1. Guidance on the Solicitation of
  2. Disadvantaged Business
  3. Enterprise (DBE) Firms
  4. 382-5511-014
      1. DEPARTMENT OF ENVIRONMENTAL PROTECTION
      2. Bureau of Point and Non-Point Source Management
      3. TABLE OF CONTENTS
      4. Page
      5. DISADVANTAGED BUSINESS ENTERPRISE (DBE) FIRM
      6. SOLICITATION REQUIREMENTS
      7. WHAT ARE THE REQUIREMENTS?
      8. HOW DO YOU COMPLY WITH THE REQUIREMENTS?
      9. WHAT ARE THE SIX GOOD FAITH EFFORTS?
      10. HOW LONG AND WHAT RECORDS MUST BE RETAINED?
      11. WHAT HAPPENS IF COMPLIANCE IS NOT MET?
  5. Grant/Loan
  6. Recipient
  7. DBE Solicitation Effort
  8. Help Guide
  9. DBE is a blanket term that covers both MBE and WBE firms.
  10. All DBE solicitation must be documented.
  11. Step 1: Advertise your Project
      1. Federally funded projects –
  12. Step 2: Determining your Procurement Needs
      1. What type of contracts did you advertise for?
  13. Step 3: Department of General Services (DGS) website
  14. ( http://www.dgsweb.state.pa.us/mbewbe/VendorSearch.aspx ).
      1. How do you find DBE firms to solicit?
      2. How do you use the Department of General Services website?
      3. How do you use the Code Lookup Button?
      4. What if no results are found?
      5. Now that you have your commodity code(s) …
      6. No Vendor records were found for selection criteria!
      7. List of DBE firms …
      8. How many DBE firms do I have to solicit?
      9. You are required to print a DGS websearch for each type of contract.
      10. DGS Keyword Search Help Guide
  15. Step 4: Create your Solicitation Letter (sample on p. 11)
      1. How do I solicit the DBE firms found on the DGS website?
      2. Use your project description to create your solicitation letter.
      3. Do I need to personalize the letters/faxes/emails?
      4. Documentation will be kept.
      5. Follow up solicitation.
      6. The Borough of XYZ
  16. Step 5: Prime Contractor Responsibilities and Bid Opening
      1. How do the potential prime contractors achieve DBE Compliance?
      2. What happens after bid opening?
      3. IMPORTANT
  17. Step 6: Grant/Loan Recipient DBE Compliance Statement
      1. ALMOST DONE!
      2. Who do I submit my DBE compliance package to?
      3. Who will review my DBE compliance package?
      4. What is the difference between a compliance review and a full audit?
      5. GRANT/LOAN RECIPIENT DISADVANTAGED BUSINESS ENTERPRISE (DBE)
      6. COMPLIANCE STATEMENT
    1. Step 7: Checklist of what to Submit to the Department for Review
  18. Prime Contractor DBE Solicitation Effort
  19. Help Guide
  20. DBE is a blanket term that covers both MBE and WBE firms.
  21. All DBE solicitation must be documented.
  22. Step 1: Will you need to purchase supplies or hire any subcontractors
  23. for this project?
      1. If your answer is yes:
      2. If your answer is no:
  24. Step 2: Complete the Contract Procurement Breakdown Form
      1. What do you need for this project?
  25. CONTRACT PROCUREMENT BREAKDOWN
  26. Step 3: Department of General Services (DGS) website
  27. ( http://www.dgsweb.state.pa.us/mbewbe/VendorSearch.aspx ).
      1. How do you find DBE firms to solicit?
      2. How do you use the Department of General Services website?
      3. How do you use the Code Lookup Button?
      4. What if no results are found?
      5. Now that you have your commodity code(s) …
      6. No Vendor records were found for selection criteria!
      7. List of DBE firms …
      8. How many DBE firms do I have to solicit?
      9. DGS Keyword Search Help Guide
  28. Step 4: Create your Solicitation Letter (sample on p. 25)
      1. How do I solicit the DBE firms found on the DGS website?
      2. Do I need to personalize the letters/faxes/emails?
      3. Documentation will be kept.
      4. Follow up solicitation.
  29. Step 5: Prime Contractor DBE Compliance Statement
      1. ALMOST DONE!
      2. When do I submit my DBE documentation package?
      3. Who will review my DBE documentation package?
      4. PRIME CONTRACTOR DISADVANTAGED BUSINESS ENTERPRISE (DBE)
      5. COMPLIANCE STATEMENT
  30. Step 6: Checklist of what to Submit to the Grant/Loan Recipient
  31. for Review
  32. Grant/Loan Recipient’s
  33. Review of the
  34. Prime Contractor’s Solicitation Effort
  35. Help Guide
  36. 1. DBE is a blanket term that covers both MBE and WBE firms.
  37. 2. All DBE solicitation must be documented.
  38. 3. Most prime contractors’ DBE solicitation efforts can be corrected to
  39. meet compliance after the bid opening date as long as no awards have been made.
  40. 4. Whenever you are unsure of any information presented to you
  41. Step 1: Ensure that all Documentation has been Provided by the
  42. Identified Low Bidder(s)
  43. Step 2: Review the Contract Procurement Breakdown Form
  44. Step 3: Review the DGS Search Result Pages
  45. Step 4: Review the Initial and Follow-up Solicitation Letter
  46. Step 5: Review Fax Transmittal Logs, Email Delivery/Read Receipts,
  47. and/or Certified Mail Receipts
  48. Now that you have Completed your Review
  49. Any questions you have during the review should be directed to the Department.
      1. FORMS ASSOCIATED WITH THE DBE REGULATIONS
      2. GRANT/LOAN RECIPIENT DISADVANTAGED BUSINESS ENTERPRISE (DBE)
      3. COMPLIANCE STATEMENT
      4. PRIME CONTRACTOR DISADVANTAGED BUSINESS ENTERPRISE (DBE)
      5. COMPLIANCE STATEMENT
  50. CONTRACT PROCUREMENT BREAKDOWN

Guidance on the Solicitation of

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Disadvantaged Business

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Enterprise (DBE) Firms

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382-5511-014

382-5511-014 / August 8, 2012 / Page i
DEPARTMENT OF ENVIRONMENTAL PROTECTION
Bureau of Point and Non-Point Source Management
DOCUMENT NUMBER:
382-5511-014
TITLE:
Disadvantaged Business Enterprise (DBE) Firm Solicitation Guidance
EFFECTIVE DATE:
Upon Publication as Final in the
Pennsylvania Bulletin
AUTHORITY:
40 CFR Part 30, et al., Title 25 Pa. Code, Chapters 71, 963, 965.
POLICY:
It is the responsibility of the Pennsylvania Department of Environmental
Protection (Department) to implement the requirements for solicitation of
Disadvantaged Business Enterprise (DBE) firms to participate in the Clean
Water and Drinking Water State Revolving Fund programs, Special
Appropriation Act Projects (SAAP), or other potential federally funded
programs in conformance with the program operating agreement among
the Department, the Pennsylvania Infrastructure Investment Authority
(PENNVEST), and the Environmental Protection Agency (EPA).
PURPOSE:
To provide guidance to recipients of federal grant or loan funds under the
State Revolving Loan Fund and the Special Appropriation Act Programs
to ensure compliance with Disadvantage Business Enterprise Program
contract administration requirements.
APPLICABILITY:
This guidance will apply to all recipients of EPA financial assistance and
other federally funded assistance programs.
DISCLAIMER:
The policies and procedures outlined in this guidance are intended to
supplement existing requirements. Nothing in the policies or procedures
shall affect regulatory requirements.
The policies and procedures herein are not an adjudication or a regulation.
There is no intent on the part of DEP to give the rules in these policies that
weight or deference. This document establishes the framework within
which DEP will exercise its administrative discretion in the future. DEP
reserves the discretion to deviate from this policy statement if
circumstances warrant.
PAGE LENGTH:
44 pages

