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State of Illinois PROCUREMENT OPPORTUNITY TO: Bid/Proposal Manager FROM: Illinois Environmental Protection Agency, Procurement Section DATE: 8/28/02 SUBJECT: PROJECT TITLE: Chicago Area Waterway System Use Attainability Analysis REFERENCE #: EPA 311 Request for Proposals (RFP) ____________________________________________________________________________________ The Illinois Environmental Protection Agency _ (AGENCY) is requesting offers from responsible vendors to meet the State's needs. A brief description is set forth below for your convenience, with detailed requirements in subsequent sections of this solicitation. If you are interested and able to meet these requirements, we would appreciate and welcome an offer. Brief Description: The Clean Water Act (CWA) requires states to establish water quality standards to “protect the public health or welfare” and “enhance the quality of water” for water bodies “taking into consideration their use and value for public water supplies, propagation of fish and wildlife, recreational purposes, and agriculture, industrial, and other purposes, and also taking into consideration their use and value for navigation” (Section 303(c)(2)(A)). USEPA requires a State to conduct a Use Attainability Analysis (UAA) on water body if: 1) that water body has designated uses that do not include those specified in the CWA; or 2) whenever a State wishes to remove a designated use or adopt subcategories of uses which require less stringent criteria. The UAA is defined as a “structured scientific assessment of the factors affecting the attainment of the use which may include physical, chemical, biological and economic factors as described in 40 CFR 131.10(g). The Chicago Area Waterway System (CAWS) is subject to UAA requirements. The solicitation package consists of the following sections: 1) "Instructions for Submitting Offers." This section advises what you need to know and do when preparing and submitting an offer to us. It also tells how we will evaluate your offer. The first page of the Instructions, the “Custom Page,” will provide dates, locations and other information specific to this solicitation. For our purposes, "Offer" is the term used to mean the response to an Invitation for Bids, or Requests for Proposals and may sometimes be called a "bid" or "proposal". 2) "Solicitation Response Forms." We have presented our needs in the form that shows the specifications, how the offer must be priced, contract terms and other requirements. In addition, you must provide information about your company requested in the "Vendor Prequalification" section, including certain conflict of interest disclosures. Your response to this solicitation is voluntary, but without requested information we will not be able to consider your response. Please read the entire solicitation package and submit your offer in accordance with the Instructions. The "Solicitation Response Forms," completed, signed and returned by you, will constitute your offer. Do not submit the Instruction pages with your offer. You should keep the Instructions and a copy of your offer (Solicitation Response Forms) for future reference. i revised 02-21-2002 Project ID INSTRUCTIONS FOR SUBMITTING OFFERS (CUSTOM PAGE) 1.1 SUBMIT OFFERS TO: LABEL AS: SEALED BID Environmental Protection Agency Attn: Sheila Day 1021 N. Grand Avenue East Project Title & Reference # Springfield, Illinois 62702 Due Date & Time Note: Offers will be opened at this address. To attend the opening, please use the Converse Street entrance (North entrance). 1.2 DUE DATE & TIME FOR SUBMISSION AND OPENING: Date: September 30, 2002 Time: 2:00 p.m. local time 1.3 NUMBER OF COPIES: Submit a signed original and 6 copies of your offer in a sealed container. If this is a Request for Proposals, submit price in a separate sealed envelope in the Offer Container. The Agency strongly recommends that all copies of the proposal be printed on both sides of recycled paper to the maximum extent feasible. 1.4 OFFER FIRM TIME: _90 Days from Opening 1.5 SECURITY: Offer $____n/a________ Performance $___n/a__________________ 1.6 VENDOR CONFERENCE/SITE VISIT: Yes X No Mandatory Attendance: Yes No Date and Time: Location: 1.7 PROJECT CONTACT: Agency: Environmental Protection Agency Attn: Christopher Demeroukas Phone: 217/785-1855 Address: P.O. Box 19276 TDD: 217/782-9143 Springfield, IL 62794-9276 Fax: 217/524-4959 e-mail: EPA8871@epa.state.il.us Questions concerning the RFP may be made in writing and must be directed to the Agency Project Contact. Questions received less than seven calendar days prior to the due date and time may be answered at the discretion of the Agency. (See 1.15) 1.8 PROTEST REVIEW OFFICE: Agency: Illinois Environmental Protection Agency Phone: 217/782-9894 Attn: Manager, Division of Administration FAX: 217/524-4959 Address: P.O. Box 19276 TDD: 217/782-9143 Springfield, Illinois 62794-9276 1.9 SMALL BUSINESS SET -ASIDE: Yes ___ No _x__. If “Yes” is marked this has been set-aside for award to small businesses in Illinois (30 ILCS 500/45-45). A small business (including affiliates) has annual sales for its most recently completed fiscal year less than (1) $7,500,000 for a wholesaler; (2) $1,500,000 for a retailer or business selling services; (3) $10,000,000 for a ii revised 02-21-2002 Project ID construction business; and must have less than 250 employees if a manufacturer. For complete requirements, contact the CMS Small Business Specialist at 217-782-4705, TDD 800-526-0844. 1.10 STATUTORY CITATIONS. Illinois law governs this solicitation. You will find a number of statutory references in the solicitation that are designated "ILCS." The official text can be found in the appropriate chapter and section of the Illinois Compiled Statutes. An unofficial version of the statutes can be viewed at www.legis.state.il.us/ilcs/chapterlist.html. The Illinois Procurement Code (30 ILCS 500) and Standard Procurement Rules (44 Ill. Adm. Code 1), which are applicable to this procurement, may be viewed by registered users at http://www.purchase.state.il.us. 1.11 ILLINOIS PROCUREMENT BULLETIN. We publish in the electronic Illinois Procurement Bulletin (Supplies and Services Edition) various procurement information including Notices of Procurement Opportunities and Notices of Award. Procurement information may not be available in any other form or location. You may register to view and download procurement information at http://www.purchase.state.il.us. You are responsible for monitoring the Bulletin and we cannot be held responsible if you fail to receive the optional e-mail notices. 1.12 SUBMISSION OF OFFER. (see CUSTOM PAGE). You may mail or hand deliver offers, including amendments. We do not allow computer, fax, or other electronic submissions unless authorized on the CUSTOM PAGE. We must actually receive submissions as specified. It shall not be sufficient to show that you mailed or commenced delivery before the due date and time. All times are State of Illinois local times. You must allow adequate time to accommodate all security screenings prior to delivery and at the delivery site. 1.13 FORM AND CONTENT OF OFFERS. The "Solicitation Response Forms," completed, signed and returned by you, will constitute your offer. An original and the designated number of copies of each offer is required (see CUSTOM PAGE). Failure to submit the required number of copies may prevent your offer from being evaluated within the allotted time. Offers, including modifications, must be submitted in ink, typed, or printed form and signed by an authorized representative. The State may require that offers be submitted in electronic form. Your offer o must provide all information requested and must address all points. We d not encourage exceptions as we have extremely limited ability to grant exceptions particularly in regard to statutory requirements (those cited ILCS ). We are not required to grant exceptions and depending on the exception, we may have to reject your offer. 1.14 MODIFICATION / WITHDRAWAL OF OFFER. Written requests to modify or withdraw the offer received by the State prior to the scheduled opening time will be accepted and will be corrected after opening. No oral requests will be allowed. Requests must be addressed and labeled in the same manner as the offer and marked as a MODIFICATION or WITHDRAWAL of the offer. 1.15 QUESTIONS. Please direct all questions (and requests for ADA accommodations) to the State PROJECT CONTACT (see CUSTOM PAGE). Questions received less than seven calendar days prior to the due date and time may be answered at the discretion of the AGENCY. We will provide written answers to questions of a general nature or which would affect the solicitation. We will either send them to all eligible recipients of the solicitation or post them in the Illinois Procurement Bulletin. Only written answers to questions shall be binding on the State. 1.16 VENDOR CONFERENCE/SITE VISIT. (see CUSTOM PAGE). Attendance is mandatory, if so designated on the CUSTOM PAGE, as a condition of submitting an offer. The conference/site visit provides interested parties an opportunity to discuss the State's needs, inspect the site and ask questions. During any site visit you must fully acquaint yourself with the conditions as they exist and the character of the operations to be conducted under the resulting contract. 1.17 RESPONSIBILITY TO READ AND UNDERSTAND. Failure to read, examine and understand the solicitation will not excuse any failure to comply with the requirements of the solicitation or any resulting contract, nor shall such failure be a basis for claiming additional compensation. If you suspect an error, omission or discrepancy in this solicitation, you must immediately notify the PROJECT CONTACT. We will issue written instructions, if appropriate. iii revised 02-21-2002 Project ID 1.18 OPENING. (see CUSTOM PAGE). We will open all offers properly and timely submitted, and will record the names and other information specified by law and rule. All offers become the property of the State and will not be returned except in the case of a late submission. 1.19 LATE DELIVERY. We will not consider offers received at the opening location after the stated due date and time. 1.20 OFFER FIRM TIME. (see CUSTOM PAGE). Offers shall remain firm and unaltered after opening for the number of days shown. We may accept your offer, subject to successful contract negotiations, at any time during the offer firm time. 1.21 SECURITY. (see CUSTOM PAGE). You must provide any required offer security (i.e., bid bond) with the offer, and performance security within 10 days of our accepting your offer unless a different time is specified herein. Security shall be in the form of a bond unless otherwise agreed. 1.22 PRESENTATIONS AND INSPECTIONS. You must provide a formal presentation of the offer upon request. We reserve the right to inspect and review your facilities, equipment and personnel and those of any identified subcontractors. 1.23 BEST & FINAL. We may request best & final offers if deemed necessary, and will determine the scope and subject of any best & final request. However, you should not expect that we will ask for best & finals to give you an opportunity to strengthen your proposal. Therefore, you must submit your best offer based on the terms and condition set forth in this solicitation. 1.24 EVALUATION AND AWARD. We evaluate offers using criteria shown in this solicitation. If we select your offer for award, we will send you written notice and will post the notice to the Illinois Procurement Bulletin. Such notice will extend the Offer Firm Time until we sign a contract or determine negotiations with you have failed. Receipt or posting of a notice of award is not equivalent to a contract with the State. Protested awards are subject to resolution of the protest. 1.25 PROTESTS. If you object to any provision of the solicitation, believe we improperly rejected your offer, or believe the selected offer is not in the State's best interests, you may submit a written protest. We must actually receive the protest within 7 calendar days after you know or should have known of the facts giving rise to the protest. You shall be deemed to have notice as of the date of publication in the Illinois Procurement Bulletin, unless you had earlier actual notice. Protests of specifications must be submitted within 7 calendar days after first publication. You must submit your protest to the PROTEST REVIEW OFFICE, or if there is no such designation to the PROJECT CONTACT (see CUSTOM PAGE). We will consider only written protests that are properly and timely submitted. We will issue a written decision and that decision is final. 1.26 CONTRACT NEGOTIATIONS. You must be prepared for us to accept your offer as submitted, but we may require contract negotiations if necessary or desirable. If negotiations do not result in an acceptable agreement, we may reject your offer or revoke the award, and may begin negotiations with another vendor. Final contract terms must be approved or signed by the appropriately authorized State official(s). The PROJECT CONTACT may not be so authorized. 1.27 COMMENCEMENT OF WORK. If you begin any billable work prior to the State's final approval and execution of the contract, you do so at your risk. 1.28 RESERVATIONS. We reserve the right to reject all offers; to reject individual offers for failure to meet any requirement; to award by item, part or portion of an item, group of items, or total; and to waive minor defects. We may seek clarification of the offer from you at any time, and failure to respond is cause for rejection. Clarification is not an opportunity to change the offer. Submission of an offer confers on you no right to an award or to a subsequent contract. This process is for the State's benefit only and is to provide the State with competitive information to assist in the selection process. All decisions on compliance, evaluation, terms and conditions shall be made solely at our discretion and made to favor the State. iv revised 02-21-2002 Project ID 1.29 VENDOR CONTACT. We will consider the person who signed your offer to be your contact person for all matters pertaining to the offer unless you designate some other person in writing. 1.30 COST OF PREPARATION. We are not responsible for and will not pay any costs associated with the preparation and submission of your offer. 1.31 PUBLIC INFORMATION. All information submitted is subject to the Illinois Freedom of Information Act (5 ILCS 140), the Illinois Procurement Code and other applicable laws and rules. IEPA procedural and implementing rules have been adopted under Title 2 Part 1828 of the Illinois Administrative Code, which can be found at www.epa.state.il.us (select “Rules & Regulations”). IEPA utilizes the “Trade Secret@ procedures found in Title 35 Part 130 of the Illinois Administrative Code, which can be found at www.ipcb.state.il.us/title35/35conten.htm. The Agency strongly suggests that you review and follow the “trade secret@ provisions if applicable to your proposal. Vendors claiming exemption from disclosure of certain portions of the offer must do so in a separate section of the offer labeled “Confidential Information.” This section must identify the volume, page and section containing the confidential information, the reason for the claim of confidentiality and the statutory citation authorizing the exemption from disclosure. We will determine whether claimed exemptions apply. Upon award the name of the winning vendor and price as well as sufficient information from that offer will be made available to the public to allow for meaningful review and protest regardless of any claim of exemption. We must disclose only the record (name, and in the case of IFBs, the price) after award of the losing offers. Final results of the State’s evaluation shall be public. 1.32 PUBLIC CONTRACTS NUMBER. Vendors with 15 or more employees must have a Public Contracts Number issued by (or completed application submitted to) the Illinois Department of Human Rights (DHR) prior to the opening date. Contact DHR at 312-814-2431. 1.33 OUT OF STATE COMPANIES. Please contact the Illinois Secretary of State (217/782-1834) regarding a Certificate of Authority to Transact Business in Illinois (805 ILCS 5/13). Application Form BCA 13.15 may be downloaded from www.sos.state.il.us/depts/bus_serv/bca.html. 1.34 NON-DISCRIMINATION POLICY. In compliance with the State and Federal Constitutions, the Illinois Human Rights Act, the U.S. Civil Rights Act, and Section 504 of the Federal Rehabilitation Act, the State of Illinois does not unlawfully discriminate in employment, contracts, or any other activity. 