2-IFB 26-1-23301 Vol.1 Intro and Bid Requirements.pdf

INVITATION FOR BIDS (IFB)

Issued October 17, 2025

MULTI-SITE VIDEO SURVEILLANCE, ACCESS CONTROL, AND

DOOR HARDWARE SYSTEMS

MCT Project No. 26-1-23301

1 TRANSIT WAY

PONTOON BEACH, IL 62040

Telephone (618) 797-4600

Madison County Transit IFB Volume 1 of 5 Multi-Site Video Surveillance, Access Control, and Door Hardware Systems No. 26-1-23301

TABLE OF CONTENTS

VOLUME 1 INTRODUCTION AND BID SUMMARY

INTRO 1 INVITATION

INTRO 2 DATE, TIME AND PLACE OF BID OPENING

INTRO 3 PROCUREMENT SCHEDULE

INTRO 4 OWNER’S PROCUREMENT REPRESENTATIVE

INTRO 5 PRE-BID MEETING AND PROJECT SITE TOUR

INTRO 6 BASIS OF CONTRACT AWARD

INTRO 7 TYPE AND TERM OF CONTRACT

INTRO 8 QUESTIONS AND APPROVED EQUAL / SUBSTITUTION REQUESTS

INTRO 9 AMENDMENTS TO THIS SOLICITATION

INTRO 10 BIDDER’S TERMS AND CONDITIONS

INTRO 11 EXECUTION OF CONTRACT

INTRO 12 PROJECT LABOR AGREEMENT

INTRO 13 RESPONSIVE AND RESPONSIBLE BIDDER

INTRO 14 WITHDRAWAL OF BID

INTRO 15 ORGANIZATIONAL CONFLICT OF INTEREST

INTRO 16 OWNER’S TAX STATUS

INTRO 17 LAW GOVERNING

INTRO 18 CONSIDERATION OF OFFERS

INTRO 19 FREEDOM OF INFORMATION (FOIA)

INTRO 20 REPRESENTATIONS AND CERTIFICATIONS

INTRO 21 SINGLE BID RESPONSE

INTRO 22 BID PROTEST PROCEDURES

INTRO 23 CONTRACTOR DBE SPECIAL PROVISION

INTRO 24 REQUEST FOR CLARIFICATION / INTERPRETATION / SUBSTITUTION FORM

VOLUME 2 BID SUBMITTAL INSTRUCTIONS

VOLUME 3 BID SUBMITTAL FORMS

VOLUME 4 SAMPLE CONTRACT

VOLUME 5 SCOPE OF WORK

A –SPECS / PROJECT MANUAL

B –PLANS / DRAWINGS

Prospective bidders are advised the only valid sources to receive this IFB and addenda is at mct-act.bonfirehub.com or provided directly from MCT. Other sources have not been authorized for distribution. Bidders are responsible for acknowledging all issued addenda with their bid.

https://mct-act.bonfirehub.com/

INTRODUCTION AND BID SUMMARY

INTRO 1 Invitation Firms are invited to submit a sealed bid to the Madison County Mass Transit District (hereinafter “Owner” or “MCT”) through its Bonfire portal at mct-act.bonfirehub.com until the bid deadline 2:00 PM CST on November 25, 2025, at which time electronic bids will be publicly opened and read aloud in the Owner’s administration building board room located at 1 Transit Way, Pontoon Beach, Illinois 62040. Bids will be time and date stamped by the Bonfire portal. Bids submitted in any manner other than through the Bonfire portal will not be accepted. A pre-bid meeting and site tour of Owner’s headquarters will be conducted on October 30, 2025, at 1:00 PM CDT. Bidders and subcontractors are encouraged to attend.

This federally funded project is located at various Owner properties in Madison County, Illinois, and will provide security improvements to upgrade/replace the access control and video surveillance systems at multiple sites, including all incidental and collateral work necessary to complete the work according to the plans and specifications.

