special Provisions Attachment Number 1
~ Requirements for Sub agreements A warded by Prime Contractors Attachment Number 2
~ 40 CFR 31.36 (Procurement) Attachment Number 3
~ Equal Employment Opportunity (EEO) Documents:
Notice of Requirement for AffIrmative Action Attachment Number 4
Contract Specifications (Executive Order 11246) Attachment Number 5
EEO Goals for Region 4 Economic Areas Attachment Number 6
Special Notice #1 - Check List ofEEO Documentation Attachment Number 7
Employer Information Report EEO-l (SF 100) Attachment Number 8
~ Labor Standards Provisions for Federally Assisted Construction,
EPA Form 5720-4 Attachment Number 9
~ Certifications
Debarment, Suspension and Other Responsibility Matters Attachment Number 10
Anti-lobbying Attachment Number 11
~ Utilization of Small, Minority and Women's Businesses Attachment Number 12
~ Region 4 Disadvantaged Business Enterprise (DBE)
Negotiated Rates Attachment Number 13
~ Bonds and Insurance Attachment Number 14
These specials conditions shall supersede any conflicting provisions of this contract.
Revised 04/28/03
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EP A Region 4
(a) .
(b)
(c)
(d)
(e)
Attachment Number 1
r
EP A SPECIAL PROVISIONS
Siltation and soil erosion must be minimized during construction in accordance with
Federal and State laws and regulations. '
. Restore disturbed areas to original or better condition,
Use of Chemicals: All chemicals used during project construction or furnished for
project operation, whether herbicide, pesticide, disinfectant, polymer, reactant, or of other
classifications, must show approval of either EP A or USDA. Use of all such chemicals
and disposal of residues shall be in conformance with instructions.
The construction of the proj ect, including the letting of contracts in connection therewith,
shall conform to the applicable requirements for state, territorial. And local laws and
ordinances to the extent that such requirements do not conflict with Federal laws and this
subchapter.
The owner will provide and maintain competent. and adequate supervision and inspection.
(f)
The EP A shall have access to the site and the proje'ct work at all times.
(g)
EP A Special Appropriations grant money is being used in this project.
(h)
Bids on equipment shall comply with the full and open competition requirements of
.40CFR 31.36(c).
(i)
Change orders to the construction contract must be negotiated as per 40 CFR 931.30.
U)
Any contract(s) awarded under this invitation for Bids are expected to be funded in part
by a grant from the U.S. Environmental Protection Agency. Neither the United States
nor any of its departments, agencies or employees is or will be a part to this Invitation for
Bids or any resulting contract,
Revised 04/28/03
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EP A Region '4
Attachment Number 2
REOUIREMENTS FOR SUBAGREEMENTS AWARDED BY A PRIME CONTRACTOR
40 CFR 31.36 (b) (8) and (e)
A contractor must comply with the following provisions in its award of subagreements. (This
section does not apply to a supplier's procurement of materials to produce equipment, materials
and catalog, off-the-shelf, or manufactured items.)
(a) 40 CFR Part 32 (Debarment and Suspen~ion Under EPA Assistance Programs);
(b) The limitations and sub agreement award in 40 CFR ~ 1.35, 31.36(b), and 31.36(i);
(c) The profit requirements in 40 CFR31.36(0(2);
(d) The requirement for small, small rural, minority, women's and labor surplus area business
in 40 CFR 31.36(e);
(e) The specifications requirements of40CFR 31.36(c);
(0 The requirements of40 CFR31.36(b)(5)~
(g) The Federal cost principles in 40 CER 31.23 and 31.36(0(3);
(h) The prohibited types of suo agreements in40 CFR 31.36(0(4);
(i) The cost and price considerations in 40 CFR 31,36(0(1) & (2);
(j) The applicable sub agreement provisions in 40 CFR 31.36(i);
(k) AO CFR Part 34 (Anti-Lobbying under EP A Assistance Programs).
Revised 04/28/03
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EPA Region 4
Attachment Number 3
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY
PART 31--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND
COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
Subpart C--Post-Award Requirements
See, 31.36 Procurement.
(a) States. When procuring property and services under a grant, a State will follow the same
policies and procedures it uses for procurements from its non-Federal funds. The State will
ensure that every purchase order or other contract includes any clauses required by Federal
statutes and executive orders and their implementing regulations. Other grantees and subgrantees
will follow paragraphs (b) through (i) in this section.
(b) Procurement standards. (1) Grantees and subgrantees will use their own procurement
procedures which reflect applicable State and local laws and regulations, provided that the
procurements conform to applicable federal law, the standards identified in this section, and if
applicable, Sec. 31.38.
(2) Grantees and subgrantees will maintain a contract administration system which ensures
that contractors perform in accordance with the terms, conditions, and specifications of their
contracts or purchase orders.
(3) Grantees and sub grantees will maintain a written code of standards of conduct governing
the performance of their employees engaged in the award and administration of contracts. No
employee, officer or agent of the grantee or sub grantee shall participate in selection, or in the
award or administration of a contract supported by Federal funds if a conflict of interest, real or
apparent, would be involved, Such a conflict would arise when:
(i) The employee, officer or agent,
(ii) Any member of his immediate family,
(iii) His or her partner, or
(iv) An organization which employs, or is about to employ, any of the above, has a financial or
other interest in the firm selected for award. The grantee's or subgrantee's officers, employees or
agents will neither solicit nor accept gratuities, favors or anything of monetary value from
contractors, potential contractors, or parties to subagreements. Grantee and sub grantees may set
minimum rules where the financial interest is not substantial or the gift is an unsolicited item
of nominal intrinsic value. To the extent permitted by State or local law or regulations, such
standards or conduct will provide for penalties, sanctions, or other disciplinary actions for
violations of such standards by the grantee's and sub grantee's officers, employees, or agents, or
by contractors or their agents. The awarding agency may in regulation provide additional
prohibitions relative to real, apparent, or potential conflicts of interest.
(4) Grantee and sub grantee procedures will provide for a review of proposed procurements to
avoid purchase of unnecessary or duplicative items. Consideration should be given to
consolidating or breaking out procurements to obtain a more economical purchase. Where
Revised 04/28/03
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EP A Region 4
appropriate, an analysis will be made of lease versus purchase alternatives, and any other
appropriate analysis to determine the most economical approach.
(5) To foster greater economy and efficiency, grantees and subgrantees are encouraged to enter
into State and local intergovernmental agreements for procurement or use of common goods and
services.
(6) Grantees and sub grantees are encouraged to use Federal excess and surplus property in lieu
of purchasing new equipment and property whenever such use is feasible and reduces project
costs.
(7) Grantees and sub grantees are encouraged to use value engineering clauses in contracts for
construction projects of sufficient size to offer reasonable opportunities for cost reductions.
Value engineering is a systematic and creative anaylsis of each contract item or task to ensure
that its essential function is provided at the overall lower cost.
(8) Grantees and sub grantees will make awards only to responsible contractors possessing the
ability to perfonn successfully under the terms and conditions of a proposed procurement.
Consideration will be given to such matters as contractor integrity, compliance with public
policy, record of past performance, and financial and technical resources.
(9) Grantees and sub grantees will maintain records sufficient to detail the significant history of
a procurement. These records will include, but are not necessarily limited to the following:
rationale for the method of procurement, selection of contract type, contractor selection or
rejection, 'and the basis for the contract price.
(10) Grantees and sub grantees will use time and material type contracts only--
(i) After a determination that no other contract is suitable, and
(ii) If the contract includes a ceiling price that the contractor exceeds at its own risk.
(11) Grantees and sub grantees alone will be responsible, in accordance with good
administrative practice and sound business judgment, for the settlement of all contractual and
administrative issues arising out of procurements, These issues include, but are not limited to
source evaluation, protests, disputes, and claims. These standards do not relieve the grantee or
sub grantee of any contractual responsibilities under its contracts. Federal agencies will not
substitute their judgment for that of the grantee or subgrantee unless the matter is primarily a
Federal concern. Violations of law will be referred to the local, State, or Federal authority having
proper jurisdiction.
(12) Grantees and subgrantees will have protest procedures to handle and resolve disputes
relating to their procurements and shall in all instances disclose information regarding the protest
to the awarding agency. A protestor must exhaust all administrative remedies with the grantee
and subgrantee before pursuing a protest with the Federal agency. Reviews of protests by the
Federal agency will be limited to:
(i) Violations of Federal law or regulations and the standards of this section (violations of
State or local law will be under the jurisdiction of State or local authorities) and
(ii) Violations of the grantee's or subgrantee's protest procedures' for failure to review a
complaint or protest. Protests received by the Federal agency other than those specified above
will be referred to the grantee or sub grantee.
(c) Competition. (1) All procurement transactions will be conducted in a manner providing full
and open competition consistent with the standards of Sec. 31.36. Some of the situations
considered to be restrictive of competition include but are not limited to:
Revised 04/28/03
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EP A Region 4
(i) Placing unreasonable requirements on firms in order for them to qualify to do business,
(ii) Requiring unnecessary experience and excessive bonding,
(iii) Noncompetitive pricing practices between firms or between affiliated companies,
(iv) Noncompetitive awards to consultants that are on retainer contracts,
(v) Organizational conflicts of interest,
(vi) Specifying only a "brand name" product instead of allowing "an equal" product to be
offered and describing the performance of other relevant requirements of the procurement, and
(vii) Any arbitrary action in the procurement process.
(2) Grantees and sub grantees will conduct procurements in a manner that prohibits the use of
statutorily or administratively imposed in-State or local geographical preferences in the
evaluation of bids or proposals, except in those cases where applicable Federal statutes expressly
mandate or encourage geographic preference. Nothing in this section preempts State licensing
laws. When contracting for architectural and engineering (AlE) services, geographic location
may be a selection criteria provided its application leaves an appropriate number of qualified
firms, given the nature and size of the project, to compete for the contract.
