Appendix 1 Terms & Conditions Regarding Compliance with the Minority Business

Commitment and the Women Business Enterprise Commitment

MBE/WBE Terms and Conditions 2

Terms & Conditions Regarding Compliance with the City Colleges of Chicago’s

Minority Business Enterprise (MBE) and Women Business Enterprise (WBE) Participation Plan

SECTION 1: INTRODUCTION

1.1 The Board of Trustees of Community College District No. 508. (The "Board") has adopted the amended Minority and Women Business Enterprise Plan (The "Plan") to ensure that Minority Businesses and Women Businesses shall have maximum feasible opportunities to participate on City Colleges of Chicago contracts, and to remedy the effects of historical discrimination while minimizing its impact upon Non-MBE and Non-WBE businesses. The Plan includes goals for participation of certified MBE and WBE firms, and the Bidders/Proposers utilization of such firms is considered in determining responsibility in performing this contract.

1.2 The purpose of the revised Terms and Conditions is to describe the current requirements of the Plan including the MBE and WBE goals that have been established for this contract and certain administrative and procedural provisions.

Bidders/Proposers are required to submit information specifying the percentage of the total contract that will be performed by certified MBE and WBE firms on the attached Schedules.

SECTION 2: POLICY STATEMENT AND TERMS

2.1 It is the policy of the Board to ensure that the City Colleges of Chicago take all possible steps consistent with applicable law to insure that Minority Business Enterprises and Women Business Enterprises are afforded a fair and representative opportunity to participate fully in this institution’s contracting.

2.2 Consistent with this policy it shall be the responsibility of all contractors to exhaust all feasible means to ensure significant participation by certified MBEs and WBEs.

2.3 Failure to carry out the commitments and policies set forth in this Plan shall constitute a material breach of contract and may result in termination of the contract or such other remedy as the Board deems appropriate.

SECTION 3: DEFINITIONS

The following words as used herein shall have the meanings indicated below unless the context clearly indicates otherwise

a. Board of Trustees or Board shall mean the Board of Trustees of Community College District No. 508.

b. Certified means any business or individual which has been certified by any of the CCC approved certifying agency to be an MBE or WBE and is on the Board's list of certified MBEs or WBEs.

c. Chancellor shall mean the Chancellor of City Colleges of Chicago or his/her designee.

d. City College shall mean the City Colleges of Chicago.

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MBE/WBE Terms and Conditions 3

e. Commercially Useful Function shall mean the execution of a distinct element of work with actual performance, resources, management and supervision.

f. Financial and Administrative Service Committee shall mean the Financial and Administrative Service Committee of the Board of Trustees of Community College District No.508 or such other committee as the Board of Trustees may from time to time designate.

g. General Contractor shall mean a firm that has entered into a contract with the Board to provide goods or services.

h. Joint Venture shall mean an association between two or more independent businesses formed to perform a specific contract.

i. MBE or Minority Business Enterprise shall mean a certified business that is owned and controlled by a Minority or Minorities that is certified as an MBE as defined in Section III (Definitions, 3.1) and has participated, or has attempted to participate, in the Chicago area market.

j. Minority or Minority person shall mean a person who is a citizen or lawful permanent resident of the United States, who is a member of an identified racial/ethnic population group, specifically, Black, Hispanic, Asian, or any other racial/ethnic population group that the Chancellor determines, after notice and hearing, to suffer discrimination in the Chicago area and who has participated, or has attempted to participate, in the Chicago area market.

k. Person shall mean a natural person, or partnership, corporation or joint venture.

l. Subcontractor shall mean a business that has entered into a contract with a General Contractor to provide goods or services pursuant to a contract between the General Contractor and the Board.

m. WBE or Women Business Enterprise shall mean a certified business that is owned and controlled by a woman or women, that is certified as a WBE as provided in Section III (Definitions, 3.1) and has participated, or has attempted to participate, in the Chicago area market.

n. Woman or Female shall mean a person who is a citizen or lawful permanent resident of the United States who us of female gender.

SECTION 4: PARTICIPATION GOALS

4.1 Percentages of Participation

Goals for participation by certified MBE and WBE firms for this Contract shall be not less than the following percentage of the total contract value:

MBE Participation goal: 25% WBE Participation goal: 7%

4.2 Bidder/Proposer’s Commitment and Responsibility

Each Bidder's commitment to the utilization of certified MBE and WBE firms shall be considered as further evidence of the responsibility of the Bidder/Proposer. Further, the Contractor agrees to use its best efforts to include certified MBE and WBE firms in any Contract modifications, amendments and renewals.

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SECTION 5: PROCEDURE TO DETERMINE BID & PROPOSAL COMPLIANCE

5.1 The following documents constitute the Bidder/Proposer's MBE/WBE Compliance Plan and must be submitted with the bid or proposal:

A. Schedule A: Affidavit of MBE/WBE Goal Implementation Plan Bidders/Proposers must submit, together with the bid/proposal, a completed Schedule A committing them to the utilization of each certified MBE/WBE firm listed.

