approve contract awards and modifications and issue ... · fy 2010-11 ab 2766 discretionary fund...

BOARD MEETING DATE: June 1, 2012 AGENDA NO. 12 PROPOSAL: Approve Contract Awards and Modifications and Issue Solicitations

under FYs 2007-08, 2010-11 and 2011-12 AB 2766 Discretionary Fund Work Programs

SYNOPSIS: As part of the FY 2007-08 Work Program, the MSRC approved a

contract modification substituting vehicles under the Local Government Match Program. As part of the FY 2010-11 Work Program, the MSRC approved additional awards under their “Showcase II” Off-Road Aftertreatment Demonstration Program. As part of the FY 2011-12 Work Program, the MSRC approved a contract modification providing additional funds for alternative fuel school buses and awards under their Alternative Fuel Infrastructure and Local Government Match Programs, as well as release of RFQ and Program Announcement for their “Showcase III” Off-Road Diesel Emission Reduction Demonstration Program. At this time the MSRC seeks Board approval of these contract awards and modifications and approval to release the solicitations.

COMMITTEE: Mobile Source Air Pollution Reduction Review, April 19 and

May 17, 2012, Recommended for Approval RECOMMENDED ACTIONS: 1. Approve modified contract with the City of Anaheim, Contract #ML08024,

substituting seven CNG buses for seven liquefied petroleum gas buses as part of the FY 2007-08 Work Program, as described in this letter;

2. Approve the award of 9 contracts totaling $1,728,533 (using the remaining $240,075 originally allocated plus an additional $1,488,458 previously unallocated) for the “Showcase II” Off-Road Aftertreatment Demonstration Program as part of the FY 2010-11 AB 2766 Discretionary Fund Work Program, as described in this letter and as follows: a. A contract with Ivanhoe Energy Services in an amount not to exceed $66,750 for

the purchase, installation, demonstration and evaluation of a diesel emission control system on one off-road diesel vehicle at Stice Company; and

-2-

b. A contract with the City of Long Beach in an amount not to exceed $159,012 for the purchase, installation, demonstration and evaluation of a diesel emission control system on up to 7 off-road diesel vehicles;

c. A contract with DCL America Inc. in an amount not to exceed $500,000 for the purchase, installation, demonstration and evaluation of a diesel emission control system on up to 8 off-road diesel vehicles at Jagur Tractor;

d. A contract with Cemex Construction Material Pacific, LLC in an amount not to exceed $500,000 for the purchase, installation, demonstration and evaluation of a diesel emission control system on up to 22 off-road diesel vehicles,

e. A contract with Diesel Emission Technologies in an amount not to exceed $32,750 for the installation, demonstration and evaluation of a diesel emission control system on up to 3 off-road diesel vehicles at Community Recycling;

f. A contract with Diesel Emission Technologies in an amount not to exceed $9,750 for the installation, demonstration and evaluation of a diesel emission control system on one off-road diesel vehicle at John T. Malloy Inc.;

g. A contract with Diesel Emission Technologies in an amount not to exceed $14,750 for the installation, demonstration and evaluation of a diesel emission control system on one off-road diesel vehicle at Altfillisch Contractors Inc.;

h. A contract with California Cartage in an amount not to exceed $55,000 for the installation, demonstration and evaluation of a diesel emission control system on up to 2 off-road diesel vehicles; and

i. A contract with Griffith Company in an amount not to exceed $390,521 for the installation, demonstration and evaluation of a diesel emission control system on up to 18 off-road diesel vehicles;

3. Approve a funding augmentation in an amount not to exceed $45,000 as part of the FY 2011-12 Work Program, to existing contract #MS11003 with BusWest under the Alternative Fuel School Bus Incentives Program, using funds previously allocated to this Program but not yet awarded, as described in this letter;

4. Approve the award of 9 contracts totaling $1,219,000 under the Alternative Fuel Infrastructure Program as part of FY 2011-12 AB 2766 Discretionary Fund Work Program, as described in this letter and as follows: a. A contract with USA Waste of California in an amount not to exceed $175,000 for

a new limited access natural gas refueling station and maintenance facility modifications in Chino;

b. A contract with USA Waste of California in an amount not to exceed $75,000 for maintenance facility modifications in Long Beach;

c. A contract with Waste Management Collection & Recycling in an amount not to exceed $75,000 for maintenance facility modifications in Baldwin Park;

d. A contract with WestAir Gases and Equipment in an amount not to exceed $100,000 for a new limited access natural gas refueling station in Anaheim;

e. A contract with Bonita Unified School District in an amount not to exceed $175,000 for a new limited access natural gas refueling station in San Dimas;

f. A contract with Sysco Food Services in an amount not to exceed $150,000 for a new publicly accessible natural gas refueling station in Riverside;

-3-

g. A contract with Murrieta Unified School District in an amount not to exceed $244,000 for a new limited access natural gas refueling station and maintenance facility modifications in Murrieta;

h. A contract with Southern California Gas Company in an amount not to exceed $150,000 for a new publicly accessible natural gas refueling station in Pico Rivera; and

i. A contract with Rim of the World Unified School District in an amount not to exceed $75,000 for maintenance facility modifications in Lake Arrowhead;

5. Approve the award of 11 contracts totaling $2,873,000 under the Local Government Match Program as part of FY 2011-12 AB 2766 Discretionary Fund Work Program, as described in this letter and as follows: a. A contract with the City of Pasadena in an amount not to exceed $200,000 for

electric vehicle charging stations; b. A contract with the City of Santa Ana in an amount not to exceed $320,000 for the

purchase of up to 9 heavy-duty natural gas and LPG heavy-duty vehicles and electric vehicle charging stations;

c. A contract with the City of Fullerton in an amount not to exceed $155,000 for the purchase of a natural gas heavy-duty vehicle, a new limited access LPG refueling station, upgrades to their existing CNG station and maintenance facility modifications;

d. A contract with the City of Cathedral City in an amount not to exceed $60,000 for the purchase of a natural gas heavy-duty vehicle and electric vehicle charging stations;

e. A contract with the City of Los Angeles in an amount not to exceed $950,000 for the purchase of up to 32 heavy-duty natural gas vehicles for their Bureau of Sanitation;

f. A contract with the City of West Covina in an amount not to exceed $300,000 for the expansion of their existing CNG station;

g. A contract with the City of Palm Springs in an amount not to exceed $38,000 for electric vehicle charging stations;

h. A contract with the City of Los Angeles in an amount not to exceed $450,000 for the purchase of up to 15 heavy-duty natural gas vehicles for their General Services Department;

i. A contract with the City of Rancho Cucamonga in an amount not to exceed $40,000 for the purchase of up to 4 medium-duty natural gas vehicles;

j. A contract with the City of La Puente in an amount not to exceed $110,000 for the purchase of up to 7 medium- and heavy-duty natural gas vehicles;

k. A contract with the County of Los Angeles in an amount not to exceed $250,000 for electric vehicle charging stations;

6. Issue RFQ for the “Showcase III” Off-Road Diesel Emission Reduction Manufacturer Program, as described in this letter;

7. Issue Program Announcement for the “Showcase III” Off-Road Diesel Emission Reduction Demonstration Program, with a targeted funding level of $1,500,000, as described in this letter;

-4-

8. Authorize MSRC the authority to adjust contract awards up to five percent, as necessary and previously granted in prior work programs; and

9. Authorize the Chairman of the Board to execute new and modified contracts under FYs 2007-08, 2010-11 and 2011-12 AB 2766 Discretionary Fund Work Programs, as described above and in this letter.

Greg Winterbottom Chair, MSRC CSL:HH:CR

Background In September 1990 Assembly Bill 2766 was signed into law (Health & Safety Code Sections 44220-44247) authorizing the imposition of an annual $4 motor vehicle registration fee to fund the implementation of programs exclusively to reduce air pollution from motor vehicles. AB 2766 provides that 30 percent of the annual $4 vehicle registration fee subvened to the AQMD be placed into an account to be allocated pursuant to a work program developed and adopted by the MSRC and approved by the Board.

As part of the FY 2007-08 Work Program, the City of Anaheim was awarded a $425,000 contract under the MSRC’s Local Government Match Program towards the purchase of 17 heavy-duty LPG vehicles. Subsequently, the City requested to substitute 8 CNG buses for 8 of the LPG buses specified in the contract. The MSRC considered this request at their April 19, 2012 meeting. Among other programs, the FY 2010-11 Work Program included a “Showcase II” Program to demonstrate diesel exhaust aftertreatment devices on off-road vehicles. At their May 17, 2012 meeting, the MSRC considered additional recommended awards under the Showcase II Program. Details are provided below in the Proposal section.

For the FY 2011-12 Work Program, the MSRC selected categories and targeted funding amounts in December 2011. The MSRC’s Technical Advisory Committee (MSRC-TAC) has since been working to refine the categories and develop solicitation documents. Eight solicitations have already been released. Two additional draft solicitations were ready for MSRC consideration on May 17, 2012. The MSRC also considered recommended awards under the Alternative Fuel Infrastructure and Local Government Match Programs, as well as a request for additional incentive funding from one of the qualified school bus vendors under the Alternative Fuel School Bus Incentives Program. Details are provided below in the Proposal section.

-5-

Outreach In accordance with AQMD’s Procurement Policy and Procedure, public notices advertising the Showcase III Off-Road Diesel Emission Reduction Demonstration Program Announcement and inviting bids will be published in the Los Angeles Times, the Orange County Register, the San Bernardino Sun, and Riverside County Press Enterprise newspapers to leverage the most cost-effective method of outreach to the entire South Coast Basin. In addition, the Program Announcement will be advertised in the Desert Sun newspaper for expanded outreach in the Coachella Valley. Public notices advertising the Showcase II Off-Road Aftertreatment Demonstration, Alternative Fuel Infrastructure and Local Government Match Program Announcements were likewise published in the Los Angeles Times, the Orange County Register, the San Bernardino Sun, and Riverside County Press Enterprise newspapers. Additionally, potential bidders may be and/or may have been notified utilizing AQMD’s own electronic listing of certified minority vendors. Notice of the solicitations will be/was mailed to the Black and Latino Legislative Caucuses and various minority chambers of commerce and business associations, and placed on the Internet at AQMD’s Website (http://www.aqmd.gov where it can be viewed by making menu selections “Inside AQMD”/“Employment and Business Opportunities”/“Business Opportunities” or by going directly to http://www.aqmd.gov/rfp/index.html). Information is also available on AQMD’s bidder’s 24-hour telephone message line (909) 396-2724. Further, the solicitations will be/were posted on the MSRC’s website at http://www.cleantransportationfunding.org and electronic notifications will be/were sent to those subscribing to this website’s notification service.