1.35 COMPLETION OF SOLICITATION RESPONSE FORMS. The Solicitation Response forms consist of the "Vendor Prequalification" information. You must complete, respond to and submit all sections of each set of forms including attachments, clearly show any "exceptions," sign and return each of the forms as indicated. We may provide an electronic form of this solicitation and require that you respond in like form (see CUSTOM PAGE). The electronic version may include additional instructions. VENDOR PREQUALIFICATION. You must sign the "Vendor Prequalification Format and Signature” page and provide the information requested in the attachments. This information is used to determine whether you qualify as a “responsible” vendor. If you do not provide this information, we may not be able to consider your offer. The “Vendor Prequalification” section is arranged as follows: Vendor Prequalification Format and Signature Business and Directory information References Department of Human Rights Public Contract Number Minority, Female, Person with a Disability Status and Subcontracting Conflict of Interest Disclosures Taxpayer Identification Number v revised 02-21-2002 Project ID 1.36 CRITERIA FOR EVALUATION AND AWARD. We evaluate four categories of information: administrative compliance, vendor responsibility, responsiveness and price. All offers, regardless of the type of solicitation, must meet the following administrative and responsibility criteria. a) Administrative Compliance. We will determine whether the offer complied with the Instructions for Submitting Offers. We must reject your offer if you submit it late. Failure to meet other requirements could result in rejection. b) Vendor Responsibility. We will determine whether the VENDOR submitting the offer is one with whom we can or should do business. Factors that we may evaluate to determine "responsibility" include, but are not limited to: certifications, conflict of interest disclosures, taxpayer identification number, past performance, references (including those found outside the offer), compliance with applicable laws, financial stability and the perceived ability to perform completely as specified. A VENDOR must at all times have financial resources sufficient, in the opinion of the State, to ensure performance of the contract and must provide proof upon request. We will determine whether any failure to supply information, or the quality of the information, will result in rejection. c) Evaluation of "responsiveness" and "price" differ depending on the type of solicitation. The evaluation and award criteria for a Request for Proposals are shown in the following subsection. When the specification calls for “Brand Name or Equal,” the brand name product is acceptable. Other products will be considered upon a showing the other product meets stated specifications and is equivalent to the brand product in terms of quality, performance and desired characteristics. Minor differences that do not affect the suitability of the supply or service for the State’s needs may be accepted. Point and other such evaluation methods are tools we use to aid us in the evaluation process, but are not always definitive. We reserve the right to use our discretion to eliminate offers that we deem unacceptable. d) Request for Proposals. We will determine how well offers meet our requirements in terms of “responsiveness” to the specifications. We will rank offers, without consideration of price, from best to least qualified using a point ranking system (unless otherwise specified) as an aid in conducting the evaluation. References may be considered again in this portion of the evaluation. We will determine whether any failure to supply information, or the quality of the information, will result in rejection or downgrading the offer. Vendors who do not rank sufficiently high need not be considered for price evaluation and award. The “responsible” offeror whose offer meets “administrative” requirements and whose offer is most advantageous shall be eligible for award. If we do not consider the price submitted in response to any type of RFP to be fair and reasonable and that price cannot be negotiated to an acceptable level, we reserve the right to award to the next highest ranked vendor. We will determine whether the price is fair and reasonable by considering the offer, including the vendor's qualifications, the vendor's reputation, all prices submitted, other known prices, the project budget and other relevant factors. The point evaluation system is described below. The total number of points for "responsiveness" is _100_. Vendors who do not receive _66_ of the total "responsiveness" points need not be considered for price evaluation and award. The elements of responsiveness that will be evaluated and their relative weights are: Elements Weight 1. Data Analysis and Methodology Selection 34 Points 2. Education and Technical Ability and Prior experience with similar projects 33 Points 3. Community Relations and Public Participation 33 Points The above elements will be evaluated for the following criteria: vi revised 02-21-2002 Project ID The extent to which the proposal conveys a sense of understanding of the problems, objectives and requirements of the project; The plausibility that the proposed project will guide the process through a comprehensive, technically valid and defensible UAA; The overall quality, readability, clarity, organization, thoroughness and responsiveness of the proposal; The ability to identify information needs and the plan for acquiring and using such information; The identification of existing and potential problems and the reasonableness and appropriateness of recommended solutions; The knowledge of regulatory requirements; The expertise in conveying information to and building consensus among stakeholders and the public at large; The proposed sequence of planned operations, the duration of tasks and the overall schedule; The ability to identify unique approaches or solutions that will shorten the schedule, conserve funds and add to the efficiency of the project; The reasonableness and plausibility of any interpretations, qualifications or assumptions pertinent to or inherent in the project; and The quality and usefulness of graphs, sketches, diagrams, figures and tables to present information. Price will be a weighted element. The total number of points for "price" is _50_. We will determine "price" points using the following formula: Lowest Price Maximum price points X --------------------------- = Total Price Points Offeror's Price The maximum number of points is _150__ (Responsiveness __100___ plus Price _50__). Alternative Evaluation. If three or fewer offers are received in response to the request for proposals, the offers may be evaluated using simple comparative analysis of the elements of responsiveness (and price where applicable) instead of any announced method of evaluation (such as points). Proposed and/or Final Rates: Vendors who do not rank sufficiently high in the responsiveness portion of the bid need not be considered for price evaluation and award. If we do not consider the rates to be fair and reasonable and rates cannot be negotiated to an acceptable level, we reserve the right to reject the proposal in total. We will determine whether the rate is fair and reasonable by considering all rates submitted, other known rates, the project budget and other relevant factors. Oral or Written Presentations and Clarifications of Proposal. The Agency, in conjunction with its evaluation of proposals, may invite a Bidder to make one or more oral or written presentations, and may discuss with a Bidder revisions in or clarifications of any term or provision of the Bidder’s proposal. The Agency reserves the right, during the course of any such discussions, to modify or waive any term, condition or requirement of the RFP if it determines that the vii revised 02-21-2002 Project ID term, condition, or requirement is not a material term of the RFP and that waiver or modification is in the best interest of the State of Illinois; provided, however, that the Agency will not modify or waive any term, condition or requirement, if noncompliance with such term, condition or requirement is grounds for disqualifying the Bidder as nonresponsive. The Agency anticipates giving Bidders two or three business day’s notice, where possible, before an oral or written presentation or clarification is due. The Agency reserves the right to require further negotiation of contract contents after initial selection of the probable contractor(s) but prior to execution of the contract. The Agency reserves the right to require the Contractor to participate in periods of further good faith negotiation or renegotiation of contract terms during the initial or any subsequent contract term, to address unforeseen conditions or substantial changes in circumstances that may arise during contract implementation, or for such other reasons that the Agency deems appropriate. END OF INSTRUCTIONS viii revised 02-21-2002 Project ID TERM OF CONTRACT a. Beginning and end date of initial term. Beginning date will be upon signature of the Contract by the Agency Director. It is anticipated that this date will occur around November 18, 2002. The duration of this project will be approximately 2 years from the contract award date. b. Renewal. Except as otherwise shown, the State reserves the right to renew the contract for the same or lesser length of term as the initial term and on the same terms and conditions. At the Agency’s sole option, the contracts may be renewed for an additional 12 months or less. c. Early Termination. The State reserves the right to terminate this contract without cause and without penalty or further payment being required upon 30 days prior written notice. Upon exercise of this right, AGENCY shall pay VENDOR for supplies and services satisfactorily provided and for authorized expenses incurred up to the time of termination. 1 revised 02-21-2002 Project ID DESCRIPTION OF SERVICES 2.1 Need for Services. The Agency is seeking Contractual support in conducting a Use Attainability Analysis (UAA) of the Chicago Area Waterway System. Primary focus will be on waterway reaches currently classified in Illinois Code as Secondary Contact and Indigenous Aquatic Life (See Appendix A), except for the reach of the Lower Des Plaines River currently being evaluated through a separate UAA. Consideration shall also be given to the major General Use waterway segments, reaches or tributaries adjoining the Secondary Contact waterways such as the Calumet River upstream (lakeside) of O’Brien Lock, the Little Calumet River South Leg (upstream of the confluence of the Calumet -Sag Channel and the Little Calumet River North Leg), the North Shore Channel upstream of the Metropolitan Water Reclamation District of Greater Chicago (MWRDGC) North Side water reclamation plant, and the North Branch of the Chicago River upstream of its confluence with the North Shore Channel. Tasks will include: 1. review and evaluate all available environmental data to determine the physical, chemical and biological conditions of the waterway, recommending additional water and sediment quality monitoring activities and coordinating the generation and evaluation of additional data as may be necessary to accomplish the objectives; 2. identify and characterize the types, causes and sources of major stressors on the system including potential use impairments identified in the Agency’s most recent Clean Water Act Section 303(d) List ; 3. assess available water quality and habitat management options for eliminating or reducing system stressors; 4. determine the potential to achieve and maintain use classifications other than existing classifications; 5. develop recommended use designations and associated water quality standards to achieve the highest attainable uses consistent with Clean Water Act goals and Chapter 2 of USEPA’s Water Quality Standards Handbook (40 CFR 131.10) 6. provide expert testimony before the Illinois Pollution Control Board in support of use designation changes; and 7. establish and coordinate stakeholder involvement in the UAA process. 2.2 Background The Chicago Area Waterway System (CAWS) consists of Calumet and Chicago River basin water bodies classified for the most part as Secondary Contact and Indigenous Aquatic Life Use (See list of waters and reaches in Appendix A). It also consists of Lake Calumet and numerous General Use tributaries. Appendix B describes the significant features of the main channel portion of the system. Two of the larger non-main channel tributaries, the Grand Calumet River and the Little Calumet River South Leg originate in the State of Indiana. Lake Calumet is a shallow water body surrounded by current and former industrial developments and remnant wetlands. The Chicago Sanitary and Ship Canal, the Calumet-Sag Channel and the North Shore Channel are artificial waterways constructed about 100 years ago to facilitate navigation and to protect Lake Michigan from the wastes of a growing Chicago. The Little Calumet River North Leg, the Chicago River, the South Branch of the Chicago River and the North Branch of the Chicago River downstream of its confluence of the North Shore Channel are natural rivers that have been extensively modified through deepening, 2 revised 02-21-2002 Project ID widening and channelizing. The flow direction of the Chicago River, the South Branch of the Chicago River and the Little Calumet River North Branch is reverse of what it was before the artificial channels were constructed, directing Chicago and Calumet flows away from Lake Michigan toward Lockport and into the Des Plaines River. Most of the CAWS’s flow is dominated by treated wastewater from 5 million Cook County residents and an additional industrial load of approximately 4.5 million population equivalents. The purpose of the UAA will be to determine if other use classifications are more appropriate for the CAWS or any portion thereof. Stakeholder involvement is critical to this process and the City of Chicago’s Chicago River Corridor Development Plan, the Lake Calumet area organizations’ “Vision for Lake Calumet", the Friends of the Chicago River’s Urban River Monitoring and Recovery Initiative Project and other such relevant programs shall be considered during the analysis. 2.3 Scope of Work A. Verify and augment, where necessary, MWRD’s description of the CAWS contained in Appendix B and provide the Agency with a written copy of the verified and augmented report. The report shall contain in general terms: 1. in both text and map form, a delineation of the water bodies, reaches and tributaries. 2. a summary of classifications, uses and standards applicable to each water body, reach and tributary. 3. a grouping and description of waterway reaches/areas of similar or unique character, function and use (e.g. channelized, vertical-walled shipping canals). 4. a description of the existing physical, chemical and biological conditions of both the water column and sediment of each reach/area. 5. a description of in-stream human uses and biological habitats in each reach/area. 6. a description of pollutant sources and existing controls, including industries, POTWs and the MWRDGC Tunnel and Reservoir Program (TARP). 7. a description of existing riparian human and wildlife uses and biological habitat in each reach/area. 8. a description of the Lake Michigan discretionary diversion program. 9. a description of MWRD’s side-stream (SEPA) and in-stream aeration systems. 10. a description of MWRD’s and Chicago’s waterway debris removal operations and Friends of Chicago River’s River Rescue Day and Adopt a River. 11. an overview of the density current phenomenon and hydraulic model. 12. an overview of the City of Chicago’s “Chicago River Corridor Development Plan,” the Lake Calumet area organizations’ “Vision for Lake Calumet“, the Friends of the Chicago River’s Urban River Monitoring and Recovery Initiative Project and other such stakeholder goals and projects. 13. a summary of CAWS permittee’s NPDES permit mandated activities not covered in Appendix C, that may affect the waterways, including pertinent activities associated with Midwest Generation, the Hammond Sanitary District, the Grand Calumet River Remedial Action Plan and other relevant environmental projects. B. Establish and facilitate stakeholder involvement in local (north, central and south) areas by: 1. convening and coordinating the meetings of a Stakeholder Steering Committee, and, as needed, local stakeholder subcommittee(s) to address concerns unique to particular waterway reach(es)/area(s). 2. developing consensus among stakeholders on what in-stream and riparian use options are available for the various waterway reaches. 3. developing criteria for waterway assessments. 3 revised 02-21-2002 Project ID 4. grouping, ranking and prioritizing waterway reaches/areas according to stakeholders’ priorities. 5. developing work plan(s) for reach/area investigation(s). 6. developing schedule(s) for completing assessment(s). 7. developing preliminary approaches to setting and attaining goals. 8. evaluating control alternatives. 9. recommending future reach/area classification(s), use(s) and standards. 10. developing a plan for achieving use(s) and standards. C. Compile documents and review applicable local, State and federal Laws, Regulations, Standards, Policies and Guidance pertaining to water quality standards and their modification, TMDLs, UAAs, CSO and SSO controls and other such material relevant to the UAA, and provide the Agency with a list of such documents and a synopsis of the review. D. Perform initial characterization(s) of waterway reach/area(s): 1. Work closely with regulated dischargers and governments and their contractors to acquire and assemble previously collected data and data to be collected in the coming year, not limited to data collected by USGS, USEPA, USACE, USFWS, IEPA, IDNR, IDPH, MWRDGC, Midwest Generation and the municipalities adjoining the CAWS. 2. List available existing data and determine what other data will be needed. 3. Characterize shoreline conditions, including bank type, vegetation, habitat, recreation potential, access points, limitations, etc. 4. Prepare a waterway reach/area characterization report integrating the results of D1-D3 above. E. Conduct a technical review of potential methods of pollution control and mitigation measures, including the costs, benefits and environmental effects of such controls and measures. The review should include innovative watershed management practices as well as conventional controls and measures. F. Perform local waterway reach/area analyses which include: 1. ecosystem analyses on vertebrate, invertebrate and vegetative components of the CAWS. 2. determination of actual human instream us es. 3. determination of actual riparian human and wildlife uses along the CAWS. 4. utilization of MWRD’s water quality model and other available tools for evaluating the impacts of existing facilities and other pollutant loads and determining to what extent additional controls are needed to reach attainable uses and standards. 