Except in cases where the bidder/proposer has submitted a complete request for a waiver or variance of the MBE or WBE goals in accordance with Section 8 (below), the bidder/proposer must commit to the expenditure of an estimated percentage of their proposed contract value.

Specific dollar amounts of participation by each certified MBE/WBE firm should also be included on the Schedule A as practicable.

Additionally, the total dollar commitments proposed for certified MBE firm(s) must at least equal the MBE goal, and the total dollar commitment to propose certified WBEs must at least equal the WBE goal.

All commitments made on the bidder/proposer's Schedule A must correspond with those presented on the Schedule C documents that are described below.

Additionally, a fully completed and executed Schedule A must be submitted with the bid/proposal when due. Failure to submit the completed Schedule A or a waiver request in accordance with this section will be cause for finding bid/proposal non-responsive and may result in rejection of bid/proposal.

B. Schedule C: Letter of Intent A Schedule C [Schedule C-1 (MBE/WBE Bidder/Proposer or Schedule C-2 (Joint Venture Partner) as described herein] must be completed in its entirety and executed by each certified MBE and WBE firm listed on the Schedule A and submitted with the bid/proposal.

The Schedule C must accurately detail the work to be performed by the certified MBE or WBE firm at the agreed rates and prices to be paid. Additionally, the certified MBE and WBE firm’s scope of work, as detailed on their Schedule C must conform to their area of specialty included in the certification letter as described below.

Additionally, all fully completed and executed Schedule Cs must be submitted with the bid/proposal when due. Failure to submit the completed Schedule C(s) in accordance with this section will be cause for finding bid/proposal non-responsive and may result in rejection of bid/proposal.

C. Letters of Certification & Certification Determination A copy of each proposed MBE and WBE firm’s current letter of certification must be submitted with the bid/proposal as a complement to the Schedule A and C. All letters of certification must include a statement of the certified MBE/WBE firm’s area of specialty.

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In order to be designated as a certified Minority Business Enterprise (MBE) or as a Women Business Enterprise (WBE) in City Colleges of Chicago contracting activity a firm must be verified as such by agencies known and accepted by CCC.

Specifically, the following agencies confer the designation and are accepted by the Office of Contract Compliance:

1) The City of Chicago

2) Cook County

3) The State of IL— CEI (formerly CMS)

4) National Minority Supplier Development Council and its regional affiliates including the Chicago Minority Supplier Development Council

5) Women Business Enterprise National Council and its regional partner organizations including the Women’s Business Development Center in Chicago

Certifications will also be considered from conferring government agencies in other states and major metropolitan cities on a case by case basis.

D. Schedule C-2 & Joint Venture Agreements If the bidder/proposer's MBE/WBE proposal includes the participation of certified MBE or WBE firms as a joint venture on any tier (either as the bidder/proposer or as a subcontractor), the bidder/proposer must provide a copy of the joint venture agreement, as a part of Schedule A submission.

In order to demonstrate the certified MBE or WBE partner's share in the ownership, control, management responsibilities, risks and profits of the joint venture, the MBE or WBE firm that is a party to the Joint Venture must complete the Schedule C-2.

Additionally, the joint venture agreement must complement the Schedule C-2 and include specific details related to: (1) contributions of capital and equipment (2) work responsibilities or other performance to be undertaken by the certified MBE/WBE firm; (3) the commitment of management, supervisory and operative personnel employed by the certified MBE/WBE to be dedicated to the performance of the contract. The joint venture agreement must also clearly define each partner's authority to contractually obligate the joint venture and each partner's authority to expend joint venture funds (e.g. check signing authority).

5.2 Correct Completion of Schedules

The MBE/WBE Compliance Plan must have all blank spaces on both of the Schedules applicable to the Contract correctly filled in.

Agreements between a Bidder/Proposer and a certified MBE and certified WBE in which the certified MBE/WBE promises not to provide subcontracting quotations to other Bidders/Proposers are prohibited.

5.3 Deficient Compliance Plans

Upon receipt of the Compliance Plan submitted with the bid/proposal, the Office of MBE/WBE Compliance will determine if the bid/proposal is responsive. A bid/proposal may be treated as non-responsive by reason of the determination that the Bidder/Proposer’s response did not contain a sufficient level of certified MBE or WBE participation or an approved waiver request.

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During the period between bid opening/proposal due date and contract award the MBE/WBE Plan will be evaluated by the Office of M/WBE Contract Compliance for the following:

1) MBE and WBE Performance of a commercially useful function

2) Analysis of industry standard for sub-contracting (if applicable)

3) Scope of services versus certification letter specialty area

4) Accurate levels of compliance

5) Due diligence efforts to support waiver request (if applicable)

6) Certification renewal status

7) MBE/WBE execution of Schedule C

8) Compliance history on previous contracts with CCC and its sister agencies

The Bidder/Proposer agrees to provide, upon request, earnest and prompt cooperation to the Office of M/WBE Contract Compliance in submitting to interviews that may be necessary, in allowing entry to places of business, in providing further documentation, or in soliciting the cooperation of a proposed certified MBE or WBE firm in providing such assistance.

Additionally, a bid/proposal may be treated as non-responsive by reason of the determination that the Bidder/Proposer was unresponsive or uncooperative when asked for further information relative to the bid/proposal, or that false statements were made in the Schedules.