(3) Grantees will have written selection procedures for procurement transactions. These
procedures will ensure that all solicitations:
(i) Incorporate a clear and accurate description of the technical requirements for the material,
product, or service to be procured. Such description shall not, in competitive procurements,
contain features which unduly restrict competition. The description may include a statement of
the qualitative nature of the material, product or service to be procured, and when necessary,
shall set forth those minimum essential characteristics and standards to which it must conform if
it is to satisfy its intended use. Detailed product specifications should be avoided if at all
possible. When it is impractical or uneconomical to make a clear and accurate description of the
technical requirements, a "brand name or equal" description may be used as a means to define
the performance or other salient requirements of a procurement. The specific features of the
named brand which must be met by offerors shall be clearly stated; and
(ii) Identify all requirements which the offerors must fulfill and all other factors to be used in
evaluating bids or proposals.
(4) Grantees and sub grantees will ensure that all prequalified lists of persons, firms, or
products which are used in acquiring goods and services are current and include enough qualified
sources to ensure maximum open and free competition. Also, grantees and sub grantees will not
preclude potential bidders from qualifying during the solicitation period.
(5) Construction grants awarded under Title II of the Clean Water Act are subject to the
following "Buy American" requirements in paragraphs (c)(5) (i)-(iii) of this section. Section 215
of the Clean Water Act requires that contractors give preference to the use of domestic material
in the construction of EPA-funded treatment works.
(i) Contractors must use domestic construction materials in preference to nondomestic material
if it is priced no more than 6 percent higher than the bid or offered price of the nondomestic
material, including all costs of delivery to the construction site and any applicable duty, whether
or not assessed, The grantee will normally base the computations on prices and costs in effect on
the date of opening bids or proposals,
(ii) The award official may waive the Buy American provision based on factors the award
official considers relevant, including:
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(A) Such use is not in the public interest;
(B) The cost is unreasonable;
(C) The Agency's available resources are not sufficient to implement the provision, subject to
the Deputy Administrator's concurrence;
(D) The articles, materials or supplies of the class or kind to be used or the articles, materials
or supplies from which they are manufactured are not mined, produced or manufactured in the
United States in sufficient and reasonably available commercial quantities or satisfactory quality
for the particular project; or
(E) Application of this provision is contrary to multilateral government procurement
agreements, subject to the Deputy Administrator's concurrence.
(iii) All bidding documents, sub agreements, and, if appropriate, requests for proposals must
contain the following "Buy American" provision: In accordance with section 215 of the Clean
Water Act (33 U,S.C. 1251 et seq.) and implementing EPA regulations, the contractor agrees that
preference will be given to domestic construction materials by the contractor, subcontractors,
materialmen and suppliers in the performance of this sub agreement.
(d) Methods of procurement to be followed--(I) Procurement by small purchase procedures.
Small purchase procedures are those relatively simple and informal procurement methods for
securing services, supplies, or other property that do not cost more than the simplified acquisition
threshold fixed at 41 US.C. 403(11) (currently set at $100,000). If small purchase procedures are
used, price or rate quotations shall be obtained from an adequate number of qualified sources.
(2) Procurement by sealed bids (formal advertising). Bids are publicly solicited and a
firm-fixed-price contract (lump sum or unit price) is awarded to the responsible bidder whose'
bid, conforming with all the material terms and conditions of the invitation for bids, is the lowest
in price, The sealed bid method is the preferred method for procuring construction, if the
conditions in 3136(d)(2)(i) apply,
(i) In order for sealed bidding to be feasible, the following conditions should be present:
(A) A complete, adequate, and realistic specification or purchase description is available;
(B) Two or more responsible bidders are willing and able to compete
effectively and for the business; and
(C) The procurement lends itself to a firm fixed price contract and the selection of the
successful bidder can be made principally on the basis of price.
(ii) If sealed bids are used, the following requirements apply:
(A) The invitation for bids will be publicly advertised and bids shall be solicited from an
adequate number of known suppliers, providing them sufficient time prior to the date set for
opening the bids;
(B) The invitation for bids, which will include any specifications and pertinent attachments,
shall defme the items or services in order for the bidder to properly respond;
(C) All bids will be publicly opened at the time and place prescribed in the invitation for bids;
(D) A firm fixed.:price contract award will be made in writing to the lowest responsive and
responsible bidder. Where specified in bidding documents, factors such as discounts,
transportation cost, and life cycle costs shall be considered in determining which bid is lowest.
Payment discounts will only be used to determine the low bid when prior experience indicates
that such discounts are usually taken advantage of; and
(E) Any or all bids may be rejected if there is a sound documented reason.
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(3) Procurement by competitive proposals. The technique of competitive proposals is normally .
conducted with more than one source submitting an offer, and either a fixed-price or
cost-reimbursement type contract is awarded. It is generally used when conditions are not
appropriate for the use of sealed bids, If this method is used, the following requirements apply:
(i) Requests for proposals will be publicized and identify all evaluation factors and their
relative importance. Any response to publicized requests for proposals shall be honored to the
maximum extent practical;
(ii) Proposals will be solicited from an adequate number of qualified sources;
(iii) Grantees and subgrantees will have a method for conducting technical evaluations of the
proposals received and for selecting awardees;
(iv) Awards will be made to the responsible firm whose proposal is most advantageous to the
program, with price and other factors considered; and
(v) Grantees and sub grantees may use competitive proposal procedures for
qualifications-based procurement of architectural/engineering (AlE) professional services
whereby competitors' qualifications are evaluated and the most qualified competitor is selected,
subject to negotiation of fair and reasonable compensation, The method, where price is not used
as a selection factor, can only be used in procurement of AlE professional services. It cannot be
used to purchase other types of services though AlE firms are a potential source to perform the
proposed effort.
(4) Procurement by noncompetitive proposals is procurement through solicitation of a proposal
from only one source, or after solicitation of a number of sources, competition is determined
inadequate.
(i) Procurement by noncompetitive proposals may be used only when the award of a contract is
infeasible under small purchase procedures, sealed bids or competitive proposals and one of the
following circumstances applies:
(A) The item is available only from a single source;
(B) The public exigency or emergency for the requirement will not permit a delay resulting
from competitive solicitation;
(C) The awarding agency authorizes noncompetitive proposals; or
(D) After solicitation of a humber of sources, competition is determined inadequate.
(ii) Cost analysis, i.e., verifying the proposed cost data, the projections of the data, and the
evaluation of the specific elements of costs and profits, is required.
(iii) Grantees and sub grantees maybe required to submit the proposed procurement to the
awarding agency for pre-award review in accordance with paragraph (g) of this section.
(e) Contracting with small and minority firms, women's business enterprise and labor surplus
area firms.
(1) The grantee and subgrantee will take all necessary affirmative steps to assure that minority
firms, women's business enterprises, and labor surplus area firms are used when
possible.
(2) Affirmative steps shall include:
(i) Placing qualified small and minority businesses and women's business enterprises on
solicitation lists;
(ii) Assuring that small and minority businesses, and women's business enterprises are
solicited whenever they are potential sources;
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(iii) Dividing total requirements, when economically feasible, into smaller tasks or quantities
to permit maximum participation by small and minority business, and women's business
enterprises;
(iv) Establishing delivery schedules, where the requirement permits, which encourage
participation by small and minority business, and women's business enterprises;
(v) Using the services and assistance of the Small Business Administration, and the Minority
Business Development Agency of the Department of Commerce; and
(vi) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps
listed in paragraphs (e)(2) (i) through (v) of this section.
(f) Contract cost and price.
(1) Grantees and sub grantees must perform a cost or price analysis in connection with every
procurement action including contract modifications. The method and degree of analysis is
dependent on the facts surrounding the particular procurement situation, but as a starting point,
grantees must make independent estimates before receiving bids or proposals. A cost analysis
must be performed when the offeror is required to submit the elements. of his estimated cost, e.g.,
under professional, consulting, and architectural engineering services contracts. A cost analysis
will be necessary when adequate price competition is lacking, and for sole source procurements,
including contract modifications or change orders, unless price resonableness can be established
on the basis of a catalog or market price of a commercial product sold in substantial quantities to
the general public or based on prices set by law or regulation. A price analysis will be used in all
other instances to determine the reasonableness of the proposed contract price.
(2) Grantees and subgrantees will negotiate profit as a separate element of the price for each
contract in which there is no price competition and in all cases where cost analysis is performed.
To establish a fair and reasonable profit, consideration will be given to the complexity of the
work to be performed, the risk borne by the contractor, the contractor's investment, the amount of
subcontracting, the quality of its record of past performance, and industry profit rates in the
surrounding geographical area for similar work.
(3) Costs or prices based on estimated costs for contracts under grants will be allowable only
to the extent that costs incurred or cost estimates included in negotiated prices are consistent with
Federal cost principles (see Sec, 31,22). Grantees may reference their own cost principles that
comply with the applicable Federal cost principles.
(4) The cost plus a percentage of cost and percentage of construction cost methods of
contracting shall not be used.
(g) Awarding agency review.
(1) Grantees and subgrantees must make available, upon request of the awarding agency,
technical specifications on proposed procurements where the awarding agency believes such
review is needed to ensure that the item and/or service specified is the one being proposed for
purchase. This review generally will take place prior to the time the specification is incorporated
into a solicitation document. However, if the grantee or sub grantee desires to have the
review accomplished after a solicitation has been developed, the awarding agency may still
review the specifications, with such review usually limited to the technical aspects of the
proposed purchase.
(2) Grantees and subgrantees must on request make available for awarding agency pre-award
review procurement documents, such as requests for proposals or invitations for bids,
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independent cost estimates, etc. when:
(i) A grantee's or subgrantee's procurement procedures or operation fails to comply with the
procurement standards in this section; or
(ii) The procurement is expected to exceed the simplified acquisition threshold and is to be
awarded without competition or only one bid or offer is received in response to a solicitation; or
(iii) The procurement, which is expected to exceed the simplified acquisition threshold,
specifies a "brand name" product; or
(iv) The proposed award is more than the simplified acquisition threshold and is to be awarded
to other than the apparent low bidder under a sealed bid procurement; or
(v) A proposed contract. modification changes the scope of a contract or increases the contract
amount by more than the simplified acquisition threshold.