5. discussion on the anticipated benefits or detrimental effects of: a. the future reductions in the Lake Michigan discretionary diversion allotment b. TARP Phase II c. Other anticipated future environmental programs or permit mandated changes associated with the CAWS, including but not limited to programs and requirements listed in or encountered as a result of the tasks performed in accordance with 2.3(A) above. 6. Submit a report on the findings of the waterway reach/area analyses. G. Upon completion of the local waterway reach/area analyses outlined in F above, perform an integrated CWS assessment and analysis of current and potential classifications, uses and standards, including programmatic, environmental, economic and other factors which may affect the achievement of such potential classifications, uses and standards. The analysis shall 4 revised 02-21-2002 Project ID culminate in a written report containing a recommended comprehensive plan for revising the uses and water quality standards necessary for meeting the stakeholder consensus-derived riparian and waterway goals. The analysis shall cover: 1. The uses and standards presently being attained through existing facilities and control measures. 2. The uses and standards that may be attained after CSO, instream and/or sidestream aeration, reduced discretionary diversion, storm water BMP and other scheduled facility plans, controls and programs are in place and functioning. 3. The frequency which existing standards will not be met through existing and currently planned controls and programs. 4. The uses that may be impractical regardless of water quality conditions. 5. The existing and potential future uses that may be attained without absolute attainment of existing numerical standards. 6. The feasibility of establishing the following through the existing regulatory framework: a. Special uses, such as: intermediate, seasonal, partial and/or dry versus wet weather. b. Site-specific water quality criteria. c. Alternative frequency-duration water quality criteria. d. Variances. 7. The facilities and programs needed to achieve desired waterway and riparian uses and to achieve compliance with numeric standards associated with such uses. 8. The capital, O&M and management costs of desired facilities and programs identified in 2.3(G)(7) above. H. With the involvement of the Stakeholder Steering Committee, the stakeholder waterway reach/area teams, and the regulatory representatives, and in consideration of all the information acquired through all other elements of the analysis, develop and submit a detailed Strategic Plan with time lines for achieving the established goals for achieving attainable uses. I. In consultation with affected (paying) organizations, compile costs for accomplishing individual elements of the comprehensive plan and analyze the overall cost to the stakeholders’ rates and/or taxes, and list and quantify the economic benefits derived through enhanced recreational uses, increased property value and other tangible factors considered in the Strategic Plan. A socio-economic impact report shall be submitted. J. Assist in all public outreach activities: 1. Conduct local stakeholder waterway reach/area assessments meetings and steer the stakeholder teams into developing waterway reach/area plans as outlined in 2.3(B) above. 2. Conduct stakeholder steering committee meetings. 3. Coordinate planning and technical activities through meetings and correspondence with City, County, State, Federal and other appropriate regulatory agencies and their contractors and consultants. Coordination shall include meeting scheduling and advertisement and meeting minutes taking, transcribing and distribution to interested attendants. All stakeholder meeting minutes shall be distributed two weeks prior to a subsequent meeting. K. Assist in any Illinois Pollution Control Board and USEPA proceedings that may be necessary to accomplish the objectives of the Strategic Plan. L. Project controls shall include the following: 5 revised 02-21-2002 Project ID 1. A project management schedule shall be submitted within two weeks of contract award. st 2. A project management meeting shall be held near the 1 of at least every other month (6 meetings per year), or more often as required, with the Agency and other appropriate officials to review the status of the study. By mutual agreement, the meetings may be held by phone. Meeting minutes shall be taken, prepared and distributed with the subsequent bi-monthly progress report as described in 2.3(L)(3) below. 3. A bi-monthly progress report (6 reports per year) shall be written and submitted to the Agency two weeks after each bi-monthly project management meeting described in 2.3(L)(2) above, and the reports shall describe to-date work performed, significant findings, delays and other problems, a budget update, an updated project management schedule and minutes from the previous project management meeting as described in L3 below. 4. In consultation with the Agency, the contractor shall assemble and consult a Technical Steering Committee (TSC) consisting of government experts in the fields of CSOs, wastewater treatment, watershed planning, biology/ecology, BMPs, modeling, UAA, TMDL, non-point source pollution and other areas as needed. The TSC shall guide the assembly of an aquatic biological group and other subcommittees as may be needed to manage specialized aspects of the UAA. TSC and TSC Subgroup meeting minutes shall be taken and distributed 2 weeks prior to subsequent TSC or TSC Subgroup meetings 2.4. Qualifications of Vendor and/or Vendor's staff (or others who would perform). VENDOR must have and show the qualifications (including as appropriate, education, experience and technical ability) necessary to perform this contract. The Contractor shall provide necessary and sufficient personnel, equipment, materials, and incidentals to successfully complete the work specified in Section 2.3 of this Request for Proposals: Project Manager – This individual has the overall responsibility of completing all work elements of this Contract, including oversight and direction of support staff. The Project Manager must have an advanced college degree in Environmental Sciences, Water Resources Management or related field and have a minimum of five year’s experience as a project manager or assistant manager in projects related to water quality assessment and management. The Project Manager should also have working experience with and knowledge of USEPA’s use attainability analysis guidance and related materials (1997 WERF UAA publications, Project 91-NPS-1, Reference no. D72001). Support Staff – These individuals shall have appropriate technical expertise and public relations abilities necessary to complete the contracted work. At least one staff member shall have an advanced college degree and three year’s working experience in aquatic biology; one shall have an advanced college degree and three year’s working experience in chemistry; and another shall have a college degree and two year’s working experience in a public relations field. Staff should also have a working knowledge of USEPA’s water quality standards handbook, particularly the use attainability guidelines, criteria derivation procedures and provisions for development of Total Maximum Daily Loads for impaired waters. Bidders shall submit a list of all personnel to be used in all aspects of their proposal, together with resumes detailing the education and work experience of each person. The personnel identified in the bidder’s proposal may not be changed without prior written consent of the Agency. The Agency reserves the right to approve or reject personnel designated by a Contractor or subcontractor. Any delay or additional costs incurred because of the failure of the Contractor to give timely notice of new personnel shall be the sole risk of the Contractor. Staffing References: Bidders shall provide a description of completed work experiences that are comparable to the project outlined in this RFP. Bidders shall provide information on the projects in the following format: 6 revised 02-21-2002 Project ID a. List the most recent project reference first and all other project references in reverse chronological order (more recent experiences coming before less recent ones). b. Specify contact person for the contract issuing entity for each project, including a current address and telephone number for each person. c. Provide the commencement and completion dates for each project referenced. d. Provide a description of each project and all work performed by the Bidder. e. For each project, provide the contract amount and any deviation from this amount in terms of the final actual price paid to the Bidder. f. Provide a description of all accidents, injuries or other incidents relative to any work on each referenced project that have given or may give rise to a legal or equitable claim against the Bidder, any subcontractor, an agent of either of them, other parties involved in that project, or any third parties. 2.5. Performance Security Bond. ___n/a______________ 2.6. Subcontracting/Joint Ventures. Subcontracting is allowed, subject to the following: The State intends to contract with one entity per contract and that entity shall be contractually responsible for performance. However, if the entity is a joint venture, one of the parties to the joint venture must take full contractual responsibility for performance under the contract. 1. The Agency reserves the right to approve all subcontractors, whether identified in the proposal or not. No subcontractors, except those expressly approved by the Agency in writing and identified in the contract, (by name, address and estimated amount to be paid) shall be used by the Contractor for the purposes of this Contract. The Agency’s Project Manager may grant approval and consent of a subcontractor. 2. Each Proposal must include a statement designating the percent of work that will be subcontracted, and the name, address, and estimated amount paid to each subcontractor; or stating that no subcontractors will be utilized. The names and addresses of all subcontractors utilized by Vendor with the consent of the Agency shall be listed in an addendum to the Contract together with the anticipated amount of money that the subcontractor is expected to receive pursuant to this Contract (30 ILCS 500/35-40). 3. The Vendor shall pay for services provided through subcontractor(s) in a timely fashion. If the services of such subcontractor(s) is/are not paid for in a timely fashion, the Vendor shall remain solely responsible for any amounts due to such subcontractor(s). Furthermore, the Agency may, at its sole discretion, withhold from any payment due to the Vendor, an amount equal to the unpaid amount due to such subcontractor(s) until such time as the Vendor pays the full amount due to such subcontractor(s). 4. The Illinois Environmental Protection Agency has committed to a “fair share” contractual service goal of 15% for Illinois certified Women Business Enterprises (WBEs) and/or Minority Business Enterprises (MBEs). Any contractor that is awarded a contract pursuant to this procurement which subcontracts more than 15% of the value of the awarded contract shall also set for itself a goal of awarding 15% or more of the value of the subcontracted portion of the contract, to an Illinois certified Women and/or Minority owned business. Any contractor which intends to subcontract less than 15% of the value of the contract, shall set for itself a goal of awarding the total amount subcontracted to an Illinois certified Women and/or Minority owned business. This requirement shall be contingent upon the availability of qualified Women and/or Minority owned businesses to perform the required work. If the above goals are not met, the Contractor must provide certification with appropriate documentation that verified his efforts to solicit WBE/MBEs. The Agency Project Manager will not approve any subcontractor without receiving, reviewing and approving this documentation. 7 revised 02-21-2002 Project ID ILLINOIS DEFINITIONS OF MINORITY and WOMEN (OR FEMALE) OWNED BUSINESSES Minority or women-owned business refers to for-profit enterprises regardless of form of organization (sole proprietorship, partnership, or corporation). Under the Illinois Business Enterprise Program, legislation places a cap of $14 million in annual gross sales (for the most recent fiscal year) on businesses eligible for the program. However, businesses with gross sales over $14 million can apply for a waiver to participate in the program if the contract will provide significant employment and/or subcontracting opportunities for minorities, women, and persons with a disability. Additional information on the Illinois program as well as certification information is available at the following INTERNET address: www.state.il.us/cms - under the “Purchasing” heading, select “Business Enterprise Program”. “Minority Business Enterprise” (MBE) means a business concern which is at least 51 percent owned by one or more minority persons, or in the case of a corporation, at least 51 percent of the stock of which is owned by one or more minority persons; and the management and daily business operations of which are controlled by one or more minority individuals who own it. A Minority person is a person who is a citizen or lawful permanent resident of the United States, and who is: Black/African American (A person having origins in any of the black racial groups in Africa); Hispanic (A person of Spanish or Portuguese culture with origins in Mexico, South or Central America, or the Caribbean Islands, regardless of race); Asian American (A person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); Native American or Alaskan Native (A person having origins in any of the original peoples of North America. “Female Business Enterprise” (FBE) means a business concern which is at least 51 percent owned by one or more females, or in the case of a corporation, at least 51 percent of the stock of which is owned by one or more females; and the management and daily business operations of which are controlled by one or more females who own it. A Female is a person of the female gender who is a citizen or lawful permanent resident of the United States. A female-owned business is included for goal purposes as a female-owned business, regardless of the ethnicity of the female owner or owners. UTILIZATION OF SMALL, MINORITY AND WOMEN'S BUSINESS In Federally-funded projects utilizing subcontractors, the contractor shall adhere to all applicable Federal procurement regulations and specifically to the Women's, and Minority Business Enterprise solicitation provisions set forth in 40 CFR 31.36(e), in the procurement of such subcontractors. The Contractor agrees that qualified small, minority, and women's business enterprises shall have the maximum practicable opportunity to participate in the performance of USEPA fund-assisted subcontracts, including the following: 1. Including qualified small, minority, and women's business on solicitation lists; 2. Assuring that small, minority, and women's businesses are solicited whenever they are potential sources; 3. Dividing total requirements, when economically feasible, into small tasks or quantities to permit maximum participation of small, minority, and women's businesses; 4. Establishing delivery schedules, where the requirements of the work permit, which will encourage participation by small, minority, and women's businesses; 5. Using the services and assistance of the Small Business Administration and the Office of Minority Business Enterprise of the U.S. Department of Commerce, as appropriate. 8 revised 02-21-2002 Project ID PRICING/COMPENSATION Detail pricing/compensation requirements with at least the following categories of information. FOR REQUESTS FOR PROPOSALS OF EITHER TYPE, SUBMIT THIS PRICE INFORMATION IN A SEPARATE SEALED ENVELOPE IN THE OFFER CONTAINER. 1. Method and Rate of Compensation. Identify the method of c harging (hourly, daily, project, item, or other method) and provide the rate or price for each type of service. 2. Maximum Compensation for Supplies and/or Services. Show price in checked category only. a. Firm Price _________n/a_________________________________ b. Not-to-exceed _______n/a________________________________ c X Estimated Price ______________________________________ 3. Expenses. Expenses to be included in the Compensation described above unless separately stated below. All travel must be in accordance with the State of Illinois Travel Regulations. 4. Payment Terms and Conditions (including when paid, frequency and retainage). Payment will be made after completion of the contract unless otherwise specified below. In addition to language included in Standard Terms, Conditions, and Certifications, relating to Billing and Payments: a) the contractor may submit vouchers to the Agency no more frequently than monthly for services rendered during the previous period; b) invoices will be accompanied by documentation providing evidence that appropriate activities have been completed; c) invoices shall be submitted to: Illinois Environmental Protection Agency, Attn: Fiscal Services, Post Office Box 19276, Springfield, Illinois 62794-9276; d) all invoices shall include the Contract No. found on page 1 of the Contract; e) Questions regarding invoice payment status, invoice processing, etc. for this contract shall be directed to the Agency’s Fiscal Services Section, phone 217/782-3250. 9 revised 02-21-2002 Project ID 5. Discounts. ___ % discount for payment within ___ days of delivery. This discount will not be a factor in making the award. 6. Tax Exemption. The ordering agency’s Illinois tax exemption number is _E9988-7169- 04__. Federal tax exemption information is available upon request to the ordering agency. 