382-5511-014 / August 8, 2012 / Page ii
DEFINITIONS:
Disadvantaged Business Enterprise (DBE)
are entities owned and/or
controlled by a socially and economically disadvantaged individual(s).
There is a large group of DBE entities which include but is not limited to
Small Business Enterprise (SBE), Small Business in a Rural Area
(SBRA), Labor Surplus Area Firm (LSAF), Historically Underutilized
Business (HUB) Zone Small Business Concern, or a concern under a
successor program, Minority Business Enterprises (MBE), and Women’s
Business Enterprises (WBE).
Recipient
the entity that receives federal grant or loan funds under the
State Revolving Loan Fund and/or the Special Appropriation Act
Programs.
Prime Contractor
the entity contracted for work with a recipient that
receives federal grant or loan funds under the State Revolving Loan Fund,
the Special Appropriation Act Programs, and other federally funded
programs.
Subrecipient
the entity that receives federal grant or loan funds from a
recipient of federal grant or loan funds under the State Revolving Loan
Fund and/or the Special Appropriation Act Programs.
Specialized Services
services that are specific to the
use/design/installation/construction of technology/equipment related to a
special line of work that cannot be obtained or performed by entities not
licensed or skilled in the line of service.
Postings
notifications of forthcoming opportunities on the project that
are submitted to organizations, such as Minority Business Development
Agency, and SUB-Net, who provide services and outreach to DBE firms.
Postings by such agencies typically should occur at least thirty (30) days
prior to bid opening.
Resolution of Authorized Representative
a formal statement that
determines the representative that is authorized to sign on behalf of the
grant/loan recipient. The resolution may authorize a
“title”
or a
“named”
person. Authorizing a
“title”
allows a newly elected official the ability to
sign without having to obtain a new resolution for instances when one is
required.
Fair Share Objectives
a goal based on the capacity and availability of
qualified, certified, MBEs and WBEs in the relevant geographic market
for the procurement categories of construction, equipment, services, and
supplies compared to the number of all qualified entities in the same
market for the same procurement categories, adjusted, as appropriate, to
reflect the level of MBE and WBE participation expected absent the
effects of discrimination. It is not a quota.

382-5511-014 / August 8, 2012 / Page iii
Six Good Faith Efforts
the process used to document in detail the
solicitation of DBE firm participation. The Six Good Faith Efforts is not
the number of DBE firms to be solicited for compliance.
Self-Performance Letter
a letter submitted by a prime contractor that
states that all work to be performed under contract will be done with only
the work forces of the company and that all equipment, services and
supplies needed to perform all aspects of work under contract will be done
with in-house supplies, services, and equipment.
Project Area
the area in which the project will take place. The project
area is identified by the actual county of the project, the surrounding
counties, and the dollar amount of the contract(s) or procurement items.
Compliance Review
the process by which the Department reviews DBE
solicitation. Grant/loan recipients will submit the required documents
listed on the Grant/Loan Recipient DBE Compliance Statement,
confirming that they have timely applied the Six Good Faith Efforts and
met the DBE solicitation requirements as outlined in this DBE Guidance
Document.

382-5511-014 / August 8, 2012 / Page iv
TABLE OF CONTENTS
Page
WHAT ARE THE REQUIREMENTS? ..................................................................................................1
HOW DO YOU COMPLY WITH THE REQUIREMENTS? ..............................................................1
WHAT ARE THE SIX GOOD FAITH EFFORTS? ..............................................................................1
HOW LONG AND WHAT RECORDS MUST BE RETAINED? ........................................................2
WHAT HAPPENS IF COMPLIANCE IS NOT MET? .........................................................................2
GRANT/LOAN RECIPIENT DBE SOLICITATION EFFORT HELP GUIDE ................................3
PRIME CONTRACTOR DBE SOLICITATION EFFORT HELP GUIDE .....................................16
GRANT/LOAN RECIPIENT’S REVIEW OF THE PRIME CONTRACTOR’S
SOLICITATION EFFORT HELP GUIDE ..........................................................................................29
FORMS ASSOCIATED WITH THE DBE REGULATIONS.............................................................36

382-5511-014 / August 8, 2012 / Page 1
DISADVANTAGED BUSINESS ENTERPRISE (DBE) FIRM
SOLICITATION REQUIREMENTS
WHAT ARE THE REQUIREMENTS?
Pursuant to 40 CFR, Section 33.301, the recipients of federal funds must provide DBE firms with the
opportunity to compete for procurement opportunities by applying the Six Good Faith Efforts.
Pursuant to 40 CFR, Section 33.105, the recipients and subrecipients of federal funds are subject to
compliance and enforcement provisions for failure to comply with any requirements.
Pursuant to 40 CFR, Section 33.501, the recipients of federal funds must maintain all records
documenting its compliance with the requirements.
Pursuant to 40 CFR, Section 33.302, the recipients of federal funds are subject to additional contract
administration requirements.
HOW DO YOU COMPLY WITH THE REQUIREMENTS?
Compliance with the DBE solicitation requirements is done by timely applying the Six Good Faith
Efforts, as outlined in this Guidance Document. It is necessary for the Six Good Faith Efforts to be
documented in detail by both the grant/loan recipient and prime contractor(s) who participate in the
project. Grant/loan recipients and prime contractor(s) are required to prepare and maintain detailed
documents that show and support compliance and understanding of the DBE regulation set forth in
40 CFR Part 33, 33.301, 33.105, 33.501, and 33.302.
WHAT ARE THE SIX GOOD FAITH EFFORTS?
The Six Good Faith Efforts are required methods used by all EPA or financial assistance agreement
recipients to ensure that DBEs have the opportunity to compete for procurements funded by EPA
financial assistance dollars. Compliance with the Six Good Faith Efforts does not require recipients to
select and use a DBE firm. The Six Good Faith Efforts are:
Ensure DBE firms are made aware of contracting opportunities to the fullest extent practicable
through outreach and recruitment activities.
Make information on forthcoming opportunities available to DBE firms in a way that encourages
and facilitates participation by DBE firms in the competitive bid process. This includes,
whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days
before the bid or proposal closing date.
Consider in the contracting process whether firms competing for large contracts could
subcontract with DBE firms. This will include dividing total requirements when economically
feasible into smaller tasks or quantities to permit maximum participation by DBE firms in the
competitive bid process.
Encourage contracting with a group of DBE firms in a combined effort to meet project
requirements when a contract is too large for one of these firms to handle individually.

382-5511-014 / August 8, 2012 / Page 2
Use the services and assistance of the Department of General Services (DGS) website to perform
the direct search and solicitation of DBE firms that are potential sources for participation of
contracting opportunities.
If the prime contractor will award work to subcontractors or purchase supplies or equipment,
require the prime contractor to follow the five steps above.
HOW LONG AND WHAT RECORDS MUST BE RETAINED?
Record retention is determined by the applicable record retention requirements for the recipient’s
financial assistance agreement. Recipients of the Clean Water and Drinking Water State Revolving
Fund programs are required to retain records for a period of a minimum of four (4) years after final
amortization. SAAP recipients are required to retain records for a period of a minimum of three (3)
years following submission of the final expenditure report.
WHAT HAPPENS IF COMPLIANCE IS NOT MET?
Failure to comply with the Six Good Faith Efforts subjects a recipient to compliance and enforcement
provisions that include, but are not limited to, debarment, termination of available funds, fines, and/or
imprisonment. Such enforcement is pursuant to 40 CFR Parts 30, 31, and 35 as appropriate or any other
action by law including, but not limited to the enforcement under 18 U.S.C. 1001 and/or Program Fraud
Civil Remedies Act of 1986 (31 U.S.C. 3801).

382-5511-014 / August 8, 2012 / Page 3

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Grant/Loan

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Recipient

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DBE Solicitation Effort

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Help Guide
The DBE solicitation process does not require you to hire a certain
number of DBE firms and does not have goals. The purpose of the
DBE solicitation requirement is to give all applicable DBE firms in
the project area the opportunity to bid on the project.

382-5511-014 / August 8, 2012 / Page 4
Included in these instructions are the steps to successfully perform your
DBE solicitation for this project. Please read them carefully.
As a grant/loan recipient, you are responsible for soliciting DBE (includes
both MBE and WBE) firms for any procurement you will need to
complete your part of the project. This includes all construction, services,
supplies and/or equipment.

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DBE is a blanket term that covers both MBE and WBE firms.
For example, if your project consists of one general construction contract,
you will need to solicit DBE prime contractors that handle that type of
construction (DGS Keyword Search Help Guide on p. 9).
If your own workforces will be performing all of the work, but you will
need to purchase supplies, then you will need to solicit DBE suppliers in
the project area.

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All DBE solicitation must be documented.

382-5511-014 / August 8, 2012 / Page 5

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Step 1:
Advertise your Project
The bid advertisement should be published at least 30 days prior to the bid opening date to allow
sufficient time for potential contractors to submit bids. Grant/loan recipients should include the insert
statement found below in bid specifications as well as make this DBE Firm Solicitation Guidance
document available to all potential contractors.
Insert Statement:
Federally funded projects
This project is being federally funded by EPA financial assistance dollars and therefore requires all
contractors to demonstrate compliance with federal Executive Orders 11625, 12138, and 12432 and
EPA Regulations at 40 CFR Part 30, et al., through the detailed documentation of solicitation of
Disadvantage Business Enterprises (DBEs). Contractors must demonstrate the Six Good Faith Efforts
to identify and solicit DBE firms that are potential sources for any procurement action in the areas of
project construction, equipment, services, and supplies by including state qualified small businesses,
and minority and women owned business enterprises in the bidding process.