Vendors must be registered in Bonfire to download the IFB documents; registration is free at mct-act.bonfirehub.com. The document takers (plan holders) list is available in the Bonfire portal. All issued IFB addenda and communications will be transmitted through the Bonfire portal.

Financial assistance for this project is being provided in part by the Federal Transit Administration (FTA) which is under the jurisdiction of the United States Department of Transportation (USDOT). The successful bidder will be required to comply with Buy America regulations, all applicable Equal Employment Opportunity laws and regulations and the prevailing wage rates pursuant to the Davis-Bacon Act.

It is the policy of the USDOT that Disadvantaged Business Enterprises (DBE) as defined in 49 CFR Part 26 shall have an equal opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. In this regard, the Owner and its contractors and subcontractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 26 to ensure that small businesses, including DBEs, have an equal opportunity to compete on and perform on this contract. The Owner has established a project goal of 0.17% of the awarded contract sum for DBE participation.

Substantial completion to be achieved within 180 calendar days of notice to proceed.

A bid guarantee in the amount of five percent (5%) of the bidder’s Total Bid Price must accompany a bid to ensure that the bidder will honor its bid upon acceptance.

Bids shall remain firm for a period of 90 calendar days from the final due date for bids.

INTRO 2 Date, Time and Place of Bid Opening Electronic bids will be publicly opened and read out loud. Bid deadline:

Date: November 25, 2025

Time: 2:00 PM CST

Place: Madison County Transit Administration Building Board Room 1 Transit Way Pontoon Beach, IL 62040

INTRO 3 Procurement Schedule Bidders are advised that the Owner will make a good faith effort to adhere to the following schedule for this procurement.

Date Milestone

October 17, 2025 IFB issued

October 30, 2025 Pre-bid meeting and site tour at 1:00 PM CDT

November 6, 2025 Deadline for questions and substitution requests at 1:00 PM CST

November 13, 2025 Anticipated issuance of addendum with answers to questions (if any)

November 25, 2025 Bid deadline at 2:00 PM CST

December 3, 2025 Anticipated notice of intent to award a contract

December 17, 2025 Anticipated contract award and notice to proceed

The Owner shall be under no obligation to comply with the procurement schedule shown above, provided that all prospective bidders or other interested parties known to the Owner shall be notified equally of changes made to this schedule by the Owner within a reasonable time after such changes are made. In no event shall any bidder have any redress to the Owner, be it financial or otherwise, in the event that the Owner alters this schedule in any way.

INTRO 4 Owner’s Procurement Representative Name: Penny Brown Title: Director of Grants and Procurement Email: mctbid@mct.org

INTRO 5 Pre-Bid Meeting and Project Site Tour A non-mandatory pre-bid meeting will be held at the Owner’s headquarters, on the date and time stated in Intro 3, Procurement Schedule, for the purpose of responding to questions and clarifying the contents of this IFB. Attendance is not required; however, bidders are encouraged to attend if they wish to ask questions concerning the scope of work or selection process. The Owner’s DBE Liaison Officer will be available to answer questions concerning DBE bidding and contract compliance.

In-person: MCT administration building board room, 1 Transit Way, Pontoon Beach, IL 62040.

Microsoft Teams:

Join the meeting now Meeting ID: 295 239 734 836 Passcode: 29jy6kF9

Dial in by phone +1 618-437-6446,,477716950# United States, Ina Phone conference ID: 477 716 950#

Site tour: A site tour of the Owner’s headquarters will take place immediately following the meeting.

Bidders are reminded that any changes to the IFB will be by written addenda only. Nothing stated at the pre-bid meeting will change or qualify in any way any of the provisions in the IFB and shall not be binding on the Owner unless provided in an addendum.