Proposals At its April 19 and May 17, 2012 meetings, the MSRC considered recommendations from its MSRC-TAC and unanimously approved the following: FY 2007-08 Local Government Match Program In June 2008, the MSRC approved an award under the FY 2007-08 Local Government Match Program to the City of Anaheim in an amount not to exceed $425,000 for the purchase of 17 LPG buses by Anaheim Transportation Network (ATN). 9 buses were purchased and placed into service. The City has indicated that it is not feasible for ATN to purchase the remaining 8 buses in LPG configuration. The City requests substitution of 8 CNG buses for 8 of the LPG buses specified in their contract. The FY 2007-08 Local Government Match Program offered funding for both LPG and CNG vehicles, and the emissions of the CNG vehicles would be comparable. At its April 19, 2012 meeting, the MSRC considered and approved the City’s requested contract modification.

FY 2010-11 Showcase II Program The MSRC approved a “Showcase II” diesel exhaust aftertreatment demonstration program as an element of their FY 2010-11 Work Program. The MSRC released a $2.25

http://www.aqmd.gov/

http://www.aqmd.gov/rfp/index.html

http://www.cleantransportationfunding.org/

-6-

million “Showcase II” Vehicle Program Announcement #PA2011-07, and to date, funding totaling $2,009,925 to retrofit 65 vehicles has been awarded. Additional applications have been under evaluation. At its May 17, 2012 meeting, the MSRC considered recommendations as well as the backup list of eligible projects. In an action addressing all remaining applications under this Program, the MSRC approved 9 additional contract awards totaling $1,728,533 (using the remaining $240,075 originally allocated plus an additional $1,488,458 previously unallocated) under the “Showcase II” Off-Road Aftertreatment Demonstration Program as part of the FY 2010-11 AB 2766 Discretionary Fund Work Program, as follows: a. A contract with Ivanhoe Energy Services in an amount not to exceed $66,750 for the

purchase, installation, demonstration and evaluation of a diesel emission control system on one off-road diesel vehicle at Stice Company; and

b. A contract with the City of Long Beach in an amount not to exceed $159,012 for the purchase, installation, demonstration and evaluation of a diesel emission control system on up to 7 off-road diesel vehicles;

c. A contract with DCL America Inc. in an amount not to exceed $500,000 for the purchase, installation, demonstration and evaluation of a diesel emission control system on up to 8 off-road diesel vehicles at Jagur Tractor;

d. A contract with Cemex Construction Material Pacific, LLC in an amount not to exceed $500,000 for the purchase, installation, demonstration and evaluation of a diesel emission control system on up to 22 off-road diesel vehicles,

e. A contract with Diesel Emission Technologies in an amount not to exceed $32,750 for the installation, demonstration and evaluation of a diesel emission control system on up to 3 off-road diesel vehicles at Community Recycling;

f. A contract with Diesel Emission Technologies in an amount not to exceed $9,750 for the installation, demonstration and evaluation of a diesel emission control system on one off-road diesel vehicle at John T. Malloy Inc.;

g. A contract with Diesel Emission Technologies in an amount not to exceed $14,750 for the installation, demonstration and evaluation of a diesel emission control system on one off-road diesel vehicle at Altfillisch Contractors Inc.;

h. A contract with California Cartage in an amount not to exceed $55,000 for the installation, demonstration and evaluation of a diesel emission control system on up to two off-road diesel vehicles; and

i. A contract with Griffith Company in an amount not to exceed $390,521 for the installation, demonstration and evaluation of a diesel emission control system on up to 18 off-road diesel vehicles.

FY 2011-12 Alternative Fuel School Bus Incentives Program The MSRC allocated $1.5 million under the FY 2011-12 Work Program to continue its Alternative Fuel School Bus Incentive Program. This Program offers buydown incentives ranging from $15,000 to $45,000 per bus, depending upon model. School bus models qualified under the FY 2010-11 Program remain qualified under the FY 2011-12 Program, and their vendors’ contracts remain open until December 31, 2012. At its May

-7-

17, 2012 meeting, the MSRC approved a request from BusWest for an additional $45,000 to fulfill an order from Student Transportation of America, a private pupil transportation provider, for a full-sized CNG bus.

FY 2011-12 Alternative Fuel Infrastructure Program As part of the FY 2011-12 Work Program, the MSRC allocated $4.0 million for the implementation of new and expanded CNG and LNG refueling stations and modification of maintenance facilities to accommodate gaseous-fueled vehicles. A Program Announcement, #PA2012-10, was developed and released on March 2, 2012, with a final submission deadline of September 28, 2012. A total of ten applications have been received to date, requesting a total of $1,369,000. One application was rejected for failure to include a memorandum of understanding with the owner of the proposed site. At its May 17, 2012 meeting, the MSRC considered the other nine applications and approved nine contract awards totaling $1,219,000 under the Alternative Fuel Infrastructure Program as part of the FY 2011-12 AB 2766 Discretionary Fund Work Program, as follows: a. A contract with USA Waste of California in an amount not to exceed $175,000 for a

new limited access natural gas refueling station and maintenance facility modifications in Chino;

b. A contract with USA Waste of California in an amount not to exceed $75,000 for maintenance facility modifications in Long Beach;

c. A contract with Waste Management Collection & Recycling in an amount not to exceed $75,000 for maintenance facility modifications in Baldwin Park;

d. A contract with WestAir Gases and Equipment in an amount not to exceed $100,000 for a new limited access natural gas refueling station in Anaheim;

e. A contract with Bonita Unified School District in an amount not to exceed $175,000 for a new limited access natural gas refueling station in San Dimas;

f. A contract with Sysco Food Services in an amount not to exceed $150,000 for a new publicly accessible natural gas refueling station in Riverside;

g. A contract with Murrieta Unified School District in an amount not to exceed $244,000 for a new limited access natural gas refueling station and maintenance facility modifications in Murrieta;

h. A contract with Southern California Gas Company in an amount not to exceed $150,000 for a new publicly accessible natural gas refueling station in Pico Rivera; and

i. A contract with Rim of the World Unified School District in an amount not to exceed $75,000 for maintenance facility modifications in Lake Arrowhead.

FY 2011-12 Local Government Match Program As part of the FY 2011-12 Work Program, the MSRC allocated $6.5 million for the Local Government Match Program. A Program Announcement, #PA2012-14, was developed and released on March 2, 2012. The Local Government Match Program offers to co-fund qualifying alternative fuel vehicle purchases at a funding level of up to $10,000 each for

-8-

medium-duty and up to $30,000 each for heavy-duty vehicles. Other categories in the FY 2011-12 Match Program include: alternative fuel infrastructure, up to a maximum of $400,000 per project; and electric vehicle charging infrastructure, up to a maximum of $500,000. Finally, $250,000 is reserved for qualifying AB 2766 Subvention Fund recipients in the Coachella Valley to support regional street sweeping programs. In all categories funding is provided on a dollar-for-dollar match basis, and funding for all eligible entities shall be distributed on a first-come, first-served basis with a geographic minimum per county of $812,500. The Program Announcement includes an open application period commencing April 10, 2012 and closing June 8, 2012. A total of 11 applications have been received to date. At its May 17, 2012 meeting, the MSRC considered recommendations and approved funding totaling $2,873,000 for 11 applications, as follows: a. A contract with the City of Pasadena in an amount not to exceed $200,000 for electric

vehicle charging stations; b. A contract with the City of Santa Ana in an amount not to exceed $320,000 for the

purchase of up to 9 heavy-duty natural gas and LPG heavy-duty vehicles and electric vehicle charging stations;

c. A contract with the City of Fullerton in an amount not to exceed $155,000 for the purchase of a natural gas heavy-duty vehicle, a new limited access LPG refueling station, upgrades to their existing CNG station and maintenance facility modifications;

d. A contract with the City of Cathedral City in an amount not to exceed $60,000 for the purchase of a natural gas heavy-duty vehicle and electric vehicle charging stations;

e. A contract with the City of Los Angeles in an amount not to exceed $950,000 for the purchase of up to 32 heavy-duty natural gas vehicles for their Bureau of Sanitation;

f. A contract with the City of West Covina in an amount not to exceed $300,000 for the expansion of their existing CNG station;

g. A contract with the City of Palm Springs in an amount not to exceed $38,000 for electric vehicle charging stations;

h. A contract with the City of Los Angeles in an amount not to exceed $450,000 for the purchase of up to 15 heavy-duty natural gas vehicles for their General Services Department;

i. A contract with the City of Rancho Cucamonga in an amount not to exceed $40,000 for the purchase of up to 4 medium-duty natural gas vehicles;

j. A contract with the City of La Puente in an amount not to exceed $110,000 for the purchase of up to 7 medium- and heavy-duty natural gas vehicles; and

k. A contract with the County of Los Angeles in an amount not to exceed $250,000 for electric vehicle charging stations.