382-5511-014 / August 8, 2012 / Page 6

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Step 2:
Determining your Procurement Needs
What type of contracts did you advertise for?
The ONLY website required to be used is the Pennsylvania Department of General Services website.
This site includes both MBE and WBE firms. Any other websites you use or any other DBE firms you
solicit are in addition to this requirement and do not need to be included in your documentation.
Construction contracts
These types of contracts require you to solicit DBE firms to submit bids
as potential prime contractors.
Equipment contracts
If you are purchasing equipment directly, you are required to solicit DBE
firms for the purchase of the equipment.
Services contracts
If you will be hiring a new engineer and/or entering into any type of service
contract, you are required to solicit DBE firms for that service.
Supply contracts
If you will be purchasing supplies directly, you are required to solicit DBE
firms for the purchase of the supplies.

382-5511-014 / August 8, 2012 / Page 7

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Step 3:
Department of General Services (DGS) website

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(
http://www.dgsweb.state.pa.us/mbewbe/VendorSearch.aspx
).
How do you find DBE firms to solicit?
The ONLY website required to be used is the DGS website. DGS maintains a database that lists DBE
firms throughout the state. This site includes both MBE and WBE firms. Any other websites you use or
any other DBE firms you solicit are in addition to this requirement and do not need to be included in
your documentation.
How do you use the Department of General Services website?
Using your scope of work for each contract being bid, you will create a websearch for each contract.
For example, if you have a general construction, an electrical, and a plumbing contract, you should have
at least three websearches.
On p. 9, you will see a DGS Keyword Search Help Guide. If the description you are searching for is
included in this list, you will use the code listed to search by.
If the description you are searching for is not included in this list, you will click on the
“Code
Look Up”
button to locate a code to search by.
How do you use the Code Lookup Button?
Go to
http://www.dgsweb.state.pa.us/mbewbe/VendorSearch.aspx
.
Click on
“Code
Lookup Button”, which will bring you to the
“Classification
Code Criteria
Selection” screen.
Select the category (supplies=goods; subcontracts=service)
Enter a description
do
not
be too specific.
Click
“Search” –
do
not
click on
“All
Commodity Data to Excel” or
“Search
Results to Excel”
“Classification
Code Look Up Results”
Click on the most applicable Commodity Code. This
will take you back to the screen you started on.
What if no results are found?
Make sure that you are not being too specific in your description.
Try using another description.
If the results are none, print this page to show that there are no commodity codes on the DGS
website to match your procurement item.

382-5511-014 / August 8, 2012 / Page 8
Now that you have your commodity code(s) …
Business Classification Code
You will either enter the code you found on p. 9 of this guidance
or the code you selected using the
“Code
Lookup Button” will be automatically populated here.
Do you want a listing of the companies who are assigned the sub-codes that fall under this
specific category? This answer is defaulted to yes
do
not
change it.
Vendor Name
Leave this blank.
County
Leave this as ALL. It will take less of your time and paper to print a statewide search.
Most searches do not take up more than one page.
MBE/WBE
Leave this as ALL.
Items per page
It is recommended to leave this as 25. If you change it to a higher number,
some of the information may be cut from the bottom of the page when printed or copied.
Click
“Search” –
Do
not
click on
“All
Vendor Data to Excel” or
“Search
Results to Excel”.
No Vendor records were found for selection criteria!
If you see this message and have ensured that you did everything correctly, print this page and
include it as part of your documentation. Unless there is another commodity code you can use to
search with, you have not found any DBE firms for this item and do not have to solicit for it.
List of DBE firms …
You’ve clicked
“search”
and now have a list of DBE firms. You will print this list using the
print option in your Internet browser. The date of the search will automatically populate on your
printout. This automatically populated date is required to prove it is a current, valid search.
A websearch is considered current if it was printed within 90 days of the bid opening.
Make sure to print ALL pages of your search. Most searches are only one page long, but if it is
not, you will print all pages.
How many DBE firms do I have to solicit?
There is
not
a set number of DBE firms you have to solicit. You will include all
applicable
DBE
firms in your solicitation.
If the estimated cost of the contract will be less than $750,000, your solicitation area consists of
the project county and all of its surrounding counties.
If the estimated cost of the contract will be more than $750,000, or if the item or subcontract is
considered specialized, your solicitation area consists of the entire state.
You are required to print a DGS websearch for each type of contract.

382-5511-014 / August 8, 2012 / Page 9
DGS Keyword Search Help Guide
We have listed below common DGS codes to help you in your use of the DGS website. Using these will
give you a more accurate search of firms applicable to the project. If you have any questions regarding
the suggested codes or need assistance with your searches, please do not hesitate to contact the
Department at (717) 705-4090. It is important to develop accurate searches to help ensure a good faith
effort.
Common Search Terms used by Grant/Loan Recipients
(County should be ALL and MBE/WBE should be ALL for all searches)
Legal Services:
94131603 (Legal Assistance Services)
Engineering Services:
81101500 (Civil Engineering)
Drinking Water/Sewer Prime Contractors: 83101500 (Water & Sewer Utilities)
72131700 (Infrastructure Construction)
Prime Contractors for Pipe Installation:
78102100 (Pipeline Services)
Electrical Prime Contractors:
72102200 (Electrical Services)
Plumbing Prime Contractors:
72102300 (Plumbing & Heating & Air Conditioning)
Common Search Terms used by Prime Contractors for Supplies/Subcontracts
(County should be ALL and MBE/WBE should be ALL for all searches)
If searching for supplies:
ready-mix concrete
30111505 (ready-mix concrete)
pipe
40142100 (pipe)
40142300 (pipe fittings)
paint
31211500 (paints and primers)
stone
11111600 (stone)
electrical supplies
25173900 (electrical components)
26121500 (electrical wire)
landscaping supplies
30120000 (roads & landscape)
21100000 (agricultural & forestry
& landscape)
manholes
30121605 (manhole frames
with covers)
pumps
40151500 (pumps)
If searching for subcontractors:
concrete
72101700 (concrete work)
73121805 (concrete or aggregates
or stone products)
pipe
78102100 (pipeline services)
paving
72131701 (highway or road
paving or surfacing)
excavation
71122307 (subsea dredging,
trenching & excavation)
72103000 (site preparation)
landscaping
72102902 (landscape services)
boring
73181007 (boring services)
electrical
72102200 (electrical services)
plumbing/hvac
72102300 (plumbing & heating &
air conditioning)
If searching for the following:
trucking
78101801 (local area trucking service)
78101802 (regional or national
trucking services)
video/photography
82131601 (Aerial photography
services)
equipment rental
47101500 (water treatment & supply
equipment)
surveying
81151604 (land surveying)
flagging
46161500 (traffic control)
water meters
41112504 (water meters)
inspection
81141807 (plumbing or sewer
inspection services)
rain barrels
24112102 (barrels)

382-5511-014 / August 8, 2012 / Page 10

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Step 4:
Create your Solicitation Letter (sample on p. 11)
How do I solicit the DBE firms found on the DGS website?
IN A WAY THAT WILL PRODUCE A CONFIRMATION RECEIPT (by fax or email)
Telephone
calls or in person contact are not considered part of a good faith effort. When using U.S. mail, certified
mail receipts should be sent and kept.
Your solicitation letter should specifically describe the project; demonstrate a real desire for a positive
response; and be sent in a timely manner to allow a sufficient time (30 days) to develop bids.
Use your project description to create your solicitation letter.
For example, if you have three different types of contracts, you will want to put the description of each
in your letter. Be sure to include pertinent information such as the bid opening date and any pre-bid
meeting dates and requirements. Please note that any changes in bid opening date, pre-bid meeting
dates, or project descriptions will need to be communicated to the applicable DBE firms.
Do I need to personalize the letters/faxes/emails?
NO,
you do not need to personalize the letters. It will save you time and resources to follow the
example on p. 11.
Documentation will be kept.
If faxing, you should keep the fax transmittal logs. As long as you do not personalize the letters, a
broadcast fax can be sent. If emailing, delivery receipts should be requested because read receipts will
not always be sent back. If you are not sure what an email delivery receipt is, faxing is probably your
best option. If your fax machine is not set up to generate a fax transmittal log, you should set it up to do
so. If the fax number or email address does not work, you should call the DBE firm to obtain the correct
fax number or email address to perform your solicitation. If sending certified mail, receipts should be
kept.
Follow up solicitation.
Unless you get a response from your initial solicitation, you should send a second solicitation letter. The
follow up solicitation can use the original solicitation letter with
“SECOND
NOTICE” typed across the
top. The documentation rules above apply to the follow up solicitation as well.
The follow up solicitation letter should be sent out approximately one week after the initial solicitation
letter, but before the prebid meeting, if applicable.
Any correspondence received from DBE firms should be kept.