(3) A grantee or sub grantee will be exempt from the pre-award review in paragraph (g)(2) of
this section if the awarding agency determines that its procurement systems comply with the
standards of this section.
(i) A grantee or subgrantee may request that its procurement system be reviewed by the
awarding agency to determine whether its system meets these standards in order for its system to
be certified. Generally, these reviews shall occur where there is a continuous high-dollar funding,
and third-party contracts are awarded on a regular basis.
(ii) A grantee or sub grantee may self-certify its procurement system. Such self-certification
shall not limit the awarding agency's right to survey the system. Under a self-certification
procedure, awarding agencies may wish to rely on written assurances from the grantee or
sub grantee that it is complying with these standards. A grantee or sub grantee will cite specific
procedures, regulations, standards, etc., as being in compliance with these requirements and have
its system available for review. .
(h) Bonding requirements. For construction or facility improvement contracts or subcontracts
exceeding the simplified acquisition threshold, the awarding agency may accept the bonding
policy and requirements of the grantee or subgrantee provided the awarding agency has made a
determination that the awarding agency's interest is adequately protected. If such a determination
has not been made, the minimum requirements shall be as follows:
(1) A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid
guarantee" shall consist of a firm commitment such as a bid bond, certified check, or other
negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of
his bid, execute such contractual documents as may be required within the time specified.
(2) A performance bond on the part of the contractor for 100 percent of the contract price. A
"performance bond" is one executed in connection with a contract to secure fulfillment of all the
contractor's obligations under such contract.
(3) A payment bond on the part of the contractor for 100 percent of the contract price. A
"payment bond" is one executed in connection with a contract to assure payment as required by
law of all persons supplying labor and material in the execution of the work provided for in the
contract.
(i) Contract provisions. A grantee's and subgrantee's contracts must contain provisions in
paragraph (i) of this section. Federal agencies are permitted to require changes, remedies,
changed conditions, access and records retention, suspension of work, and other clauses
approved by the Office of Federal Procurement Policy.
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(1) Administrative, contractual, or legal remedies in instances where contractors violate or
breach contract terms, and provide for such sanctions and penalties as may be appropriate.
(Contracts mc:>re than the simplified acquisition threshold)
(2) Termination for cause and for convenience by the grantee or sub grantee including the
manner by which it will be effected and the basis for settlement. (All contracts in excess of
$10,000)
(3) Compliance with Executive Order 11246 of September 24, 1965, entitled "Equal
Employment Opportunity," as amended by Executive Order 11375 of October 13,1967, and as
supplemented in Department of Labor regulations (41 CFR chapter 60). (All construction
contracts awarded in excess of $10,000 by grantees and their contractors or subgrantees)
(4) Compliance with the Copeland "Anti-Kickback" Act (18 US.C. 874) as supplemented in
Department of Labor regulations (29 CFR part 3). (All contracts and sub grants for construction
or repair)
(5) Compliance with the Davis-Bacon Act (40 U,S.C. 276a to 276a-7) as supplemented by
Department of Labor regulations (29 CFR part 5), (Construction contracts in excess of $2000
awarded by grantees and su~grantees when required by Federal grant program legislation)
(6) Compliance with Sections 103 and 107 of the Contract Work Hours and Safety Standards
Act (40 U.S.C. 327-330) as supplemented by Department of Labor regulations (29 CFR part 5).
(Construction contracts awarded by grantees and subgrantees in excess of $2000, and in excess
of $2500 for other contracts which involve the employment of mechanics or laborers)
(7) Notice 0 f awarding agency requirements and regulati ons pertaining to reporting.
(8) Notice of awarding agency requirements and regulations pertaining to patent rights with
respect to any discovery or invention which arises or is developed in the course of or under such
contract.
(9) Awarding agency requirements and regulations pertaining to copyrights and rights in data.
(10) Access by the grantee, the sub grantee, the Federal grantor agency, the Comptroller
General of the United States, or any of their duly authorized representatives to any books,
documents, papers, and records of the contractor which are directly pertinent to that specific
contract for the purpose of making audit, examination, excerpts, and transcriptions.
(11) Retention of all required records for three years after grantees or subgrantees make final
payments and all other pending matters are closed,
(12) Compliance with all applicable standards, orders, or requirements issued under section
306 of the Clean Air Act (42 U.S.C, 1857(h)), section 508 ofthe Clean Water Act (33 US.C.
1368), Executive Order 11738, and Environmental Protection Agency regulations (40 CFR part
15). (Contracts, subcontracts, and sub grants of amounts in excess of $1 00,000)
(13) Mandatory standards and policies relating to energy efficiency which are contained in the
State energy conservation plan issued in compliance with the Energy Policy and Conservation
Act (Pub. L. 94-163, 89 Stat. 871).
U) Payment to consultants,
(1) EPA will limit its participation in the salary rate (excluding overhead) paid to individual
consultants retained by grantees or by a grantee's contractors or subcontractors to the maximum
daily rate for a GS-18. (Grantees may, however, pay consultants more than this amount). This
limitation applies to consultation services of designated individuals with specialized skills who
are paid at a daily or hourly rate, This rate does not include transportation and subsistence costs
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EPA Region 4
for travel performed; grantees will pay these in accordance with their normal travel
reimbursement practices. (Pub. L. 99-591).
(2) Subagreements with firms for services which are awarded using the procurement
requirements in this part are not affected by this limitation.
(k) Use of the same architect or engineer during construction.
(1) If the grantee is satisfied with the qualifications and performance of the architect or
engineer who provided any or all of the facilities planning or design services for a waste-water
treatment works project and wishes to retain that firm or individual during construction of the
project, it may do so without further public notice and evaluation of qualifications, provided:
(i) The grantee received a facilities planning (Step 1) or design grant (Step 2), and selected the
architect or engineer in accordance with EP A's procurement regulations in effect when EP A
awarded the grant; or
(ii) The award official approves noncompetitive procurement under Sec. 31.36( d)( 4) for
reasons other than simply using the same individual or firm that provided facilities planning or
design services for the project; or
(iii) The grantee attests that:
(A) The initial request for proposals clearly stated the possibility that fhe firm or individual
selected could be awarded a subagreement for services during construction; and
(B) The firm or individual was selected for facilities planning or design services in accordance
with procedures specified in this section.
(C) No employee, officer or agent of the grantee, any member of their immediate families, or
their partners have fmancia1 or other interest in the finn selected for award; and
(D) None of the grantee's officers, employees or agents solicited or accepted gratuities, favors
or anything of monetary value from contractors or other parties to subagreements.
(2) However, if the grantee uses the procedures in paragraph (k)(l) of this section to retain an
architect or engineer, any Step 3 sub agreements between the architect or engineer and the grantee
must meet all of the other procurement provisions in Sec. 31.36.
[53 FR 8068 and 8087, Mar. 11, 1988, and amended at 53 FR 8075, Mar. 11,
1988; 60 FR 19639, 19644, Apr. 19, 1995; 66 FR 3794, Jan, 16,2001]
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Attachment Number 4
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE
EQUAL EMPLOYMENT OPPORTUNITY (EXECUTNE ORDER 11246)
The following excerpts are from 45 FR 65984 (October 3, 1980):
"The minority and female goals apply to Federal and federally assisted construction contractors
and subcontractors which have covered contracts. The goals are expressed as a percentage of the
total hours worked by such a covered's or subcontractor's entire onsite construction workforce
which is working on any construction site within a relevant area. The goal applies to each
construction craft and trade in the contractor's entire workforce in the relevant area including
those employees working on private nonfederally involved projects.
Until further notice, the following goals for minority utilization in each construction craft and
trade shall be included in all Federal or federally assisted construction contracts and subcontracts
in excess of $10,000 to be performed in the respective geographic area. The goals are applicable
to each nonexempt contractor's total onsite construction workforce, regardless of whether or not
part of that workforce is performing work on a Federal, federally assisted or nonfederally related
project, contract or subcontract.
Construction contractors which are participating in an approved Hometown Plan (see 41 CFR
60-4.5) are required to comply with the goals of the Hometown Plan with regard to construction
work they perform in the area covered by the Hometown Plan. With regard to all their other
covered construction work, such contractors are required to comply as follows:
Goals for female participation in each trade...............6.9%
Goals for minority participation in each trade............Insert goals for each year
(see Attachment Number 6)
These goals are applicable to all the Contractor's construction work (whether or not it is Federal
or Federally assisted) performed in the covered area.
The following excerpts are from 45 FR 65977 (October 3, 1980):
"The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4
shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action
obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet
the goals established for the geographical area where the contract resulting from this solicitation
is to be performed. The hours of minority and female employment and training must be
substantially uniform throughout the length of the contract, and in each trade, and the contractor
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EP A Region 4
shall make a good faith effort to employ minority and women evenly on each of its projects. The
transfer of minority or female employees or trainees from Contractor to Contractor or from
project to project for the sole purpose of meeting the Contractor's goals shall be a violation ofthe
contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the
goals will be measured against the total work hours performed.
3, The Contractor shall provide written notification to the Director of the Office of Federal
Contract Compliance Programs within 10 working days of award of any construction subcontract
in excess of $1 0,000 at any tier for construction work under the contract resulting from this
solicitation. The notification shall list the name, address and telephone number of the
subcontractor; employer identification number; estimated dollar amount of the subcontract;
estimated starting and completion dates of the subcontract; and the geographical area in which
the contract is to be performed.
4. As used in this Notice, and in the contract resulting from this solicitation, the "covered area
is (insert description of the geographical areas where the contract is to be performed giving the
state, country, and city, if any).
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Attachment Number 5
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (EXECUTIVE QRDER 11246)
EEO Specifications
Following is the standard language which must be incorporated into all solicitations for offers
and bids on all Federal and Federally assisted construction contracts or subcontracts in excess of
$10,000 to be performed in designated geographical areas:
1. As used in these specifications:
a. "Covered Area means the geographical area described in the solicitation from
which this contract resulted.
(2) "Director means Director, Office of Federal Contract Compliance Program,
United States Department of Labor, or any person to whom the Director delegates
authority;
(3) "Employer identification number means the Federal Social Security number used
on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form
941.