Additional questions can be submitted through the Bonfire portal until 1 PM CST on November 6, 2025.

mailto:mctbid@mct.org https://teams.microsoft.com/l/meetup-join/19%3ameeting_OTI5ZGRjZWMtMTM5Zi00MGYwLWJmMzItMDA2MTg4YjA0ZTY3%40thread.v2/0?context=%7b%22Tid%22%3a%22b1250327-abce-455d-9d34-61c6403afff7%22%2c%22Oid%22%3a%22f87a44c7-d646-4f90-830a-4978fc26645d%22%7d tel:+16184376446,,477716950

INTRO 6 Basis of Contract Award Contract award, if any, shall be made to the lowest responsive and responsible bidder as determined by the Total Bid Price. The Total Bid Price must include all costs to the bidder for materials, labor, equipment, supervision, delivery, unloading, handling of material and equipment on site, and any and all items of expense, fees, permits, taxes, bonds, duties, overhead and profit for the full and complete performance of the work as set forth in the IFB. Acceptance of any bid and contract award is subject to approval of the Owner’s Board of Trustees. Bids must be for the contract as a whole.

INTRO 7 Type and Term of Contract Firm fixed lump sum contract. Substantial completion shall be achieved within 180 calendar days of notice-to-proceed.

INTRO 8 Questions and Approved Equal / Substitution Requests Questions and substitution requests are due in accordance with the date and time listed in INTRO 3, Procurement Schedule. If there are further questions related to critical and/or contradictory items that come up after this time period, these questions should be submitted to the Owner’s procurement representative without delay so that the Owner can address any issues found prior to the bid deadline. Questions and other communications must be submitted through the Bonfire portal at mct-act.bonfirehub.com.

The specifications contained in this IFB indicate the Owner’s specific preferences. Descriptions of products in the specifications are not intended to unduly restrict competition. Wherever particular brands, manufacturers or product names are used, they are included solely for the purpose of establishing a description of the minimum quality of the item. Such references should not be construed as advocating or prescribing the use of any particular brand, item or product. Minor variances to the specifications will be considered by the Owner and will be evaluated based on the respective quality and condition of such variance and the degree to which it may affect performance in the Owner’s application. In the Owner’s sole judgment, determinations will be made based on the best interest of the Owner; such decisions will be considered final. The Owner approved variance will be made known to all bidders via addenda. Requests submitted with a bid will be rejected.

Any bidder who desires that the Owner consider any deviation to the technical specifications, brand, manufacturer or product descriptions contained in this IFB must submit a request using the Clarification / Interpretation / Substitution Form in INTRO 24. Bidders may submit multiple requests, but are instructed to include only one request per form. All pertinent information concerning the brand, manufacturer or product, together with appropriate justification for its use, must be included with the bidder request. Failure to request a deviation for a particular stated Owner preference shall be construed that the bidder intends to comply with the Owner’s desire in every respect.

Substitution requests must come from Prime bidders/contractors; substitution requests from subassemblers/subcontractors/suppliers will not be reviewed.

INTRO 9 Amendments to this Solicitation Any or all changes, additions, or clarifications in connection with this IFB shall be issued by the Owner in the form of written addenda posted at mct-act.bonfirehub.com. Bidder must acknowledge all addenda issued as part of their bid submittal on the Solicitation and Offer Form (IFB Volume 3, Block 18). Oral comments, responses and/or representations shall not be binding upon the Owner.

INTRO 10 Bidder’s Terms and Conditions Bidder imposed terms and conditions submitted with their bid which conflict with this solicitation are considered counter offers and, as such, may cause the bid to be rejected. Terms or conditions that a bidder would like to have considered by the Owner should be submitted according to the requirements of INTRO 8, Questions and Approved Equal / Substitution Requests.

INTRO 11 Execution of Contract The acceptance of a bid for a pending award, if made, shall be evidenced in writing by a Notice of Intent to Award delivered to the successful bidder. Within two weeks after the Notice of intent to Award is issued, the successful bidder shall deliver to the Owner three (3) signed contracts, a copy of the fully executed project labor agreement (PLA), proof of insurance, a performance bond, and a payment bond. Failure to fulfill this requirement within the specified time is cause for non-award of the contract and forfeiture of the bid guaranty. After receipt of acceptable documentation from the successful bidder and expiration of the bid protest period, then a notice of award, fully executed contract, and Notice to Proceed can be issued by the Owner.