382-5511-014 / August 8, 2012 / Page 11
The Borough of XYZ
111 Main Street, Anytown, PA 11111
(999) 999-9999
FAX: (888) 888-8888
January 1, 20XX
DBE Prime Contractors
Reference:
Contract 1: General Construction
Contract 2: Electrical
Contract 3: HVAC
Contract 4: Plumbing
The Borough of XYZ, Any County, PA
Initial DBE Contact
To Whom It May Concern:
The Borough of XYZ is soliciting bids for the above referenced project. This project involves four prime
contracts for the construction of (sanitary sewers and appurtenances, water mains, water tank, etc.).
This project is being funded or may be funded in part by a federal program. Solicitation of
Disadvantaged Business Enterprise (DBE) firms is a requirement of this project. Accordingly, the Borough is
soliciting bids for these contracts.
Enclosed please find a copy of the Advertisement of Bids for the above prime contracts. Our goal is to
receive a positive response from your firm regarding any or all of these contracts. Please check the boxes below
to indicate if your firm is interested in bidding on these contracts or not, and fax this page to our office at the
above fax number.
DBE Firm Name _________________________
We are interested in providing a bid for Contract ___________________. We will mail the check in the
appropriate amount as payment for the plans and specifications, plus postage & handling.
We are not interested in providing a bid for these contracts.
Plans and specifications are available for inspection at our office located at the above address. They are
also available for inspection and purchase at $____________ per set at the consulting engineer’s office, ABE
Engineering Corporation, 333 North Street, Penntown, PA 11113, (777) 777-7777.
Subcontractors on this project will be required to comply with all applicable regulations, including
Presidential Executive Order Number 11246 regarding
“Non-discrimination
in Employment”, and other
applicable Federal regulations. These requirements are explained in the project specifications.
Bids for the project are due no later than February 1, 20XX, so your prompt attention is necessary. Please
contact Harry Abraham of our staff with any questions regarding this project. Plans and specifications will be
mailed to you upon receipt of your payment. If you are not interested, we ask that you still fax this letter back to
us indicating so by checking the appropriate box. Thank you for your time.
Sincerely,
Xavier Y. Zimmerman
President
Enclosure

382-5511-014 / August 8, 2012 / Page 12

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Step 5:
Prime Contractor Responsibilities and Bid Opening
How do the potential prime contractors achieve DBE Compliance?
The potential prime contractor is responsible for soliciting DBE firms for any items they will be
procuring for the contract or project. See
“Prime
Contractor DBE Solicitation Help Guide” on p. 16 for
their instructions.
Who is responsible for reviewing the potential prime contractors’ DBE solicitation
documentation?
The grant/loan recipient is responsible for reviewing the prime contractors’ DBE solicitation
documentation and ensuring that it is in compliance.
See
“Grant/Loan
Recipient’s Review of the Prime Contractor’s DBE Solicitation Effort Help Guide” on
p. 29 for instructions.
The prime contractor DBE documentation should be reviewed and found to be in compliance before you
can submit your DBE Compliance package to the Department for review.
Do I request the potential prime contractors’ DBE documentation at the time of bid or after the
low bidder(s) is determined?
This decision is up to the grant/loan recipient. To save the amount of paper the potential prime
contractor has to submit with their bid, it might be easier to request their documentation after you have
determined the low bidder(s).
What happens after bid opening?
You will review the identified low bidders’ DBE documentation (see instructions on p. 29 and, if
necessary, work with them to achieve compliance.
IMPORTANT
The grant/loan recipient’s DBE solicitation effort CANNOT be fixed AFTER bid opening. Please
contact the Department with any questions and/or concerns PRIOR to bid opening.

382-5511-014 / August 8, 2012 / Page 13

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Step 6:
Grant/Loan Recipient DBE Compliance Statement
(3800-FM-BPNPSM0120). An electronic version can be found on
our website
(
www.dep.state.pa.us
) (Sample on p. 14)
ALMOST DONE!
Once Steps 1-5 have been completed and all of your documentation gathered, complete the Grant/Loan
Recipient DBE Compliance Statement on p. 37 of this Guidance.
All of the applicable boxes will need to be checked off and signed by the authorized representative.
Who do I submit my DBE compliance package to?
You will submit your DBE compliance package to the Department for review. See Step 7 of this Help
Guide for a checklist of what should be submitted.
Who will review my DBE compliance package?
The Department staff will review your DBE compliance package.
If they see any inconsistencies, they will either ask for an explanation or your project will be chosen for
a full audit.
If your project is chosen for a full audit, you will need to submit all DBE documentation to the
Department for review.
What is the difference between a compliance review and a full audit?
Compliance Review
The information submitted to the Department for review is a snapshot of the documentation. As long as
there are no inconsistencies in the DBE compliance package, the time frame for review is 10 business
days.
Full Audit
You will submit all of the DBE documentation supporting the direct solicitation of DBE firms on behalf
of the grant/loan recipient and the identified low bidder(s) of the contracts. As long as there are no
inconsistencies in the package, the time frame for review is 30 business days.

3800-FM-BPNPSM0120 Rev. 5/2012
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF POINT AND NON-POINT SOURCE MANAGEMENT
382-5511-014 / August 8, 2012 / Page 14
GRANT/LOAN RECIPIENT DISADVANTAGED BUSINESS ENTERPRISE (DBE)
COMPLIANCE STATEMENT
GRANT/LOAN RECIPIENT NAME: XYZ Borough
GRANT/ME NUMBER: 12345
CONTRACT NUMBER: 1
Project County Erie
Contract Amt. $1,000,000
Solicited:
Surrounding Counties
Statewide
Date of Advertisement 01/01/20XX
Bid Opening Date 02/01/20XX
Date Search Performed 01/01/20XX
Date of Initial Solicitation 01/01/20XX
Date of Follow-up Solicitation 01/08/20XX
Solicited by:
Email
Fax
These items are being submitted with this
compliance statement to PADEP.
Copies of advertisement and postings of solicitation
for bids or proposal
Copy of Grant/Loan Recipient's initial solicitation
letter and follow-up solicitation letter
Bid Tabulation for each prime contract
Prime Contractor's DBE Compliance Statement –
(original)
Prime Contractor's contract procurement breakdown
and copy of initial solicitation letter and follow-up
solicitation letter
Resolution of Authorized Representative
These items are being retained by the
Grant/Loan recipient.
Grant/Loan recipient has copies on file for review of
all documentation that supports the direct search for
and solicitation of potential participation of DBE firms
in the competitive process.
This includes the
documentation related to web searches, contact
correspondence, and contact logs.
DBE solicitation documentation by Prime Contractor
is on file for review. This includes the documentation
related to web searches, contact correspondence,
and contact logs.
As the authorized representative for the above named grant/loan recipient, I certify that the six good faith efforts have
been performed in conformance with DBE regulations 40 CFR, 33.301. All efforts made have been properly documented
as outlined in the PADEP DBE Guidance Document. All documentation will be retained in accordance with applicable
record retention requirements under the financial assistance agreement for the above named project. I understand such
documentation is subject to an audit review by the US Environmental Protection Agency or the Pennsylvania Department
of Environmental Protection, Division of Technical and Financial Assistance to further ensure compliance. By signing this
statement the above named grant/loan recipient understands that the DBE regulations 40 CFR, 33.105 include
compliance and enforcement provisions to which the grant/loan recipient is subject. By signing this statement the above
named grant/loan recipient understands that the DBE regulations 40 CFR, 33.302 include additional contract
administrative requirements that must be complied with.
The Prime Contractor’s DBE solicitation effort has been reviewed and determined to be in compliance with the six good
faith efforts as outlined in the PA DEP DBE Guidance Document.
Yes
No
Has the contract been awarded?
Yes
No
If yes, it is understood that awarding any contracts prior to receiving a notice to proceed from DEP would be doing so at
your own risk and project funds may not be eligible toward project costs.
Xavier Y. Zimmerman
02/15/20XX
Signature of Authorized Representative
Printed Name of Authorized Representative
Date
MAIL TO:
Pennsylvania Department of Environmental Protection
Bureau of Point and Non-Point Source Management
Division of Technical and Financial Assistance
P. O. Box 8774
Harrisburg, PA 17105