(4) "Minority includes:
(i) Black (all persons having origins in any of the Black African racial groups
not of Hispanic origin);
(ii) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South
American or other Spanish Culture or origin, regardless of race);
(iii) Asian and Pacific Islander (all persons having origins in any of the original
. peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the
Pacific Islands); and
(iv) American Indian or Alaskan Native (all persons having origins in any of
the original peoples of North America and maintaining identifiable tribal
affiliations through membership and participation or comniunity
identification).
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EP A Region 4
2. Whenever the Contractor or any Subcontractor at any tier, subcontracts a portion of the
work involving any construction trade, it shall physically include in each subcontract in
excess of$10,000 the provisions of these specifications and the Notice which contains
the applicable goals for minority and female participation and which is set forth in the
solicitations from which this contract resulted.
3. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan
approved by the U.S. Department of Labor in the covered area either individually or
through an association, its affirmative action obligations on all work in the Plan area
(including goals and timetables) shall be in accordance with that Plan for those trades
which have unions participating in the Plan. Contractors must be able to demonstrate
their participation in and compliance with the provisions of any such Hometown Plan.
Each Contractor or Subcontractor participating in an approved Plan is individually
required to comply with its obligations under the EEO clause, and to make a good faith
effort to achieve each goal under the Plan in each trade in which it has employees. The
overall good faith performance by other Contractors or Subcontractors toward a goal in
an approved Plan does not excuse any covered Contractor's or Subcontractor's failure to
take a good faith efforts to achieve the Plan goals and timetables,
4. The Contractor shall implement the specific affirmative action standards provided in
paragraphs 7-a through p of these specifications. The goals set forth in the solicitation
from which this contract resulted are expressed as percentages of the total hours of
employment and training of minority and female utilization the Contractor should
reasonably be able to achieve in each construction trade in which it has employees in the
covered area. The Contractor is expected to make substantially uniform progress toward
its goals in each craft during the period specified.
5. Neither the provisions of any collective bargaining agreement, nor the failure by a union
with whom the Contractor has a collective bargaining agreement, to refer either
minorities or women shall excuse the Contractor's obligations under these specifications"
Executive Order 11246, or the regulations promulgated pursuant thereto.
6. In order for the non-working training hours of apprentices and trainees to be counted in
meeting the goals, such apprentices and trainees must be employed by the contractor
during the training period, and the Contractor must have made a commitment to employ
the apprentices and trainees at the completion of their training, subject to the availability
of employment opportunities. Trainees must be trained pursuant to training programs
approved by the U.S. Department of Labor,
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EP A Region 4
7. The Contractor shall take specific affIrmative action to ensure equal employment
opportunity. The evaluation of the Contractor's compliance with these specifications
shall be based upon its effort to achieve maximum results from its actions, The
Contractor shall document these efforts fully, and shall implement affirmative actions
steps at least as extensive as the following:
a. Ensure and maintain a working environment free of harassment, intimidation, and
coercion at all sites, and in all facilities at which the contractor's employees are
assigned to work. The Contractor, where possible, will assign two or more women
to each construction project. The Contractor shall specifically ensure that all
foremen, superintendents, and other on-site supervisory personnel are aware of
and carry out the Contractor's obligation to maintain such a working environment,
with specific attention to minority or female individuals working at such sites or
in such facilities.
b. Establish and maintain a current list of minority and female recruitment sources,
provide written notification to minority and female recruitment sources and to
community organizations when the contractor or its unions have employment
opportunities available, and maintain a record of the organizations' responses.
c. Maintain a current file ofthe names, addresses and telephone numbers of each
minority and female off-the-street applicant and minority or female referral from a
union, a recruitment source or community organization and of what action was
taken with respect to each such individual. If such individual was sent to the
union hiring hall for referral and was not referred back to the Contractor by the
union or, if referred, not employed by the contractor, this shall be documented in
the file with the reason therefor, along with whatever additional actions the
contractor may have taken.
d. Provide immediate written notification to the Director when the union or unions
with which the Contractor has a collective bargaining agreement has not referred
to the Contractor a minority person or woman sent by the Contractor, or when the
Contractor has other information that the union referral process has impeded the
Contractor's efforts to meet its obligation.
e. Develop on-the-job training opportunities and/or participate in training programs
for the area which expressly include minorities and women, including upgrading
programs and apprenticeship and trainee programs relevant to the Contractor's
employment needs, especially those programs funded or approved by the
Department of Labor, The Contractor shall provide notice of these programs to
the sources complied under 7 -b above.
f. Disseminate the Contractor's EEO policy by providing notice ofthe policy to
unions and training programs and requesting their cooperation in assisting the
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EP A Region 4
\,
Contractor in meeting its EED obligations; by including it in any policy manual
and collective.bargaining agreement; by publicizing it in the company newspaper,
annual report, etc.; by specific review of the policy with all management
personnel andwithallmfuorityand female employees at least once a year; and by
posting the company EED policy on bulletin boards accessible to all employees at
each location where construction wprk is performed.
g. Review, at least annually, the company's EED policy and affirmative action
obligations under these specifications with all employees having any
responsibility forhiring, assignment, lay-off, termination or other employment
decisionsiincludingspecific review of these items with on-site supeIVisory
.< personnelf:iuch as Superintendents, General Foreman, etc., prior to the initiation of
construction work at any job site. A written record shall be made and maintained
identifying the time and place of these meetings, persons attending, subject matter
discussed, and disposition of the subject matter.
h. Disseminate the Contractor's EED policy externally by including it in any
advertising in the news medi~, specifically including minority and female news
media, and providing written notification to and discussing the Contractor's BED
policy with other Contractors and Subcontractors with whom the Contractor does
or anticipates doing business.
1. Direct its recruitment efforts, both oral.and written, to minority, female and
community organizations, to schools with minority and female students and to
minority and female recruitment and training organizations seIVing the
Contractor's recruitment area and employment needs. Not later than one month
prior to the date for the acceptance of applications for apprenticeship or other
training by any recruitment source, the contractor shall send written notification to
organizations such as the above, describing the openings, screening procedures,
and tests to be used in the selection process.
J. Encourage present minority and female employees to recruit other minority
persons and women and, where reasonable, provide after school, summer and
vacation employment to minority and female youth both onthe site and in other
areas of a Contractor's workforce.
k. Validate all tests and other selection requirements where there is an obligation to
. do so under 41 CFR Part 60-3.
1. Conduct, at least annually, an inventory and evaluation of all minority and female
personnel for promotional opportunities and encourage these employees to seek or
to prepare for, through appropriate training, etc" such opportunities.
Revised 04/28/03
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EP A Region 4
m. Ensure that seniority practices, job classifications, work assignments and other
personnel practices,. do not have.a. discriminatory effect by continually monitoring
all personnel and employment related activities to ensure that EEO policy and the
Contractor's obligations under these specifications are bem.g carried out.
n. Ensure that all facilities and company activities are nonsegtegated except that
separate or single-user toilet and necessary changing facilities shall be provided to
assure privacy between the sexes.
o. Document and maintain a record. of all solicitations of offersJor subcontracts from
minority and female construction contractors and suppliers, including circulation
of soli cHat ions to minority and femalecontra9torassociations and other business
associations.
p. Conduct a review, at least annually, of all supervisor'sadherericeto and
performance under the Contractor's EEO policies and affirmative action
obligatiQUs.
8. Contractors are encouraged to participate in voluntary associations which assist in
fulfilling one ormoreofthejr affIrmative actions obligations (7 a throughp). The efforts
of a contractor association, joint contractor-union,contractor-conununj,ty, of other similar
group of which the contractor is a member and participant may be asserted as fulfilling
anyone o.r more of its obligations under 7 a through p of these specifications provided
that thecoIitractoractively participates in the group, makes every effort to assure that the
group has a positive impactoD the. employment of minorities and women in the industry,
ensures that the concrete benefits of the program are reflected in the Contractor's
minority and female workforce participation, m~esagQod faith effort to Ip.eet its
individu.al goalsandtimetables,and can provideiaccess to documentation which
demonstrates the effectiveness . of actions taken on behalf of the Contractor. The
obligation to comply, however, is th.e Contractor's and failure of such a group to fulfill an
obligation shall not be defense for the Contractor's noncompliance.
9. A single goal for minorities. and a separate single goal for women have been established.
The contractor, however, is required to provide equal employment opportunityand to take
affirmative action for all minority groups, both male and female, and all women, both
minority and non-minority. Consequently, the Contractor may be in violation of the
Executive Order if a particular group is employed in a substantially disparate manner (for
example: even though the Contractor has achieved its goal for women generally, the
Contractor may be in violation of the Executive Order if a specific minority group of
women is underutilized),
10. The Contractor shall not use the goals and timetables for affirmative action standards to
discriminate against any person because of race, color, religion, sex or national origin.
Revised 04/28/03
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EP A Region 4
11. The Contractor shall not enter into any Subcontract with any person or firm debarred
from Government contracts pursuant to Executive Order 11246.
12. The Contractor shall cany out such sanctions and penalties for violation of these
specifications and of the Equal Opportunity Clause, including suspension, termination
and cancellation of existing subcontracts as may be imposed or ordered pursuant to
Executive Order 11246, as amended, and its implementing regulations, by the Office of
Federal Contract Compliance Programs. Any Contractor who fails to carry out such
sanctions and penalties shall he in violation of these specifications and executive Order
11246, as amended.
13. The Contractor, in fulfilling its obligations under these specifications, shall implement
specific affirmative action steps, at least as extensive as those standards prescribed in
paragraph 7 of these specifications, so as to achieve maximum results from its efforts to
. ensure equal employment opportunity. If the Contractor fails to complywith the
requirements of the Executive Order, the implementing regulations, or these
specifications, the Director shall proceed in accordance with 41 CFR 60-4.8.