10 revised 02-21-2002 Project ID STANDARD TERMS, CONDITIONS AND CERTIFICATIONS 1. TERM AND RENEWALS: The length of the CONTRACT, including any renewals, may not exceed that allowed by law, including 30 ILCS 500/20-60. When the term begins on execution, that means the date of final execution by the State. If the commencement of performance is delayed because the CONTRACT is not executed by the State on the start date, the State may change the start date, end date and milestones to reflect the delayed execution. No renewal may be effective automatically. No renewal may be effective solely at the Vendor's option. 2. BILLING: a) VENDOR shall submit invoices to the address, on the schedule and with the detail required by the ordering AGENCY. Invoices for supplies ordered or services performed and expenses incurred prior to July 1st must be presented to the AGENCY no later than July 31; otherwise VENDOR may have to seek payment of such invoices through the Illinois Court of Claims (30 ILCS 105/25). Billings shall be made to conform to State fiscal year requirements, including prorating if necessary, notwithstanding any contrary provision in this CONTRACT or order. b) VENDOR shall not bill for any taxes unless a statement is attached to the bill identifying the tax and showing why it is legally chargeable to the State. The State does not warrant the interest component of any payment, including installment payments, are exempt from income tax liability. c) By submitting an invoice VENDOR certifies the supplies and services met all requirements of the CONTRACT, and the amount billed and expenses incurred are as allowed in the CONTRACT. 3. PAYMENT: a) Late payment charges, if any, shall not exceed the formula established in the State "Prompt Payment" Act (30 ILCS 540/1) and rules (74 Ill. Adm. Code 900). Payments delayed at the beginning of the State's fiscal year (July and August payments) because of the appropriation process shall not be considered a breach. b) The AGENCY shall not be liable to pay for any supplies or services, including related expenses subject of this CONTRACT incurred prior to the beginning of the term of this CONTRACT. Any CONTRACT or order labeled "subject to financing" or words to similar effect is subject to the AGENCY obtaining suitable financing. c) The approved invoice amount will be paid less any retainage and previous partial payments. Final payment shall be made upon determination by the AGENCY that all requirements under this CONTRACT have been completed, which determination shall not be unreasonably withheld. Such final payment will be made subject to adjustment after completion of an audit of vendor's records as provided for in this CONTRACT. d) Any contract or order requiring payment of financing interest is subject to the interest rate limitation set by law of the greater of 9% or 125% of the G.O. Bond Index (30 ILCS 305/1). e) As a condition of payment, Vendor must pay its employees prevailing wages when required by law (e.g., p ublic works, printing, janitorial, window washing, security guard and food service), and must pay its suppliers and subcontractors providing lien waivers on request. 11 revised 02-21-2002 Project ID 4. AVAILABILITY OF APPROPRIATIONS (30 ILCS 500/20-60): AGENCY shall use its best efforts to secure sufficient appropriations to fund this CONTRACT. However, the AGENCY'S obligations hereunder shall cease immediately, without penalty or further payment being required, if the Illinois General Assembly or federal funding source fails to make an appropriation sufficient to pay such obligation. The AGENCY shall determine whether amounts appropriated are sufficient. AGENCY shall give VENDOR notice of insufficient funding as soon as practicable. VENDOR'S obligation to perform shall cease upon receipt of the notice. 5. CONSULTATION: VENDOR shall keep the AGENCY fully informed as to the progress of matters covered by this CONTRACT. Where time permits and VENDOR is not otherwise prohibited from so doing, VENDOR shall offer the AGENCY the opportunity to review relevant documents prior to filing with any public body or adversarial party. 6. PERFORMANCE REVIEWS: The State may conduct a post performance review of the VENDOR'S performance under the CONTRACT. Any professional and artistic services performed under this CONTRACT shall be subject to a post performance review. The VENDOR shall cooperate with the State in this review, which may require that VENDOR provide records of its performance and billing. Vendor shall provide any required information within 30 days of the AGENCY'S request. This post performance review may be used by any State agency in determining whether to enter into other contractual relationships with the VENDOR. 7. AUDIT / RETENTION OF RECORDS (30 ILCS 500/20-65): VENDOR and its subcontractors shall maintain books and records relating to performance of the CONTRACT or subcontract and necessary to support amounts charged to the State under the CONTRACT or subcontract. The Vendor shall maintain books and records for a period of 3 years from the later of the date of final payment under the CONTRACT or completion of the CONTRACT, and by the subcontractor for a period of 3 years from the later of the date of final payment under the subcontract or completion of the subcontract. The 3-year period shall be extended for the duration of any audit in progress during the term. Books and records required to be maintained under this section shall be available for review or audit by representatives of the Auditor General, the AGENCY, and other governmental entities with monitoring authority upon reasonable notice and during normal business hours. VENDOR and its subcontractors shall cooperate fully with any such audit. Failure to maintain books and records required by this Section shall establish a presumption in favor of the State for the recovery of any funds paid by the State under the CONTRACT for which adequate books and records are not available to support the purported disbursement. 8. SCHEDULE OF WORK: Any work performed on State premises shall be done during the hours designated by the State and shall in any event be performed so as to minimize inconvenience to the State and its personnel and minimize interference with the State's operations. 9. INDEPENDENT CONTRACTOR: The VENDOR shall be an independent contractor. Supplies provided and/or services performed pursuant to this CONTRACT are not rendered as an employee of the AGENCY or of the State of Illinois. Amounts paid pursuant to this CONTRACT do not constitute compensation paid to an employee. 10. RESPONSIBILITY FOR AGENTS AND EMPLOYEES: VENDOR shall be responsible for the negligent acts and omissions of its agents, employees and subcontractors in their performance of VENDOR'S duties under this CONTRACT. VENDOR represents that it 12 revised 02-21-2002 Project ID shall utilize the services of individuals skilled in the profession for which they will be used in performing services hereunder. In the event that the AGENCY determines that any individual performing services for VENDOR hereunder is not providing such skilled services, it shall promptly so notify VENDOR and VENDOR shall replace that individual. 11. ASSIGNMENT AND SUBCONTRACTING: a) VENDOR may not assign, subcontract, or transfer any interest in the work subject of this CONTRACT without AGENCY'S prior written consent. In the event the AGENCY consents, the terms and conditions of this CONTRACT shall apply to and bind the party to whom such work is subcontracted, assigned, or transferred as fully and completely as VENDOR is hereby bound and obligated. This includes requiring such parties to submit certifications and disclosures to AGENCY for review and approval upon request. b) Where VENDOR is providing professional and artistic services, names and addresses of all subcontractors utilized by VENDOR shall be listed in an addendum to this CONTRACT together with the anticipated amount of money that the subcontractor is expected to receive pursuant to this CONTRACT (30 ILCS 500/35-40). c) If VENDOR is unable to secure or maintain individuals named in the CONTRACT to render the services, VENDOR shall not be relieved of its obligations to complete performance. AGENCY shall have the option to accept a substitute or to terminate the CONTRACT. d) After notice, AGENCY may transfer the CONTRACT or payment responsibility to another State agency, or assign the CONTRACT to a third-party for financing purposes. 12. LICENSE: VENDOR, directly or through its employees, shall have and maintain any required license. With consent of the AGENCY, VENDOR may meet the license requirement through a subcontractor. 13. MAINTENANCE ASSURANCE: a) The AGENCY reserves the right to maintain any equipment purchased under this CONTRACT using AGENCY personnel or third-party maintainers. In such case, VENDOR shall provide the AGENCY or its maintenance provider with such services, documentation, materials and parts under reasonable terms and conditions and at reasonable costs. The AGENCY reserves the right to return to VENDOR'S maintenance following written certification by VENDOR that the equipment is eligible for VENDOR'S maintenance. VENDOR'S standard charges for the certification inspection, plus any applicable charges required to bring the equipment into eligibility for VENDOR'S maintenance shall apply. Exercise of these rights by the AGENCY shall be without penalty or sanction by VENDOR. b) If VENDOR discontinues service or maintenance of equipment or software provided under this CONTRACT, VENDOR shall provide to the AGENCY at no cost adequate documentation and access to specialized or proprietary tools to allow the AGENCY or a subcontractor to maintain the equipment or software. This provision shall not apply if VENDOR arranges for continued service and maintenance through another vendor and at a price acceptable to the AGENCY. 14. CONFIDENTIALITY AND USE OF WORK PRODUCT: a) Any documents or information obtained by VENDOR from the AGENCY in connection with this CONTRACT shall be kept confidential and shall not be provided to any third party unless disclosure is approved in writing by the AGENCY. 13 revised 02-21-2002 Project ID b) Unless otherwise agreed in writing the following applies. Work product produced under this CONTRACT, including, but not limited to, documents, reports, information, documentation of any sort and ideas, whether preliminary or final, shall become and remain the property of the STATE, including any patent, copyright or other intellectual property rights. With the exception of ideas, all such work products shall be considered works make for hire within the meaning of 17 U.S.C. §101. To the extent that any portion of such work product is not a work made for hire, VENDOR completely and without reservation assigns to the AGENCY all right, title and interest in and to such portion of the work products, as well as all related intellectual property rights, including patent and copyright. AGENCY shall exercise all rights of ownership in all such work product without restriction or limitation including as to use, and without further compensation to VENDOR. VENDOR shall not acquire or have any right to use, disclose or reproduce the work product or any equipment, documents, information, media, software, or know-how obtained from the State except to perform this CONTRACT. Nothing herein shall be construed as precluding the use of any information independently acquired by VENDOR without such limitation. c) The ideas, methodologies, processes, inventions and tools (including computer hardware and software where applicable) that VENDOR previously developed and brings to the AGENCY in furtherance of performance of the CONTRACT shall remain the property of the VENDOR. VENDOR grants to the AGENCY a nonexclusive license to use and employ such software, ideas, concepts, methodologies, processes, inventions and tools solely within its enterprise. 15. WARRANTY: a) VENDOR warrants that all services will be performed in a good and professional manner. Unless otherwise agreed, Vendor warrants that supplies shall be new, unused, of most current manufacture and not discontinued, shall be free of defects in materials and workmanship, shall be provided in accordance with manufacturer's standard warranty and shall perform in accordance with manufacturer's published specifications. VENDOR warrants it has title to, or the right to allow the State to use, the supplies and services being provided and that the State may use same without suit, trouble or hindrance from VENDOR or third parties. b) VENDOR, for itself and its subcontractors and agents, represents and warrants that: (i) all products delivered and services performed under this CONTRACT (the "Products") are "Year 2000 Compliant," and will and are designed to accurately receive, retrieve, process, provide and output date/time data from, in and between the twentieth and twenty-first centuries, and from, in and between the years 1999 and 2000. In the event of a breach of this Year 2000 warranty, VENDOR shall, at its sole expense and without interrupting ongoing business of the State, immediately take all necessary actions to cure the breach. 16. LIABILITY AND INSURANCE: a) VENDOR agrees to assume, without limitation, all risk of loss and to indemnify and hold the State, its officers, agents and employees, harmless from and against any and all liabilities, demands, claims, suits, losses, damages, causes of action, fines or judgments, including costs, attorneys' and witnesses' fees, and expenses incident thereto, relating to bodily injuries to persons (including death) and for loss of, damage to, or destruction of real and/or tangible personal property (including property of the State) resulting from the negligence or misconduct of VENDOR, its employees, agents, or subcontractors in the performance of the CONTRACT. VENDOR shall assume risk of loss until 14 revised 02-21-2002 Project ID delivery to the agency's facility. VENDOR shall do nothing to prejudice the State's right to recover against third parties for any loss, destruction, or damage to State property, and shall at the State's request and expense, furnish to the State reasonable assistance and cooperation, including assistance in the prosecution of suit and the execution of instruments of assignment in favor of the State in obtaining recovery. b) VENDOR shall maintain public liability, casualty and auto insurance in sufficient amount to protect the State from liability for acts of VENDOR and risks and indemnities assumed by VENDOR. If VENDOR does not have minimum coverage for bodily injury of $250,000 per person/$500,000 per occurrence, and for property damage, $100,000 per occurrence, VENDOR must inform the AGENCY and seek written permission for lesser coverage. VENDOR shall carry Worker's Compensation Insurance in amount required by law. Upon request, VENDOR shall provide and maintain any bond required by law or the AGENCY. VENDOR shall provide copies of certificates of insurance evidencing the coverage described in this paragraph. c) VENDOR shall, without limitation, at its expense defend the AGENCY against all claims asserted by any person that anything provided by VENDOR infringes a patent, copyright, trade secret or other intellectual property right and shall, without limitation, pay the costs, damages and attorneys' fees awarded against the AGENCY in any such action, or pay any settlement of such action or claim. Each party agrees to notify the other promptly of any matters to which this provision may apply and to cooperate with each other in connection with such defense or settlement. If a preliminary or final judgment shall be obtained against the AGENCY'S use or operation of the items provided by VENDOR hereunder or any part thereof by reason of any alleged infringement, VENDOR shall, at its expense and without limitation, either (a) modify the item so that if becomes noninfringing; or (b) procure for the AGENCY the right to continue to use the item; or (c) substitute for the infringing item other item(s) having at least equivalent capability; or (d) refund to the AGENCY an amount equal to the price paid, less reasonable usage from installation acceptance through cessation of use, which amount shall be calculated on a useful life not less than 5 years, and plus any additional costs the State may incur to acquire substitute supplies or services. d) AGENCY assumes no liability for actions of VENDOR and is unable to indemnify or hold VENDOR or any third-party harmless for claims based on this CONTRACT or use of VENDOR provided supplies or services. Unless provided by law, VENDOR is not eligible for indemnity under the State Employee Indemnification Act (5 ILCS 350/1). The State’s liability for damages is expressly limited by and subject to the provisions of the Illinois Court of Claims Act (705 ILCS 505/1) and to the availability of suitable appropriations. e) Neither party shall be liable for incidental, special or consequential damages. 17. TAX COMPLIANCE: VENDOR shall be in compliance with applicable tax requirements and shall be current in payment of such taxes. 18. SOLICITATION AND EMPLOYMENT: VENDOR shall not employ any person employed by the AGENCY during the term of this CONTRACT to perform any work required by the terms of this CONTRACT. As a condition of this CONTRACT, the VENDOR shall give notice immediately to the AGENCY'S director if VENDOR solicits or intends to solicit for employment any of the AGENCY'S employees during the term of this CONTRACT. AGENCY has no authority to contractually refuse to hire VENDOR'S employees who apply to the State for employment. 15 revised 02-21-2002 Project ID 19. BACKGROUND CHECK: The State may conduct criminal and driver history background checks of VENDOR'S officers, employees or agents who would directly supervise or physically perform the CONTRACT requirements at State facilities. Any officer, employee or agent deemed unsuitable by the State must be replaced immediately. 