INTRO 12 Project Labor Agreement The successful bidder shall execute a Project Labor Agreement (PLA) for this project and provide a copy to the Owner. An example is provided at mct-act.bonfirehub.com.

INTRO 13 Responsive and Responsible Bidder All bids received in accordance with the requirements stated in this solicitation shall be screened initially in order to confirm the responsiveness of the written bid, including minimum qualifications, if any.

A responsive bid complies with all material aspects of the solicitation, both as to the method and timeliness of submission, and as to the substance of any resulting contract. The Owner shall ensure that all bids received prior to the deadline stated in the solicitation contain all required forms, signatures, attachments, and other information as specified herein. Bids that do not comply with all material aspects of the solicitation will be rejected as non-responsive.

A responsible bidder is an individual, firm or team that exhibits adequate organization, financial condition, personnel qualifications, facilities, record of past performance, and other characteristics necessary to carry out work related to this solicitation with a high degree of quality and timeliness.

INTRO 14 Withdrawal of Bid The Bonfire portal permits an electronically submitted bid to be withdrawn prior to the final bid deadline. After the bid deadline, no bid may be withdrawn for the period of time stated in Solicitation and Offer Form.

Negligence on the part of a bidder in preparing its bid shall not confer a right of withdrawal after the bid deadline.

INTRO 15 Organizational Conflict of Interest Unless specifically exempted from the conditions of this provision by the Owner, any Owner contractor, subcontractor, subsidiary, or other entity which is legally related and which develops or drafts specifications, requirements, statements of work, or solicitations, is excluded from competing for the directly ensuing procurement.

INTRO 16 Owner’s Tax Status The Owner is a governmental entity exempt from the payment of applicable Retailer’s Occupation Tax, Service Occupation Tax, Use Tax, Service Use Tax; the Owner’s Illinois governmental exemption certificate number is E99897751 expiring on 03/01/2030.

INTRO 17 Law Governing Bidder shall recognize that all applicable Federal and State laws, including, but not limited to the Illinois Prevailing Wage Act, certifications, municipal ordinances, and rules and regulations of all authorities having jurisdiction over the services to be provided shall apply to the Contract throughout, and they will be deemed to be included in the Contract the same as though herein written out in full. All matters of law pertaining to this Contract shall be governed by, and construed according to, the laws of the State of Illinois, excluding, however, choice of laws principles.

INTRO 18 Consideration of Offers The Owner shall not be obligated to award a contract solely on the basis of any response made to this IFB, nor does the Owner intend to, nor will it be obligated to pay for the information solicited or obtained. the Owner maintains the right, but shall be under no obligation, to award a contract to the responsive and responsible bidder whose offer is deemed by the Owner to be most advantageous. The Owner reserves the right:

a) To reject any offer and to remove from mailing lists for future procurements the names of any firm or team engaging in collusive or other unlawful practices.

b) To award contract(s) without discussion based upon the initial offers.

c) To waive informalities and minor irregularities in offers received if it believes there is a sound documented business reason for doing so, and to negotiate matters of contractor performance and other matters prior to awarding a contract.

d) To reject any offer if, in the Owner’s sole discretion, the offer is incomplete, the offer is not responsive to the requirements of this solicitation, the bidder does not meet the qualification requirements set forth herein, if any, or it is otherwise determined to be in the best interest of the Owner to reject the offer.

e) To supplement, amend, substitute, or otherwise modify the terms of this solicitation at any time prior to the execution of a final contract.

f) To accept or reject any or all of the items in any offer and award a contract for the whole or only a part of any offer if the Owner determines, in its sole discretion, that it is in the Owner’s best interest to do so.

g) To reject the offer of any bidder that, in the Owner’s sole judgment, has been delinquent or unfaithful in the performance of any contract with the Owner, is financially or technically incapable or is otherwise deemed to not be a responsible bidder/proposer.

h) To waive any informality, defect, non-responsiveness and/or deviation from this solicitation that is not, in the Owner’s sole judgment, material to the offer.