SECTION 6: COUNTING MBE/WBE PARTICIPATION TOWARD CONTRACT GOALS

6.1 Only certified MBE and WBE participation shall be counted toward the MBE and WBE goals set in this Contract and applied as follows:

A. Direct Participation An MBE or WBE firm should be used directly in the performance of the scope of services that the Bidder/Proposer is providing for the District. The MBE or WBE’s total contract value can be credited towards the participation goals for direct participation.

B. Indirect Participation In the event the Bidder/Proposer’s specific scope of services does not provide an opportunity for direct subcontracting, the Bidder/Proposer must consider other ways to engage MBEs and WBEs to meet the contract participation goals.

The expenditures with MBE and WBE vendors that are being used in the Bidder/Proposer’s overall business operations for goods or services that are ancillary to the CCC contract such as transportation, advertising, accounting, landscaping, office supply can be credited at 100%.

C. Commercially Useful Function (CUF) A Bidder/Proposer may count toward its MBE and WBE goal only expenditures to certified firms that will perform a commercially useful function in the work of a contract. A firm is considered to perform a commercially useful function when it is responsible for a distinct element of work of a contract and carries out the responsibilities by actually performing, managing, and supervising the work involved using its own resources.

The Office of M/WBE Contract Compliance will use a variety of methods to determine whether or not an MBE or WBE is performing a CUF at any time (pre- award, during contract execution and/or during the contract close-out phase) including but not limited to:

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1) Project site visits

2) Documentation requests

3) Interviews with MBE or WBE owners or employees

D. MBE/WBE Subletting Consistent with normal industry practices, a certified MBE or WBE subcontractor may enter into further subcontracts. If a certified MBE/WBE contractor subcontracts a significantly greater portion of the work of the contract than would be expected on the basis of normal industry practices, the certified MBE or WBE shall be presumed not to be performing a commercially useful function.

Evidence may be presented, in writing, to the Office of M/WBE Contract Compliance by the contractors involved to rebut this presumption.

E. Counting MBE/WBE Manufacturers A Contractor may count toward its goals expenditures to certified MBE or WBE manufacturers (i.e., suppliers that produce goods from raw materials or substantially alters them before resale) at 100%.

F. Counting MBE/WBE Suppliers A Contractor may count 100% of its expenditures with certified MBE or WBE suppliers toward its compliance goals provided that the supplier performs a commercially useful function in the supply chain process and is a regular dealer.

G. Counting Total Dollar Value Awarded To Certified MBEs/WBEs The total dollar value of contract awarded to a certified MBE or WBE firm shall only be credited to one of the respective certification statuses. The Contractor employing the certified firm may choose the goal to which the contract value is applied—either MBE or WBE; not both.

Work done by one and the same subcontractor shall be considered, for the purpose of this principle, as work effectively under one subcontract only, in which the subcontractor may be counted toward only one of the goals, but not toward both.

H. MBE/WBE Controlled Firms If the Bidder or Proposer is a certified MBE most of the total contract value can be counted toward the fulfillment of the MBE goal and similarly, if a WBE is the Bidder or Proposer, most of the total contract value can be counted toward the fulfillment of the WBE goal.

However, MBE Bidders/Proposers must obtain a certified WBE subcontractor and a WBE Bidder/Proposer must obtain a certified MBE subcontractor to meet the respective goals.

Additionally, if a firm is certified as both an MBE and WBE, they can only use one of the certification statuses to fulfill one of the goals; not both.

MBE and WBE Bidder/Proposers must submit a Schedule C-1 which outlines their intent to subcontract any portion of their work they do not plan to self-perform.

Moreover, an MBE or WBE Bidder/Proposer must submit a Schedule A, Schedule C(s) for MBE or WBE subcontractors, and certification letters for themselves and any other MBE or WBE they may be utilizing on the contract.

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I. Counting Total Dollar Value of Eligible Joint Ventures A Contractor may count toward its MBE or WBE goal the portion of the total dollar value of a contract with an eligible joint venture equal to the percentage of the ownership and control of the MBE or WBE partner in the joint venture. A joint venture seeking to be credited for MBE participation may be formed among certified MBE and WBE firms, or between certified MBE and WBE firms and a non- MBE/WBE firm. A joint venture satisfies the eligibility standards of this Plan if the certified MBE or WBE participant of the joint venture:

1. Shares in the ownership, control, management responsibilities, risks and profits of the joint venture; and

2. Is responsible for a clearly defined portion of work to be performed in proportion to the certified MBE or WBE ownership percentage.

A Schedule C-2 and Joint Venture agreement must be submitted to support utilizing an MBE or WBE as a Joint-Venture participant.

6.2 A Contractor may count toward its MBE/WBE goal the following expenditures to certified firms that are not manufacturers or regular dealers:

A. Fees or Commissions For Providing Services The fees or commissions charged for providing a bona fide service, such as professional, technical, consultant or managerial services and assistance in the procurement of essential personnel, facilities, equipment, materials or supplies required for performance of the contract, provided that the fee or commission is determined by the Office of M/WBE Contract Compliance to be reasonable and not excessive as compared with fees customarily allowed for similar services.