20. LEGAL ABILITY TO CONTRACT: VENDOR certifies it is under no legal prohibition on contracting with the State of Illinois, has no known conflicts of interest and further specifically certifies that: a) VENDOR, its employees and subcontractors will comply with applicable provisions of the U.S. Civil Rights Act, Section 504 of the Federal Rehabilitation Act, the Americans with Disabilities Act (42 U.S.C. 12101 et seq.) and applicable rules in performance under this CONTRACT. b) VENDOR is not in default on an educational loan (5 ILCS 385/3). c) VENDOR has informed the director of the AGENCY in writing if VENDOR was formerly employed by that AGENCY and has received an early retirement incentive under Section 14-108.3 or 16-133.3 of the Illinois Pension Code (30 ILCS 105/15a). d) VENDOR has not been convicted of bribing or attempting to bribe an officer or employee of the State of Illinois or any other State, nor has made an admission on the record of having so bribed or attempted to bribe (30 ILCS 500/50-5). e) If VENDOR has been convicted of a felony, at least five years have passed after the date of completion of the sentence for such felony, unless no person held responsible by a prosecutor’s office for the facts upon which the conviction was based continues to have any involvement with the business (30 ILCS 500/50-10). f) VENDOR is not delinquent in the payment of any debt to the State (or if delinquent has entered into a deferred payment plan to pay off the debt), and VENDOR acknowledges the contracting state agency may declare the contract void if this certification is false (30 ILCS 500/50-11, effective July 1, 2002). g) VENDOR has not paid any money or valuable thing to induce any person to refrain from bidding on a State contract, nor has VENDOR accepted any money or other valuable thing, or acted upon the promise of same, for not bidding on a State contract (30 ILCS 500/50-25). h) VENDOR is not in violation of the “Revolving Door” section of the Illinois Procurement Code (30 ILCS 500/50-30). i) VENDOR will report to the Illinois Attorney General and the Chief Procurement Officer any suspected collusion or other anticompetitive practice among any bidders, offerors, contractors, proposers or employees of the State (30 ILCS 500/50-40, /50-45, /50-50). j) VENDOR will, pursuant to the Drug Free Workplace Act, provide a drug free workplace, and if an individual shall not engage in the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance in the performance of the CONTRACT. This certification applies to CONTRACTS of $5000 or more with: individuals; and to entities with twenty-five (25) or more employees (30 ILCS 580). k) Neither VENDOR nor any substantially owned affiliate is participating or shall participate in an international boycott in violation of the U.S. Export Administration Act of 1979 or the applicable regulations of the U.S. Department of Commerce. This certification applies to CONTRACTS that exceed $10,000 (30 ILCS 582). l) VENDOR has not been convicted of the offense of bid rigging or bid rotating or any similar offense of any State or of the United S tates (720 ILCS 5/33E-3, 5/33E-4). 16 revised 02-21-2002 Project ID m) VENDOR complies with the Illinois Department of Human Rights Act and rules applicable to public contracts, including equal employment opportunity, refraining from unlawful discrimination, and having written sexual harassment policies (775 ILCS 5/2-105). n) VENDOR does not pay dues to, or reimburse or subsidize payments by its employees for, any dues or fees to any “discriminatory club” (775 ILCS 25/2). 21. CONFLICTS OF INTEREST: VENDOR has disclosed, and agrees it is under a continuing obligation to disclose to the AGENCY, financial or other interests (public or private, direct or indirect) that may be a potential conflict of interest or which would prohibit Vendor from having or continuing the CONTRACT. This includes, but is not limited to conflicts under the “Infrastructure Task Force fee prohibition” section of the State Finance Act (30 ILCS 105/8.40), Article 50 of the Illinois Procurement Code (30 ILCS 500/50), or those which may conflict in any manner with the VENDOR’s obligation under this CONTRACT. Vendor shall not employ any person with a conflict to perform under this CONTRACT. If any conflict under Section 50-13 exists, no contract may be issued without an exemption from the Governor pursuant to Section 50-20 of the Illinois Procurement Code. An exemption is necessary if: a) the person intending to contract with the State, their spouse or minor child: 1. holds an elective office in Illinois; 2. holds a seat in the Illinois General Assembly; 3. is an officer or employee of the Capital Development Board or the Illinois Toll Highway Authority; or 4. holds an appointed position or is employed in any of the offices or agencies of the State government and who receives compensation for such employment in excess of 60% of the salary of the Governor (currently $90,420.00). (The conflict of interest threshold of 60% of the Governor’s salary set forth in Section 50-13 does not apply to elective office holders, legislators, and officers or employees of the Capital Development Board or the Illinois Toll Highway Authority.) b) the contract is with a firm, partnership, association or corporation in which a person covered by item (a) above receives more than 7½% of the total distributable income or an amount in excess of the salary of the Governor (currently $150,700). c) the contract is with a firm, partnership, association or corporation in which a person covered by item (a), together with their spouse or minor child, receives more than 15% in the aggregate of the total distributable income or an amount in excess of 2 times the salary of the Governor (currently $301,400) from the firm, partnership, association or corporation. 22. BREACH AND OTHER FOR CAUSE TERMINATION: AGENCY may terminate this CONTRACT without penalty to the AGENCY or further payment required in the event of: (i) any breach of this CONTRACT which, if it is susceptible of being cured, is not cured within 15 days of the AGENCY giving notice of breach to VENDOR, including but not limited to failure of VENDOR to maintain covenants, representations, warranties, certifications, bonds and insurance; (ii) commencement of a proceeding by or against VENDOR under the U.S. Bankruptcy Code or similar law; or any action by VENDOR to dissolve, merge, or liquidate; or (iii) material misrepresentation or falsification of information provided by VENDOR in the course of any dealing between the PARTIES or between VENDOR and any State agency. 23. FORCE MAJEURE: Failure by either party to perform its duties and obligations will be excused by unforeseeable circumstances beyond its reasonable control, including acts of 17 revised 02-21-2002 Project ID nature, acts of the public enemy, riots, labor or material shortages, labor disputes, fire, flood, explosion, legislation, and governmental regulation. 24. ANTITRUST ASSIGNMENT: Vendor hereby assigns, sells and transfers to the State of Illinois all right, title and interest in and to any claims and causes of action arising under antitrust laws of Illinois or the United States relating to the subject matter of the CONTRACT. 25. NON-DISCRIMINATION: In compliance with the State and Federal Constitutions, the Illinois Human Rights Act, the U. S. Civil Rights Act, and Section 504 of the Federal Rehabilitation Act, the AGENCY does not unlawfully discriminate in employment, contracts, or any other activity. 26. APPLICABLE LAW: This CONTRACT shall be construed in accordance with and be subject to Illinois laws and rules, including the Standard Procurement Rules (44 Ill. Adm. Code 1). The Department of Human Rights' Equal Opportunity requirements are incorporated by reference (44 Ill. Adm. Code 750). Any claim against the State arising out of this CONTRACT must be filed exclusively with the Illinois Court of Claims (705 ILCS 505/1). The State shall not enter into binding arbitration to resolve any CONTRACT dispute. The State of Illinois does not waive sovereign immunity by entering into this CONTRACT. Any provision containing a citation to an Illinois statute (cited ILCS) may not contain complete statutory language. The official text, which is incorporated by reference, can be found in the appropriate chapter and section of the Illinois Compiled Statutes. An unofficial version can be viewed at www.legis.state.il.us. 27. NOTICES: Notices shall be in writing and may be delivered by any means. Notices by fax must show the date/time of successful receipt. Notices to VENDOR shall be sent to the person shown on the signature page. Notices to AGENCY shall be sent to the executive head of the AGENCY at AGENCY headquarters. Notice of any name, address, or fax number change shall be given to the other in writing. 28. ENTIRE CONTRACT: This CONTRACT, with attachments, constitutes the entire agreement between the PARTIES concerning the subject matter of the CONTRACT. Modifications and waivers must be in writing and signed by authorized representatives of the PARTIES. Any provision of this CONTRACT officially declared void, unenforceable, or against public policy, shall be ignored and the remaining provisions of this CONTRACT shall be interpreted, as far as possible, to give effect to the PARTIES' intent. All provisions that by their nature would be expected to survive, shall survive termination of this CONTRACT, including without limitation provisions relating to confidentiality, warranty, ownership and liability. 29. CONTRACTING AUTHORITY: Certain contracts must be signed or approved by the Director of the Department of Central Management Services (CMS) before they are binding on the State. In those instances CMS shall not be responsible for costs or funding even though payments may be made through CMS’ facilities. 18 revised 02-21-2002 Project ID AGENCY SUPPLEMENTAL TERMS AND CONDITIONS The following supplemental terms and conditions, if checked, are attached and are applicable to this CONTRACT: ___ Public Works Requirements.* ___ Prevailing Wage (janitorial, security guard, window washing and food service if valued at more than $200 per month or $2000 per year).* ___ Prevailing Wage (all printing contracts).* ___ Prohibition on Contingent Fees (certain federally funded contracts) _X__ Other (describe) Federally mandated contract provisions The Agency expects this Contract to be funded, in part, with funds from the USEPA. Neither the United States nor any of its departments, agencies or employees is, or will be, a party to this Contract or any lower tier agreement. This Contract is subject to regulations contained in 40 CFR Part 31 in effect on the date of the assistance award for this project. SUPERSESSION: The Agency and the Contractor agree that this and other appropriate clauses in 40 CFR 31 or their equivalent, apply to that work eligible for USEPA assistance to be performed under this Contract and that these clauses supersede any conflicting provisions of this Contract. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS: The Contractor certifies that to the best of its knowledge and belief, it and its principals: 1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; 2. Have not within a three (3) year period preceding this Contract been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or Contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; 3. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph 2 of this certification; and 4. Have not within a three (3) year period preceding this Contract had one or more public transactions (Federal, State, or local) terminated for cause or default. A false statement on this certification may be grounds for termination of this Contract. In addition, under 18 USC Sec. 1001, a false statement may result in a fine of up to $10,000.00 or imprisonment for up to five (5) years, or both. PATENTS, INVENTIONS, DATA, AND COPYRIGHTS: To the extent that this contract involves research, developmental, experimental, or demonstration work, any discovery or invention which arises or is 19 revised 02-21-2002 Project ID developed in the course of work under this Contract shall be subject to the reporting and rights provisions of 40 CFR Part 31.34, in effect on the date of execution of this Contract. Additionally the requirements and regulations pertaining to copyrights and rights to data contained in 40 CFR 31.34 shall apply. REMEDIES: Except as may be otherwise provided in this Contract, all claims, counterclaims, disputes and other matters in question between the Agency and the Contractor arising out of, or relating to, this Contract or the breach of, will be filed exclusively with the Illinois Court of Claims. ENERGY EFFICIENCY: The Contractor agrees to follow mandatory standards and policies on energy efficiency contained in the State's Energy Policy and Planning Act issued in compliance with the Energy and Conservation Act (Public Law 94-163). VIOLATING FACILITIES: The Contractor agrees to comply with all applicable standards, orders or requirements in effect at the time of the execution of this Contract and issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)); Section 508 of the Clean Water Act (33 U.S.C. 1368); Executive Order 11738; and USEPA regulations (40 CFR Part 15), which prohibit the use, by the prime contractor or any approved subcontractors, of facilities included on the USEPA List of Violating Facilities unless and until the USEPA eliminates the name of such facility from this listing. CERTIFICATION REGARDING LOBBYING: The Contractor certified, to the best of his knowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all subcontracts and that all subcontractors shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this Contract was made or entered into. Submission of this certification is a prerequisite for making or entering into this Contract imposed by Section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000.00 and not more than $100,000.00 for each such failure. SINGLE AUDIT ACT: Contractors annually receiving $300,000.00 or more in federal funds from the Agency must comply with the audit provisions of the Single Audit Act in accordance with Office of Management and Budget (OMB) Circular A-133, including submitting one (1) report package to: Single Audit Clearinghouse Bureau of the Census th 1201 East 10 Street 20 revised 02-21-2002 Project ID Jeffersonville, IN 47132 If the audit contains findings, the Contractor must also provide a copy of the reporting package, including a corrective action plan to address the deficiencies, to the Agency. If the audit contains no findings, the Contractor must notify the Agency by letter of its compliance with the Single Audit Act and state that there were no findings. CHANGES: 1. The Agency may at any time, by written order, make changes within the general scope of this Contract in the services or work to be performed. If such changes cause an increase or decrease in the Contractor's cost or time required to perform any services under this Contract, whether or not changed by any order, the Agency shall make an equitable adjustment and modify this Contract in writing. The Contractor must assert any claim for adjustment under this Section in writing within 30 days from the date it receives the Agency's notification of change, unless the Agency grants additional time before the date of final payment. 2. No services for which the Contractor will charge an additional compensation shall be furnished without the written authorization of the Agency. RESPONSIBILITY OF THE CONTRACTOR: 1. The Contractor shall be responsible for the professional quality, technical accuracy, timely completion, and the coordination of all services furnished by the Contractor under this Contract. The Contractor shall, without additional compensation, correct or revise any errors or deficiencies in his services. 2. The Contractor shall perform such services as may be necessary to accomplish the work required to be performed under this Contract, in accordance with all the terms of this Contract. PUBLIC ACCOMMODATION: The Contractor agrees to ensure that all conference, meeting, convention or training space funded in whole or in part with Federal funds, complies with the Hotel and Motel Fire Safety Act of 1990. *Information regarding prevailing wage, benefit and working condition requirements may be obtained from the Illinois Department of Labor (217-782-6206) and information may be viewed at their web site (www.state.il.us.agency/idol/). You must check with IDOL before submitting your offer to determine the prevailing wages, benefits and working conditions applicable to this solicitation. VENDOR PROVIDED ADDITIONAL MATERIAL AND EXCEPTIONS Any additional material and any exceptions must be noted on this page and provided as part of this attachment. We do not encourage taking exceptions. We have extremely limited ability to grant exceptions particularly in regard to statutory requirements (those cited with ILCS, meaning Illinois Compiled Statutes). We are not required to grant exceptions and depending on the exception, we may have to reject your offer. 