i) To permit or reject, at the Owner’s sole discretion, amendments (including information inadvertently omitted), modifications, alterations, and/or corrections to offers by one or more of the bidders or proposers following bid or proposal submission.

j) To request additional or clarifying information.

k) To investigate the qualifications of any and all individuals and firms under consideration, to confirm any part of the information furnished in an offer, and to require further evidence of managerial, financial, or professional capabilities which are considered necessary for the successful performance of work described in this solicitation.

l) To cancel the procurement at any time during the process if it appears that the offers received are not suitable for any reason whatsoever.

m) To reject offers that are materially unbalanced, i.e., that contain high unit prices for some items and/or low unit prices for other items.

n) To evaluate offers based on unit prices which will govern over extended prices.

o) To award this contract to a single or multiple service providers deemed to best meet the Owner’s specifications and needs.

p) To award tie bids by drawing lots.

INTRO 19 Freedom of Information (FOIA) Access to the Owner’s government records is governed by the Illinois Freedom of Information Act (5 ILCS 140/1). To the extent allowed by law, all bids and supporting documents shall become public information held in custody of the Owner after the bid deadline. The bidder shall be responsible for ensuring that confidential commercial or financial information, trade secrets or proprietary information — with such determinations to be made by the Owner in its sole discretion — bears appropriate notices relating to its confidential character.

INTRO 20 Representations and Certifications By submitting a bid, the bidder certifies the following:

a) It has notified a surety company that they are submitting a bid for work to be performed on the project.

b) It has no direct or indirect pecuniary or proprietary interest, and that it shall not acquire any interest which conflicts in any manner or degree with the work required to be performed and/or provided under this contract, and that it shall not employ any person or agent having any such interest. In the event that the successful bidder, its agents, employees or representatives hereafter acquire such a conflict of interest, the successful bidder shall immediately disclose such interest to the Owner and immediately take action to eliminate the conflict or to withdraw from this contract, as the Owner may require.

c) No person or selling agency except bona fide employees or designated agents or representatives of bidder or proposer has been employed or retained to solicit or secure this contract with an understanding that a commission, percentage, brokerage, or contingent fee would be paid; and no gratuities in the form of entertainment, gifts or otherwise were offered or given by bidder or any of its agents, employees or representatives, to any official, member or employee of the Owner or other governmental agency with a view toward securing this contract or securing favorable treatment with respect to the awarding or amending, or the making of any determination with respect to the performance required under, a contract with the Owner.

d) The number and amount of other contracts and awards pending which the bidder is or will be obligated to perform, now and during the course of this project, will not interfere with or hinder the timely prosecution of work.

e) The bid price has been arrived at independently, without consultation, communications, or agreement for the purpose of restricting competition.

f) It has not offered any money or other valuable thing to any person to induce them not to bid or propose on this project, or as recompense for his not having bid or propose on this project.

g) It will pay, and require each subcontractor to pay, laborers and mechanics employed directly upon the site of the work no less than the local prevailing wages and fringe benefits paid on projects of similar character.

h) The bidder is properly organized and qualified to do business in the State of Illinois and has any and all approvals, registration, and licenses to do business in the State and with the Owner and that the person executing the bid/proposal on behalf of the bidder is the duly authorized representative of the bidder/proposer and has the requisite authority to do so.

i) It acknowledges receipt of the IFB to include the project manual and drawings directly from the Owner; other sources are invalid.

j) It has examined the site and bidding documents, and shall be responsible for performing all work specifically required by all parts of the bidding and contract documents, including drawings and specifications for the entire project even though such work may be included as related requirements specified in other Divisions or Sections.

k) It will accomplish the work in accordance with the contract.

l) It has read and understands the terms and conditions set forth in this solicitation and agrees to them with no exceptions.

m) It will comply with the requirements of 2 C.F.R. part 180, subpart C, as supplemented by 2 C.F.R.

part 1200, while this offer is valid and throughout the period of any contract that may arise from this offer.