382-5511-014 / August 8, 2012 / Page 15
Step 7:
Checklist of what to Submit to the Department for Review
Unless your project was chosen for a full audit, you should ONLY submit the following
information for review:
Grant/Loan Recipient DBE Compliance Statement
One of these forms for each contract
should be submitted with an original signature.
Copy of Bid Advertisement
A legible copy of the advertisement should be submitted. If you
did not advertise, then this does not apply to you.
Bid Tabulation for Each Prime Contract
The engineer will certify the bid tab on either the
first or last page.
Copy of the Initial and Follow-Up Solicitation Letter for the Grant/Loan Recipient’s DBE
Solicitation Efforts
Only one copy of each letter is necessary.
Prime Contractors’ DBE Compliance Statement
Ensure that all of the fields are complete
and submit with the original signature.
Prime Contractors’ Contract Procurement Breakdown
Ensure that all items match the
items listed on the Prime Contractor’s solicitation letter.
Copy of the Initial and Follow-Up Solicitation Letter for the Identified Low Bidders’ DBE
Solicitation Efforts
Only one copy of each letter is necessary as long as the items on the letter
match the items on the Prime Contractor’s Contract Procurement Breakdown.
Resolution of Authorized Representative
This is necessary for all SAAP projects, but is not
required for PENNVEST projects.

382-5511-014 / August 8, 2012 / Page 16

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Prime Contractor
DBE Solicitation Effort

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Help Guide
The DBE solicitation process does not require you to hire a certain
number of DBE firms and does not have goals. The purpose of the
DBE solicitation requirement is to give all applicable DBE firms in
the project area the opportunity to bid on the project.

382-5511-014 / August 8, 2012 / Page 17
Included in these instructions are the steps to successfully perform your
DBE solicitation for this project. Please read them carefully.
As a prime contractor, you are responsible for soliciting DBE (includes
both MBE and WBE) firms for any procurement you will need to
complete your part of the project.

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DBE is a blanket term that covers both MBE and WBE firms.
For example, if you will be installing pipe and you need to purchase pipe,
you will need to solicit DBE pipe suppliers in the project area. Because
you are installing the pipe yourself, you will not need to solicit
subcontractors for this purpose.

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All DBE solicitation must be documented.

382-5511-014 / August 8, 2012 / Page 18

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Step 1:
Will you need to purchase supplies or hire any subcontractors

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for this project?
If your answer is yes:
Complete the Contract Procurement Breakdown form (3800-FM-BPNPSM0116) on p. 39. See Step 2
for more information.
If your answer is no:
Submit a letter with your bid stating that all work will be self-performed and all equipment and supplies
are in stock. You will not be procuring any items for this project. Please contact the Department for a
sample letter.
And then you are finished! DBE solicitation is not required if you have no procurement opportunities to
offer.
If you find the need to procure items further into the project, you will follow the rest of the steps in this
Guidance document.

382-5511-014 / August 8, 2012 / Page 19

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Step 2:
Complete the Contract Procurement Breakdown Form
(3800-FM-BPNPSM0116). An electronic version can be found at
(
www.depweb.state.pa.us
) (Sample on p. 20)
What do you need for this project?
Construction Section
List any construction required for this contract and indicate whether or
not it is to be self-performed or subcontracted. If it is to be subcontracted, indicate whether the
estimated cost is greater or less than $750,000.
Equipment Section
List any equipment required for this contract and indicate whether or not it
will be purchased, already owned, or rented. If it is to be rented or purchased, indicate whether
the estimated cost is greater or less than $750,000.
Services Section
List any service required for this contract and indicate whether or not it will
be self-performed or subcontracted. If it is to be subcontracted, indicate whether the estimated
cost is greater or less than $750,000.
Supplies Section
List all supplies required for this contract and indicate whether or not it will
be purchased or is part of your in-house stock. If it is to be purchased, indicate whether the
estimated cost is greater or less than $750,000.
Any items you already have in stock should not be solicited for.
Any work you are performing yourself should not be solicited for.
List one item per line to avoid confusion. Use more than one form if necessary.

382-5511-014 / August 8, 2012 / Page 20
3800-FM-BPNPSM0116
2/2012
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF POINT AND NON-POINT SOURCE MANAGEMENT

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CONTRACT PROCUREMENT BREAKDOWN
PROJECT NAME: XYZ Borough
CONTRACT AMOUNT: $1,000,000.00
CONTRACTOR NAME: Any Construction Company
CONTRACT NO.: 1
For each contract associated with the above project, the contractor must list all construction, equipment, services and
supplies utilized under the individual contract, and provide the procurement method used to obtain each item. Attach
additional sheets if necessary. Each item listed below as being subcontracted, rented, or purchased should be used as the
criteria for the DGS Web site printouts and the development of the solicitation letter.
CONSTRUCTION
List Work Trade or Task
Estimated
Item Cost >
$750,000
Self-perform
Subcontract
For DEP Use
Only
Some Examples:
Trucking, Paving,
Excavation,
Concrete Curb
and Sidewalk,
Installation of
Pipe, Fence and
Rebar, Painting,
Roofing, etc.
Paving
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
EQUIPMENT
List All Equipment Required
Purchase
Own
Rent
For DEP Use Only
Some Examples:
Controls and
Instrumentation,
Pumps,
Generators,
Storage Tanks,
Conveyors,
Backhoe, Crane,
etc.
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
SERVICES
List All Services Required
Self-perform
Subcontract
For DEP Use Only
Some Examples:
Construction
Inspection and
Observation,
Materials Testing,
Engineering,
Flagging,
Construction
Photography, etc.
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
SUPPLIES
List All Supplies Required
Purchase
In-house Stock
For DEP Use Only
Some Examples:
Asphalt, Concrete,
Stone, Pipe,
Valves, Manholes,
Rebar, Steel
Doors, Trusses,
Lumber, Silt
Fence, Wire,
Conduit, Water
Meters, Rain
Barrels, Dirt and
Gravel, etc.
Manholes
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Prepared by (Name and Title): John Smith
Date: 01/15/20XX

382-5511-014 / August 8, 2012 / Page 21

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Step 3:
Department of General Services (DGS) website

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(
http://www.dgsweb.state.pa.us/mbewbe/VendorSearch.aspx
).
How do you find DBE firms to solicit?
The ONLY website required to be used is the DGS website. DGS maintains a database that lists DBE
firms throughout the state. This site includes both MBE and WBE firms. Any other websites you use or
any other DBE firms you solicit are in addition to this requirement and do not need to be included in
your documentation.
How do you use the Department of General Services website?
Using your Contract Procurement Breakdown, you will create a websearch for each item marked as rent,
purchase, or subcontract.
On p. 23 you will see a DGS Keyword Search Help Guide. If the item you are searching for is included
in this list, you will use the code listed to search by.
If the item you are searching for is not included in this list, you will click on the
“Code
Look Up” button
to locate a code to search by.
How do you use the Code Lookup Button?
Go to
http://www.dgsweb.state.pa.us/mbewbe/VendorSearch.aspx
.
Click on
“Code
Lookup Button”, which will bring you to the
“Classification
Code Criteria
Selection” screen.
Select the category (supplies=goods; subcontracts=service)
Enter a description
do
not
be too specific.
Click
“Search” –
do
not
click on
“All
Commodity Data to Excel” or
“Search
Results to Excel”
“Classification
Code Look Up Results”
Click on the most applicable Commodity Code. This
will take you back to the screen you started on.
What if no results are found?
Make sure that you are not being too specific in your description.
Try using another description.
If the results are none, print this page to show that there are no commodity codes on the DGS
website to match your procurement item.