21 revised 02-21-2002 Project ID Additional Material (mark one) No other material included Other material included (describe--attach additional pages if needed) Exceptions (mark one): No exceptions Exceptions taken (describe--attach additional pages if needed) 22 revised 02-21-2002 Project ID VENDOR PREQUALIFICATION GENERAL PREQUALIFICATION. We must have the General Prequalification information described below. [At some future time we may also establish "Category" prequalification which covers a type of supply or service (such as for office supplies or janitorial services), or "Specific Procurement" prequalification, which would apply to a particular procurement only.] GENERAL PREQUALIFICATION. This is information of general applicability and consists of the attached forms: Business and Directory Information References Department of Human Rights Public Contract Number Minority, Female, Person with a Disability Status and Subcontracting Disclosures Taxpayer Identification Number The undersigned authorized representative of VENDOR submits the above described and attached GENERAL PREQUALIFICATION information to the AGENCY with the understanding AGENCY will use and rely upon the accuracy and currency of the information in the evaluation of VENDOR's offer to the AGENCY. Vendor (show official name and DBA) _______________________________________ _______________________________________ Signature _______________________________ Printed Name____________________________ Title____________________________________ Date___________________________________ Address________________________________ _______________________________________ Phone/Fax ______________________________ e-mail__________________________________ 23 revised 02-21-2002 Project ID Business and Directory Information 1. Name of Business (official name and DBA). 2. Business Headquarters (address, phone and fax). 3. If a Division or Subsidiary of another organization provide the name and address of the parent. 4. Billing Address. 5. Name of Chief Executive Officer. 6. Customer Contact (name, title, address, phone, toll-free number, fax, and e-mail). 4. Company Web Site Address. 8. Type of Organization (sole proprietor, corporation, etc.--should be same as on Taxpayer ID form below). 9. Length of time in business. 10. Annual Sales for Vendor’s most recently completed fiscal year. 24 revised 02-21-2002 Project ID 11. Show number of full-time employees on average during the most recent fiscal year. 25 revised 02-21-2002 Project ID References Provide references from established firms or government agencies (four preferred; two of each type preferred) other than the procuring agency that can attest to your experience and ability to perform the contract subject of this solicitation. 1. Firm/Government Agency (name) Contact Person (name, address, phone) Date and type of Supplies/Services Provided 2. Firm/Government Agency (name) Contact Person (name, address, phone) Date and type of Supplies/Services Provided 3. Firm/Government Agency (name) Contact Person (name, address, phone) Date and type of Supplies/Services Provided 26 revised 02-21-2002 Project ID 4. Firm/Government Agency (name) Contact Person (name, address, phone) Date and type of Supplies/Services Provided 27 revised 02-21-2002 Project ID Department of Human Rights (DHR) Public Contract Number (775 ILCS 5/2-105) If you employed fifteen or more full-time employees at any time during the 365-day period immediately preceding the publication of this solicitation in the Illinois Procurement Bulletin (or issuance date if not published), you must have a current Public Contract Number or have proof of having submitted a completed application for one prior to the offer opening date. If we cannot confirm compliance, we will not be able to consider your bid or offer. Please complete the appropriate sections below. Name of Company (and DBA) ____________________________________________________. ______ (check if applicable) The number is not required as the company has employed 14 or less full-time employees during the 365 day period immediately preceding the publication of this solicitation in the Illinois Procurement Bulletin (or issuance date if not published). DHR Public Contracts Number ____________________________ or, if number has not yet been issued, Date completed application for the number was submitted to DHR ________________________. NOTICE: Numbers issued by the Department of Human Rights (or its predecessor agency, the Illinois Fair Employment Practices Commission) prior to July 1, 1998, are no longer valid. This affects numbers below 89999-00-0. Valid numbers begin with 90000-00-0. If your organization holds an expired number, you must re-register with DHR by completing the required form. You can obtain an application form by: 1. Telephone: Call the DHR Public Contracts Unit at (312) 814-2431 between Monday and Friday, 8:30 AM - 5:00 PM, CST. [TDD (312) 263-1579]. 2. Internet: Download the form from the Internet at "www.state.il.us/cms". In the Purchasing area of the CMS home page, click the "DOWNLOAD VENDOR FORMS" line. 3. Mail: Write to the Department of Human Rights, Public Contracts Unit, 100 West Randolph Street, Suite 10-100, Chicago, IL 60601. 28 revised 02-21-2002 Project ID Minority, Female, Person with Disability Status and Subcontracting The Business Enterprise Program Act for Minorities, Females and Persons with Disabilities (BEP) (30 ILCS 575/1) establishes a goal for contracting with businesses that have been certified as owned and controlled by persons who are minority, female or who have disabilities. While you must complete this form, your response will not be considered in the evaluation. A listing of certified business may be obtained from the Department of Central Management Services' Business Enterprise Program for Minorities, Females and Persons with Disabilities by calling 312/814-4190 (Voice & TDD), 800/356-9206 (Toll Free), or 800/526-0844 (Illinois Relay Center for Hearing Impaired). Name of Your Company (and DBA)________________________________________________ a. Is your company at least 51% owned and controlled by individuals in one or more of the following categories? Yes No If "Yes," check each that applies. Category Minority Female Person with Disability Disadvantaged b. If "Yes," please identify, by checking the applicable blanks, which agency certified the business and in what category: Certifying Agency Department of Central Management Services Women's Business Development Center Chicago Minority Business Development Council Illinois Department of Transportation Other (identify) Category Minority Female Person with Disability Disadvantaged c. If you are not a certified BEP business, do you have a written policy or goal regarding contracting or subcontracting with BEP certified vendors? Yes (attach copy) No If "No", will you make a commitment to contact BEP certified vendors and consider them for subcontracting opportunities on this contract? Yes No Do you plan on ordering supplies or services in furtherance of this contract from BEP certified vendors? Yes No 29 revised 02-21-2002 Project ID If "Yes", please identify what you plan to order, the estimated value as a percentage of your total proposal, and the names of the BEP certified vendors you plan to use. 30 revised 02-21-2002 Project ID CONFLICTS OF INTERESTS DISCLOSURES Instructions. The Illinois Procurement Code requires that vendors desiring to enter into certain contracts with the State of Illinois must disclose the financial and potential conflict of interest information that is specified below (30 ILCS 500/50-13 and 50-35 a,b,h). Vendor shall disclose the financial interest, potential conflict of interest and contract information identified in Sections 1, 2, 3 and 4 below as a condition of receiving an award or contract. Please submit this information along with your bid or offer. Section 1 applies to all contracts regardless of dollar amount. Sections 2, 3 and 4 apply to contracts with an annual value exceeding $10,000 that must be procured using one of the authorized competitive methods of source selection. If the Vendor is a wholly owned subsidiary of a parent organization, separate disclosures (sections 2, 3, and 4 below) must be made by the Vendor and the parent. For purposes of this form, a parent organization is any entity that owns 100% of the Vendor. When determining ownership or distributive income shares, use the most current information that you consider reliable, but in no event for a period before your last completed fiscal period. A designee may submit this form on behalf of the vendor (or its parent). However, that person must have verified the information with each affected individual. Vendor Information. This disclosure information is submitted on behalf of (show official name of Vendor, and if applicable, d.b.a. and parent): (Name of vendor)________________________________________________________ (d.b.a., if used)__________________________________________________________ (Name of any parent organization)___________________________________________ Address________________________________________________________________ Contact Person: Name:_________________________________________________ Title:___________________________________________________ Address:_______________________________________________ 31 revised 02-21-2002 Project ID Phone/Fax:______________________________________________ 32 revised 02-21-2002 Project ID Section I Sec. 50-13 Conflicts of Interest. (a) Prohibition. It is unlawful for any person holding an elective office in this State holding a seat in the General Assembly, or appointed to or employed in any of the offices or agencies of State government and who receives compensation for such employment in excess of 60% of the salary of the Governor of the State of Illinois [$90,420.00], or who is an officer or employee of the Capital Development Board or the Illinois Toll Highway Authority, or who is the spouse or minor child of any such person to have or acquire any contract, or any direct pecuniary interest in any contract therein, whether for stationery, printing, paper, or any services, materials, or supplies, that will be wholly or partially satisfied by the payment of funds appropriated by the General Assembly of the State of Illinois or in any contract of the Capital Development Board or the Illinois Toll Highway Authority. (b) Interests. It is unlawful for any firm, partnership, association, or corporation, in which any person listed in subsection (a) is entitled to receive (i) more than 7 1/2% of the total distributable income or (ii) an amount in excess of the salary of the Governor [$150,700.00], to have or acquire any such contract or direct pecuniary interest therein. (c) Combined interests. It is unlawful for any firm, partnership, association, or corporation, in which any person listed in subsection (a) together with his or her spouse or minor children is entitled to receive (i) more than 15%, in the aggregate, of the total distributable income or (ii) an amount in excess of 2 times the salary of the Governor [$301,400.00], to have or acquire any such contract or direct pecuniary interest therein. (d) Securities. Nothing in this Section invalidates the provisions of any bond or other security previously offered or to be offered for sale or sold by or for the State of Illinois. (e) Prior interests. This Section does not affect the validity of any contract made between the State and an officer or employee of the State or member of the General Assembly, his or her spouse, minor child or any combination of those persons if that contract was in existence before his or her election or employment as an officer, member, or employee. The contract is voidable, however, if it cannot be completed within 365 days after the officer, member, or employee takes office or is employed. (f) Exceptions. (1) Public aid payments. This Section does not apply to payments made for a public aid recipient. (2) Teaching. This Section does not apply to a contract for personal services as a teacher or school administrator between a member of the General Assembly or his or her spouse, or a State officer or employee or his or her spouse, and any school district, public community college district, or State University. (3) Ministerial duties. This Section does not apply to a contract for personal services of a wholly ministerial character, including but not limited to services as a laborer, clerk, typist, stenographer, page, bookkeeper, receptionist, or telephone switchboard operator, made by a spouse or minor child of an elective or appointive State officer or employee or of a member of the General Assembly. (4) Child and family services. This Section does not apply to payments made to a member of the General Assembly, a State officer or employee, his or her spouse or minor child acting as a foster parent, homemaker, advocate, or volunteer for or in behalf of a child or family served by the Department of Children and Family Services. (5) Licensed professionals. Contracts with licensed professionals, provided they are competitively bid or part of a reimbursement program for specific, customary goods and services through the departments of Children and Family Services, Human Services, Public Aid, Public Health, or Aging. CHECK ONE: ___________ No Conflict of Interest 33 revised 02-21-2002 Project ID ___________ Potential Conflict of Interest. If checked, name each conflicted individual, the nature of the conflict, and the name of the state agency that is associated directly or indirectly with the conflicted individual. 34 revised 02-21-2002 Project ID Section 2: Disclosure of Financial Interest in the Vendor All vendors, except for publicly traded corporations subject to SEC reporting requirements and privately held corporations with more than 400 shareholders, must complete subsection "a," below. Publicly traded corporations may complete subsection "b" and privately held corporations with more than 400 shareholders may complete subsection "c" in lieu of completing subsection “a.” a. General disclosure. For each individual having any of the following financial interests in the vendor (or its parent), please mark each that apply and show the applicable name and address. Then complete Sections 3 and 4. If no individual has any of the following financial interests in the vendor (or its parent), check this blank ____________, skip Section 3, but complete Section 4. Ownership exceeding 5% (_____) Ownership value exceeding $90,420 (_____) Distributive Income Share exceeding 5% (_____) Distributive Income Share exceeding $90,420 (_____) Name: __________________________________________________ Address: ________________________________________________ __________________________________________________ For each individual identified above, show: the dollar value of the ownership interest: $ or the proportionate share of the ownership interest: ______________%* and the type of ownership/distributable income share: sole proprietorship _____ stock _____ partnership _____ other (explain) _____ * For partnerships with more than 50 but fewer than 400 partners, the proportionate share of ownership interest of each individual identified above may be shown in the following ranges: 1%_____ 1 up to 2%_____ 2 up to 3%_____ 3 up to 4%_____ 4 up to 5%_____ and in additional 1% increments as appropriate_______% For partnerships with more than 400 partners, the proportionate share of ownership may be shown in the following ranges: 0.5% or less_____ >0.5 to 1.0% _____ >1.0 to 1.5%_____ and as appropriate in additional 0.5 increments ________% b. Publicly traded corporations subject to SEC reporting requirements. These Vendors may submit their 10k disclosure (include proxy if referenced in 10k ) in satisfaction of the financial and conflict of interest disclosure requirements set forth in subsections 50-35 a and b of the Procurement Code. FORM SEC 20f or 40f, supplemented with the names of those owning in excess of 5% and up to the ownership percentages disclosed in those submissions, may be accepted as being substantially equivalent to 10k. Vendor may skip Section 3 of this form, but must complete Section 4. 35 revised 02-21-2002 Project ID Check here if submitting a 10k _______, 20f _______, or 40f _______. c. Privately held corporations with more than 400 shareholders. These Vendors may submit the information identified in 17 CFR 229.401 and list the names of any person or entity holding any ownership share in excess of 5% in satisfaction of the financial and conflict of interest disclosure requirements set forth in subsections 50-35 a and b of the Procurement Code. Vendor may skip Section 3 of this form, but must complete Section 4. Check here if submitting 17 CFR information _______. 36 revised 02-21-2002 Project ID Section 3: Disclosure of Potential Conflicts of Interest. For each individual having the level of financial interest identified in Section 2(a) above, indicate which, if any, of the following potential conflict of interest relationships apply. If "Yes," please describe each situation (label with appropriate letter) using the space at end of this Section 3 (attach additional pages as necessary). a. State employment, currently or in the previous 3 years, including contractual Yes ____ No ____ employment of services [directly with the individuals identified in Section "1" in Their individual capacity unrelated to the Vendor's contract. Identify contracts with the VENDOR in Section "4"]. b. State employment of spouse, father, mother, son, or daughter, including Yes ____ No ____ contractual employment for services in the previous 2 years. c. Elective status; the holding of elective office of the State of Illinois, the Yes ____ No ____ government of the United States, any unit of local government authorized by the Constitution of the State of Illinois or the statutes of the State of Illinois currently or in the previous 3 years. d. Relationship to anyone holding elective office currently or in the previous 2 years; Yes ____ No ____ spouse, father, mother, son, or daughter. e. Appointive office; the holding of any appointive government office of the State of Yes ____ No ____ Illinois, the United States of America, or any unit of local government authorized by the Constitution of the State of Illinois or the statutes of the State of Illinois, which office entitles the holder to compensation in excess of expenses incurred in the discharge of that office currently or in the previous 3 years. f. Relationship to anyone holding appointive office currently or in the previous 2 Yes ____ No ____ years; spouse, father, mother, son, or daughter. g. Employment, currently or in the previous 3 years, as or by any registered lobbyist Yes ____ No ____ of the State government. h. Relationship to anyone who is or was a registered lobbyist in the previous 2 Yes ____ No ____ years; spouse, father, mother, son, or daughter. i. Compensated employment, currently or in the previous 3 years, by any Yes ____ No ____ registered election or re-election committee registered with the Secretary of State or any county clerk in the State of Illinois, or any political action committee registered with either the Secretary of State or the Federal Board of Elections. j. Relationship to anyone; spouse, father, mother, son, or daughter; who is or was Yes ____ No ____ a compensated employee in the last 2 years of any registered election or re- election committee registered with the Secretary of State or any county clerk in the State of Illinois, or any political action committee registered with either the Secretary of State or the Federal Board of Elections. Explanation of potential conflicts of interest: 37 revised 02-21-2002 Project ID Section 4: Current and Pending Contracts and Offers (bids and proposals). a. VENDOR shall identify each contract it has with other units of State of Illinois government by showing agency name and other descriptive information such as purchase order or contract reference number (attach additional pages as necessary). Show "none" if appropriate. b. VENDOR shall identify whether it has pending contracts (including leases), bids, proposals, or other ongoing procurement relationships with other units of State of Illinois government by showing agency name and other descriptive information such as bid or project number (attach additional pages as necessary). Show “none” if appropriate. 