B. Fees For Delivering Materials and Supplies The fees charged for delivery of materials and supplies required on a job site (but not the cost of the materials and supplies themselves) when the hauler, trucker, or delivery service is not also the manufacturer of or a regular dealer in the materials and supplies, provided that the fee is determined by the Office of M/WBE Contract Compliance to be reasonable and not excessive as compared with fees customarily allowed for similar services.

C. Fees or Commissions For Bonds or Insurance The fees or commissions charged for providing any bonds or insurance specifically required for the performance of the contract, provided that the fee or commission is determined by the Office of M/WBE Contract Compliance to be reasonable and not excessive as compared with fees customarily allowed for similar services.

SECTION 7: CHANGES TO MBE/WBE PARTICIPATION PLAN

7.1 Termination of Scope of Work Not Permitted

After submitting executed MBE and/or WBE sub-agreements to the Office of M/WBE Contract Compliance, the Contractor shall thereafter neither terminate the sub- agreement, nor reduce the scope of the work to be performed by the certified MBE or WBE firm, nor decrease the price to the MBE or WBE firm, without in each instance receiving the prior written approval of the Office of M/WBE Contract Compliance.

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7.2 Substitutions

If it becomes necessary to substitute an MBE and/or WBE to fulfill the Contractor's MBE and/or WBE commitments, the Office of M/WBE Contract Compliance must be given reasons justifying the release of prior specific MBE and/or WBE commitments established in the Contractor’s bid/proposal in order to review the propriety of the proposed substitution.

A substitution of MBE or WBE firms cannot be made without prior approval from the Office of MBE/WBE Compliance. In addition to the explanation provide above, the approval process must include a revised Schedule A, a Schedule C for the replacement firm(s) and current certification letter(s).

The approval process should also include concurrence from the affected MBE or WBE received either proactively from the Prime Vendor or by the Office of MBE/WBE Compliance.

SECTION 8: WAIVERS of MBE and WBE GOALS

8.1 Inability to Meet Participation Goals

If a Bidder/Proposer is unable to identify certified MBE and WBE firms to perform sufficient work to fulfill the MBE or WBE percentage goals for a contract, the bid/proposal must include a Schedule D (written request for waiver).

Submission of the Schedule D is not an automatic approval of the requested waiver. The approval of the requested waiver will be based, in part by the supporting documentation demonstrating the Bidder/Proposer’s inability to obtain sufficient certified MBE and WBE firms, notwithstanding good faith attempts to achieve such participation.

Examples of such good faith efforts may include, but are not limited to, the following:

a) Attendance at the Pre-bid/proposal conference.

b) The Bidder/Proposer's general affirmative action policies regarding the utilization of MBE and WBE firms, plus a description of the methods used to carry out those policies.

c) Advertisement in trade association newsletters and minority-oriented and general circulation media for specific sub-bids/proposals.

d) Timely notification of specific sub-bids/proposals to minority and women assistance agencies and associations.

e) Description of direct negotiations with certified MBE and WBE firms for specific sub-bids/proposals, including:

f) the name, address and telephone number of the certified MBE and WBE firms contacted;

g) a description of the information provided to certified MBE and WBE firms regarding the portions of the work to be performed; and

h) the reasons why additional certified MBE and WBE firms were not obtained in spite of negotiations.

i) A statement of the efforts made to select portions of the work proposed to be performed by certified MBE and WBE firms (such as sub-supplier, transport, engineering, distribution, or any other roles contributing to production and delivery as specified in the Contract) in order to increase the likelihood of achieving such participation.

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j) A detailed statement of the reasons for the Bidder/Proposer's conclusion that each certified MBE and WBE contacted, were not qualified.

k) Efforts made by the Bidder/Proposer to expand its search for certified MBE and/or WBE firms beyond usual geographic boundaries.

l) General efforts made to assist MBE and WBE firms to overcome participation barriers.

8.2 Unacceptable Basis for Waiver Request

If the bidder/proposer does not meet the MBE/WBE goal, price alone shall not be an acceptable basis for which the bidder may reject a certified MBE/WBE sub-bid/proposal unless the bidder can show to the satisfaction of the Office of M/WBE Contract Compliance that no reasonable price can be obtained from a certified MBE/WBE.

A determination of reasonable price is based on such factors as the estimate for the work under a specific subcontract, the bidder's own estimate for the specific subcontract, and the average of the bona fide prices quoted for the specific subcontract. A bid from a certified MBE/WBE for a subcontract will be presumed to be unreasonable if the MBE/WBE price exceeds the average price quoted by more than 15 percent.

8.3 Subsequent Waiver by Request of Contractor

During the performance of a contract, a contractor may request a partial waiver from compliance with its original MBE or WBE proposal for the following reasons:

a) Due to substantially changed circumstances the contractor is unable to meet the previously stated MBE or WBE goal(s);

b) Despite every good faith effort on the part of the contractor, it is unable to meet the previously stated MBE or WBE goal(s)

8.4 Waiver Initiated by City Colleges of Chicago

The Chancellor or their designee may grant a waiver from MBE or WBE requirements for an individual contract upon a determination that there are insufficient certified MBEs or WBEs available to fulfill such requirements for that particular contract.