382-5511-014 / August 8, 2012 / Page 22
Now that you have your commodity code(s) …
Business Classification Code
You will either enter the code you found on p. 23 of this
guidance or the code you selected using the
“Code
Lookup Button” will be automatically
populated here.
Do you want a listing of the companies who are assigned the sub-codes that fall under this
specific category? This answer is defaulted to yes
do
not
change it.
Vendor Name
Leave this blank.
County
Leave this as ALL. It will take less of your time and paper to print a statewide search.
Most searches do not take up more than one page.
MBE/WBE
Leave this as ALL.
Items per page
It is recommended to leave this as 25. If you change it to a higher number,
some of the information may be cut from the bottom of the page when printed or copied.
Click
“Search” –
Do
not
click on
“All
Vendor Data to Excel” or
“Search
Results to Excel”
No Vendor records were found for selection criteria!
If you see this message and have ensured that you did everything correctly, print this page and
include it as part of your documentation. Unless there is another commodity code you can use to
search with, you have not found any DBE firms for this item and do not have to solicit for it.
List of DBE firms …
You’ve clicked
“search”
and now have a list of DBE firms. You will print this list using the
print option in your Internet browser. The date of the search will automatically populate on your
printout. This automatically populated date is required to prove it is a current, valid search.
A websearch is considered current if it was printed within 90 days of the bid opening.
Make sure to print ALL pages of your search. Most searches are only one page long, but if it is
not, you will print all pages.
How many DBE firms do I have to solicit?
There is
not
a set number of DBE firms you have to solicit. You will include all
applicable
DBE
firms in your solicitation.
If the estimated cost of your procurement item or subcontract will be less than $750,000, your
solicitation area consists of the project county and all of its surrounding counties.
If the estimated cost of your procurement item or subcontract will be more than $750,000, or if
the item or subcontract is considered specialized, your solicitation area consists of the entire
state.
Please remember the estimated cost is based on each procurement item or subcontract, not the
total amount of the contract.
You are required to print a DGS websearch for each item marked as rent, purchase, or
subcontract on your Contract Procurement Breakdown form.

382-5511-014 / August 8, 2012 / Page 23
DGS Keyword Search Help Guide
We have listed below common DGS codes to help you in your use of the DGS website. Using these will
give you a more accurate search of firms applicable to the project. If you have any questions regarding
the suggested codes or need assistance with your searches, please do not hesitate to contact the
Department at (717) 705-4090. It is important to develop accurate searches to help ensure a good faith
effort.
Common Search Terms used by Grant/Loan Recipients
(County should be ALL and MBE/WBE should be ALL for all searches)
Legal Services:
94131603 (Legal Assistance Services)
Engineering Services:
81101500 (Civil Engineering)
Drinking Water/Sewer Prime Contractors: 83101500 (Water & Sewer Utilities)
72131700 (Infrastructure Construction)
Prime Contractors for Pipe Installation:
78102100 (Pipeline Services)
Electrical Prime Contractors:
72102200 (Electrical Services)
Plumbing Prime Contractors:
72102300 (Plumbing & Heating & Air Conditioning)
Common Search Terms used by Prime Contractors for Supplies/Subcontracts
(County should be ALL and MBE/WBE should be ALL for all searches)
If searching for supplies:
ready-mix concrete
30111505 (ready-mix concrete)
pipe
40142100 (pipe)
40142300 (pipe fittings)
paint
31211500 (paints and primers)
stone
11111600 (stone)
electrical supplies
25173900 (electrical components)
26121500 (electrical wire)
landscaping supplies
30120000 (roads & landscape)
21100000 (agricultural & forestry
& landscape)
manholes
30121605 (manhole frames
with covers)
pumps
40151500 (pumps)
If searching for subcontractors:
concrete
72101700 (concrete work)
73121805 (concrete or aggregates
or stone products)
pipe
78102100 (pipeline services)
paving
72131701 (highway or road
paving or surfacing)
excavation
71122307 (subsea dredging,
trenching & excavation)
72103000 (site preparation)
landscaping
72102902 (landscape services)
boring
73181007 (boring services)
electrical
72102200 (electrical services)
plumbing/hvac
72102300 (plumbing & heating &
air conditioning)
If searching for the following:
trucking
78101801 (local area trucking service)
78101802 (regional or national
trucking services)
video/photography
82131601 (Aerial photography
services)
equipment rental
47101500 (water treatment & supply
equipment)
surveying
81151604 (land surveying)
flagging
46161500 (traffic control)
water meters
41112504 (water meters)
inspection
81141807 (plumbing or sewer
inspection services)
rain barrels
24112102 (barrels)

382-5511-014 / August 8, 2012 / Page 24

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Step 4:
Create your Solicitation Letter (sample on p. 25)
How do I solicit the DBE firms found on the DGS website?
IN A WAY THAT WILL PRODUCE A CONFIRMATION RECEIPT (by fax or email)
Telephone
calls or in person contact are not considered part of a good faith effort. When using U.S. mail, certified
mail receipts should be sent and kept.
Your solicitation letter should specifically describe the goods or services that are being solicited;
demonstrate a real desire for a positive response; and be sent in a timely manner to allow a sufficient
time (7-10 days) to develop quotes, with the due date clearly stated.
Use your Contract Procurement Breakdown form to create your solicitation letter.
For example, if you have on your Contract Procurement Breakdown form that you will be purchasing
pipe, then pipe should be listed on your solicitation letter.
Do I need to personalize the letters/faxes/emails?
NO,
you do not need to personalize the letters. It will save you time and resources to follow the
example on p. 25.
Documentation will be kept.
If faxing, you should keep the fax transmittal logs. As long as you do not personalize the letters, a
broadcast fax can be sent. If emailing, delivery receipts should be requested because read receipts will
not always be sent back. If you are not sure what a delivery receipt is, faxing is probably your best
option. If your fax machine is not set up to generate a fax transmittal log, you should set it up to do so.
If the fax number or email address does not work, you should call the DBE firm to obtain the correct fax
number or email address to perform your solicitation. If sending certified mail, receipts should be kept.
Follow up solicitation.
Unless you get a response from your initial solicitation, you should send a second solicitation letter. The
follow up solicitation can use the original solicitation letter with
“SECOND
NOTICE” typed across the
top. The documentation rules above apply to the follow up solicitation as well.
The follow up solicitation letter should be sent out 4-5 days after the initial solicitation to give DBE
firms enough time to respond to the initial solicitation.
Any correspondence received from DBE firms should be kept, including quotes.

382-5511-014 / August 8, 2012 / Page 25
Any Construction Company
111 Main Street, Anytown, PA 11111
(444) 444-4444
FAX: (333) 333-3333
January 10, 20XX
DBE Firms
To Whom It May Concern:
Our company is preparing to bid on Contract No. 1 of the XYZ Borough project. This contract involves
_____________________________________________________.
This project is being funded or may be funded in part by a federal program. Solicitation of
Disadvantaged Business Enterprise (DBE) firms is a requirement of this project. Accordingly, our company is
soliciting quotations for the following:
Subcontracts:
Equipment and Supplies
paving
manholes
Our goal is to receive a positive response from your firm regarding any or all of the above items. Please
check the boxes below to indicate if your firm is interested in submitting a quote or not, and fax this page to our
office at the above fax number.
DBE Firm Name________________________
We are interested in providing a quote for _______.
We are not interested in providing a quote for these items.
Plans and specifications are available for inspection at our office located at the above address. They are
also available for inspection and purchase at $________ per set at the consulting engineer’s office, ABE
Engineering Corporation, 333 North Street, Penntown, PA 11113, (777) 777-7777.
Subcontractors on this project will be required to comply with all applicable regulations, including
Presidential Executive Order Number 11246 regarding
“Non-discrimination
in Employment”, and other
applicable Federal regulations. These requirements are explained in the project specifications.
Quotes for the project are due no later than January 20, 20XX, so your prompt attention is necessary.
Please contact Harry Abraham of our staff with any questions regarding this project. If you are not interested, we
ask that you still fax this letter back to us indicating so by checking the appropriate box. Thank you for your time.
Sincerely,
John Smith
President

382-5511-014 / August 8, 2012 / Page 26

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Step 5:
Prime Contractor DBE Compliance Statement
(3800-FM-BPNPSM0119). An electronic version can be found on
our website
(
www.dep.state.pa.us
) (sample on p. 27)
ALMOST DONE!
Once Steps 1-4 have been completed and all of your documentation gathered, the owner of the company
should complete the Prime Contractor DBE Compliance Statement.
All of the applicable boxes will need to be checked off.
When do I submit my DBE documentation package?
This depends on the project. The grant/loan recipient will either ask for it to be submitted with your bid
or after they have determined the low bidder(s) for the project.
Who will review my DBE documentation package?
This also depends on the project. The initial review of your DBE documentation will be performed by
the grant/loan recipient.
If the grant/loan recipient sees any inconsistencies, they will ask you to fix them. If the grant/loan
recipient does not find any inconsistencies,
part
of your DBE documentation will be submitted to the
Department for review.
The only pages that the Department initially receives are:
Prime Contractor DBE Compliance Statement
Contract Procurement Breakdown
Initial and follow up solicitation letter
The Department will do a compliance review and will not initially review the DGS websearches or the
fax/email documentation. It is important that the items listed on the Contract Procurement Breakdown
form match your solicitation letter.
If the project is selected for a full audit, the Department may ask the grant/loan recipient to submit all
DBE solicitation documentation, including the identified low bidders’ documentation, for review.