38 revised 02-21-2002 Project ID Taxpayer Identification Number I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am a U.S. person (including a U.S. resident alien). Name: Taxpayer Identification Number: Social security number or Employee identification number (If you are an individual, enter your name and SSN as it appears on your Social Security Card. If completing this certification for a sole proprietorship, enter the owner’s name followed by the name to the business and the owner’s SSN or EIN. For all other entities, enter the name of the entity as used to apply for the entity’s EIN and the EIN.) Legal Status (check one): Individual Government Sole Proprietor Nonresident Alien Partnership/Legal Corporation Estate or Trust Tax-exempt Pharmacy (Non-Corp.) Corporation providing or Pharmacy/Funeral Home/Cemetery billing medical and/or (Corp) health care services Corporation NOT providing Other: or billing medical and/or health care services 39 revised 02-21-2002 Project ID 40 revised 02-21-2002 Project ID APPENDIX A Secondary Contact Waterway Delineation Title 35, Il. Adm. Codes Section 303.441 Secondary Contact Waters The following are designated as secondary contact and indigenous aquatic life waters and must meet the water quality standards of 35 Ill. Adm. Code 302.Subpart D: a) The Chicago Sanitary and Ship Canal; b) The Calumet-Sag Channel; c) The Little Calumet River from its junction with the Grand Calu met River to the Calumet-Sag Channel; d) The Grand Calumet River; e) The Calumet River, except the 6.8 mile segment extending from the O'Brien Locks and Dam to Lake Michigan; f) Lake Calumet; g) The South Branch of the Chicago River; h) The North Branch of the Chicago River from its confluence with the North Shore Channel to its confluence with the South Branch; i) The Des Plaines River from its confluence with the Chicago Sanitary and Ship Canal to the Interstate 55 bridge; and j) The North Shore Channel, excluding the segment extending from the North Side Sewage Treatment Works to Lake Michigan. The dissolved oxygen in said Channel shall be not less than 5 mg/l during 16 hours of any 24 hour period, nor less than 4 mg/l at any time. (Source: Amended at 12 Ill. Reg. 9917, effective May 27, 1988) 41 revised 02-21-2002 Project ID Appendix B APPENDIX B DESCRIPTION OF THE CHICAGO WATERWAY SYSTEM USE ATTAINABILITY ANALYSIS STUDY CONDUCTED BY THE ILLINOIS ENVIRONMENTAL PROTECTION AGENCY BUREAU OF WATER IN COOPERATION WITH METROPOLITAN WATER RECLAMATION DISTRICT OF GREATER CHICAGO RESEARCH AND DEVELOPMENT RICHARD LANYON, DIRECTOR MAY 2002 1 revised 02-21-2002 Project ID TABLE OF CONTENTS Chicago Waterway System Report Page System Description 1 Chicago River System 1 Calumet River System 2 Tributaries to the CWS 2 Control and Management of Flow 2 Inflow and Outflow 3 Outflow 3 WRP Effluent 3 Discretionary Diversion 3 Navigation and Leakage 4 Tributaries 4 Storm Runoff 4 Combined Sewer Overflow 4 Physical Description of Waterways 5 CSC 5 Chicago River 5 CSSC 5 LCR 5 North Branch 5 North Branch Canal 6 NSC 6 South Branch 6 South Fork 6 2 revised 02-21-2002 Project ID Table of Contents (Cont’d) Page Use Classification 6 General Use Waters 6 Secondary Contact ` 6 Facility Descriptions 6 CRCW 6 LCW 7 LP&L 7 OL&D 7 WPS 7 Operation Plan 8 Dry Weather Conditions 8 Wet-Weather Conditions 8 Measurement of Discharge and Water Level 9 United States Geological Survey 9 MWRDGC 9 Monitoring of Water Quality 9 IEPA 9 MWRDGC 10 USEPA 10 Acronym List 10 Figure 1 11 CWS Listing of Facilities Inflows and Monitoring Locations 12 3 revised 02-21-2002 Project ID CHICAGO WATERWAY SYSTEM The Chicago Waterway System (CWS) consists of 78 miles of canals, which serve the Chicago area for two principal purposes, the drainage of urban storm water runoff and treated municipal wastewater effluent and the support of commercial navigation. Other purposes include recreational boating, fishing, streamside recreation and, where possible, aquatic habitat for wildlife. Approximately 75 percent of the length are man-made canals where no waterway existed previously and the remainder are natural streams that have been deepened, straightened and/or widened. The flow of water in the CWS is artificially controlled by hydraulic structures. See Figure 1. 1.0 System Description The Lockport Controlling Works is one of two outlet control structures for the CWS. All flow from the CWS 740 square mile watershed discharges from the Chicago Sanitary and Ship Canal (CSSC) to the Des Plaines River north of the City of Joliet. The confluence is 1.1 miles downstream of the Lockport Powerhouse and Lock (LP&L). This reach is the upper end of the Brandon Road navigation pool. The LP&L is the single outlet control for the CWS. It should be noted that on Figure 1, distances on the CWS are measured from the LP&L. The CWS has two river systems, the Calumet River system and the Chicago River system. The Calumet River system is 23.1 miles in length and includes the Calumet-Sag Channel (CSC) and the Little Calumet River (LCR). The Chicago River system consists of 55.1 miles of waterways and includes the Chicago River, CSSC, North Branch, North Branch Canal (NBC), North Shore Channel (NSC), South Branch and South Fork. The South Fork is commonly known as Bubbly Creek. Each river system will be described separately. 1.1 Chicago River System The CSSC extends upstream from the confluence with the Des Plaines River for a distance of 31.1 miles to South Damen Avenue in the City of Chicago (Chicago). The waterway then becomes the South Branch, extending upstream for 4.5 miles to the junction of the Chicago River and the North Branch. The South Fork flows into the South Branch and extends upstream for 1.3 miles, ending at 38th Street in Chicago. The Chicago River extends upstream from the junction of the North and South Branches for 1.5 miles and ends at the Chicago River Controlling Works (CRCW). The North Branch extends upstream from the junction of the Chicago River and South Branch for 7.7 miles to the North Branch Dam, located south of Foster Street in Chicago. The NBC is an alternate route around Goose Island between Chicago and North Avenues and is 1.0 mile long. At the North Branch Dam, the waterway becomes the NSC, extending upstream for 7.7 miles, ending at the Wilmette Pumping Station (WPS). 1.2 Calumet River System The CSC extends upstream from Sag Junction for 16.2 miles to the LCR. At this point, the waterway becomes the LCR and extends upstream 6.9 miles, ending at the O'Brien Lock and Dam (OL&D). It should be noted that the Calumet River extends upstream of the OL&D to Lake Michigan. However, since the Calumet River is directly connected to Lake Michigan, it is not considered part of the CWS. The water level and flow in the Calumet River cannot be controlled the way that the CWS is controlled. 1.3 Tributaries to the CWS There are several streams that contribute flow to the CWS. These include the Grand Calumet River, LCR above its confluence with the CWS, the North Branch above the North Branch Dam and numerous small watersheds along the CSC and CSSC. In addition, there are numerous small directly contributing areas along the CWS, including areas served by storm sewers, parking lots, street ends, rooftop drains, etc. 4 revised 02-21-2002 Project ID 2.0 Control and Management of Flow Flow in the CWS is managed by the Metropolitan Water Reclamation District of Greater Chicago (MWRDGC), but is subject to regulation under U.S. Supreme Court Decree and 33 CFR Parts 207.420 and 207.425. The CFR t provides for the maintenance of navigable depths to support commercial navigation. The Chicago River a the CRCW and the LCR at the OL&D must be maintained between –0.5 feet Chicago City Datum (CCD) and –2.0 feet CCD water levels per Code of Federal Regulations during normal conditions.” This allows the federal navigation project depths to be maintained throughout the CWS above the LP&L. The U.S. Supreme Court Decree governs the quantity of water from Lake Michigan that is diverted out of the Great Lakes Basin into the Mississippi River Basin by the State of Illinois (Illinois). Within Illinois, this quantity is subject to regulation by the Illinois Department of Natural Resources, Division of Water Resources (DWR). The DWR issues allocation orders for annual average quantities of diversion. Most of the diversion is allocated to municipalities for domestic consumption. The MWRDGC has an order that allows it to divert water for improvement of water quality and this is referred to as discretionary diversion. Currently and through 2014, the MWRDGC allocation is for an annual average of 270 cubic feet per second (cfs). In 2015, it is scheduled to be reduced to an annual average of 101 cfs. An additional annual average of 35 cfs is allocated to the MWRDGC for navigation makeup. This is necessary to restore the CWS to the required water level for navigation follo wing a system draw down for wet-weather operations. There are two other diversion categories which do not have a specific allocation, but for which the DWR maintains a reserve quantity. An approximate annual average of 100 cfs is the reserve needed for operation of the locks at CRCW and OL&D for passage of navigation traffic. Another approximate annual average of 50 cfs is reserved for leakage through the walls and structures separating the lake and river. The actual amount of each of these reserves varies with the level of Lake Michigan. Accounting for the amount of water diverted from Lake Michigan is the responsibility of the DWR and the U.S. Army Corps of Engineers (USACE), Chicago District. The measurement of quantities of diversion and the method of accounting are specified in the U.S. Supreme Court Decree and in a 1996 Memo of Understanding between the U.S. Department of Justice and the several states bordering the Great Lakes. 3.0 Inflow and Outflow All outflow exits the CWS at the LP&L and Lockport Controlling Works (LCW). However, there are several sources of inflow to the CWS. These include WRP effluent, discretionary diversion, navigation and leakage, tributaries, storm runoff and combined sewer overflows. 3.1 Outflow The average annual flow leaving the CWS in Water Year (WY) 2001 was 2,710 cfs as measured by the U.S. Geological Survey (USGS) at Romeoville Road. Maximum and minimum daily discharge during WY 2001 was 13,700 and 1,200 cfs, respectively. Since 1986, the maximum and minimum WY annual average discharges have been 4,110 and 2,560 cfs, respectively. The maximum instantaneous discharge was 19,500 cfs on February 21, 1997. There are periods of zero and negative discharge due to operations at the LP&L and the hydraulic peculiarities of the CWS. 3.2 WRP Effluent Over 70 percent of the annual flow in the system is from the discharge of treated municipal wastewater effluent from the Calumet, Lemont, North Side and Stickney Water Reclamation Plants (WRPs) owned and operated by the MWRDGC. The WRPs are also shown on Figure 1. These WRPs have the following flow characteristics in cfs: 5 revised 02-21-2002 Project ID WRP Average annual flow in 2001 Design average flow Design maximum flow Calumet 417. 545. 662. Lemont 3.4 3.5 6.2 North Side 431. 518. 693. Stickney 1,200. 1,850. 2220. 3.3 Discretionary Diversion Discretionary diversion is introduced into the system from Lake Michigan to maintain adequate water quality. This occurs at three locations, WPS, CRCW and OL&D, shown on Figure 1. Discretionary diversion is seasonal and is scheduled such that most flow is during warm weather months of June through October. Some flow is scheduled throughout the year for the NSC due to more sensitive water quality conditions. Discretionary diversion flows in cfs for calendar year 2001 were as follows: Inflow facility Average annual Monthly maximum and minimum WPS 21.7 40.2, 0.2 CRCW 133. 479, 0 OL&D 87.5 364, 0 3.4 Navigation and Leakage This flow consists of discharge to support navigation in the operation of locks and leakage through structures and walls separating the lake and river. There is no navigation traffic at the WPS. It should be noted that navigation flows are seasonal. In addition, the quantity is dependent on the lake level, since flow at CRCW and OL&D is by gravity only. Leakage, formerly a significant quantity at CRCW, has been reduced through repair of gates and construction of new walls. The average annual, monthly maximum and monthly minimum flows at each of these facilities in cfs for calendar year 2001 were as follows: Facility Navigation Lockage Leakage WPS 0, 0, 0 0, 0, 0 0, 0, 0 CRCW 20.5, 81.7, 0 10.1, 26.3, 0.1 12.1, 18.8, 9.1 OL&D 29.1, 113., 0 17.4, 36.3, 2.5 6.8, 10.1, 4.4 The average annual discharge for WY 2001 measured by the USGS downstream from the three intake facilities CRCW, OL&D and WPS is 312, 217 and 80 cfs, respectively. 3.5 Tributaries The major watersheds tributary to the CWS are the LCR, over 210 square miles, and the North Branch, 113 square miles. Other tributaries discharging into the CSC include Crooked Creek, East Stony Creek, Illinois and Michigan Canal, Midlothian Creek, Mill Creek, Navajo Creek, Saganashkee Slough, Tinley Creek and West Stony Creek. Tributaries discharging into the CSSC include the Illinois and Michigan Canal diversion ditches and Summit-Lyons Conduit. Please refer to the CWS Listing of Facilities, Inflows and Monitoring Locations (CWS List). 3.6 Storm Runoff Numerous storm sewers discharge to the CWS from several municipalities and Illinois Department of Transportation drainage facilities. A complete inventory of these facilities needs to be assembled. 3.7 Combined Sewer Overflow Several hundred CSOs discharge to the CWS from several municipalities and the MWRDGC. The MWRDGC is currently preparing a comprehensive CSO outfall inventory. 6 revised 02-21-2002 Project ID 4.0 Physical Description of Waterways 4.1 CSC A man-made channel, the CSC is 16.2 miles long with a generally trapezoidal shape, 225 feet wide and approximately 10 feet deep. In some sections, the north bank is a vertical wall. The alignment is generally straight with three bends near Crawford, Ridgeland and Western Avenues. 4.2 Chicago River The Chicago River, 1.5 miles in length, is 200 feet wide west of Michigan Avenue and wider, up to 250 feet, east thereof. It has vertical side walls throughout its length. It is 20 feet deep at the west end and 26 feet deep at the east end. The river alignment is generally straight with three bends near Michigan Avenue and Orleans and State Streets. 4.3 CSSC This 31.1 mile long man-made channel has many different shapes and sizes. Its alignment is straight throughout its length, except for four bends, near Harlem Avenue, LaGrange and Romeoville Roads and in Lockport. Downstream of the LP&L, a reach of 1.1 miles, the depth is 10 feet and the width is 200 feet. Upstream of the LP&L, the depth varies from 20 to 27 feet. The reach immediately upstream of the LP&L, 2.4 miles in length, varies in width from 160 to 300 feet. The east bank of this reach is a vertical concrete wall. The west back varies from vertical dock wall to a steep rockfill embankment. The next 14.6 miles of the CSSC have vertical concrete or rock walls 160 feet apart. The last 13.0 miles have a trapezoidal shape, 220 feet wide, with steep earth or rock side slopes. There are several areas with vertical dock walls in this last reach. 4.4 LCR The LCR, 6.9 miles in length, has been deepened and widened from its original natural condition. There are several changes in alignment, with one full 180-degree bend west of Indiana Avenue. Its width varies from 250 to 350 feet and its depth is generally 12 feet in the center part of the channel. It has few vertical dock walls and most of the banks are earthen side slopes. 4.5 North Branch From the junction of the Chicago River and South Branch to Belmont Avenue, a distance of 5.1 miles, the river follows its original course, has several bends and has been deepened and widened. The width varies from 150 to 300 feet and the depth varies from 10 to 15 feet. In several reaches, vertical dock walls have been constructed and are in various states of disrepair. From Belmont Avenue to the North Branch Dam, 2.6 miles, the channel has been either straightened or relocated into fairly straight segments with steep earthen side slopes. The width is generally 90 feet and the depth is approximately 10 feet in the center part of the channel. 