14. The Contractor shall designate a responsible official to monitor all employment related
activity to ensure that the company EEO policy is being carried out, to submit reports
relating to the provisions hereof as may be required by the Government and to keep
records. Records shall at least include for each employee the name, address, telephone
numbers, construction trade, union affiliation, if any, employee identification number
when assigned, social security number, race, sex, status (e.g., mechanic, apprentice,
trainee, helper or laborer), dates of changes in status, hours worked per week in the
indicated trade, rate of pay, and locations at which the work was performed. Records
shall be maintained in an easily understandable and retrievable form; however, to the
degree that existing records satisfy this requirement, contractors shall not be required to
maintain separate records.
15. Nothing herein provided shall be construed as a limitation upon the application of other
laws which establish different standards of compliance or upon the application of
requirements for the hiring of local or other area residents (e.g., those under the Public
Works Employment Act of 1977 and the Community Development Block Grant
Program) .
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EP A Region 4
Attachment Number 6
EEO Goals for Economic Areas in Region 4
Source: Appendix B-80 in 45 FR 65984 (October 3, 1980)
Alabama:
047 Mobile, AL
SMSA Counties:
5160 Mobile, AL 26.9
AL Baldwin; ALMobile.
6026 Pascagoula - Moss, Point MS 16.9
MS Jackson. .
Non-SMSA Counties 26.4
AL Choctaw; AL Clarke; AL Conecuh; AL Escambia; AL Monroe; AL Washington; AL Wlcox;
MS George; MS Greene.
048 Montgomery, AL:
SMSA Counties
5240 Montgomery, AL 29.9
AL Autauga; AL Elmore; AL Montgomery.
Non-SMSA Counties 29.9
AL Barbour; AL Bullock; AL Butler; AL Coffee; AL Coosa; AL Covington;
AL Crenshaw; AL Dale; AL Dallas; AL Geneva; AL Henry; AL Houston.;
AL Lowndes; AL Macon; AL Perry; AL Pike; AL Tallapoosa.
049 Birmingham, AL:
SMSA Counties:
0450 Anniston, AL 14.3
AL Calhoun
1000 Birmingham, AL 24.9
AL Jefferson, AL St- Clair; AL Shelby; AL Walker; AL Etowah
8600 Tuscaloosa, AL 20.6
AL Tuscaloosa.
Non-SMSA Counties 20.7
AL Bibb; AL Blount AL Cherokee; AL Chilton; AL Clay; AL Cleburne; AL Cullman;
AL Fayette; AL Greene; AL Hale; AL Lamar, AL Marion; AL Pickens; AL Randolph;
AL Sumter: AL Talladega; AL Winston.
050 Huntsville - Florence, AL:
SMSA Counties:
2650 Florence, AL 11.9
AL Colbert; AL Lauderdale.
3440 Huntsville, AL 12.0
AL Limestone; AL Madison; AL Marshall.
Non-SMSA Counties 11.2
AL Franklin; AL Lawrence AL Morgan; TN Lincoln.
Georgia:
035 Augusta, GA:
SMSA Counties:
0600 Augusta, GA - SC 27.2
GA Columbia; GA Richmond; SC Aiken
Non-SMSA Counties 32.8
GA Burke; GA Emanuel; GA Glascock; GA Jefferson; GA Jenkins; GA Lincoln; GA
McDuffie; GA Taliaferro; GA Warren; GA Wilkes; SC Allendale, SC Bamberg;
SC Barnwell; SC Edgefield; SC McCormick
036 Atlanta, GA
SMSA Counties
0520 Atlanta 21.2
GA Butts; GA Cherokee; GA Clayton; GA Cobb; GA Dekalb; GA Douglas; GA Fayette;
GA Forsyth; GA Fulton; GA Gwinnett; GA Henry, GA Newton; GA Paulding; GA Rockdale;
GA Walton
Revised 04/28/03
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EP A Region 4
Non-sMSA Counties 19.5
GA Banks; GA Barrow; GA Bartow; GA Carroll; GA Clarke; GA Coweta;GA Dawson;
GAElbert; GA Fannin; GA Floyd; GA Franklin; GA Gilmer; GA Gordon; GA Greene;
GAHabersham; GA Hall; GA Haralson; GA Hart; GA Heard; GA Jackson; GA Jasper;
GA Lamar, GA Lumpkin; GA Madison, GA Morgan; GA Oconee, GA Oglethorpe;
GA Pickens; GA Pike; GA Polk; GA Rabun, GA Spalding; GA Stephens; GA Towns;
GA Union; GA Upson; GA White.
037 Columbus, GA:
SMSA Counties
1800 Columbus 29.6
AL Russell;GA Chrjttahoochee; GA Columbus.
Non~SMSA Counties 31.6
AL Chambers; AL, Lee;GA Harris; GA Marion; GA Meriwether; GA Quitman;
GA Schley; GA $tewart; GA Sumter; GA Talbot; GA Troup; GA Webster.
038 Macon, GA:
SMSA Counties
4660 Macon, GA 27.5
GA Bibb; GA Houston; GA Jones; GA Twiggs.
Non-SMSA Counties 31.7
GA Baldwin; GA Bleckley; GA Crawford; GA Crisp; GA Dodge; GA Dooly; GA Hancock;
GA Johnson; GA Laurens; GA Macon; GA Monroe; GA Peach; GA Pulaski;
GAPutnam. GA Taylor; GA Telfair; GA Treutlen; GA Washington; GA Wheeler; GA Wilcox;
GA Wilkinson.
039 Savannah, GA:
SMSA Counties:
7520 Savannah, GA 30.6
GA Bryan; GA Chatham; GA Effingham
Non-SMSA Counties 29.8
GA Appling; GA Atkinson; GA Bacon; GA Bullock; GA Candler; GA Coffee;
. GA Evans; GA Jeff Davis; GA Liberty; GA Long; GA Mcintosh; GA Montgomery;
GA Screven; GA Tattinall; GA Toombs; GA Wayne; SC Beaufort; SC Hampton; SC Jasper.
040 Albany, GA
SMSA Counties
0120 Albany, GA 32.1
GA Dougherty; GA Lee.
Non-SMSA Counties 31.1
GA Baker; GA Ben Hill; GA Berrien; GA Brooks; GA Calhoun; GA Clay; GA Clinch; GA
Colquitt; GA Cook; GA Decatur; GA Early; GA Echols;GA Grady; .GA Irwin; GA Lanier,
GA Lowndes; GA Miller; GA Mitchell; GA Randolph; GA Seminole, GA Terrell; GA
Thomas; GA Tift; GA Turner; GA Worth
Florida:
041 Jacksonville, FL:
SMSA Counties
2900 Gainesville, FL 20.6
FL Alachua
3600 Jacksonville, FL 21.8
FL Baker; FIL Clay; FL Duval; FL Nassau; FL St. Johns.
Non-SMSA Counties 22.2
FL Bradford; FL Columbia; FL Dade; FL Gilchrist; FIL Hamilton; FL LaFayetle;
FL Levy; FL Marion; FL Putnam; FL Suwannee; FL Union; GA Brantley; GA Camden;
GA Charlton; GA Glynn; GA Pierce; GA Ware.
042 Orlando - Melbourne - Daytona Beach, FL.
SMSA Counties:
2020 Daytona Beach, FL 15.7
FL Volusia.
4900 Melboume - Tutusville - Cocoa, FL 10.7
FL Brevard.
5960 Orlando, FL 15.5
FL Orange; FL Osceola; FL Seminole.
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EP A Region 4
Non-SMSA Counties
FL Flagler; FL Lake; FL Sumter.
043 Miami - Fort Lauderdale, FL:
SMSA Counties:
2680 Fort Lauderdale - Hollywood, FL
FL. Broward.
5000 Miami, FL
FL Dade.
8960 West Palm Beach - Boca Raton,FL
FL Palm Beach.
Non-SMSA Counties
FL Glades; FL Hendry; FL Indian River, FL Martin; FL Monroe:
FL,Okeechobee; FL St. Lucie.
044 Tampa - St Petersburg, FL
SMSA Counties:
1140 Bradenton, FL
FL Manatee.
2700 Fort Myers, FL
FL Lee.
3980 Lakeland - Winter Haven, FL
FL Polk
7510 Sarasota, FL
FL Sarasota.
8280 Tampa - St. Petersburg , FL
FL Hillsborough, FL Pasco; FL Pinellas
Non-SMSA Counties
FL Charlotte; FL Citrus; FL Collier, FL Desoto; FL Hardee; FL Hernando; FL Highlands.
045 Tallahassee. FL:
SMSA Counties:
8240 Tallahassee, FL
FL Leon;FL Wakulla.
Non-SMSA Counties:
FL Calhoun; FL Franklin; FL Gadsden; FIL Jackson; FL Jefferson: FL Liberty;
FIL Madison; FL Taylor.
046 Pensacola - Panama City, FL
SMSA Counties:
8615 Panama City,FL
FIL Bay.
6080 Pensacola, FL
FL Escambia; FL Santa Rosa.
Non-SMSA Counties
FL Gulf, FIL Holmes; FIL Okaloosa; FL Walton; FL Washington.
Kentucky:
056 Paducah, KY:
Non-SMSA Counties
IL Hardin; IL Massac; IL Pope; KY Ballard.; KY Caldwell; KY Calloway. KY Carlisle;
KY Crittenden; KY Fulton; KY Graves; KY Hickman; KY Livingston; KY Lyon. KY
McCracken; KY Marshall.
057 Louisville, KY:
SMSA Counties:
4520 Louisville, KY-IN
IN Clark; IN Floyd; KY Bullift; KY Jefferson; KY Oldham.
Non-SMSA Counties
IN Crawford; IN Harrison; IN Jefferson; IN Orange; IN Scott; IN Washington;
KY Breckinridge; KY Grayson; KY Hardin; KY Hart; KY Henry; KY Larue; KY Marion;
KY Meade; KY Nelson; KY Shelby; KY Spencer; KY Trimble; KYWashington.
058 Lexington. KY
SMSA Counties
4280 Lexington-Fayette, KY
. KY Bourbon; KY Clark; KY Fayette; KY Jessamine; KY Scott; KY Woodford.