FY 2011-12 “Showcase III” Program The MSRC unanimously approved release of RFQ2012-13 and PA2012-17 under the FY 2011-12 AB 2766 Discretionary Fund Work Program. The RFQ solicits applications from manufacturers interested in having their emission reduction technologies

-9-

demonstrated on off-road vehicles. Candidate devices will be evaluated and pre-qualified before they can be matched with vehicles under the Program Announcement. Devices may be designed to reduce PM10, NOx, or both. The Program Announcement, with a targeted funding level of $1,500,000, seeks applications for vehicles to be equipped with, and demonstrate, devices pre-qualified under the RFQ. A vehicle may be submitted as a part of a complete “package” to be retrofitted with a specified device, or the applicant can request that their vehicle be matched with an appropriate device by the MSRC. Demonstrations which fit specified profiles, including compliance with Cal/OSHA visibility requirements, engines with exhaust gas recirculation, and hybridization, will be given priority for funding. Both the RFQ and the Program Announcement have application preparation and submission periods commencing June 1, 2012 and closing September 5, 2012. Recommended vehicle/device matches will be brought to the MSRC for consideration of awards following this period.

At this time the MSRC requests the AQMD Board to approve the contract awards and modifications as part of FYs 2007-08, 2010-11 and 2011-12 AB 2766 Discretionary Fund Work Programs as outlined above. The MSRC also requests the Board to authorize the AQMD Chairman of the Board to authority to execute all agreements described in this letter. The MSRC further requests the authority to adjust the funds allocated to each project specified in this Board letter by up to five percent of the project’s recommended funding. The Board has granted this authority to the MSRC for all past Work Programs. Lastly, the MSRC requests approval to release the solicitations described in this letter under the FY 2011-12 Work Program.

Resource Impacts The AQMD acts as fiscal administrator for the AB 2766 Discretionary Fund Program (Health & Safety Code Section 44243). Money received for this program is recorded in a special revenue fund (Fund 23) and the contracts specified herein, as well as any contracts awarded in response to the solicitations, will be drawn from this fund. Attachments • Showcase III An Opportunity for Manufacturers of Off-Road Diesel Emission

Reduction Technologies RFQ #Q2012-13 • Showcase III A Funding Opportunity for Owners of Off-Road Diesel Vehicles and

Manufacturers and Vendors of Diesel Emission Reduction Technologies Program Announcement #PA2012-17

Announcing the MSRC’s

Showcase III Manufacturer Program

An Opportunity for Manufacturers of Off-Road Diesel Emission Reduction Technologies

Request for Manufacturer Qualifications & Participation Application

RFQ #Q2012-13

June 1, 2012

ii

TABLE OF CONTENTS Section I: Program Introduction Page I.A. PROGRAM INTRODUCTION ……………...................................................…….. 1

I.B. PROGRAM SCHEDULE …………………………………….................................... 1

I.C. MANUFACTURER WORKSHOP…………………………....................................... 2

I.D. PARTICIPATION GUIDELINES, REQUIREMENTS, & PROCEDURES................ 2

I.E. PRIORITY RETROFIT PROFILES…………………..………….……………………. 6

I.F. EVALUATION & SELECTION CRITERIA……………………..…………………….. 7

I.G. STAFF CONTACT INFORMATION……………………………………………………. 8

Section II: Application Process

II.A. APPLICATION INSTRUCTIONS & FORMS………………………………………. ... 8

MSRC Clean Transportation Funding™ Off-Road Diesel Emission Control System Showcase

SECTION I.A: PROGRAM INTRODUCTION The Mobile Source Air Pollution Reduction Review Committee (MSRC) is pleased to announce an opportunity for manufacturers of diesel emission reduction technologies to demonstrate the viability and effectiveness of their products in heavy-duty off-road diesel equipment under various operating conditions and duty cycles. The Off-Road Diesel Retrofit “Showcase III” Program is designed to encourage manufacturers of qualifying retrofit after-treatment, alternative fuel, and hybrid drive systems to participate with off-road vehicle fleet owners in retrofitting their equipment with technologies that reduce emissions. While the Showcase III Program will result in significant immediate reductions in harmful diesel emissions, either through direct control or increased efficiency, the principal goal is to successfully demonstrate the viability and effectiveness of diesel emission reduction technologies on those segments of the off-road heavy-duty diesel equipment inventory which are not yet fully served with such systems. If they have not already obtained verification, manufacturers participating in this Program must commit to seek CARB verified status following successful demonstration of their retrofit device. All technologies must be qualified pursuant to this RFQ before they can be approved for installation in specific vehicles. The qualification of a technology for participation in the Showcase III Program will be based upon evaluation of the Qualifications & Participation Application submitted by the interested manufacturer. Applications will be evaluated by the technical staff of the MSRC, CARB, and South Coast Air Quality Management District (AQMD). While the MSRC strives to be inclusive with its Clean Transportation Funding™ programs, it is important to state up front that the Showcase III Demonstration Program is unique. While each manufacturer seeking participation in the Program will be given thorough and thoughtful consideration, some manufacturer applications may not be deemed qualified. Once qualified, there is no guarantee that a particular technology will be matched with any vehicles. I.B. PROGRAM SCHEDULE The Showcase III demonstration program will be conducted in accordance with the timeline shown below. Manufacturer Participation Applications will be accepted as of July 17, 2012, with the application preparation and acceptance period closing on September 5, 2012. Applications may be submitted at any time during this period. The MSRC may elect to extend the period during which applications may be submitted.


2

Table 1.B.1: Key Program Dates

Showcase III Event Date

RFQ Release June 1, 2012

Applicant Workshop July 12, 2012

Earliest Date for Application Submission July 17, 2012

Last Date that Applications will be Accepted September 5, 2012, 5:00 p.m.

Qualification of Devices Continuously throughout application period and months

immediately following Matching of Devices with Equipment

MSRC and CARB staff members are available to answer questions and provide technical guidance anytime during the application acceptance period. Please refer Section I.G. of this document for a list of staff contacts. I.C. APPLICANT WORKSHOP A joint fleet/manufacturer/vendor Applicant Workshop will be held on July 12, 2012. Please note that attendance at the Workshop is voluntary. The purpose is to provide new or updated solicitation information, provide clarification, and answer general questions regarding application preparation. In addition, the Applicant Workshop will provide a forum to address individual application preparation issues and provide one-on-one guidance to potential applicants. The location and time for the Workshop is as follows: Date: July 12, 2012 Time: 10:00 a.m. Location: South Coast AQMD Headquarters Conference Room CC-6 Address: 21865 Copley Drive Diamond Bar, California 91765 Please contact the MSRC staff if you need directions or more information regarding the Workshop. Contact information is provided in Section I.G. I.D. PARTICIPATION GUIDELINES, REQUIREMENTS, & PROCEDURES The Showcase III Program is a voluntary demonstration program that will pair manufacturers of diesel emission control technologies with off-road vehicle operators located in the South Coast Air Quality Management District (AQMD)1. To ensure that the Showcase III Program conforms to all applicable AQMD legal requirements and MSRC policies, the following requirements and conditions have been established and apply to all manufacturer applicants:

1 The geographical jurisdiction of the South Coast AQMD includes the urban, non-desert portions of Los Angeles, Orange, Riverside, and San Bernardino Counties in Southern California.


3

1. Eligible Participants – Any manufacturer of off-road diesel emission control retrofit systems, hybrid drive technologies, or alternative fuel conversions may apply. The applicant must manufacture the proposed technology. Authorized distributors or vendors are not eligible to submit applications to this RFQ, although they can respond to its companion Program Announcement PA 2012-17 – Showcase III Vehicle Program, as described therein. Retrofit devices brought forward by manufacturers who demonstrate experience with the verification process, by virtue of having earned a prior on-road or off-road verification from the United States Environmental Protection Agency’s (U.S. EPA) Voluntary Retrofit Program, CARB’s Verification Procedure, or the Verminderung der Emissionen von Realmaschinen im Tunnelbau (VERT) program for one or more of their company’s products, are more likely to be deemed qualified.

2. Authorized Individual(s) – Only those individuals designated as authorized representatives by the manufacturer of the technology may sign the application form as agreement to participate in the Showcase III Program, and as such, will be held responsible for the accuracy of any and all information provided.

3. Diesel Emission Control Strategy Requirement – Retrofit devices which reduce NOx only are eligible for demonstration. Otherwise, after-treatment retrofit devices must reduce particulate matter emissions by at least 85% (Level 3 verification) except in cases where installation of a Level 3 device poses insurmountable visibility challenges as discussed below in Section I.E. - Priority Retrofit Profiles. However, all Showcase III Program diesel emission control after-treatment retrofit devices which control particulate matter must achieve a reduction in particulate matter emissions of at least 50% (Level 2 verification). Alternative fuel or hybrid-drive technologies must indicate their effect on NOx, PM, HC, CO, and CO2 emissions.

4. Verification Requirement – As previously stated, one of the primary goals of the Showcase III Program is to obtain new verified diesel emission control systems for those segments of the off-road heavy-duty diesel equipment inventory which are not yet fully served with such systems. Therefore, if they have not already obtained verification, manufacturers participating in Showcase III must intend to pursue verification of their product through CARB in the near future. In all cases, applicants must agree to comply with all requirements and conditions as detailed in the CARB Verification Procedure. Complete information may be found in the Verification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines on the CARB website at: www.arb.ca.gov/diesel/verdev/verdev.htm. If a participating manufacturer determines they are no longer interested in continuing with their verification process, they are responsible (upon vehicle owner’s approval) to bring the vehicle back to OEM configuration regardless of the warranty period.

5. Experimental Permit Requirement - Manufacturers are required to obtain an experimental permit(s) before installing a non-CARB verified device or system on an engine for use in the Showcase III project. Section 43014 of the California Health and Safety Code allows the Air Resources Board to issue this permit for the testing of experimental motor vehicle pollution control device installed in used motor vehicles. To obtain a permit, the manufacturer must submit a letter of request to:

http://www.arb.ca.gov/diesel/verdev/verdev.htm


4

Air Resources Board Aftermarket Parts Section 9480 Telstar Avenue El Monte, CA 91731 Attn: Ms. Rose Castro

These experimental permits are valid for one year from the date of signature and are not transferable. If the demonstration testing for the Showcase III project continues beyond this time period, the manufacturer must apply for an extension of the permit(s). Note: documentation of a valid experimental permit will be required prior to approval of installation designs.

Questions regarding this requirement should be addressed to:

Ms. Rose Castro, Manager, Aftermarket Parts Section, at (626) 575-6848.