382-5511-014 / August 8, 2012 / Page 27
3800-FM-BPNPSM0119 Rev. 5/2012
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF POINT AND NON-POINT SOURCE MANAGEMENT
PRIME CONTRACTOR DISADVANTAGED BUSINESS ENTERPRISE (DBE)
COMPLIANCE STATEMENT
CONTRACTOR NAME: Any Construction Company
GRANT/LOAN RECIPIENT NAME: XYZ Borough
CONTRACT NUMBER: 1
Date of Initial Solicitation 01/10/20XX
Date of Follow-up Solicitation 01/15/20XX
Date of Search 01/10/20XX
Counties Searched Erie, Crawford, and Warren
Solicited by
email
fax
Please submit the following items, along with this form, to the Grant/Loan recipient.
Grant/Loan recipient has been provided copies of all documentation that supports the direct search
for and solicitation of potential participation of DBE firms in the competitive process to be retained on
file for review. This includes the documentation related to web searches, contact correspondence,
and contact logs.
Copies of any quotes received from DBE firms in response to solicitation efforts are attached.
Contract Procurement Breakdown Form
As the owner for the above named company, I certify that the six good faith efforts have been performed in
conformance with DBE regulations 40 CFR, 33.301. All efforts have been properly documented as outlined
in the DBE Guidance Document. All documentation has been supplied to the above named grant/loan
recipient to be retained in accordance with applicable record retention requirements under the financial
assistance agreement for the above named project. I understand that such documentation is subject to an
audit review by the US Environmental Protection Agency or the Pennsylvania Department of Environmental
Protection, Division of Technical and Financial Assistance to further ensure compliance. I understand that by
signing this statement that the DBE regulations 40 CFR, 33.105 include compliance and enforcement
provisions to which the grant/loan recipient and sub-recipients are subject. I understand by signing this
statement that the DBE regulations 40 CFR, 33.302 include additional contract administrative requirements
that I must comply with.
02/01/20XX
Signature of Owner
Date
John Smith
Printed Name of Owner
MAIL TO:
Grant/Loan recipient

382-5511-014 / August 8, 2012 / Page 28

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Step 6:
Checklist of what to Submit to the Grant/Loan Recipient

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for Review
When requested, you should submit ALL of the following to the grant/loan recipient to prove your
compliance with the DBE solicitation requirement.
Prime Contractor DBE Compliance Statement
One of these forms for each contract should
be submitted with an original signature.
Prime Contractors’ Contract Procurement Breakdown Form
Ensure that all items listed as
subcontract, rent, or purchase match the items listed on the solicitation letter.
Copies of all DGS Websearches
There should be one websearch for each item listed as
subcontract, rent, or purchase on the Contract Procurement Breakdown form. The websearches
should be done by item, not by searching for all DBE firms in the county.
Copies of the Initial and Follow-Up Solicitation Letters
It is recommended to follow the
example on p. 25.
Fax Transmittal Logs, Email Delivery/Read Receipts, and/or Certified Mail Receipts
Proof of an initial and follow up solicitation should be submitted for each applicable DBE firm
found on the DGS websearches in the project area.
Correspondence Received, Including Quotes, from Solicited DBE Firms
If applicable, any
correspondence, including quotes, should be submitted.

382-5511-014 / August 8, 2012 / Page 29

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Grant/Loan Recipient’s

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Review of the

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Prime Contractor’s
Solicitation Effort

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Help Guide
The grant/loan recipient is required to review the identified low
bidders’ DBE solicitation effort to determine the prime contractors’
compliance with the DBE requirements.

382-5511-014 / August 8, 2012 / Page 30
Included in these instructions are the steps to successfully perform the
review of the identified low bidders’ DBE solicitation effort(s) for this
project. Please read them carefully. Please also read the
“Prime
Contractor DBE Solicitation Effort Help Guide” contained in this
guidance before following these instructions to familiarize yourself with
the process.
Four important reminders when reviewing the identified low bidders’
solicitation effort:

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1.
DBE is a blanket term that covers both MBE and WBE firms.

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2.
All DBE solicitation must be documented.

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3.
Most prime contractors’ DBE solicitation efforts can be corrected to

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meet compliance after the bid opening date as long as no awards
have been made.

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4.
Whenever you are unsure of any information presented to you
during the review of the identified low bidders’ effort, please contact
the Department for further instruction and/or recommendation.

382-5511-014 / August 8, 2012 / Page 31

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Step 1:
Ensure that all Documentation has been Provided by the

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Identified Low Bidder(s)
Completed and signed Prime Contractor Disadvantage Business Enterprise (DBE) Compliance
Statement with an original signature.
Completed Contract Procurement Breakdown form.
Printed Department of General Services (DGS) website search results (this includes printed
pages that have
no results found
”)
with auto populated date on each printout to ensure that the
searches performed are current (within 90 days of the bid opening).
Copies of initial and follow-up solicitation letters.
Copies of email delivery/read recipients, fax transmittal logs, and/or certified mail receipts.
Any correspondence, including quotes, received from the solicited DBE firms.
NOTE:
If the prime contractor will be completing all contract requirements with in-house supplies and
company work force, a letter of self-performance is required instead of the above listed prime contractor
items. Please contact the Department for a sample letter.

382-5511-014 / August 8, 2012 / Page 32

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Step 2:
Review the Contract Procurement Breakdown Form
The completed Contract Procurement Breakdown form should list all construction, equipment, services,
and supplies needed for the contract. Any item listed as subcontract, rent, or purchase should be
included in the identified low bidders’ solicitation effort.

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Step 3:
Review the DGS Search Result Pages
There should be a DGS search for each item listed as subcontract, rent, or purchase from the
Contract Procurement Breakdown form. Printed search pages that say
“no
results found” count
as a search result. If there is not a DGS websearch for each item, the missing DGS websearch(s)
should be requested from the identified low bidder.
Ensure that the criteria used to generate the DGS websearch was accurate and that the DGS
websearch was printed within 90 days of the bid opening. If it is not, an accurate and current
websearch should be requested from the identified low bidder.
If a new DGS websearch was necessary and requested, and additional applicable DBE firms
appear in the project area, those additional firms should be solicited and documentation
submitted to the grant/loan recipient for review.
Ensure that all DGS websearch pages are legible.

382-5511-014 / August 8, 2012 / Page 33

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Step 4:
Review the Initial and Follow-up Solicitation Letter
The DBE solicitation letter should specifically describe the goods or services that are being solicited,
clearly state the due date, demonstrate a real desire for a positive response, and be sent in a timely
manner to allow a sufficient time (7-10 days) to develop quotes.
Using the Contract Procurement Breakdown form, ensure that all items listed as subcontract,
rent, or purchase are listed on the solicitation letter. Some prime contractors will do a separate
solicitation letter for each procurement item as opposed to listing all procurement items on one
solicitation letter. In this case, ensure there is a solicitation letter for each item. Please note that
if the DGS websearch for that item returned no results, that item may not be listed on the
solicitation letter, which is acceptable.
If there is an item from the Contract Procurement Breakdown form listed as subcontract, rent, or
purchase and there is a DGS websearch for that item with results, but that item is not on the
solicitation letter, you will need to contact the prime contractor and instruct them to perform a
solicitation for that item.
If there is an item on the solicitation letter that is not listed on the Contract Procurement
Breakdown form as subcontract, rent, or purchase, you will need to ensure there is a DGS
websearch for that item. The item will also need to be added to the Contract Procurement
Breakdown form.
The follow-up solicitation letter should be identical to the initial solicitation letter, although the
due date may be different.

382-5511-014 / August 8, 2012 / Page 34

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Step 5:
Review Fax Transmittal Logs, Email Delivery/Read Receipts,

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and/or Certified Mail Receipts
For this step, you will need to have the DGS websearch results to compare to the fax transmittal logs,
email delivery/read receipts, and/or certified mail receipts.
There should be an initial fax transmittal log, email delivery/read receipt, and/or a certified mail
receipt for all applicable DBE firms from the DGS websearches in the project area.
o
For items under $750,000, the project area consists of the project county and all of its
surrounding counties
o
For items over $750,000, or if the item or subcontract is considered specialized, the
project area consists of the entire state.
o
Please remember, the estimated cost is based on the procurement item or subcontract, not
the total amount of the contract.
o
It will be indicated on the Contract Procurement Breakdown form whether or not the item
cost is estimated to be under or over $750,000.
For any solicited DBE firm that did not respond to the initial solicitation, there should be a
follow-up fax transmittal log, email delivery/read receipt, and/or certified mail receipt.
If any of this documentation is missing, you should request it from the prime contractor. If they
are unable to provide the requested documentation, you should instruct them to perform the
solicitation and turn in the documentation for your review.
This should be done before you submit your DBE compliance package to the Department.