4.6 North Branch Canal This canal was man-made in the 1870s. It forms the east side of Goose Island, has a straight alignment and is one mile in length. The width varies from 80 to 120 feet and the depth from 4 to 8 feet. 4.7 NSC This man-made channel is 7.7 miles in length and is straight throughout except for four bends in alignment near Devon and Central Avenues and Emerson and Linden Streets. It has steep earthen side slopes and a width of 90 feet. The depth varies from 5 to 10 feet. 7 revised 02-21-2002 Project ID 4.8 South Branch This 4.5 mile long segment generally follows its original course and has several bends. A short relocated reach between Roosevelt Road and 18th Street was relocated in 1928 to eliminate a major bend. It has vertical dock walls throughout most of its length. The width varies from 200 to 250 feet and the depth from 15 to 20 feet. 4.9 South Fork This segment is 1.3 miles in length, varies from 100 to 200 feet in width and from 3 to 13 feet in depth. There are several sections with vertical dock wall, but most of the banks are steeply sloped earth or rock materials. 5.0 Use Classification 5.1 General Use Waters This use classification has been designated by the IPCB for the 1.6-mile length of the Chicago River and the 4.0 mile reach of the North Shore Channel from the North Side WRP outfall to the WPS. The General Use standards are found at 35 IAC Part 302, Subpart B and are established to protect aquatic life, wildlife, body-contact recreation (swimming), water supply and Secondary Contact uses. 5.2 Secondary Contact Waters All other portions of the CWS have been designated by the IPCB for this use classification. The Secondary Contact standards are found at 35 IAC Section 302.400 and are established to protect indigenous species, non- contact recreation (boating) and commercial navigation. 6.0 Facility Descriptions 6.1 CRCW The CRCW controls the flow of water between the lake and Chicago River. This facility was built by the MWRDGC in 1938 and was maintained and operated by them until 1984. In this year, the maintenance and operation responsibilities were transferred to the USACE. It consists of walls separating the river and the lake, a navigation lock, two sets of sluice gates and a pumping station. The lock is 80 feet wide by 600 feet long, with a normal lift of 2.0 feet. The two sets of underwater sluice gates consist of four gates each, each gate being 10 by 10 foot in size. The pumping station has three pumps of 30 cfs each. The pumps can only discharge from the river to the lake and were installed in 2000 for the purpose of returning excess leakage and lockage water to the lake. The pumps have yet to be used for this purpose. 6.2 LCW The LCW is owned and operated by the MWRDGC. It is an auxiliary facility used during storm operations to discharge floodwaters to the Des Plaines River. It is located two miles upstream of the LP&L and is used when discharge above the capacity of the LP&L is needed. It has 7 sluice gates, each being 30 feet wide and 20 feet high. The gate sill is at elevation -15.0 feet, CCD. 6.3 LP&L The Powerhouse is owned and operated by the MWRDGC. It was built in 1907 and is currently licensed for two hydroelectric generating units with a total capacity of 13,500 kilowatts, 9 submerged sluice gates for the discharge of storm water and one surface sluice gate for flushing debris. The lock is owned and operated by the USACE and was built in 1933. It is 110 feet wide and 600 feet long with a normal lift of 37 feet. 8 revised 02-21-2002 Project ID Newly licensed generating units will have combined capacity of 5,000 cfs. Each submerged sluice gate is capable of a maximum discharge of 2,500 cfs. A fill or empty event for the lock during normal water levels causes a discharge of 2,000 cfs over a 20-minute period. During storm operations, the upstream water level lowers and the discharge capacity through the facility is lessened. Also, because of structural concerns, all of the submerged sluice gates at the Powerhouse are not used simultaneously. 6.4 OL&D This facility was built in 1960 and is owned and operated by the USACE. The lock is 110 feet wide and 1,000 feet long with a normal lift 2.0 feet. Flow regulation is accomplished with 4 submerged sluice gates, each 10 by 10 feet in size. The gate opening for flow regulation is under the direction of the MWRDGC and the actual operation is performed by the USACE. 6.5 WPS The WPS is located beneath and is integral with the Sheridan Road Bridge and controls the flow of water between Lake Michigan and the NSC. It was built in 1910 and is owned and operated by the MWRDGC. Lake water is brought into the channel for augmenting low flows for water quality maintenance. The station has four horizontal screw pumps rated at 250 cfs at a lift of 3.0 feet. The pump propellers are 9.0 feet in diameter and located in tunnels that run under the floor of the station from the Wilmette Harbor to the channel. Pumping is necessary when lake levels are low. Adjacent to the south side of the pumping station is a concrete channel and sluice gate to allow for the passage of water by gravity when pumping is not necessary. The channel is 30 feet wide and 11 feet deep. During storm operations, when the channel surcharges and the water level nears 5.0 feet, CCD, the sluice gate can be opened to relieve the channel to the lake. Five temporary pumps with an aggregate capacity of 50 cfs, were installed in 2000 due to non-operation of the large original pumps. In 2002, one of the original pumps is being rehabilitated for use since the five temporary have insufficient capacity for water quality maintenance. 7.0 Operation Plan 7.1 Dry Weather Conditions Normal dry weather discharge is released from the CWS through hydroelectric generating units and the navigation lock at the LP&L. The water level in the Chicago River at the CRCW and in the LCR at the OL&D is maintained at -2.0 feet, CCD. Discretionary diversion is brought into the CWS at the CRCW, OL&D and WPS per the planned schedule. 7.2 Wet-Weather Conditions When weather forecasts indicate that rainfall is likely to occur, the CWS is readied for wet-weather operations. Discretionary diversion, if in progress, is curtailed and discharge at the LP&L is increased. This lowers the water level in the lower reaches of the CWS to provide storage for incoming storm flow and increases the hydraulic gradient to move more water through and out of the CWS. If no or very light rainfall occurs, the operations are returned to the dry weather mode. Light rainfall, less than 0.33 inches, normally causes little disruption in operations. If rainfall is moderate, 0.33 to 0.67 inches, most CSO is initially contained in TARP and only reaches the CWS through increased discharge from the WRPs. Direct inflow of other storm runoff is generally not significant or problematic. Additional discharge at the LP&L is achieved by increasing the discharge through the LP&L generating units to their maximum capacity. Discharge needed beyond the maximum discharge of the generating units is put through sluice gates at the LP&L and, if necessary, the LCW. Water levels in the upper part of the CWS will rise due to storm inflow and increased WRP discharge. After the peak water level is reached, the water levels begin to subside. Discharge at the LP&L is gradually reduced as the CWS returns to dry weather conditions. When - 2.0 feet, CCD, is reached at the CRCW and/or OL&D, discretionary diversion is resumed, if appropriate. 9 revised 02-21-2002 Project ID If rainfall is heavy, 0.67 to 1.5 inches, TARP will fill and excess CSO will be discharged to the CWS from pumping stations and combined sewer outfalls. Other storm runoff from tributary watersheds and storm sewers is significant and imposes an additional hydraulic load on the CWS. The operation of the CWS will be similar to the above description, with the exception that increased discharges at the LP&L are initiated more rapidly. Excessive rainfall, 1.5 inches or greater, especially if preceded by antecedent rainfall, will most likely cause extreme water levels in the upper part of the CWS. If water levels reach 3.5 feet, CCD, and are rising, it will be necessary to relieve the CWS by discharging excess floodwater to Lake Michigan at the CRCW, O L&D and/or WPS. The decision to provide for such relief at each facility is made based on the potential for continued area rainfall and on the water level conditions at each facility. 8.0 Measurement of Discharge and Water Level 8.1 United States Geological Survey The USGS maintains discharge measurement stations at several locations in the CWS and its tributaries. These are summarized in the following table. Water level is also available at these locations. River Location Number Chicago River Columbus Drive 05536123 CSSC Romeoville Road 05536995 Grand Calumet River (T) Hohman Avenue 05536357 (Indiana) LCR OL&D 05536357 LCR (T) Cottage Grove Avenue 05536290 Midlothian Creek (T) Kilbourn Avenue 05536340 North Branch (T) Albany Avenue 05536105 NSC Maple Street 05536101 Tinley Creek (T) 135th Street 05536500 All locations in Illinois, except as indicated. Tributary streams are designated (T). 8.2 MWRDGC The MWRDGC maintains a network of rain gages in the watershed and nine water level measurement stations on the CWS. See the CWS List for water level measurement locations. 9.0 Monitoring of Water Quality 9.1 IEPA IEPA operates an Ambient Water Quality Monitoring (AWQM) program throughout Illinois with over 200 monitoring locations. Two of these are located on the CWS, on the CSC at Route 83 and on the CSSC at Lockport. 9.2 MWRDGC MWRDGC also operates an AWQM program and has 20 locations on the CWS. In addition, MWRDGC performs monitoring for biological conditions, physical habitat and sediment quality at all these locations. At some locations, the monitoring is performed annually and at others, once in four years. In addition, there are 30 locations in the CWS where dissolved oxygen and temperature are measured hourly with continuous in-situ monitors. See the CWS List. 9.3 USEPA USEPA performs no regular monitoring, but has conducted surveys of sediment quality for some reaches of the CWS. 10 revised 02-21-2002 Project ID 10.0 Acronym List AWQM Ambient Water Quality Monitoring CCD Chicago City Datum CFR Code of Federa l Regulations cfs cubic feet per second CRCW Chicago River Controlling Works CSC Calumet-Sag Channel CSSC Chicago Sanitary and Ship Canal CWS Chicago Waterway System DWR Illinois Department of Natural Resources, Division of Water Resources IAC Illinois Administrative Code IEPA Illinois Environmental Protection Agency IPCB Illinois Pollution Control Board MWRDGC Metropolitan Water Reclamation District of Greater Chicago LCR Little Calumet River LCW Lockport Controlling Works LP&L Lockport Powerhouse and Lock NBC North Branch Canal NSC North Shore Channel OL&D O'Brien Lock and Dam USACE United States Army, Corps of Engineers USEPA United States Environmental Protection Agency USGS United States Geological Survey WPS Wilmette Pumping Station WRP Water Reclamation Plant WY Water Year (October 1 through September 30) 11 revised 02-21-2002 Project ID CHICAGO WATERWAY SYSTEM LISTING OF FACILITY INFLOW AND MONITORING LOCATIONS Location USGS River Mile Distance U/S of Lockport Comments CHICAGO SANITARY AND SHIP CANAL Des Plaines River Confluence 290.0 -1.1 Lockport Powerhouse and Lock 291.1 0.0 Flow MWRD WL, WQ, DO Lockport Controlling Works 293.2 2.1 MWRD WL Will County Power Plant, Cooling Water 296.0 4.9 OU, IN Romeoville Road 296.2 5.1 USGS DM Citgo Petroleum Corporation 298.0 6.9 Stephens Street 300.5 9.4 MWRD WQ Lemont Water Reclamation Plant 300.6 9.5 IN Argonne Laboratory 302.3 11.2 MWRD DO, OU, IN Illinois and Michigan Canal Connector Ditch 303.0 11.9 IN Sag Junction 303.4 12.3 Confluence Highway 83 304.1 13.0 MWRD WQ, DO Baltimore and Ohio Railroad 312.3 21.2 MWRD DO Summit-Lyons Conduit Inflow 313.3 22.2 IN Harlem Avenue 314.0 22.9 MWRD WQ Stickney Water Reclamation Plant 315.5 24.4 IN Cicero Avenue 317.3 26.2 MWRD WQ, DO Crawford Power Plant, Cooling Water 318.5 27.4 OU, IN Western Avenue 320.6 29.5 MWRD WL (1) SOUTH BRANCH Damen Avenue 321.1 30.0 MWRD WQ (1) South Fork 321.7 30.6 Confluence Loomis Street 321.9 30.8 MWRD DO, WQ Fisk Power Plant, Cooling Water 322.0 30.9 OU, IN Jackson Boulevard 325.0 33.9 MWRD DO Madison Street 325.3 34.2 MWRD WQ North Branch and Chicago River Junction 325.6 34.5 Confluence NORTH BRANCH Kinzie Street 325.8 34.7 MWRD DO Grand Avenue 326.0 34.9 MWRD WQ Division Street 327.3 36.2 MWRD DO Webster Avenue Instream Aeration Station 328.9 37.8 SA Fullerton Avenue 329.4 38.3 MWRD DO Diversey Parkway 330.1 39.0 MWRD WQ Addison Street 331.3 40.2 MWRD DO Wilson Avenue 332.6 41.5 MWRD WQ Lawrence Avenue 332.9 41.8 MWRD DO, WL North Branch Pump Station 333.1 42.0 CSO North Branch Dam 333.3 42.2 Tributary IN NORTH SHORE CHANNEL Foster Avenue 333.5 42.4 MWRD WQ Devon Avenue Instream Aeration Station 335.0 43.9 SA Devon Avenue 335.0 43.9 MWRD DO Touhy Avenue 336.0 44.9 MWRD WQ North Side Water Reclamation Plant 336.9 45.8 IN Oakton Street 337.0 45.9 MWRD WQ Main Street 337.5 46.4 MWRD DO Simpson Street 339.5 48.4 MWRD DO Central Street 340.2 49.1 MWRD WQ Maple Avenue 340.6 49.5 USGS DM Linden Street 340.8 49.7 MWRD DO Sheridan Road (Wilmette Pumping Station) 341.0 49.9 MWRD WL, IN CHICAGO RIVER North and South Branch Junction 325.6 34.5 Wells Street 325.8 34.7 MWRD WQ Clark Street 325.9 34.8 MWRD DO 12 revised 02-21-2002 Project ID Location USGS River Mile Distance U/S of Lockport Comments CHICAGO RIVER (cont.) Michigan Avenue 326.4 35.3 MWRD DO Columbus Drive 326.6 35.5 USGS DM, WL Lake Shore Drive 326.9 35.8 MWRD WQ Chicago River Controlling Works 327.1 36.0 MWRD DO, WL South Fork South Branch Junction 321.7 30.6 Confluence Archer Avenue 322.1 31.0 MWRD DO, WQ Racine Avenue Pumping Station 323.0 31.9 CSO CALUMET SAG CHANNEL Sag Junction 303.4 12.3 Confluence SEPA Station No. 5 at Junction 303.4 12.3 SA Illinois and Michigan Canal 303.7 12.6 IN Highway 83 304.3 13.2 MWRD WQ, DO 104th Street 307.5 16.4 MWRD DO Crooked Creek 308.1 17.0 IN Mill Creek 309.0 17.9 IN Stony Creek (West) 309.4 18.3 IN Southwest Highway 310.7 19.6 MWRD DO, WL SEPA Station No. 4 311.7 20.6 SA Harlem Avenue 311.7 20.6 MWRD DO Navajo Creek 312.6 21.5 IN Tinley Creek 314.1 23.0 IN Cicero Avenue 315.0 23.9 MWRD WQ, DO Midlothian Creek 317.1 26.0 IN Kedzie Avenue 317.1 26.0 MWRD DO Stony Creek (East) 317.9 26.8 IN SEPA Station No. 3 318.0 26.9 SA Division Street 318.6 27.5 MWRD DO Ashland Avenue 319.1 28.0 MWRD WQ Little Calumet River Junction 319.6 28.5 Tributary IN LITTLE CALUMET RIVER Halsted Street 320.1 29.0 MWRD WQ, DO SEPA Station No. 2 321.3 30.2 SA Calumet Water Reclamation Plant 321.4 30.3 IN 125th Street Pump Station 321.4 30.3 CSO Indiana Avenue 322.4 31.3 MWRD WQ C & WI Railroad 322.6 31.5 MWRD DO Conrail Railroad 325.4 34.3 MWRD DO Grand Calumet River 325.7 34.6 IN O'Brien Lock and Dam 326.5 35.4 USGS DM MWRD WL WL = water level measurement WQ - water quality sampling location DM = discharge measurement location OU = outflow IN = inflow CSO = combined sewer overflow pumped inflow during storms DO = continuous dissolved oxygen monitoring location SA = supplemental aeration MWRD = Metropollitan Water Reclamation District of Greater Chicago USGS = U.S. Geological Survey (1) The Damen Avenue Bridge is being replaced. Samples taken at Western Avenue. 13 revised 02-21-2002 Project ID 14 revised 02-21-2002 Project ID Appendix C MWRDGC and Chicago NPDES Permit Schedules Compliance Dates Description of Task Permittee 3/31/2002 Award Contract for Construction of Little Calumet MWRDGC-Calumet Tunnels 3/31/2002 Award Contract for Construction of Stage 1 of MWRDGC-Stickney TARP Phase II McCook Reservoir 9/1/2002 Submit CSO Public Notification (PN) Program MWRDGC 9/1/2002 Submit Plan to replace Grab DO monitoring with MWRDGC continuous monitoring 11/15 each year for the Submit CSO monitoring data report MWRDGC duration of the permit *12/31/2002 Conduct CSO PN Public Information Meeting MWRDGC 11/30/2002 Complete Construction of Torrence Avenue Tunnel MWRDGC-Calumet 12/1 each year for the duration Submit Water Quality Data MWRDGC of the permit 12/1/2002 Submit Revisions to CSO Operational and City of Chicago Maintenance Plan (OMP) 12/1/2002 Submit CSO Public Notification (PN) Program City of Chicago 1/1 each year for the duration Submit TARP progress report MWRDGC-Stickney & of the permit Calumet 3/1/2003 Submit Documentation of Sensitive Area CSO MWRDGC Locations *3/31/2003 Conduct PN Public Notification Meeting City of Chicago 6/1/2003 Documentation of Sensitive Area CSO Locations City of Chicago * 6/31/2003 Submit PN Public Information Meeting Summary City of Chicago 9/1/2003 Submit CSO OMP MWRDGC 12/1/2003 Submit Pollution Prevention (P2) Plan City of Chicago Documentation 12/1/2003 Implement P2 Activities City of Chicago *3/31/2004 Submit OMP Public Information Meeting Summary MWRDGC 12/31/2006 Complete Little Calumet Tunnel and Phase I of MWRDGC-Calumet Calumet TARP System 12/31/2009 Complete Stage 1 of TARP Phase II McCook MWRDGC-Stickney Reservoir 1/31/2010 Award Contract for Stage 2 of TARP Phase II MWRDGC-Stickney McCook Reservoir 1/31/2010 Award Contract for TARP Phase II Thornton MWRDGC-Calumet Composite Reservoir 12/31/2014 Complete TARP Phase II Thornton Composite MWRDGC-Calumet Reservoir 6/31/2015 Submit Water Quality Study MWRDGC-Calumet 12/31/2015 Complete Stage 2 of TARP Phase II McCook MWRDGC-Stickney Reservoir * 1/30/2016 Implement Water Quality Plan MWRDGC-Calumet 6/31/2016 Submit Water Quality Study MWRDGC-Stickney * 1/30/2017 Implement Water Quality Plan MWRDGC–Stickney * Assume 30-day IEPA turnaround. 1 revised 02-21-2002 Project ID
"EPA311 - Chicago Area Waterway System Use Attainability Analysis"