6. Modification of Technology – Once proposed in response to this RFQ, a manufacturer’s product cannot be modified without first notifying the MSRC. This includes, but is not limited to, modifications following installation. In most cases, modifications to installed technologies will restart the accumulation of durability hours that can be included as part of the CARB verification process.

7. Conditional Verification – Applicants may be eligible to receive conditional verification of their product by completing one-third of the required minimum durability period or through the use of preexisting data. Conditional verification is equivalent to full verification for the purposes of satisfying the requirements of in-use emission control regulations as set forth by CARB. CARB has sole authority to grant a conditional verification.

8. Application Screening – Applications received in response to this RFQ will be screened to ensure they comply with all program requirements and policies of the MSRC and CARB. Applications deemed noncompliant with the requirements included herein will not undergo further evaluation and their submitters will be duly notified. The MSRC retains sole authority for determining whether or not an application meets the minimum qualifications requirements.

9. Selection Criteria – Rating of manufacturers’ applications will include the selection criteria as outlined in Section I.F. Those applications which are judged both to fulfill mandatory requirements and to provide a high probability of successful demonstration will be deemed Qualified. A technology must be Qualified before it can be matched with a vehicle. However, achieving Qualified status is no guarantee that the technology will be matched with any vehicles.

10. Device/Vehicle Matching – Vehicles will be proposed to demonstrate technologies in response to the Showcase III Vehicle Program Announcement PA2012-17. Technologies will be matched with proposed off-road vehicles based on applicability and compatibility of technologies. In those cases where a vehicle owner proposes a vehicle to participate without proposing a specific technology, one or more Qualified manufacturers deemed compatible with the proposed vehicle, engine and duty-cycle will be asked to provide a quote to install their technology on that vehicle. Final match decisions will be made by MSRC and CARB based upon factors including, but not limited to, technology purchase and maintenance costs, and the vehicle/technology pairing’s ability to address Program


5

priorities. Both the manufacturer and the vehicle owner will be asked to approve the proposed match. If a manufacturer and/or vehicle owner declines a proposed match, MSRC and CARB may, at their discretion, propose an alternative match for that vehicle.

11. Multimedia Assessment – Manufacturers whose diesel emission control strategies rely on Alternative Diesel Fuel or a fuel additive must complete a multimedia assessment to ensure that their product does not have any adverse effect on the environment. The multimedia requirement represents a significant cost of verification and applicants should thoroughly understand the process before deciding to undertake this testing. Information on the multimedia requirement may be found in the Verification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines, Section 2710, available on CARB’s website at: www.arb.ca.gov/diesel/verdev/verdev.htm. Applicants intending to utilize alternative diesel fuel or fuel additives are encouraged to contact Ms. Shawn Daley (see Contact Information Section I.G.) to discuss multimedia requirements.

12. Initial Vehicle Evaluation – Once a vehicle/technology match is approved and a contract executed, the manufacturer is required to evaluate the vehicle’s engine to assure readiness for the demonstration, i.e. that it is well maintained, and to provide the results of the evaluation to MSRC. In most cases, the manufacturer will also be required to complete initial data logging in accordance with MSRC and CARB guidance to confirm the feasibility of the particular technology’s operation on that vehicle. Reasonable data logging costs will be reimbursed. MSRC and CARB staff may agree to allow these evaluations to be performed in a single visit, but retain the discretion to require a satisfactory engine evaluation prior to the performance of data logging.

13. Additional Installation Requirements – A proposed installation design drawing showing the location of major components must be submitted and approved for each vehicle prior to installation. The design must demonstrate compliance with the CalOSHA visibility requirements. Additionally, notwithstanding any data-logging capabilities incorporated in the after-treatment device, the manufacturer will be required to purchase and install an independent data-logging device on each retrofitted vehicle to monitor the after-treatment device. It shall be and function as a stand-alone system, complete with the hardware and software needed to interface with the vehicle. Required specifications will be provided in the contract, but are expected to resemble the specifications in the original Showcase Program. Reasonable installation design and data logger costs will be reimbursed to the Project Participant following completion of the installation in accordance with the approved installation design.

14. Post-installation —MSRC or CARB staff will conduct an inspection within two weeks of receiving notice of the completion of the installation and fully operational system.

15. Optional Particulate Matter Sensors – In the recent past, engine mechanics relied on visual cues such as smoke to determine whether an engine was in need of attention. With the use of diesel particulate filters these cues are absent. Manufacturers may propose the installation of particulate matter sensors as a tool to indicate if the state of the engine has changed and to predict the soot loading rate to the filter. By notifying the vehicle owner and/or device manufacturer of changes in engine condition, the frequency of device regeneration might be reduced. Requests to include such sensors as part of a Showcase III demonstration will be considered as part of the vehicle/technology matching process. If the

http://www.arb.ca.gov/diesel/verdev/verdev.htm


6

use of such sensors is approved for a particular demonstration, their purchase and installation will be an allowable expense.

16. Available Funding – The amount of MSRC funding currently allocated to the Showcase III Program is $1,500,000.

17. Participation with Multiple Off-Road Construction Equipment Fleets – Manufacturers may participate with more than one off-road vehicle owner, if applicable.

18. Payment –The contractor under PA2012-17 – Showcase III Vehicle Program will be able to request separate reimbursement from the MSRC for engine evaluation, initial vehicle data logging, and installation design upon completion and acceptance. All other reimbursements are contingent upon completion of technology installation, submission of all required reports and invoices, and completion of a post-inspection to confirm installation in accordance with approved installation design. Payment will also be contingent upon proof of warranty with coverage for full repair or replacement cost of returning engine components to the condition they were in prior to a failure of the technology and for damage to the engine proximately caused by the technology. Furthermore, Contractors will be required to provide documentation to MSRC that they (or the owner of the vehicle(s), if different) have been properly trained in the operation of the retrofitted/modified vehicle(s). A copy of the training material should be provided electronically to MSRC. Vehicle owners will have the option to, but are not required to, request that payments be made directly to the manufacturer or vendor. Each Manufacturer should negotiate payment provisions with the vehicle owner as part of their agreement.

19. Agreement with Vehicle Owner – Manufacturers will be required to enter into a contract and/or legally enforceable agreement with the off-road vehicle owner for the purchase and installation of the agreed-upon technologies. All technologies must be purchased and installed within twelve (12) months of execution of this Agreement. All technologies are to become the property of the vehicle owner.

20. Priority Retrofit Profiles – Vehicles proposed for participation under PA2012-17 will be divided into two ranks for evaluation. Rank 1 will consist of those vehicles falling within a Priority category as described in Section I.E. Rank 2 will consist of all other vehicles. These profiles are primarily based upon identified “holes” in the universe of available off-road retrofits. For example, a certain vehicle may have verified devices but needs demonstration of a Cal/OSHA compliant installation design. These profiles have no bearing on a proposed technology achieving Qualified status. Technologies with the potential to fulfill one of the designated priorities may be more likely to be matched with vehicles because Rank 1 vehicle/technology matches will be funded first.

21. Technical Support and Issue Resolution – Manufacturers will be required to provide at least four hours of training to fleet personnel, as well as on-site technical support for the duration of the demonstration project, which will include 1000 hours of operation. This may include, but is not limited to: troubleshooting installation issues; malfunction of backpressure monitors; training of equipment operators in device operation and regeneration; any other issue that may arise while the demonstration is in progress. Manufacturers will be expected to respond to a complaint or issue reported by a fleet or by MSRC within 24 hours. On-site response by the manufacturer or its local service representative must be made in a time frame acceptable to the fleet. Failure to promptly respond to complaints or issues will be considered in future applications by the manufacturer. .


7

I.E. PRIORITY PROFILES

Priorities span a number of characteristics, so that some vehicles and/or technologies may fall into more than one Priority category, but any of the following will qualify as Priority (all Priority categories are deemed equal, regardless of order below):

1. Vehicles Difficult to Retrofit Without Impacting Driver Visibility – Some vehicle designs are more challenging to retrofit in compliance with Cal/OSHA visibility requirements. The MSRC believes that, in many of these cases, a motivated manufacturer or installer could develop a solution using a verified Level 3 device, and higher than average installation design costs would be allowable. For this category only, Level 2 devices could be demonstrated in the interests of achieving substantial emission benefits when it is not feasible to install a Level 3 device. Representative vehicles in this category include, but are not limited to, the following vehicle types:

• Deere 624J wheel loader • Caterpillar RC60 forklift • Deere 200CLC excavator • Deere 225C excavator • Rollers (including Ingersoll Rand, Dynapac, Cat, and Hyster) • Cat 613C scraper • Cat 623B scraper • Deere 772D grader • Dresser 850 grader

2. Engines with EGR – Due to the increased complexity of retrofit, vehicles equipped with engines which utilize exhaust gas recirculation (EGR) to reduce NOx emissions

3. Tier 3 Engines – Tier 3 engines have a low NOx to PM ratio, and many of the currently verified devices are not verified for use on Tier 3 engines

4. ≥ 500 Hp Engines – Due to a need for additional demonstrations in this size category, vehicles equipped with 500 horsepower or greater engines

5. Particulate Matter Sensor – For a maximum of one demonstration per Qualified technology, coupling the emission reduction technology with a particulate matter sensor will make it a Priority

6. Hybridization – Technologies which would hybridize existing diesel vehicles

I.F. DEVICE EVALUATION & SELECTION CRITERIA

Each technology proposed by a manufacturer for demonstration in the Showcase III Program will undergo evaluation by a Committee comprised of representatives of the MSRC, South Coast AQMD and CARB staff. The criteria set forth below will be considered in the evaluation process to determine whether a technology is deemed Qualified:

1. Mandatory – Failure in either of these elements will automatically disqualify the product:


8

a. If product is not already verified, applicant must attest their intention to complete the verification process for the product in the near future (retrofit after-treatment devices only).

b. Applicant must also agree to provide technical support throughout the demonstration project period.