Revised 04/28/03
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14,9
15.5
39.5
22.4
30.4
15.9
"- 15.3
18.0
10.5
17.9
17.1
24.3
29.5
14.1
18.3
15.4
5.2
11.2
9.6
10.8
EP A Region 4
Non-SMSA Counties 7.0
KY Adair KY Anderson; KY Bath; KY Boyle; KY Breathitt; KY Casey; KY Clay;
KY Estill; KY Franklin- KY Garrard; KY Green; KY Harrison- KY Jackson; KY Knott;
KY Lee; KY Leslie; KY Letcher; KY Lincoln; KY Madison; KY Magoffin; KY Menifee;
KY Mercer; KY Montgomery; KY Morgan. KY Nicholas; KY Owsley; KY Perry;
KY Powell; KY Pulaski; KY Rockcastle; KY Russell; KY Taylor; KY Wolfe.
Mississippi:
112 Jackson, MS:
SMSA Counties;
3560 Jackson, MS 30.3
MS Hinds; MS Rankin.
Non-SMSA Counties 32.0
MS Attala; MS Choctaw; MS Choctaw; MS Clarke; MS Copiah;
MS Covington; MS Franklin; MS Holmes: MS Humphreys; MS Issaquena;
MS Jasper; MS Jefferson; MS Jefferson Davis; MS Jones; MS Kemper;
MS Lauderdale; MS Lawrence; MS Leake; MS Lincoln; MS Lowndes;
MS Madison; MS Neshoba; MS Newton; MS Noxubee,- MS Oktibbeha;
MS Scott; MS Sharkey; MS Simpson; MS Smith; MS Warren; MS Wayne;
MS Winston; MS Yazoo.
North Carolina:
024 Rocky Mount - Wilson - Greenville NC:
Non-SMSA Counties 31.7
NC Beaufort; NC Carteret; NC Craven,- NC Dare; NC Edgecombe; NC Greene; NC
Halifax; NC Hyde; NC Jones; NC Lenoir', NC Martin; NC Nash; NC Northampton; NC
Pamlico; NC Pitt; NC Tyrrell; NC Washington; NC Wayne; NC Wilson
025 Wilmington, NC:
SMSA Counties:
9200 Wilmington, NC 20.7
NC Brunswick; NC New Hanover.
Non-SMSA counties 23.5
NC Columbus; NC Duplin; NC Onslow; NC Pender.
026 Fayetteville, NC:
SMSA Counties:
2560 Fayetteville, NC 26.2
NC Cumberland.
Non-SMSA Counties 33.5
NC Bladen; NC Hoke; NC Richmond; NC Robeson; NC Sampson; NC Scotland.
027 Raleigh - Durham, NC.
SMSA Counties:
6640 Raleigh - Durham 22.8
NG Durham; NC Orange; NC Wake.
Non-SMSA Counties 24.7
NC Chatham; NC Franklin; NC Granville; NC Harnett; NC Johnston; NC Lee; NC Person;
NC Vance; NC Warren.
028 Greensboro - Winston Salem - High Point, NC:
SMSA Counties:
1300 Burlington, NC 16.2
NC Alamance.
3120 Greensboro - Winston Salem - High Point NC 16.4
NC Davidson; NC Forsyth; NC GUilford,- NC Randolf; NC Stokes; NC Yadkin.
Non-SMSA Counties 15.5
NC Alleghany; NG Ashe; NC Caswell; NC Davie; NC Montgomery; NC Moore; NC
Rockingham; NC Surry; NC Watauga; NC Wilkes.
029 Charlotte, NC:
SMSA Counties:
1520 Charlotte - Gastonia, NC 18.5
NC Gaston; NC Mecklenburg; NC Union.
Non-SMSA Counties 15.7
NC Alexander; NC Anson; NC Burke; NG Cabarrus; NC Caldwell; NC Catawba;
Revised 04/28/03
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EPA Region 4
NC Cleveland; NC Iredell; NC Lincoln; NC Rowan; NC Rutherford; NC Stanley;
SC Chester; SC Lancaster SC York.
030 Asheville: NC
Non-SMSA Counties:
0480 Asheville, NC
NC Buncombe; NC Madison.
Non-SMSA Counties
NC Avery,- NC Cherokee; NC Clay; NC Graham; HC Heywood, NC Henderson;
NC Jackson; NC McDowell; NC Macon; NC Mitchell; NC Swain; NC Transylvania;
NC Yancey.
South Carolina:
031 Greenville -Spartanburg, SC:
SMSA Counties:
316bGreenville -Spartanburg, SC
SC Greenville; SC Pickens; SC Spartanburg.
Non-SMSA Counties
SC Polk; SC Abbeville; SC Anderson; SC Cherokee', SC Greenwood; SC Laurens;
SC Oconee; SC Union.
.032 Columbia, SC
SMSA Counties:
1760 Columbia, SC
SC Lexington; SC Richland.
No'n-SMSA Counties
SC Calhoun SC Clarendon; SC Fairfield; SC Kershaw; SC Lee; SC Newberry;
SC Orangeburg; SC Saluda; SC Sumter
033 Florence, SC
Non-SMSA Counties
SC Chesterfield; SC Darlington; SC Dillon; SC Florence; SC Georgetown; SC Horry;
SC Marion; SC Marlboro; SC Williamsburg.
034 Charleston - North Charleston, SC
SMSA Counties
1440 Charleston - North Charleston, SC
SC Berkeley; SCCharleston; SC Dorchester.
Non-SMSA Counties
SC Collection
Tennessee:
051 Chattanooga, TN:
SMSA Counties
1560 Chattanooga, TN - GA
GA Catoosa; GA Dade; GA Walker; TN Hamilton;TN Marion; TN Sequatchie.
Non-SMSA Counties
AL De Kalb; AL Jackson; GA Chattooga; GA Murray; GA Whitfield;
TN Bledsoe; TN Bradley; TN Grundy; TN McMinn; TN Meigs; TN Monroe;
TN Polk; TN Rhea.
052 Johnson City - Kingsport - Bristol, TN-VA:
SMSA Counties'.
3660 Johnson City - Kingsport - Bristol. TN - VA
TN Carter; TN Hawkins- TN Sullivan; TN Unicoi; TN Washington; VA Scott;
VA Washington; VA Bristol.
Non-SMSA Counties
TN Greene; TN Hancock; TN Johnson; VA Buchanan; VA Dickenson; VA Lee;
VA Russell; VA Smyth; VA Tazewell; VA Wise; VA Norton; WV McDowell, WV Mercer.
053 Knoxville, TN
SMSA Counties:
3840 Knoxville, TN
TN Anderson; TN Blount; TN Knox; TN Union.
Non-SMSA Counties
KY Bell; KY Harlan; KY Knox; KY Laurel; KY McCreary; KY Wayne; KY Whitley; TN
Campbell; TN Claiborne; TN Cocke; TN Cumberland; TN Fentress; TN Grainger,
Revised 04/28/03
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8.5
6.3
16.0
17.8
23.4
32.0
33.0
30.0
30.7
12.6
8.6
2.6
3.2
6.6
4.5
EP A Region 4
TN Hamblen; TN Jefferson; TN Loudon; TN Morgan; TN Roane; TN Scott;
TN Sevier.
054 Nashville, TN:
SMSA Counties:
1660 Clarksville - Hopkinsville, TN - KY
KY Christian; TN Montgomery.
5360 Nashville - Davidson, TN
TN Cheatham, TN Davidson; TN Dickson; TN Robertson; TN Rutherford; TN Sumner;
TN Williamson; TN Wilson.
Non-SMSA Counties
KY Allen; KY Barren; KY Butler; KY Clinton; KY Cumberland; KY Edmonson;
KY Logan; KY Metcalfe; KY Monroe; KY Simpson; KY Todd; KY Trigg; KY Warren;
TN Bedford; TN Cannon; TN Clay; TN Coffee; TN DeKalb; TN Franklin; TN Giles;
TN Hickman; TN Houston; TN Humphreys; TN Jackson; TN Lawrence; TN Lewis;
TN Macon; TN Marshall; TN Maury; TN Moore; TN Overton; TN Perry; TN Pickett;
TN Putnam; TN Smith" TN Stewart; TN Trouslale; TN Van Buren; TN Warren;
TN Wayne; TN White.
055 Memphis, TN:
SMSA Counties:
4920 Memphis, TN-AR-MS
AR Critteriden; MS Do Soto; TN Shelby; TN Tipton.
Non-SMSA Counties
AR Clay; AR Craighead; AR Cross; AR Greene; AR Lawrence; AR Lee;
AR Mississippi; AR Phillips- AR. Poinsett AR Randolph; AR St. Francis; MS Alcorn,
MS Benton; MS Bolivar; MSCalhoun; MS Carroll; MS Chickasaw, MS Clay;
MS Coahoma; MS Grenada; MS Itawamba; MS Lafayette; MS Lee; MS Leflore;
MS Marshall; MS Monroe; MS Montgomery; MS Panola; MS Pontotoc; MS Prentiss;
MS Quitman; MS Sunflower; MS Tallahatchie; MS Tate; MS Tippah; MS Tishomingo;
MS Union; MS Washington; MS Webster. MS Yalobusha; MO Dunklin;
MO New Madrid; MO Pemiscot; TN Benton; TN Carroll; TN Chester; TN Crockett;
TN Decatur; TN Dyer; TN Fayette; TN Gibson; TN Hardeman; TN Hardin;
TN Haywood; TN Henderson- TN Henry; TN Lake; TN Lauderdale; TN McNairy;
TN Madison; TN Obion; TN Weakley.
Revised 04/28/03
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18.2
15.8
12.0
32.3
26.5
EP A Region 4
Attachment Number 7
CHECK LIST OF EEO DOCUMENTATION FOR BIDDERS
ON EP A ASSISTED CONSTRUCTION
(Required by Executive Order 11246 as amended)
The low. responsive responsible bidder must forward the following items, in duplicate. to the
owner (grantee) no later than ten (10) days after bid opening. The owner (grantee) shall have one
(1) copy available for inspection bv the Office of Federal Contracts Compliance within 14 clays
after the bid opening. The web site for the OFCC is http://www.dol.gov/esa/ofcporg.htm.