INTRO 21 Single Bid Response In the event that only one responsive and responsible bid is received in response to this IFB, the Owner may require assistance from the single bidder in the preparation of a bid price analysis, in order to determine whether the single bid received by the Owner is fair and reasonable.

INTRO 22 Protest Procedures Any protest initiated by a protesting party concerning procurement actions will be administered in accordance with the agency’s Protest Procedures, which are available at www.mct.org/procurement.

[remainder of page intentionally left blank] http://www.mct.org/procurement

INTRO 23 Contractor DBE Special Provision This Contractor DBE Special Provision will be used by the Owner to satisfy the requirements of the Federal Transit Administration (FTA) in regards to ensure nondiscrimination in the award and administration of this contract.

FEDERAL OBLIGATION. This project includes federal financial assistance. The Owner is required to comply with the federal regulatory provisions of 49 CFR Part 26 as they apply to this contract concerning the utilization of disadvantaged business enterprises. For the purposes of this provision, a disadvantaged business enterprise (DBE) means a business certified by the Illinois Department of Transportation in accordance with the requirements of 49 CFR Part 26 and listed in the Illinois Unified Certification Program (IL UCP) DBE Directory.

CONTRACTOR ASSURANCE. The Contractor makes the following assurance and agrees to include the assurance in each subcontract that the contractor signs with a subcontractor:

The Contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT assisted contacts. Failure by the Contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the Madison County Mass Transit District deems appropriate, which may include, but is not limited to: Withholding monthly progress payments; Assessing sanctions; Liquidated damages; and/or Disqualifying the contractor from future bidding as non-responsible.

Contract Goal To Be Achieved By The Contractor. This contract includes a specific DBE utilization goal established by the Owner. The goal has been included because the Owner has determined that the work of this contract has either contracting or subcontracting opportunities that may be suitable for performance by DBE companies. This determination is based on an assessment of the type of work, the location of the work, and the availability of DBE companies to do a part of the work. The assessment indicates that, in the absence of unlawful discrimination, and in an arena of fair and open competition, DBE companies can be expected to perform the stated percentage of the work. This percentage is set as the DBE participation goal for this contract. Consequently, in addition to the other award criteria established for this contract, the Owner will only award this contract to a bidder who makes a good faith effort to meet this goal of DBE participation in the performance of the work. A bidder makes a good faith effort for award consideration if either of the following is done in accordance with the procedures set forth in this provision:

(a) The bidder documents that enough DBE participation has been obtained to meet the goal; or

(b) The bidder documents that a good faith effort has been made to meet the goal, even though the effort did not succeed in obtaining enough DBE participation to meet the goal.

DBE LOCATOR REFERENCES. Bidders may consult the IL UCP DBE Directory as a reference source for DBE-Certified companies at https://webapps.dot.illinois.gov/UCP/ExternalSearch. The project’s work will be performed in Illinois District 8. Information concerning DBE companies willing to quote work for particular contracts may also be obtained by contacting IDOT’s Bureau of Small Business Enterprises at telephone number (217)782-5490.

BIDDING PROCEDURES. Compliance with this provision is a material bidding requirement. Award of a contract is conditioned on the bidder meeting the Owner’s DBE goal or submittal of good faith efforts in accordance with the requirements of 49 CFR Part 26.

(a) As a condition of responsiveness, the bidder shall submit a DBE Utilization Plan and DBE Participation Statements with the bid on the forms provided in the Bid Package Submittal Forms section. This is a contractually binding commitment.

(b) The DBE Utilization Plan shall indicate that the bidder either has obtained sufficient DBE participation commitments to meet the contract goal or has not obtained enough DBE participation commitments in spite of a good faith effort to meet the goal.

https://webapps.dot.illinois.gov/UCP/ExternalSearch

(c) The bidder shall submit a DBE Participation Statement for each DBE proposed for the performance of work to achieve the contract goal. All elements of information indicated on the said form shall be provided, including but not limited to the following:

(1) The names and addresses of DBE firms that will participate in the contract;

(2) A description, of the work each DBE will perform. To count toward meeting a goal, each DBE firm must be certified in a NAICS code applicable to the kind of work the firm would perform on the contract;