2. Other Criteria – these criteria will also be considered in determining Qualification status:

a. Demonstrated manufacturer experience. This includes MSRC/CARB/AQMD experience with previous applications of the technology.

b. Anticipated/verified PM reduction level (Level 2 devices can only be used on vehicles with insurmountable visibility issues)

c. Potential increase in pollutants other than NOx or PM d. Feasibility of operation and installation e. Readiness for commercial availability f. Cost of technology, installation, and maintenance g. Manufacturer’s methods for evaluating vehicles for installation

I.G. IF YOU NEED HELP… CONTACT INFORMATION This Request for Qualifications and Participation Application can be obtained by accessing the MSRC web site at www.CleanTransportationFunding.org or the Air Resources Board Showcase website at www.arb.ca.gov/diesel/showcase/showcase.htm. MSRC and CARB staff members are available to answer questions during the application acceptance period. In order to help expedite assistance, please direct your inquiries to the applicable staff person, as follows: For General & Administrative Assistance, please contact:

Ms. Cynthia Ravenstein MSRC Contracts Administrator Phone: 909-396-3269 Fax: 909-396-3682 E-mail: [email protected]

For Testing and Installation, please contact:

Mr. John Karim CARB In-Use Retrofit Section Phone: 626-459-4303 Fax: 626-575-6699 E-mail: [email protected]

For Verification Program, please contact: Ms. Shawn Daley Manager, CARB Retrofit Assessment Section Phone: 626-575-6972 Fax: 626-575-6699 E-mail: [email protected]


http://www.arb.ca.gov/diesel/showcase/showcase.htm

mailto:[email protected]




9

For Experimental Permits, please contact: Ms. Rose Castro Manager, Aftermarket Parts Section Phone: 626-575-6848 Fax: 626-575-6699 E-mail: [email protected]

SECTION II: APPLICATION PROCESS II.A. APPLICATION INSTRUCTIONS A Participation Application must be completed and submitted prior to receiving approval to participate in the Showcase III Program. A separate application must be submitted for each technology proposed for Qualification. The application forms are included in Section II.B. of this document. Applications must be submitted in accordance with the instructions outlined below and all requested information must be supplied. 1. Application Elements - All applications must contain the following:

a) Cover letter - Transmittal of the application must be accompanied by a cover letter signed by the person(s) authorized to contractually bind the proposing entity. In the cover letter, applicants must agree to provide technical support during the demonstration project period. And if the proposed product is an after-treatment retrofit device which is not already verified, applicant must attest their intention to complete the verification process for the product in the near future.

b) Application Forms - Applications must include completed Forms, including all required attachments and supporting documentation as requested.

c) Product brochure – Include a copy of your product brochure

2. Application Submittal Instructions - All applicants must submit four (4) complete copies in a sealed envelope, marked in the upper left-hand corner with the name and address of the applicant and the words “RFQ2012-13 Showcase III Manufacturer Program”. The earliest date for application submittal is July 17, 2012. Please note that Showcase III applications must be received no later than 5:00 p.m. September 5, 2012 to be considered. All applications should be directed to:

Procurement Unit South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 91765

In addition to the paper application, applicants must also submit an electronic copy of their application in either PDF or Microsoft Word format. This should be provided via CD-ROM in care of the Procurement Unit at the street address listed above. The brochure need not be included in the electronic copy.

Please note that the application is only deemed “received” when the four (4) complete paper copies are submitted in accordance with the above instructions - submittal of an electronic application only does not constitute receipt by the AQMD. In addition, please note that



10

faxed applications will not be accepted. All applications will be time and date stamped upon receipt by the South Coast Air Quality Management District. PLEASE NOTE THAT ANY PROPOSAL TIME STAMPED 5:01 P.M. OR LATER ON SEPTEMBER 5, 2012 WILL NOT BE REVIEWED AND WILL NOT BE DEEMED QUALIFIED; AND THEREFORE WILL NOT BE ELIGIBLE TO PARTICIPATE. No exceptions will be granted regardless of reason or circumstances.

3. Addenda – The MSRC may modify the RFQ and/or issue supplementary information or guidelines relating to the RFQ during the application preparation period of June 1, 2012 through September 5, 2012. Any solicitation amendments will be posted on the MSRC Website at www.CleanTransportationFunding.org.

4. Application Modifications - Once submitted, applications cannot be altered without the

prior written consent of the MSRC. 5. Application Screening - Applications received in response to this Showcase III RFQ will be

screened upon receipt to insure they comply with all program legal requirements of the AQMD and policies of the MSRC and CARB. Applications that do not comply with the stipulated requirements will not be evaluated further and the applicant will be duly notified. Only applications received that comply with all minimum submission requirements will be deemed acceptable and undergo further evaluation.

6. Application Evaluation & Approval Process - Applications deemed compliant by MSRC

staff will be forwarded to a Committee of representatives from MSRC, South Coast AQMD and CARB staff. This committee will evaluate applications using criteria previously described in Section I.F. Following Application evaluation, the MSRC will notify all manufacturer applicants as to the results of the evaluation. Manufacturers whose technologies are deemed Qualified will receive written confirmation from the MSRC. Manufacturers who are not recommended for participation in the Showcase Demonstration Program will receive a written explanation of the evaluation results and Committee member findings and will be offered a formal application debriefing if desired. The MSRC retains sole authority to determine which technologies, if any, are deemed Qualified to participate in the Showcase III Program. The MSRC and CARB will match Qualified technologies with participating off-road equipment. While every effort will be made to match each manufacturer’s qualified technology with a participating fleet, the unique attributes of the Showcase III Demonstration may result in some technologies not being demonstrated. Thus, the MSRC cannot guarantee that every Qualified technology will ultimately participate in the Showcase III Program.



Manufacturers of Diesel Emission Control Technologies Application for Participation in the Showcase Program

MANUFACTURER INFORMATION

A. Identification Information

Name of Company:

Name of Primary Contact Person:

Phone Number: E-Mail Address:

Company Mailing Address:

City: State: Zip:

Do you currently have a control strategy verified by any of the following agencies? ARB EPA VERT Check all that apply

Is the control strategy for which you are applying verified by any of the following agencies?

ARB EPA VERT Check all that apply

If verified by CARB, list the Executive Order Number or Control Strategy Family Name

If verified, describe the engines and applications for which it has been verified

B. Product Availability

Is the control strategy currently commercially available in California? Yes No

Name of distributor:

Company Location:

Primary Contact Person:

Phone Number:

E-Mail Address:


12

C. Technology Type (check all applicable boxes)

DPF Active Passive NOx Reduction Hybrid Drive System Other

If DPF uses catalyst, specify catalyst formulation:

Filter regenerated on-line?

Filter regenerated off-line?

Number of hours of operation before regeneration required:

Time required for regeneration: Is regeneration dependent on size of unit? YES NO

Source of regeneration energy:

Electricity

Fuel

NOx Control Describe:

FBC Describe:

Other Describe:

If technology is NOx Reduction, Hybrid Drive, or Other, please describe below:

Describe the installation process/procedure for the technology:


13

D. Previous Experience and Pre-Existing Data Is your technology currently used in any off-road conditions? If yes, please describe

Do you have any previous data-logging data on off-road applications? If yes, please provide with application. Yes No

Do you have existing test data and/or engineering analysis to support anticipated emission reduction/increase claim(s)?

If yes, please provide with application. Yes No

E. Verification

For retrofit devices, the intent is to have project participants complete the verification process. Do you intend to pursue CARB verification? Yes No N/A

F. Identification of Emission Control Group

For what category of engines do you intend to verify/are you verified? Unregulated Tier 1 Tier 2 Tier 3 Tier 4i

What horse-power ranges are included in the above categories?

Identify parameters used in selection of engines

• Application

• Engine type

• Minimum exhaust temperature for proper operation

• Maximum consecutive minutes operating below minimum exhaust temperature

• Number of Hours of Operation Before Cleaning of Filter Required

• Fuel Type

• Verification Level Sought

What is the maximum backpressure allowed when the control strategy is in operation?


14

G. Commercial Availability

Is control strategy commercially available?

Please provide information on any demonstrated retrofits.

H. Emissions Reduction

What is the anticipated percent reduction from control strategy (from baseline emissions)?

PM A. % NOx (if applicable) %

What is the potential increase in other pollutant levels from control strategy (percent increase from baseline emissions)?

NO2 %

NOx %

CO %

CO2 %

HC %


15

I. Material and Installation Costs (include sales tax where applicable; note that these are standard costs/ranges, and specific quotes will be sought if a match is contemplated)

Retrofit device $

Design cost for installation $

Installation cost $

Data-logging cost $

Fuel cost $

Fuel infrastructure cost (if applicable) $

Maintenance cost $

Will your company be willing to pay for a portion of the material and/or installation cost? Yes No

If so, please specify amount:

J. Vehicle Evaluation

Describe the methods your company uses to evaluate whether a particular vehicle and engine is suitable to be equipped with your device:

K. Technical Support

Your company will be required to provide technical support should problems arise during demonstration/installation. Please list the contact information for the person providing technical support during the test program:

Name:

Office Phone: Mobile:


16

Devices Participating in Original Showcase or Showcase II Program Application for Participation in the Showcase III Program

For retrofit devices qualified under the original Showcase or Showcase II

Program which are proposed to be included in Showcase III without modification, manufacturers can complete and submit the following condensed application

MANUFACTURER INFORMATION

A. Identification Information

Name of Company:

Name of Primary Contact Person:

Phone Number: E-Mail Address:

Company Mailing Address:

City: State: Zip:

Device name:

B. Material and Installation Costs (include sales tax where applicable; note that these are standard costs/ranges, and specific quotes will be sought if a match is contemplated)

Retrofit device $

Design cost for installation $

Installation cost $

Data-logging cost $

Fuel cost $

Fuel infrastructure cost (if applicable) $

Maintenance cost $

Will your company be willing to pay for a portion of the material and/or installation cost? Yes No

If so, please specify amount:


17

C. Technical Support

Your company will be required to provide technical support should problems arise during demonstration/installation. Please list the contact information for the person providing technical support during the test program:

Name:

Office Phone: Mobile:

D. No Modification

Applicant attests that the specified device was deemed qualified under the original MSRC Showcase Program, and that the device is proposed for participation in Showcase III without modification to the device design or component materials

____________________________________________________ Signature of Authorized Official Name:

Title: Date:________________________

Announcing the MSRC’s

Showcase III Vehicle Program Announcement

A Funding Opportunity for Owners of Off-Road

Diesel Vehicles and Manufacturers and Vendors of Diesel Emission Reduction Technologies

Program Announcement & Participation Application

PA #PA2012-17 June 1, 2012

ii

TABLE OF CONTENTS

Page Section I: Program Introduction

I.A. PROGRAM INTRODUCTION.....……………….............................................…….. 1

I.B. PROGRAM SCHEDULE.....………………......................................................…….. 1

I.C. APPLICANT WORKSHOP……………………………………....................................2

I.D. PARTICIPATION GUIDELINES, REQUIREMENTS, & PROCEDURES…………. 2

I.E. PRIORITY PROFILES………………………..............................................................4

I.F. STAFF CONTACT INFORMATION..............................................................…….. 6

Section II: Application Process……………………………………………………………….7

MSRC Clean Transportation Funding™ Off-Road Diesel Emission Controls Showcase III

1

SECTION I.A: PROGRAM INTRODUCTION

The Mobile Source Air Pollution Reduction Review Committee (MSRC) is pleased to announce a Clean Transportation Funding™ opportunity for owners of off-road vehicles (henceforth referred to as “fleets”) located in the South Coast Air Quality Management District (AQMD). The Off-Road Diesel Retrofit “Showcase III Program” offers to fund 100% of the cost of purchasing and installing a qualifying diesel emission control retrofit device or certain other technologies. The MSRC can realize surplus emission reduction benefits, and fleets can take advantage of full Clean Transportation Funding for actions that count towards future requirements.

Participation in the Showcase III Program is open to most fleets, including private companies and public agencies. Profiles of priority vehicle and technology demonstrations sought for participation in the Showcase III are provided in Section I.E. for your information. However, a vehicle does not need to fall within the priority profile to qualify for funding, so anyone interested in a qualifying project is encouraged to apply.

Please note that selection to participate will ultimately be based upon the specific attributes of each vehicle, with vehicles and engines evaluated for compatibility with the diesel emission control technologies deemed qualified under the Showcase III Manufacturer Program. While the MSRC strives to be inclusive with its Clean Transportation Funding™ programs, there is no guarantee that a particular vehicle will be selected to participate.

I.B. PROGRAM SCHEDULE

The Showcase III Program will be conducted in accordance with the timeline shown below. Applications will be accepted as of July 17, 2012, with the acceptance period closing on September 5, 2012. Applications may be submitted at any time during this period. The MSRC may elect to extend the period during which applications may be submitted.

Table 1.B.1: Key Program Dates

Showcase III Event Date

Program Announcement & Application Release June 1, 2012

Applicant Workshop July 12, 2012

Earliest Date for Application Submission July 17, 2012

Last Date that Applications will be Accepted September 5, 2012, 5:00 p.m.

Matching of Devices with Vehicles September/October 2012

MSRC-TAC and MSRC Consideration of Awards November/December 2012

MSRC and CARB staff members are available to answer questions and provide technical guidance anytime during the application acceptance period. Please refer Section I.F. of this document for a list of staff contacts.


2

I.C. APPLICANT WORKSHOP

A joint fleet/manufacturer/vendor Applicant Workshop will be held on July 12, 2012. Attendance is voluntary. The purpose is to provide new or updated solicitation information, provide clarification, and answer general questions regarding application preparation. In addition, the Applicant Workshop will provide a forum to address individual application preparation issues and provide one-on-one guidance to potential applicants. The location and time for the Workshop is as follows:

Date: July 12, 2012 Time: 10:00 a.m. Location: South Coast AQMD Headquarters Conference Room CC-6 Address: 21865 Copley Drive Diamond Bar, California 91765 Please contact the MSRC staff if you need directions or more information regarding the Workshop. Contact information is provided in Section I.F.

I.D. PARTICIPATION GUIDELINES, REQUIREMENTS, & PROCEDURES

The Showcase III Program is a voluntary demonstration program that will pair manufacturers or authorized vendors of diesel emission control technologies with fleets. The following requirements and conditions have been established and apply to all participants:

1. Eligible Participants – Any fleet may apply. Manufacturers or authorized vendors of retrofit devices or other qualifying technologies may also apply, but only when proposing a complete vehicle/technology “package”—each application must identify the specific vehicle(s) to be so equipped. For purposes of this Program Announcement, locomotives and marine vessels are not considered off-road vehicles. If an award is made, the applicant will be required to enter into a contract with AQMD to effectuate the award. If not the applicant, a participating fleet may be required to sign a Participant Agreement affirming that they will comply with Program requirements.

2. Funding Availability - The amount of MSRC Clean Transportation Funding™ allocated for the Showcase III Program is $1,500,000. Additional funding may be applied to this program at the discretion of the MSRC. Not all applicants may receive funding. Vehicles proposed for participation will be divided into two ranks for evaluation. Rank 1 will consist of those vehicles falling within a Priority category as described in Section I.E. Within Rank 1, the Evaluation Committee will endeavor to distribute award recommendations across multiple qualifying technologies to the extent possible. Rank 2 will consist of all other vehicles. Within Rank 2, vehicles will be funded on a first-come, first-served basis, except that vehicles determined to be poor candidates for any of the Qualified devices/technologies will not receive funding recommendations.


3

3. Showcase III Funding Level – The MSRC will pay 100% of the cost of purchase and installation for Qualified technologies. This includes: • Full purchase cost, including sales tax and shipping costs (if any). Installation cost, and

any additives needed for the 1000-hour demonstration period, should also be built into price.

• Data logger and its installation • Reasonable funding for initial data logging and installation design. The MSRC reserves

the right to reduce award for costs deemed excessive. • $500 per vehicle to cover a portion of fleet’s program management costs through the

installation phase (only available if fleet is the applicant) • Manufacturers may propose the installation of particulate matter sensors. If the use of

such sensors is authorized, the full purchase and installation cost will be included.

4. Maximum Funding per Entity – The maximum total funding award to any single fleet shall not exceed $400,000. This maximum funding restriction can be waived in the event the MSRC allocates additional funding to this Program or does not receive qualifying applications from other fleets that meet or exceed $1,500,000.

5. Payment Terms – Fleets will have the option to, but are not required to, request that payments be made directly to the manufacturer or vendor. The contractor can request reimbursement from the MSRC upon completion of initial vehicle data logging, and again following MSRC approval of an installation design. All other reimbursements are contingent upon completion of technology installation, submission of all required reports and invoices, proof of warranty and training, return of vehicle to service and completion of a post-inspection to confirm installation in accordance with approved installation design. Manufacturers should negotiate payment provisions with the fleet as part of their agreements.

Please note that the source of MSRC Clean Transportation Funding™ is motor vehicle registration fees collected by the California Department of Motor Vehicles (DMV) in accordance with the California Health and Safety Code. Thus, the availability of MSRC Clean Transportation Funding™ is contingent upon the timely receipt of funds from the DMV. Neither the MSRC nor AQMD can guarantee the collection or remittance of registration fees by the DMV.

6. Equipment Operating Location – Off-road vehicles selected to participate must operate at least 85% of their total annual hours within the geographical jurisdiction of the AQMD.

7. Emission Reductions must be “Above and Beyond” Mandated Requirements - Applicants must certify that the proposed deployment of technologies is not required by, or in fulfillment of, any local, state or federal law, rule, or regulation. Technology implementation which will be counted towards a fleet’s Fleet Average Index under California’s Regulation for In-Use Off-Road Diesel Vehicles is allowable if the technology is installed and operational at least one year prior to the compliance date. However, fleets should be aware that delays could render a previously-approved project ineligible.


4

8. Technology/Vehicle Matching – Specific vehicle/technology matches proposed will be evaluated and recommended for approval or denial. All technologies, even those proposed as part of a package, must be deemed Qualified via the MSRC’s RFQ# 2012-13 – Request for Manufacturer Qualifications and Participation Application, before an award can be approved. Retrofit devices designed primarily for control of particulate matter must utilize technologies expected to achieve an 85% or greater reduction in particulate matter in off-road equipment applications (Level 3 verification), with two exceptions. In cases where installation of a Level 3 device poses insurmountable visibility challenges as discussed below in Section I.E. - Priority Retrofit Profiles, a device which achieves a reduction in particulate matter emissions of at least 50% (Level 2 verification) may be used. Technologies which reduce NOx only are also eligible for demonstration.

If not already proposing a “package”, vehicle owners will be matched with pre-qualified technologies deemed compatible with the proposed vehicle, engine, and duty-cycle. Such technologies include, but are not necessarily limited to, diesel exhaust after-treatment devices, alternative fuels, and diesel-electric hybrid or diesel-hydraulic hybrid conversions. One or more manufacturers will be asked to provide quotes to install their technology on the specific vehicle(s). Final match decisions will be made by MSRC and CARB based upon factors including, but not limited to, technology purchase and maintenance costs, and the vehicle/technology pairing’s ability to address Program priorities. Applicants will be asked to approve the proposed match. If an applicant declines a proposed match, MSRC and CARB may, at their discretion, propose an alternative match for that vehicle. Only approved technologies will be eligible to receive an MSRC funding reimbursement.

All technologies will be required to comply with warranty provisions to protect the participating vehicle owner.

9. Technology Installation Deadline – All installations should be completed within twelve months of the date of contract execution between the MSRC and the applicant.

10. Access to Equipment – On a periodic basis, CARB, AQMD or MSRC and the technology manufacturer may request access to the retrofitted/modified equipment for the purpose of monitoring, data retrieval, and/or onsite emissions testing. Participating fleets will be required to grant limited access for these purposes.