A determination by the Chancellor to waive MBE or WBE requirements for an individual contract must be stated in writing and placed in the appropriate project file.

SECTION 9: REPORTING AND RECORD-KEEPING REQUIREMENTS

9.1 Execution of Subcontract By Contractor

The Contractor, within five (5) working days after Contract award, shall execute a formal subcontract or purchase order in compliance with the terms of the Contractor’s bid/proposal and MBE and WBE assurances and should be submitted to the Office of MBE/WBE Compliance within three (3) business days if requested by the Office of MBE/WBE Compliance.

In addition, each subcontract between the Bidder/Proposers and any certified MBE or WBE firm performing work on the Contract shall include remedies for non- compliance with the commitment to MBE and WBE participation, including an agreement to pay damages to the certified MBE and WBE firms which were underutilized.

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9.2 Payments to MBE and WBES

CCC utilizes B2Gnow, a diversity compliance software program, where payment data for the primes and subcontractors performing on CCC contracts with M/WBE goals can be monitored.

The prime contractor shall not be required to report payments received from the Agency. CCC payments to prime contractors will automatically import into B2Gnow by the 7th of each month.

The prime contractor and its MBE/WBE subcontractors shall be responsible for reporting and confirming subcontractor payment data (even $0 payments). B2Gnow will automatically generate notices to the prime contractors and their subcontractors to submit their audit responses and confirmations as required. Both payment reporting and confirmation should be completed by the 20th of each month. The prime contractor shall be responsible for ensuring that all MBE/WBE subcontractors have been added to the project in B2Gnow, and that they have completed all audits timely.

9.3 Maintenance of Relevant Records

The Contractor shall maintain records of all relevant data with respect to the utilization of certified MBE and WBE firms, including without limitation payroll records, tax returns and records, and book of accounts, and retain such records for a period of at least three (3) years after final acceptance of the work. Full access to such records shall be granted to the Office of M/WBE Contract Compliance or its designee, on five (5) business days' notice in order to determine the Contractor's compliance with its MBE and WBE commitments and the status of any certified MBE or WBE firm performing any portion of the Contract.

SECTION 10: NON-COMPLIANCE WITH MBE and WBE PARTICIPATION GOALS

10.1 Compliance Audits

Whenever the Office of M/WBE Contract Compliance believes that the contractor or any of its subcontractors may not be operating in compliance with this Plan, it shall conduct an appropriate investigation.

10.2 Notification regarding Non-compliance

Upon indications of inadequate compliance or non-compliance, the Office of M/WBE Contract Compliance will notify the contractor and the subcontractor, in writing.

The Office of M/WBE Contract Compliance, the contractor or subcontractor may request an opportunity to meet to discuss MBE/WBE contract compliance. The contractor or subcontractor shall make such request to the Office of M/WBE Contract Compliance in writing within five (5) working days of receiving notice. The meeting shall be scheduled by the Office of M/WBE Contract Compliance at a reasonable date, time and place, with notice to contractor and subcontractor.

10.3 Determination of non-compliance

If after notification and subsequent discussions, the Office of M/WBE Contract Compliance determines that a contractor is not meeting or has not met applicable MBE or WBE goals and is not demonstrating or has not demonstrated every good faith to meet the goals, the contractor shall be subject to suitable sanctions as set forth in paragraph 10.3 A (Sanctions) below.

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10.5 Sanctions for Non-compliance

A. Terms and Conditions of Plan Applying To All Contracts The MBE/WBE requirements of these Terms and Conditions shall be incorporated into all of the contracts between City Colleges and its vendors. In addition to any other remedies City Colleges may have, the following apply:

Where the Office of M/WBE Contract Compliance determines the conditions set forth in Section 10.3 above to exist during the term of the contract, the Office of M/WBE Contract Compliance may recommend that the Board suspend or terminate the contract, in whole or in part, and may also declare the contractor ineligible for future contracts for a period of two

(2) years.

The Contractor shall be liable to the City Colleges for any consequential damages incurred as a result of suspension or termination of the contract including damages arising either from delay or increased price in securing performance of the work by other contractors, attorney’s fees and court cost.

Where the Office of M/WBE Contract Compliance determines the conditions set forth in paragraph 10.3 above to exist at the conclusion of a contract, the Office of M/WBE Contract Compliance may declare the contractor ineligible for future contracts for a period of two (2) years.

If a Contractor has provided false or misleading information in connection with certification, bid or proposal documents, compliance progress reports, or any other aspect of this Plan, the Office of M/WBE Contract Compliance may impose any of the sanction described in paragraph 10.5 (Sanctions) and all its subsections.

If there is a bona fide payment dispute between a Contractor and its certified M/WBE subcontractor for work performed under the Plan, the City Colleges may withhold payment of the disputed amount from the Contractor and place such funds in an interest-bearing account pending resolution of the dispute, by judicial or other means.