382-5511-014 / August 8, 2012 / Page 35
Step 6:

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Now that you have Completed your Review
Once you have completed your review of the identified low bidders’ DBE solicitation effort and have
determined that they are in compliance, you will keep all documentation on file in the event a full audit
is requested. The following information from the prime contractors’ DBE solicitation effort should be
included in the DBE compliance package submitted to the Department:
Prime Contractor’s DBE Compliance Statement with an original signature
Prime Contractor’s Contract Procurement Breakdown form
One copy of the initial solicitation letter and one copy of the follow-up solicitation letter. If there
is a separate solicitation letter for each item on the Contract Procurement Breakdown form, one
copy of the initial solicitation letter and one copy of the follow-up solicitation letter should be
submitted for each item. If an item from the breakdown was not listed on the solicitation letter
because the DGS websearch returned no results, please include an explanation with your DBE
compliance package.

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Any questions you have during the review should be directed to the
Department.

382-5511-014 / August 8, 2012 / Page 36
FORMS ASSOCIATED WITH THE DBE REGULATIONS
Grant/Loan Recipient Disadvantaged Business Enterprise (DBE) Compliance Statement
DEP Form 3800-FM-BPNPSM0120
Prime Contractor Disadvantaged Business Enterprise (DBE) Compliance Statement
DEP Form 3800-FM-BPNPSM0119
Contract Procurement Breakdown
DEP Form 3800-FM-BPNPSM0116

3800-FM-BPNPSM0120 Rev. 5/2012
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF POINT AND NON-POINT SOURCE MANAGEMENT
382-5511-014 / August 8, 2012 / Page 37
GRANT/LOAN RECIPIENT DISADVANTAGED BUSINESS ENTERPRISE (DBE)
COMPLIANCE STATEMENT
GRANT/LOAN RECIPIENT NAME:
GRANT/ME NUMBER:
CONTRACT NUMBER:
Project County
Contract Amt.
Solicited:
Surrounding Counties
Statewide
Date of Advertisement
Bid Opening Date
Date Search Performed
Date of Initial Solicitation
Date of Follow-up Solicitation
Solicited by:
Email
Fax
These items are being submitted with this
compliance statement to PADEP.
Copies of advertisement and postings of solicitation
for bids or proposal
Copy of Grant/Loan Recipient's initial solicitation
letter and follow-up solicitation letter
Bid Tabulation for each prime contract
Prime Contractor's DBE Compliance Statement –
(original)
Prime Contractor's contract procurement breakdown
and copy of initial solicitation letter and follow-up
solicitation letter
Resolution of Authorized Representative
These items are being retained by the
Grant/Loan recipient.
Grant/Loan recipient has copies on file for review of
all documentation that supports the direct search for
and solicitation of potential participation of DBE firms
in the competitive process.
This includes the
documentation related to web searches, contact
correspondence, and contact logs.
DBE solicitation documentation by Prime Contractor
is on file for review. This includes the documentation
related to web searches, contact correspondence,
and contact logs.
As the authorized representative for the above named grant/loan recipient, I certify that the six good faith efforts have
been performed in conformance with DBE regulations 40 CFR, 33.301. All efforts made have been properly documented
as outlined in the PADEP DBE Guidance Document. All documentation will be retained in accordance with applicable
record retention requirements under the financial assistance agreement for the above named project. I understand such
documentation is subject to an audit review by the US Environmental Protection Agency or the Pennsylvania Department
of Environmental Protection, Division of Technical and Financial Assistance to further ensure compliance. By signing this
statement the above named grant/loan recipient understands that the DBE regulations 40 CFR, 33.105 include
compliance and enforcement provisions to which the grant/loan recipient is subject. By signing this statement the above
named grant/loan recipient understands that the DBE regulations 40 CFR, 33.302 include additional contract
administrative requirements that must be complied with.
The Prime Contractor’s DBE solicitation effort has been reviewed and determined to be in compliance with the six good
faith efforts as outlined in the PA DEP DBE Guidance Document.
Yes
No
Has the contract been awarded?
Yes
No
If yes, it is understood that awarding any contracts prior to receiving a notice to proceed from DEP would be doing so at
your own risk and project funds may not be eligible toward project costs.
Signature of Authorized Representative
Printed Name of Authorized Representative
Date
MAIL TO:
Pennsylvania Department of Environmental Protection
Bureau of Point and Non-Point Source Management
Division of Technical and Financial Assistance
P. O. Box 8774
Harrisburg, PA 17105

382-5511-014 / August 8, 2012 / Page 38
3800-FM-BPNPSM0119 Rev. 5/2012
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF POINT AND NON-POINT SOURCE MANAGEMENT
PRIME CONTRACTOR DISADVANTAGED BUSINESS ENTERPRISE (DBE)
COMPLIANCE STATEMENT
CONTRACTOR NAME:
GRANT/LOAN RECIPIENT NAME:
CONTRACT NUMBER:
Date of Initial Solicitation
Date of Follow-up Solicitation
Date of Search
Counties Searched
Solicited by
email
fax
Please submit the following items, along with this form, to the Grant/Loan recipient.
Grant/Loan recipient has been provided copies of all documentation that supports the direct search
for and solicitation of potential participation of DBE firms in the competitive process to be retained on
file for review. This includes the documentation related to web searches, contact correspondence,
and contact logs.
Copies of any quotes received from DBE firms in response to solicitation efforts are attached.
Contract Procurement Breakdown Form
As the owner for the above named company, I certify that the six good faith efforts have been performed in
conformance with DBE regulations 40 CFR, 33.301. All efforts have been properly documented as outlined
in the DBE Guidance Document. All documentation has been supplied to the above named grant/loan
recipient to be retained in accordance with applicable record retention requirements under the financial
assistance agreement for the above named project. I understand that such documentation is subject to an
audit review by the US Environmental Protection Agency or the Pennsylvania Department of Environmental
Protection, Division of Technical and Financial Assistance to further ensure compliance. I understand that by
signing this statement that the DBE regulations 40 CFR, 33.105 include compliance and enforcement
provisions to which the grant/loan recipient and sub-recipients are subject. I understand by signing this
statement that the DBE regulations 40 CFR, 33.302 include additional contract administrative requirements
that I must comply with.
Signature of Owner
Date
Printed Name of Owner
MAIL TO:
Grant/Loan recipient

382-5511-014 / August 8, 2012 / Page 39
3800-FM-BPNPSM0116 2/2012
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF POINT AND NON-POINT SOURCE MANAGEMENT

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CONTRACT PROCUREMENT BREAKDOWN
PROJECT NAME:
CONTRACT AMOUNT:
CONTRACTOR NAME:
CONTRACT NO.:
For each contract associated with the above project, the contractor must list all construction, equipment, services and
supplies utilized under the individual contract, and provide the procurement method used to obtain each item. Attach
additional sheets if necessary. Each item listed below as being subcontracted, rented, or purchased should be used as the
criteria for the DGS Web site printouts and the development of the solicitation letter.
CONSTRUCTION
List Work Trade or Task
Estimated
Item Cost >
$750,000
Self-perform
Subcontract
For DEP Use Only
Some Examples:
Trucking, Paving,
Excavation,
Concrete Curb
and Sidewalk,
Installation of
Pipe, Fence and
Rebar, Painting,
Roofing, etc.
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
EQUIPMENT
List All Equipment Required
Purchase
Own
Rent
For DEP Use Only
Some Examples:
Controls and
Instrumentation,
Pumps,
Generators,
Storage Tanks,
Conveyors,
Backhoe, Crane,
etc.
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
SERVICES
List All Services Required
Self-perform
Subcontract
For DEP Use Only
Some Examples:
Construction
Inspection and
Observation,
Materials Testing,
Engineering,
Flagging,
Construction
Photography, etc.
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
SUPPLIES
List All Supplies Required
Purchase
In-house Stock
For DEP Use Only
Some Examples:
Asphalt, Concrete,
Stone, Pipe,
Valves, Manholes,
Rebar, Steel
Doors, Trusses,
Lumber, Silt
Fence, Wire,
Conduit, Water
Meters, Rain
Barrels, Dirt and
Gravel, etc.
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Prepared by (Name and Title):
Date:

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