11. Reporting Requirements – The reporting requirements are intended to ensure adequate monitoring of the use of public funds, while avoiding the imposition of excessive reporting burdens on the participants. The following are the minimum reporting requirements:

An Interim Report, to be submitted along with the technology purchase/installation invoice for each vehicle retrofitted/modified. This report must contain a brief summary of the installation process, initial vehicle performance, and any relevant issues experienced. Fleets may be asked to maintain records of vehicle oil consumption. MSRC will provide an interim report template.


5

A concise Final Report, to be submitted at the completion of the 1000-hour demonstration period. This report must contain a brief summary of each vehicle’s performance using the emission control device/technology, driver comments regarding vehicle performance, and any mechanical or operational issues experienced. MSRC will provide a final report template. Failure to submit a Final Report will be considered in future funding requests from the applicant.

12. Additional Conditions for Participation:

Once a vehicle/technology match is approved, the technology manufacturer will perform a vehicle evaluation to confirm the vehicle’s readiness for retrofit/modification including a period of data logging, a smoke opacity test, and physical inspection;

Fleets will be expected to keep funded technologies installed for the duration of the demonstration. If the vehicle owner believes that a technology is interfering with proper operation of the vehicle, they will have to notify both the manufacturer and MSRC staff prior to modifying, removing, or disconnecting the technology;

Fleets will be expected to maintain their vehicles and engines in accordance with the manufacturer’s recommendations, and respond without delay to any warning lights and messages, for the duration of the demonstration;

Vehicles funded under the Showcase III Program are not eligible to receive additional diesel emission control system incentive funds for the retrofit/modification from any other state or local agency, although vehicles retrofitted under previous Showcase Programs may be considered for new projects;

Device regeneration equipment, fueling infrastructure, maintenance, etc. are not allowable costs for reimbursement;

In accordance with state law, all projects funded with MSRC Discretionary Funds are subject to audit.

I.E. PRIORITY PROFILES

Priorities span a number of characteristics, so that some vehicles and/or technologies may fall into more than one Priority category, but any of the following will qualify as Priority (all Priority categories are deemed equal, regardless of order below):

1. Vehicles Difficult to Retrofit Without Impacting Driver Visibility – Some vehicle designs are more challenging to retrofit in compliance with Cal/OSHA visibility requirements. The MSRC believes that, in many of these cases, a motivated manufacturer or installer could develop a solution using a verified Level 3 device. Higher than average installation design costs would be allowable in such instances. Also, for this category only, Level 2 devices could be demonstrated in the interests of achieving substantial emission benefits when it is


6

not feasible to install a Level 3 device. Representative vehicles in this category include, but are not limited to, the following:

• Deere 624J wheel loader • Caterpillar RC60 forklift • Deere 200CLC excavator • Deere 225C excavator • Rollers (including Ingersoll Rand, Dynapac, Cat, and Hyster) • Cat 613C scraper • Cat 623B scraper • Deere 772D grader • Dresser 850 grader

2. Engines with EGR – Due to the increased complexity of retrofit, vehicles equipped with engines which utilize exhaust gas recirculation (EGR) to reduce NOx emissions

3. Tier 3 Engines – Tier 3 engines have a low NOx to PM ratio, and many of the currently verified devices are not verified for use on Tier 3 engines

4. ≥ 500 Hp Engines – Due to a need for additional demonstrations in this size category, vehicles equipped with 500 horsepower or greater engines

5. Particulate Matter Sensor – For a maximum of one demonstration per Qualified technology, coupling the emission reduction technology with a particulate matter sensor will make it a Priority

6. Hybridization – Technologies which would hybridize existing diesel vehicles

I.F. IF YOU NEED HELP… CONTACT INFORMATION This Program Announcement can be obtained by accessing the MSRC web site at www.cleantransportationfunding.org or the CARB Showcase website at www.arb.ca.gov/diesel/showcase/showcase.htm. MSRC and CARB staff members are available to answer questions during the application acceptance period. In order to help expedite assistance, please direct your inquiries to the applicable staff person, as follows: For General & Administrative Assistance, please contact:

Cynthia Ravenstein MSRC Contracts Administrator Phone: 909-396-3269 Fax: 909-396-3682 E-mail: [email protected]


http://www.arb.ca.gov/diesel/showcase/showcase.htm



7

For Technical Assistance, please contact: Ray Gorski MSRC Technical Advisor Phone: 909-396-2479 Fax: 909-396-3682 E-mail: [email protected]

For Testing and Installation, please contact:

John Karim CARB, Testing and Field Support Section Phone: 626-459-4303 Fax: 626-575-6699 E-mail: [email protected]

SECTION II: APPLICATION PROCESS II.A. APPLICATION SUBMITTAL INSTRUCTIONS A Participation Application must be completed and submitted prior to receiving approval to participate in the Showcase III program. Applications must be submitted in accordance with the instructions outlined below.

1. Application Elements - All applications must contain the following:

a) Cover letter - Transmittal of the application must be accompanied by a cover letter signed by the person(s) authorized to contractually bind the proposing entity.

b) Support letter – If applicant is not the vehicle owner, a support letter from the vehicle owner must be included. This letter needs to indicate their intention to implement an emission reduction technology on the vehicle(s) and approval of the proposed vehicle/technology match(es).

c) Application Attachments - In an effort to reduce the paperwork burden on applicants, a template based application format has been provided. The template forms, included in Section II.B. below, are designed to be self-explanatory and should prove straightforward to complete.

d) Certifications – All applicants must complete and submit the following forms as an element of their Application:

Internal Revenue Service Form W-9 – Request for Taxpayer Identification Number and Certification. If you are selected for an award, you cannot be established as a vendor without this information.

Campaign Contributions Disclosure. This information must be provided at the time of application in accordance with California law. You may be asked for an update when awards are considered.




8

Disadvantaged Business Certification. The AQMD needs this information for their vendor database. IT WILL NOT BE CONSIDERED IN THE DETERMINATION OF YOUR MSRC AWARD.

2. Application Submittal Instructions - All applicants must submit one original application and five copies in a sealed envelope, marked in the upper left-hand corner with the name and address of the applicant and the words “PA2012-17” Showcase III Vehicle Program”. Please note that Showcase III applications must be received no later than 5:00 p.m., September 5, 2012, to be considered for funding. All applications should be directed to:

Procurement Unit South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 91765

Please note that faxed or e-mailed applications will not be accepted.

3. Addenda – The MSRC may modify this Program Announcement and/or issue supplementary information or guidelines during the application preparation period of June 1, 2012 through September 5, 2012. Any solicitation amendments will be posted on the MSRC Website at www.CleanTransportationFunding.org.

4. Application Modifications - Once submitted, applications cannot be altered without the prior written consent of the MSRC.

5. Application Screening - Applications received in response to this Program Announcement will be screened to insure they comply with all stated program requirements and policies of the MSRC and AQMD.

6. Application Evaluation & Approval Process - Applications deemed compliant by MSRC staff will be forwarded to a Committee of representatives from MSRC, AQMD and CARB staff. In some cases, additional clarifying information may be requested from a vehicle owner. As discussed in Section I.D.7. above, the Committee will match qualifying off-road vehicles with compatible emission control technologies. While every effort will be made to match qualifying vehicles with a technology, funding availability and the technical and programmatic goals of Showcase III may result in some vehicles not being recommended to participate.

Applicants may not substitute vehicles after the close of the application submittal period;

The recommendations of the Evaluation Committee will be provided to each applicant. An applicant will have the ability to review the Evaluation Committee recommendation as it pertains to matching retrofit device(s)/technologies. The applicant reserves the right to opt out of the Showcase III Program in the event the recommended retrofit device(s)/technology is not acceptable to the applicant;



9

The recommendations of the Evaluation Committee will be forwarded to the MSRC Technical Advisory Committee for review and approval;

The recommendations of the MSRC Technical Advisory Committee will be forwarded to the MSRC for consideration. Upon approval by the MSRC, the funding recommendations will be brought to the AQMD Governing Board for approval;

Applicants selected for participation will be required to enter into a binding contract with the AQMD on behalf of the MSRC. This contractual instrument is required to allow funding reimbursement for devices/technology purchased under this Program;

The selected applicants will be authorized to purchase qualifying retrofit devices/technology only upon receipt of Authorization to Proceed from the MSRC/AQMD. Authorization to Proceed will be given at the time the contract is fully executed. Installation may not occur until vehicle evaluation is complete and the vehicle deemed acceptable, and the installation design has been approved;

Any purchase of qualifying technologies prior to receipt of a fully executed contract is done solely at the equipment owners’ risk and there is no guarantee Qualifying technologies purchased in advance of contract execution will receive reimbursement;

The forms included in the following templates should be completed by the applicant and submitted in accordance with the instructions provided in Section II.A., “Application Submittal Instructions”.


10

FORM 1: APPLICATION SUMMARY INFORMATION A. Please provide the following applicant information in the space provided:

Business Name

Division of:

Subsidiary of:

Website Address

Type of Business Check One:

� Individual � DBA, Name _______________, County Filed in _______________ � Corporation, ID No. ________________ � LLC/LLP, ID No. _______________ � Other _______________

Address

City/Town

State/Province Zip

Phone ( ) - Ext Fax ( ) -

Contact Title

E-mail Address

Payment Name if Different

If Fleet is different from Applicant, please complete the following:

Fleet Name

Fleet Address

Fleet Phone

Fleet Contact Name

Fleet E-mail Address

B. Funding Request Summary:

MSRC Clean Transportation Funding™ Requested: $____________________

Other Co-Funding Applied to Project (optional) $____________________

Total Project Cost: $____________________


11

FORM 2: VEHICLE INFORMATION

Please provide the following information for each Off-Road Vehicle proposed. Please Use a Separate Sheet for each vehicle. Attach all completed sheets to your Application.