B. Contractor’s Right To Appeal Decision A contractor shall have the right to appeal a decision from the Office of M/WBE Contract Compliance declaring it ineligible for future City College contracts. Such appeal shall be made to the Chancellor or his/her designee.

C. Sanctions Available To The City Colleges of Chicago The failure of City Colleges to impose any sanction it may have under this Section shall not be deemed a waiver of its right to impose such a sanction for subsequent violations. The listing of sanctions available to City Colleges in paragraph 10.5 A shall not be deemed to exclude any other sanctions or remedies available at law or in equity.

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10.4 MBE and WBE Remedies For Prime Vendor Non-Compliance

The unexcused reduction of certified MBE or WBE participation in connection with the Contract including any modification thereof, shall entitle the affected certified MBE and WBE firms to payments pursuant to such agreement. Such provisions shall include an undertaking by the Contractor to submit any dispute concerning such damages to binding arbitration by an independent arbitrator, other than the City Colleges of Chicago, with reasonable expenses, including attorneys' fees, being recoverable by a prevailing certified MBE or WBE. Nothing herein shall be construed to limit the rights of and remedies available to the City Colleges of Chicago.

Schedule A—MBE/WBE Goal Implementation Plan 1

SCHEDULE A

MBE / WBE Goal Implementation Plan

Project Name & Number In connection with the above referenced project I HEREBY DECLARE AND AFFIRM that I am a duly authorized representative of:

(Company Name)

(Printed Name and Signature of bidder/proposer’s authorized representative) located at:

and I can reached at

(Address, City, State & Zip) or via email at (phone number)

The certified MBE and WBE participants on this project include (attach additional sheets as necessary):

NOTE: The bidder/proposer shall, in determining the manner of MBE/WBE participation, must first consider involvement with MBE/WBE firms as joint venture partners, direct subcontractors, and suppliers of goods and services directly related to the performance of this contract. A service not directly related to the scope of services but utilized during the bidder/proposer’s normal course of business is considered indirect.

Additionally, all MBE/WBE firms included in this plan must be currently certified as such by at least one of the following agencies acknowledged by the City Colleges of Chicago (City of Chicago, Cook County, State of IL, Chicago Minority Supplier Development Council and regional affiliates and/or the Women’s Business Development Center and its regional affiliates).

Name of MBE/WBE Vendor: Street Address: City, State & Zip:

Contact Name: Contact Title: Contact Phone:

Contact Email:

MBE WBE

Certification Agencies:

Contract $: Contract %:

Description of Services:

Indirect Participation Direct Participation

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When do you anticipate the subcontractor will perform on the contract? Check all that apply:

25% 50% 75% of project completion, where subcontractor will perform services

Schedule A—MBE/WBE Goal Implementation Plan 2

MBE / WBE Goal Implementation Plan

REV 3/2023

Name of MBE/WBE Vendor: Street Address: City, State & Zip:

Contact Name: Contact Title: Contact Phone:

Contact Email:

MBE WBE

Certification Agencies:

Contract $: Contract %:

Description of Services:

Indirect Participation Direct Participation

When do you anticipate the subcontractor will perform on the contract? Check all that apply:

25% 50% 75% of project completion, where subcontractor will perform services

Name of MBE/WBE Vendor: Street Address: City, State & Zip:

Contact Name: Contact Title: Contact Phone:

Contact Email:

MBE WBE

Certification Agencies:

Contract $: Contract %:

Description of Services:

Indirect Participation Direct Participation

When do you anticipate the subcontractor will perform on the contract? Check all that apply:

25% 50% 75% of project completion, where subcontractor will perform services

Schedule A—MBE/WBE Goal Implementation Plan 3

MBE / WBE Goal Implementation Plan

Total MBE Direct $ % Total MBE Indirect $ %

Total WBE Direct $ % Total WBE Indirect $ %

Bidder/Proposer’s M/WBE Liaison (if other than the submitter of the Schedule):

(Name, phone & email address)

Affidavit of Bidder/Proposer:

I affirm that I have personally reviewed the material and facts set forth herein describing the Bidder/Proposer’s plan to achieve the City Colleges of Chicago’s MBE/WBE goals and that to the best of my knowledge the information contained herein is true and no material facts have been omitted. Additionally I understand that material misrepresentation will be grounds for contract termination if the Bidder/Proposer is so selected and will be subject to all laws relative to false statements.

On this day of ,20 , the

(Title of Affiant) (Name of Company) appeared before me to acknowledge the execution of the terms contained herein.

IN WITNESS WHEREOF, I HEREUNTO SET MY HAND AND OFFICIAL SEAL.

(Signature of Notary Public)

My Commission Expires: (Seal)

Schedule C 1

SCHEDULE C

Letter of Intent to Perform as Subcontractor, Subconsultant and/or Material Supplier

Project Name and Number:

From: MBE WBE (Name of Certified Firm/ MBE or WBE)

To:

(Name of Bidder/Proposer)

The undersigned intends to perform work in connection with the above-referenced project as (check one):

a Sole Proprietor a Corporation a Partnership a Sub-contractor a Supplier a Consultant a Joint Venture

The undersigned is prepared to provide the following described service(s) and or goods in connection with the above-named project:

The above described service(s) or goods from the above-named certified MBE or WBE are offered for EITHER the following price or percentage, with terms of payment as stipulated in the Contract Documents, provided below:

Price $ % of Bidder/Proposer contract

Terms of Payment:

If more space is needed to add additional scopes of services or more fully describe the certified MBE or WBE firm’s proposed scope of work and/or payment schedule, please attach additional sheet(s).