1. EP A Project Number. Project Location. Type of Construction.
2. Proof of registration with the Joint Reporting Commission. (See Attachment Number 8.)
3. Copy of Affirmative Action Plan of contractor. Indicate company official responsible for
EEO,
4. List of current construction contracts, with dollar amount. List contracting Federal Agency,
if applicable.
5. Statistics concerning company percent workforce, permanent and temporary, by sex, race,
trade, handicapped, and age. 40 CFR Part 7.
6. List of employment sources for project in question. Ifunion sources are utilized, indicate
percentage of minority membership within the union crafts.
7. . Anticipated employment needs for this project, by sex, race and trade, with estimate of
minority participation in specific trades.
8. List of subcontractors (name, address and telephone) with dollar amount and duration of
subcontract. Subcontractor contracts over $10,000 must submit items 1- 8. .
9. List of any subcontract work yet to be committed with estimate of dollar amount and duration
of contract.
10. Contract Price. Duration of prime contract.
11. DBE Documents - See special instructions regarding use of Minority, and Women Owned,
and Small Businesses.
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EP A Region 4
Attachment Number 8
Employer Information Report EEO-1
Under the direction of the US Equal Employment Opportunity Commission, the Joint Reporting
Committee is responsible for the full-length, multi-phase processing of employment statistics
collected on the Employer Information Report EEO-1, This report, also termed Standard Form
100, details the sex and race/ethnic composition of an employer's work force by job category.
The Employer Information EEO-1 smvey is conducted annually under the authority of Public
Law 88-352, Title vn of the Civil Rights Act of 1964, as amended by the Equal Employment
Opportunity Act of 1972. All employers with 15 or more employees are covered by Public Law
88-352 and are required to keep employment records as specified by Commission regulations.
Based on the number of employees and federal contract activities, certain large employers are
required to file an EEO-1 Report on an annual basis.
The EEO-1 Report must be filed by
(A) All private employers who are: (1) subject ti Title vn of the Civil Rights Act of 1964 (as
amended by the Equal Employment Opportunity Act of 1972) with 100 or more employees
EXCLUDING State and local governments, primary and secondary school systems, institutions
of higher education, Indian tribes and tax-exempt private memberships clubs other than labor
organizations; OR (2)subject to Title VII who have fewer than 100 employees if the company is
owned or affiliated with another company, or there is centralized ownership, control or
management (such as central control of personnel policies and labor relations) so that the group
legally constitutes a single enterprise and the entire enterprise employs a total of 100 or more
employees.
(B) All federal contractors (private employers), who:(l) are not exempt as provided for by
41 CFR 60-1.5, (2) have 50 or more employees, and (a) are prime contractors or first-tier
subcontractors, and have a contract, subcontract, or purchase order amounting to $50,000 or
. more; or (b) serve as depository of Government funds in any amount, or (c) is a financial
institution which is an issuing an paying agent for U.S. Savings Bonds and Notes.
Only those establishments located in the District of Columbia and the 50 states are required to
submit the EEO-1 Report. No Reports should be filed for establishments in Puerto Rico, the
Virgin Islands or other American Protectorates.
When filing for the EEO-1 Report for the first time, go to the web site at:
http://www.mimdms.com/irc.html and select "Filing for the firsttime .from the box labeled
INFORMATION. File out the electronic questionnaire to enter your company into Joint
Reporting Committee (JRC) system. One you have completed the registration process, you will
be contacted on how to proceed with the EEO-l Report. If you have previously registered
with the JRC, follow their instructions to update your information,
Revised 04/28/03
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EP A Region 4
EPA Form 5720-4
Attachment Number 9
Labor Standards Provisions For Federally Assisted Construction
Labor standards provisions applicable to contracts covering federally financed and assisted
construction (29 CFR 5.5, Contract Provisions and Related Matters) that apply to EP A Special
Appropriations Projects grants are:
(a)(4)(iii) Equal employment opportunity. The utilization of apprentices, trainees and
journeymen under this part shall be in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29 CFR Part 30.
(a)(5) Compliance with Copeland Act requirements. The contractor shall comply with the
requirements of 29 CFR Part 3, which are incOlporated by reference in this contract.
(a)(6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses
contained in 29 CFR 5.5 (a) (1) through (10) and such other clauses as the U.S. Environmental
Protection Agency may by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall
be responsible for the compliance by any subcontractor or lower tier subcontractor with all the
contract clauses in 29 CFR 5.5.
(a)(7) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be
grounds for termination of the contract, and debarment as a contractor and a subcontractor as
provided in 29 CFR 5.12.
(b) Contractor Work Hours and Safety Standards Act. The Administrator, EPA Shall cause or
require the contracting officer to insert the following clauses set forth in paragraph (b)(1),(2),(3),
and (4) of this section in full in any contract subject to the overtime provisions of the Contract
Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses
required by *Section 5,5(a) of this title. As used in this paragraph, the terms "laborers and
"mechanics include watchmen and guards.
(1) Overtime requirements. No contractor or subcontractor contracting for any part of the
contract work which may require or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any work week in which he or she is employed
on such work to in excess of forty hours in such workweek unless such laborer or mechanic
receives compensation at a rate not less than one and one-half times the basic rate of pay for all
hours worked in excess of forty hours in such workweek.
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(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of
the clause set forth in paragraph (b) (1) of this section the contractor and any subcontractor
responsible therefor shall be liable for the unpaid wages. In addition, such contractor and
subcontractor shall be liable to the United States (in the case of work done under contract for the
District of Columbia or a territory, to such District or to such territory), for unliquidated
damages. Such liquidated damages shall be computed with respect to each individual laborer or
mechanic, including watchmen and guards, employed in violation of the clause set forth in
paragraph (b)( 1) of this section, in the sum of $1 0 for each calendar day on which such individual
was required or permitted to work in excess of the standard workweek of forty hours without
payment of the overtime wages required by the clause set forth in paragraph (b)( 1) of this section.
(3) Withholding for unpaid wages and liquidated damages. The U.S. Environmental
Protection Agency shall upon its own action or upon written request of an authorized
representative of the Department of Labor withhold or cause to be withheld, from any moneys
payable on account of work performed by the contractor or subcontractor under any such contract
or any other Federal contract with the same prime contractor, or any other Federally- assisted
contract subj ect to the Contract Work Hours and Safety Standards Act, which is held by the same
prime contractor, such liabilities of such contr,actor or subcontractor for unpaid wages and
liquidated damages as provided in the clause set forth in paragraph (b) (2) of this section.
(4) Subcontracts, The contractor or subcontractor shall insert in any subcontracts the clauses
set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall
be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses
set forth in paragraphs (b)(l) through (4) of this sec~ion.
(c) In addition to the clauses contained in paragraph (b), in any contract subject only to the
Contract Work HoUlS and Safety Standards Act and not to any of the other statutes cited in
section 5.1, the Administrator ofEP A shall cause or require the contracting officer to insert a
clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll
records during the course of the work and shall preserve them for a period of three years from the
completion of the contract for all laborers and mechanics, including guards and watchmen,
working on the contract. Such records shall contain the name and address of each such
employee, social security number, correct classifications, hourly worked, deductions made, and
actual wages paid. Further, the Administrator of EP A shall cause or require the contracting
officer to insert in any such contract a clause providing that the records to be maintained under
this paragraph shall be made available by the contractor or subcontractor for inspection, copying,
or transcription by authorized representatives of the U.S, Environmental Protection Agency and
the Department of Labor, and the contractor or subcontractor will permit such representatives to
interview employees during working hours on the job. (Approved by the Office of Management
and Budget under OMB control numbers 1215-0140 and 1215-0017,)
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CERTIFICATIONS
DEBARRED FIRMS
All prime Construction Contractors shall certify that Subcontractors have not and will not be
awarded to any firm that is currently on the EP A Master List of Debarred, Suspended and
Voluntarily Excluded Persons in accordance with the provisions of 40 CFR 32.500(c).
Debarment action is taken against a firm for noncompliance with Federal Law.
All bidders shall complete the attached certification (Attachment Number 10) in duplicate and
submit both copies to the owner with the bid proposal. The owner (grantee) shall transmit one
copy to EP A within 14 days after bid opening.
ANTI-LOBBYING CERTIFICATION
All prime Construction Contractors must certify (Attachment Number 11) that no appropriated
funds were or will be expended for the purpose of lobbying the Executive or Legislative
Branches of the Federal Government or Federal. Agency concerning this contract (contract in
excess of$100,000). lfthe Contractor has made or agreed to make payment to influence any
member of Congress in regard to award of this contract, a Disclosure Form must be completed
and submitted to the owner (grantee) with the bid proposal. The owner must transmit one copy
to the State
All prime Contractors must require all Subcontractors to submit the certification which must also
be submitted to the owner (grantee).
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EP A Form 5700-49
Attachment Number 10
CERTIFICATION REGARDING DEBARMENT,
SUSPENSION AND OTHER RESPONSIBILITY MATTERS
The prospective participant certifies to the best ofits knowledge and belief that it and its
principals:
(A) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
(b) Have not within a three year period preceding this proposal been convicted of or had a
civil judgement rendered against them for commission of fraud or a criminal offense in
connection with obtaining. attempting to obtain, or performing a public (Federal, State, or
local) transaction or contract under a public transaction; violation of Federal or State
antitrust statutes or commission of embezzlement. theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a government
entity (Federal. State, or ocal) with commission of any of the offenses enumerated in
paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more
public transactions (Federal, State, or local) terminated for cause or default.
I understand that a false statement on this certification may be grounds for rejection of this
proposal or termination of the award. In addition, under 18 use Sec, 1001, a false statement
may result in a fme of up to $10,000 or imprisonment for up to 5 years, or both.
Typed Name & Title of Authorized Representative
Signature of Authorized Representative
Date
I am unable to certify to the above statements. My explanation is attached.
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EP A Region 4
Instructions for Certification Regarding Debarments
Under Executive Order 12549, an individual or organization debarred or excluded from
participation in Federal assistance or benefit programs may not receive any assistance award
under a Federal program, or a subagreement thereunder for $25,000 or more.