Vehicle Type and ID (i.e., CAT D9N Dozer, Equipment ID 00123)

Vehicle Model Year

Engine Manufacturer

Engine Model

Engine Model Year

Engine Family Name

Total Engine Hours Since New (Estimated)

Engine Hours Since Last Rebuild

Engine Serial Number

Engine Rated Horsepower

Annual Hours of Operation (Estimate)

Annual Oil Consumption (Estimated)

Address of Vehicle Storage Yard Street Address:

City:

Anticipated Vehicle Operating Location During Demonstration

Street Address (if known): City: Job Site Name:

Expected Duration at Above Location (months) Expected Number of Engine Hours to be Accrued at Proposed Operating Location

For “package” applications only: Retrofit/technology proposed

Vehicle evaluation cost (includes physical inspection, initial data logging)

Installation design cost

Cost to purchase and install technology on subject vehicle (include sales tax)

1. CARB and the MSRC are seeking vehicles that will be able to accrue approximately 1000

hours of engine operation within the jurisdiction of the South Coast AQMD. Do you anticipate that the proposed piece of equipment will be able to accrue approximately 1000 hours within the South Coast AQMD1 jurisdiction within a 12 month period? (check appropriate box; a “no” answer will not automatically disqualify you)

YES

NO

1 The geographical jurisdiction of the South Coast AQMD includes the urban, non-desert portions of Los Angeles, Orange, Riverside, and San Bernardino Counties in Southern California. Includes the Coachella Valley.


12

FORM 3 – CERTIFICATIONS


13


14


15

16

CAMPAIGN CONTRIBUTIONS DISCLOSURE California law prohibits a party, or an agent, from making campaign contributions to AQMD Governing Board Members or members/alternates of the Mobile Source Air Pollution Reduction Review Committee (MSRC) of $250 or more while their contract or permit is pending before the AQMD; and further prohibits a campaign contribution from being made for three (3) months following the date of the final decision by the Governing Board or the MSRC on a donor’s contract or permit. Gov’t Code §84308(d). For purposes of reaching the $250 limit, the campaign contributions of the bidder or contractor plus contributions by its parents, affiliates, and related companies of the contractor or bidder are added together. 2 C.C.R. §18438.5. In addition, Board Members or members/alternates of the MSRC must abstain from voting on a contract or permit if they have received a campaign contribution from a party or participant to the proceeding, or agent, totaling $250 or more in the 12-month period prior to the consideration of the item by the Governing Board or the MSRC. Gov’t Code §84308(c). When abstaining, the Board Member or members/alternates of the MSRC must announce the source of the campaign contribution on the record. Id. The requirement to abstain is triggered by campaign contributions of $250 or more in total contributions of the bidder or contractor, plus any of its parent, subsidiary, or affiliated companies. 2 C.C.R. §18438.5. In accordance with California law, bidders and contracting parties are required to disclose, at the time the application is filed, information relating to any campaign contributions made to Board Members or members/alternates of the MSRC, including: the name of the party making the contribution (which includes any parent, subsidiary or otherwise related business entity, as defined below), the amount of the contribution, and the date the contribution was made. 2 C.C.R. §18438.8(b). The list of current AQMD Governing Board Members can be found at the AQMD website (www.aqmd.gov). The list of current MSRC members/alternates can be found at the MSRC website (http://www.cleantransportationfunding.org). SECTION I. Please complete Section I. Contractor: RFP #: PA2012-17 List any parent, subsidiaries, or otherwise affiliated business entities of Contractor: (See definition below). SECTION II Has contractor and/or parent, subsidiary, or affiliated company, or agent thereof, made a campaign contribution(s) totaling $250 or more in the aggregate to a current member of the South Coast Air Quality Management Governing Board or members/alternates of the MSRC in the 12 months preceding the date of execution of this disclosure?

Yes No If YES, complete Section II below and then sign and date the form. If NO, sign and date below. Include this form with your submittal.

http://www.aqmd.gov/


17

Campaign Contributions Disclosure, continued: Name of Contributor Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution Name of Contributor Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution

Name of Contributor Governing Board Member or MSRC Member/Alternate Amount of Contribution Date of Contribution Name of Contributor Governing Board Member or MSRC Member/alternate Amount of Contribution Date of Contribution I declare the foregoing disclosures to be true and correct. By:

Title:

Date:

18

DEFINITIONS

Parent, Subsidiary, or Otherwise Related Business Entity.

(1) Parent subsidiary. A parent subsidiary relationship exists when one corporation

directly or indirectly owns shares possessing more than 50 percent of the voting power of another corporation.

(2) Otherwise related business entity. Business entities, including corporations,

partnerships, joint ventures and any other organizations and enterprises operated for profit, which do not have a parent subsidiary relationship are otherwise related if any one of the following three tests is met: (A) One business entity has a controlling ownership interest in the other

business entity. (B) There is shared management and control between the entities. In

determining whether there is shared management and control, consideration should be given to the following factors: (i) The same person or substantially the same person owns and

manages the two entities; (ii) There are common or commingled funds or assets; (iii) The business entities share the use of the same offices or

employees, or otherwise share activities, resources or personnel on a regular basis;

(iv) There is otherwise a regular and close working relationship between the entities; or

(C) A controlling owner (50% or greater interest as a shareholder or as a general partner) in one entity also is a controlling owner in the other entity.

2 Cal. Code of Regs., §18703.1(d).

19

DISADVANTAGED BUSINESS CERTIFICATION Federal guidance for utilization of disadvantaged business enterprises allows a vendor to be deemed a small business enterprise (SBE), minority business enterprise (MBE) or women business enterprise (WBE) if it meets the criteria below. • is certified by the Small Business Administration or

• is certified by a state or federal agency or

• is an independent MBE(s) or WBE(s) business concern which is at least 51 percent owned and controlled by minority group member(s) who are citizens of the United States.

Following state guidance, a vendor may be deemed a disabled veteran business enterprise (DVBE) if it meets the following: • is an independent business concern which is at least 51 percent owned and controlled by disabled veteran(s), and the home

office is located in the U.S. Statements of certification:

As a prime contractor to the SCAQMD, (name of business) will engage in good faith efforts to achieve the fair share in accordance with 40 CFR Section 31.36(e), and will follow the six affirmative steps listed below for contracts or purchase orders funded in whole or in part by federal grants and contracts. 1. Place qualified SBEs, MBEs, and WBEs on solicitation lists.

2. Assure that SBEs, MBEs, and WBEs are solicited whenever possible.

3. When economically feasible, divide total requirements into small tasks or quantities to permit greater participation by SBEs, MBEs, and WBEs.

4. Establish delivery schedules, if possible, to encourage participation by SBEs, MBEs, and WBEs.

5. Use services of Small Business Administration, Minority Business Development Agency of the Department of Commerce, and/or any agency authorized as a clearinghouse for SBEs, MBEs, and WBEs.

6. If subcontracts are to be let, take the above affirmative steps.

(a) Self-Certification Verification: Check all that apply:

Small business enterprise Women-owned business enterprise Local business Disabled veteran-owned business enterprise Minority-owned business enterprise

Percent of ownership: % Name of Qualifying Owner(s): I, the undersigned, hereby declare that to the best of my knowledge the above information is accurate. Upon penalty of perjury, I certify information submitted is factual.

B. NAME TITLE

C. TELEPHONE NUMBER DATE

20

(a) Definitions

Disabled Veteran-Owned Business Enterprise means a business that meets all of the following criteria: • is a sole proprietorship or partnership of which is at least 51 percent owned by one or more disabled veterans,

or in the case of any business whose stock is publicly held, at least 51 percent of the stock is owned by one or more disabled veterans; a subsidiary which is wholly owned by a parent corporation but only if at least 51 percent of the voting stock of the parent corporation is owned by one or more disabled veterans; or a joint venture in which at least 51 percent of the joint venture’s management and control and earnings are held by one or more disabled veterans.

• the management and control of the daily business operations are by one or more disabled veterans. The disabled veterans who exercise management and control are not required to be the same disabled veterans as the owners of the business.

• is a sole proprietorship, corporation, partnership, or joint venture with its primary headquarters office located in the United States and which is not a branch or subsidiary of a foreign corporation, firm, or other foreign-based business.

Joint Venture means that one party to the joint venture is a MBE/WBE/DVBE and owns at least 51 percent of the joint venture. In the case of a joint venture formed for a single project this means that MBE/WBE/DVBE will receive at least 51 percent of the project dollars. Local Business means a business that meets all of the following criteria:

• has an ongoing business within the boundary of the SCAQMD at the time of bid application. • performs 90 percent of the work within SCAQMD’s jurisdiction.

Minority-Owned Business Enterprise means a business that meets all of the following criteria:

• is at least 51 percent owned by one or more minority persons or in the case of any business whose stock is publicly held, at least 51 percent of the stock is owned by one or more minority persons.

• is a business whose management and daily business operations are controlled or owned by one or more minority person.

• is a business which is a sole proprietorship, corporation, partnership, joint venture, an association, or a cooperative with its primary headquarters office located in the United States, which is not a branch or subsidiary of a foreign corporation, foreign firm, or other foreign business.

“Minority” person means a Black American, Hispanic American, Native American (including American Indian, Eskimo, Aleut, and Native Hawaiian), Asian-Indian American (including a person whose origins are from India, Pakistan, or Bangladesh), Asian-Pacific American (including a person whose origins are from Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the United States Trust Territories of the Pacific, Northern Marianas, Laos, Cambodia, or Taiwan).

Small Business Enterprise means a business that meets all of the following criteria:

• is any business enterprise including its affiliates located inside the United States that is organized for profit, pays U.S. taxes, and/or uses American products, materials, and/or labor, etc.

• is independently owned and operated • is not dominant in the field of operation • is qualified as a small business under the criteria and size standards set forth in 13 CFR 121

Women-Owned Business Enterprise means a business that meets all of the following criteria:

• is at least 51 percent owned by one or more women or in the case of any business whose stock is publicly held, at least 51 percent of the stock is owned by one or more women. • is a business whose management and daily business operations are controlled or owned by one or more

women. is a business which is a sole proprietorship, corporation, partnership, or a joint venture, with its primary headquarters office located in the United States, which is not a branch or subsidiary of a foreign corporation, foreign firm, or other foreign business.

approve contract awards and modifications and issue ... · fy 2010-11 ab 2766 discretionary fund...

Documents