Sub-Contracting Levels

If the MBE or WBE firm will not be sub-contracting any of the work described in this Schedule, a zero (0) must be filled in each blank below in order for the form to be considered complete.

% of the dollar value of the certified MBE/WBE subcontract will be sublet to non-MBE contractors.

% of the dollar value of the certified MBE/WBE subcontract to other certified MBE/WBE contractors.

NOTE: If more than 10% percent of the value of the certified MBE or WBE subcontractor’s scope of work will be sublet, a brief explanation and description of the work to be sublet must be provided on a separate sheet on the firm’s letterhead.

If proposing a Joint Venture with an MBE or WBE, submit Schedule C-2

Schedule C 2

The undersigned hereby affirms:

SCHEDULE C

Letter of Intent to Perform as Subcontractor, Subconsultant and/or Material Supplier

• The current MBE or WBE status of the undersigned is confirmed by the attached Letter(s) of Certification.

• A formal agreement for the above work will be executed with the Prime Contractor, contingent upon their receipt of a contract award notification from the City Colleges of Chicago, within five (5) working days of said notice.

• The undersigned understands that any misrepresentation of the information contained herein may be grounds for terminating any resulting subcontracts and could result in the pursuit of action relative to local, state and/or federal laws regarding false statements.

By:

Print Name of MBE or WBE Firm

Printed Name & Signature of MBE or WBE’s Authorized Representative Date

On this day of ,20 , the

(Title of Affiant) (Name of Company) appeared before me to acknowledge the execution of the terms contained herein.

IN WITNESS WHEREOF, I HEREUNTO SET MY HAND AND OFFICIAL SEAL.

(Signature of Notary Public)

My Commission Expires: (Seal)

SCHEDULE C-1

Letter of Intent to Perform as an MBE or WBE Prime Contractor, Consultant and/or Material

If an MBE or WBE will perform as a Prime Contractor, the firm must certify the portion of work they intend to self-perform with their own resources and accurately indicate subcontracting levels. This form must be completed in its entirety.

Project Name and Number:

MBE or WBE Bidder or Proposer: MBE WBE (Name of Certified Firm / MBE or WBE)

The undersigned intends to perform work in connection with the above-referenced project as (check one):

a Sole Proprietor a Corporation a Partnership a Sub-contractor a Supplier a Consultant a Joint Venture

Self-Performance Levels

% of the dollar value the MBE or WBE firm named above will self-perform.

Sub-Contracting Levels

% of the dollar value of the certified MBE/WBE subcontract will be sublet to non-MBE contractors.

% of the dollar value of the certified MBE/WBE subcontract to other certified MBE/WBE contractors.

The undersigned hereby affirms:

• The current MBE or WBE status of the above-named firm is confirmed by the attached Letter(s) of certification.

• The undersigned understands that any misrepresentation of the information contained herein may be grounds for terminating any resulting subcontracts and could result in the pursuit of action relative to local, state and/or federal laws regarding false statements.

By:

Print Name of MBE or WBE Firm

Printed Name & Signature of MBE or WBE’s Authorized Representative Date

On this day of ,20 , the

(Title of Affiant) (Name of Company) appeared before me to acknowledge the execution of the terms contained herein. IN WITNESS

WHEREOF, I HEREUNTO SET MY HAND AND OFFICIAL SEAL.

(Signature of Notary Public)

My Commission Expires: (Seal)

Schedule C-1 1

If proposing a Joint Venture with an MBE or WBE, submit Schedule C-2

REV 2023

Schedule C-2 Letter of Intent to Perform as an MBE or WBE Joint Venture Partner 1

SCHEDULE C-2

Letter of Intent to Perform as an MBE or WBE Joint Venture Partner

Please complete this form in its entirety with the specific information requested (consistent referral to the joint venture agreement will be unacceptable). A copy of the Joint Venture agreement and the letters of certification for each MBE or WBE Joint Venture partner must be attached.

Project Name and Number:

A. Joint Venture Name:

Address:

Phone:

Contact:

B. MBE or WBE Joint Venture Partner:

MBE WBE Certifying Agency(s)

C. Non-MBE/WBE Joint Venture Partner:

D. Ownership of Joint Venture

MBE/WBE Partner % Non-MBE/WBE %

MBE / WBE ownership of the joint venture

Profit

Loss

Capital contribution

Capital contribution $ $

Equipment contribution Attach a list of equipment being provided by each Joint Venture partner on a separate sheet of paper.

Other ownership interests Attach a list of ownership interests of each JV partner that may restrict or limit the participation in the JV being formed for this project.