Accordingly, each prospective recipient of an EP A grant. loan, or cooperative agreement and any
contract or sub agreement participant thereunder must complete the attached certification or
provide an explanation why they cannot. For further details, see 40 CFR 32.510, Participants'
responsibilities, in the attached regulation.
Where To Submit:
The prospective EP A grant. loan, or cooperative agreement recipient must return the signed
certification or explanation with its.application to the appropriate BPA Headquarters or Regional
office, as required in the application instructions.
A prospective prime contractor must submit a completed certification or explanation to the
individual or organization awarding the contract.
Each prospective subcontractor must submit a completed certification or explanation to the prime
contractor for the project.
How To Obtain Forms:
EP A includes the certification form, instructions, and a copy of its implementing regulation (40
CFR Part 32) in each application kit. Applicants may reproduce these materials as needed and
provide them to their prospective prime contractor, who, in turn, may reproduce and provide
them to prospective subcontractors.
Additional copies/assistance may be requested from:
Compliance Branch
Grants Administration Division (PM-2l6F)
U ,S.Environmental Protection Agency
401 M Street, SW
Washington, DC 20460
(Telephone: 202/475-8025)
EPA Form 5700-49 (11-88)
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EP A Region 4
Attachment Number 11
CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants,
Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) NQ Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of.
an agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award
documents for all sub awards at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
TYPED NAME & TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE OF AUTHORIZED REPRESENTATNE
DATE
_ I am unable to certify to the above statements. My explanation is attached.
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EP A Region 4
Attachment Number 12
UTILIZA nON OF SMALL. MINORITY AND WOMEN'S BUSINESSES
The provisions ofPL 102-389 and EPA's implementing regulation 40 CFR 31.36(e) require
recipients of Federal assistance to award a fair share of sub agreements to small, small rural,
minority and women's businesses on contracts and sub agreement perfonned under EP A
Assistance Agreements.
The following procedures are to be followed for procurement under EP A Assistance Agreements.
The successful bidder must submit to the EP A, with copy to the owner within 1 o days after bid
opening, evidence of the positive steps taken to utilize small, minority and women's businesses.
Information should include the following:
~ EP A Proj ect Number. Project Location. Type of Construction.
~ List of current construction contracts, with dollar amount. List contracting Federal
Agency, if applicable.
~ List of subcontractors (name, address and telephone) with dollar amount and duration of
subcontract.
~ List of any subcontract work yet to be committed with estimate of dollar amount and
duration of contract.
~ Contract Price. Duration of prime contract.
Such positive efforts shall include:
(1) Placing qualified small and minority businesses and women's business enterprises on
solicitation lists; .
(2) Assuring that small and minority businesses, and women's business enterprises are
solicited whenever they are potential sources;
(3) Dividing total requirements, when economically feasible, into smaller tasks or quantities
to permit maximum participation by small and minority business, and women's business
enterprises;
(4) Establishing delivery schedules, where the requirement permits, which encourage
participation by small and minority business, and women's business enterprises;
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EP A Region 4
(5) Using the services and assistance of the Small Business Administration, and the Minority
Business Development Agency of the Department of Commerce; and
(6) Requiring each party to a subagreement to take the affirmative steps listed in paragraphs I
through 5 of this section.
For purposes of clarification:
This requirement applies to any EP A Financially assisted procurement.
This requirement mandates three responsibilities, Separate solicitations must be made of
small, small rural, minority and womeli's businesses enterprises,
A minority business is a business, at least 51 percent of which is owned and controlled by
minority group members (Black; Hispanic; Asian American; American Indian; and any other
designations approved by the Office of Management and Budget that are U.S. citizens. Any
specific clarification concerning the ownership and/or control issues will be provided by the
EP A Regional Office.
A women's business is a business, at least 51 percent of which is owned and controlled by
one or more women who are U.S, citizens.
The control determination will revolve around the minority or women owner's involvement
in the day-to-day management of the business enterprise."
Solicitation should allow adequate time for price analysis; EP A recommends that contact be
made no later than 15 days before bid opening,
Efforts taken tq comply with this requirement must be documented in detail; maintain records
of firms contacted, including any negotiation efforts to reach competitive price levels, and
awards to the designated firms.
Any proposed changes from the approved MinoritylW omen/Small business participation
after EEO/MBE approval shall be reported to EP A prior to initiation of the action, with the
reason for the proposed deviation,
The EP A recommends that the grantee as well as the prime contractor utilize the services of
the following agencies to find information on certified MinoritylWomen/Small business. Use
of these services does not absolve the prime contractors from pursuing additional efforts to
comply with this requirement.
~ Minority Business Development Service Centers These Centers are funded by the U.S.
Department of Commerce to provide technical, financial and contracting assistance to
minority, women's and small rural business enterprises. The locations of the Centers are
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EP A Region 4
available by selecting the appropriate Minority Business Development Agency regional
office from:
http://www .mbda. gov/templates/ collection. php ?collect bucket=54&site id= 1 .
.. U.S. Small Business Administration PRO-Net (procurement marketing and access
network) at http://www.pro-net.sba.gov/ .
.. U.S. Small Business Administration (SBA) Online Women's Business Center. For the
Women's Business Center nearest you, go to: http://www.onlinewbc.gov/ and select
"Women's Business Centers.
For additional information on listings of certified MBE/WBE contractors and subcontractors in
the States of Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, and
Tennessee, contact Rafael Santamaria in EP A Region 4 at 404 562-8312.
For the State of Alabama, MBE/WBE contacts include:
Governor's Office of Minority and Women's Business Enterprises
401 Adams Avenue, Suite 360
Montgomery, AL 36130
1-800-477-4191 334/242-2220 334/242-4203 FAX
Alabama Small Business Development Consortium
A TTN: Charles Hopson
1717 11th Avenue, Suite 419
Birmingham, AL 35294 205/934-7260 205/934-7645
U.S. Small Business Administration
http://www . pro-net.sba, gov
Alabama Department of Transportation
A TTN: Chester Thomas
1409 Coliseum Boulevard, Room N -101
Montgomery, AL 36130 1-800-247-3618
U.S, Department of Commerce
Minority Business Development Agency
401 West Peachtree Street NW - Suite 1715
Atlanta, GA 30308 404/730-3300
http://www.mbda.gov
404/730/3313 FAX
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EP A Region 4
Birmingham MBOC
City of Birmingham
710 20th Street North
Birmingham, AL 35203
aimavo@ci.birmingham.atus
205/254-2799 205/254-7741 FAX
Birmingham Construction Industrial Authority
Michael Bell, Executive Director
David Merrida, Associate Director
3600 4th Avenue South
Birmingham, AL 35222 \ 205/324-6202 205/324-6210 FAX
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Attachment Number 13
REGION 4 DISADVANTAGED BUSINESS ENTERPRISE (DBE) NEGOTIATED RATES
(Subject to change - refer to grant award for specific fair share objectives)
ALABAMA
Supplies (commodities)
Services (contractual)
Equipment
Construction
2% MBE and 2.6% WBE
4% MBE and 4.9% WBE
3.3% MBE and 3.3% WBE
3.1% MBE and 2.4% WBE
FLORIDA
SRF Construction
(both SRF)
A & E Services:
Commodities:
Contractual:
Construction:
(non SRF)
11% MBE and 3% WBE
10% MBE and 15% WBE
7% MBE and 17% WBE
14% MBE and 36% WBE
10% MBE and 11% WBE
GEORGIA
GA DNR
Construction:
(includes all SRF)
All Other Categories:
4% MBE and 4% WBE
4.75% MBE and 1 % WBE
GA EF A
SRF Construction:
(Drinking & Clean
Water Program)
4.6% MBE and 2.7% WBE
KENTUCKY
SRF Construction:
(both programs)
Equipment:
Services:
Supplies: *
3% MBE and 5% WBE
1.5% MBE and 6.4% WBE
4% MBE and 1.8% WBE
2% MBE and 5% WBE
* As. explained elsewhere, this goal applies to only non-State grantees in Kentucky as State
recipients are already contractually committed to an exclusive supplier.
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MISSISSIPPI
SRF Construction
Drinking Water:
Clean Water:
Equipment:
Commodities:
(supplies)
Contractual:
(services)
2.9% MBE and 0.64% WBE
5.9% MBE and 1.6% WEE
3.7% MBE and 3.0% WBE
1.1% MBE and 1.8% WEE
1.7% MBE and 2.3% WEE
NORTH CAROLINA
SRF Construction:
(both programs)
Agriculture (only)
Supplies:
Services:
Professional Services:
(statewide)
Goods & Services:
(includes all equipment,
supplies & services)
8% MBE and 5% WBE
1.5% MBE and 1.5% WBE
0% MBE and 8.8% WBE
4% MBE and 10% WBE
7% MBE and 9% WBE
SOUTH CAROLINA
Construction:
(all SRF)
Services:
Equipment:
Supplies:
UST Services:
3.6% MBE and 2.4% WBE
11% MBEand 11% WBE
10% MBEand 10% WEE
9% MBE and 9% WBE
0% MBE and 1.44% WBE
TENNESSEE
All Categories:
(includes all SRF)
7% MBE
1 % WBE
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EP A Region 4
Attachment Number 14
BONDS AND INSURANCE
Bonding requirements for contracts of $1 00.000 or less are contained in 40 CFR 31.36(h).
Bond requirements for contracts in excess of $100.000 are:
~ Bid guarantee equivalent to five percent of the bid price. The bid guarantee shall consist
of a firm commitment such as a certified check or bid bond submitted with the bid;
~ Performance bond equal to 100 percent of the contract price, and
~ Payment bond equal to 100 percent of the contract price. Bonds must be obtained from
companies holding Certificates of Authority as acceptable sureties, issued by the U.S.
Treasury.
Insurance requirements are contained in the General Conditions of the contract. In addition to
the other required insurance, the owner or the contractor, as appropriate, must acquire any flood
insurance made available by the Federal Emergency Management Agency as required by 44 CFR
Parts 59-79, if construction will take place in a flood hazard area identified by the Federal
Emergency Management Agency. The owner's requirements on Flood Insurance are contained
in the Special Conditions Section of the Contracts Documents.
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