Address:

Phone:

Contact:

Address:

Phone:

Contact:

Schedule C-2 Letter of Intent to Perform as an MBE or WBE Joint Venture Partner 2

E. Control of Joint Venture

SCHEDULE C-2

Letter of Intent to Perform as an MBE or WBE Joint Venture Partner

Indicate which Joint Venture partner is responsible for the activities noted below and notate if there are any limitations or restrictions.

Activity Name of responsible Joint Venture Partner

Comments (restrictions or limitations)

JV check signing

Authority to enter contracts on behalf of the JV Obligate the JV for insurance, bonding and/or other financial commitments

Accounting

Major purchases

Negotiation and signing labor agreements

Supervise field operations

Estimating

Engineering

Hire JV personnel

Submit JV payrolls

F. Joint Venture personnel

Indicate the approximate number of employees needed to perform the work of the joint venture and the approximate number of employees that will be contributed by each partner and if any will be hired directly by the JV:

Trade Non-M/WBE JV Partner (#)

MBE/WBE JV Joint Venture (indicate if new hire or if employed by which partner)

Schedule C-2 Letter of Intent to Perform as an MBE or WBE Joint Venture Partner 3

The undersigned hereby affirms:

SCHEDULE C-2

Letter of Intent to Perform as an MBE or WBE Joint Venture Partner

• The current MBE or WBE status of the undersigned is confirmed by the attached Letter(s) of Certification.

• A formal agreement for the above work will be executed with the Prime Contractor, contingent upon their receipt of a contract award notification from the City Colleges of Chicago, within five (5) working days of said notice.

• The undersigned understands that any misrepresentation of the information contained herein may be grounds for terminating any resulting subcontracts and could result in the pursuit of action relative to local, state and/or federal laws regarding false statements.

By:

Print Name of MBE or WBE Joint-Venture Partner

Printed Name & Signature of MBE or WBE’s Authorized Representative Date

By:

Print Name of non-MBE/WBE Joint Venture Partner

Printed Name & Signature of non-MBE/WBE Joint Venture Partner’s Authorized Representative Date

On this day of ,20 , the

(Title of Affiant) (Name of Company) appeared before me to acknowledge the execution of the terms contained herein.

IN WITNESS WHEREOF, I HEREUNTO SET MY HAND AND OFFICIAL SEAL.

(Signature of Notary Public)

My Commission Expires: (Seal)

Schedule D—Waiver Request

SCHEDULE D

Waiver Request

NOTE: Please refer to the attached instructions regarding the Good Faith Efforts required to support a waiver request.

To: City Colleges of Chicago Office of M/WBE Contract Compliance

Re: Request for waiver from the City Colleges of Chicago MBE/WBE Contract Participation Plan

The undersigned respectfully requests a waiver of the City Colleges of Chicago’s M/WBE Contract Participation Plan as detailed below. The request is made with the express understanding that the approval is not automatic and the circumstances and supporting documentation will be reviewed accordingly.

Project Name & Number:

Type of waiver: Full MBE (25%) Partial MBE (percentage to be waived) %

Reason for waiver:

Full WBE (7 %) Partial WBE (percentage to be waived) %

Sole Source Manufacturer Distributor – No Subcontractors Limited subcontracting opportunities Other

Submitted by:

Signature and Title of authorized representative

Name of Bidder/Proposer Company

For CCC use

Granted: Full MBE Partial MBE

Full WBE Partial WBE

Denied: Insufficient supporting documentation Sufficient pool of direct M/WBE vendors

User Department concurrence (for scope issues):

CCO initials/date: Compliance Director / Date

Schedule D—Waiver Request

SCHEDULE D

Waiver Request

Instructions regarding Good Faith Efforts for supporting a waiver request:

In addition to completing the Schedule D document, the Bidder/Proposer must provide a detailed narrative citing the reason they are seeking a waiver of the MBE/WBE Plan. The narrative must include reference to and attachments (where appropriate) of the following:

a) Attendance at the Pre-bid/proposal conference.

b) The Bidder/Proposer's supplier diversity policies regarding the utilization of MBE and WBE firms, plus a description of the procedures used to carry out those policies.

c) Advertisement in trade association newsletters and minority-oriented and general circulation media for specific sub-bids/proposals.

d) Timely notification of available sub-bids/proposals to minority and women assistance agencies and associations.

e) Description of direct negotiations with certified MBE and WBE firms for specific sub-bids/proposals, including:

o Names, addresses and telephone numbers of certified MBE and WBE firms contacted;

o A description of the information provided to certified MBE and WBE firms regarding the portions of the work to be performed; and o The reasons why additional certified MBE and WBE firms were not obtained in spite of negotiations.

f) A description of the efforts made to select portions of the work proposed to be performed by certified MBE and WBE firms (such as sub-supplier, transport, engineering, distribution, or any other roles contributing to production and delivery as specified in the Contract) in order to increase the likelihood of achieving such participation.

g) A detailed statement of the reasons for the Bidder/Proposer's conclusion that each certified MBE and WBE contacted, were not qualified.

h) Efforts made by the Bidder/Proposer to expand its search for certified MBE and/or WBE firms beyond usual geographic boundaries.

i) General efforts made to assist MBE and WBE firms to overcome barriers in the marketplace.