(3) The dollar amount of the participation of each DBE firm participating. The dollar amount of participation for identified work shall specifically state the quantity, unit price, and total subcontract price for the work to be completed by the DBE. If partial pay items are to be performed by the DBE, indicate the portion of each item, a unit price where appropriate and the subcontract price amount;

(4) DBE Participation Statements, signed by each participating DBE firm documenting their commitment to participate in the project;

(5) If the bidder is a joint venture comprised of DBE companies and non-DBE companies, the plan must also include a clear identification of the portion of the work to be performed by the DBE partner(s); and,

(6) If the contract goal is not met, evidence of good faith efforts.

GOOD FAITH EFFORT PROCEDURES. A contract will not be awarded until the DBE Utilization Plan submitted by the apparent successful bidder is approved by the Owner and all information submitted by the bidder is complete, accurate and adequately documents the good faith efforts of the bidder before the Owner will commit to the performance of the contract by the bidder. The DBE Utilization Plan will be approved by the Owner if it commits sufficient commercially useful DBE work performance to meet the contract goal or the bidder submits sufficient documentation of a good faith effort to meet the contract goal pursuant to 49 CFR Part 26. The DBE Utilization Plan will not be approved by the Owner if it does not commit sufficient DBE participation to meet the contract goal unless the apparent successful bidder documented in the DBE Utilization Plan that it made a good faith effort to meet the goal. This means that the bidder must show that all necessary and reasonable steps were taken to achieve the contract goal.

Necessary and reasonable steps are those which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not successful. The Owner will consider the quality, quantity, and intensity of the kinds of efforts that the bidder has made. Mere pro forma efforts, in other words, efforts done as a matter of form, are not good faith efforts; rather, the bidder is expected to have taken genuine efforts that would be reasonably expected of a bidder actively and aggressively trying to obtain DBE participation sufficient to meet the contract goal.

(a) The following is a list of the types of action that the Owner will consider as part of the evaluation of the bidder’s good faith efforts to obtain participation. These listed factors are not intended to be a mandatory checklist and are not intended to be exhaustive. Other factors or efforts brought to the attention of the Owner may be relevant in appropriate cases and will be considered by the Owner.

(1) Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising and/or written notices) the interest of all certified DBE companies that have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the DBE companies to respond to the solicitation. The bidder must determine with certainty if the DBE companies are interested by taking appropriate steps to follow up initial solicitations.

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title49/49cfr26_main_02.tpl

(2) Selecting portions of the work to be performed by DBE companies in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the prime Contractor might otherwise prefer to perform these work items with its own forces.

(3) Providing interested DBE companies with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

(4) a. Negotiating in good faith with interested DBE companies. It is the bidder’s responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBE companies that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBE companies to perform the work.

b. A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm’s price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBE companies is not in itself sufficient reason for a bidder’s failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a bidder to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Bidders are not, however, required to accept higher quotes from DBE companies if the price difference is excessive or unreasonable. Contractor must submit copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract.

(5) Not rejecting DBE companies as being unqualified without sound reasons based on a thorough investigation of their capabilities. The bidder’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for the rejection or non-solicitation of bids in the bidder’s efforts to meet the project goal.

(6) Making efforts to assist interested DBE companies in obtaining bonding, lines of credit, or insurance as required by the contract or Contractor.

(7) Making efforts to assist interested DBE companies in obtaining necessary equipment, supplies, materials, or related assistance or services.

(8) Effectively using the services of available minority/women community organizations;

minority/women contractors’ groups; local, state, and federal minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of DBE companies.

(b) If the Owner determines that the apparent successful bidder has made a good faith effort to secure the work commitment of DBE companies to meet the contract goal, the Owner will award the contract provided that it is otherwise eligible for award. If the Owner determines that the bidder has failed to meet the requirements of this provision and that a good faith effort has not been made, the Owner will notify the bidder they are not responsible. The notification shall include a statement of reasons why good faith efforts have not been found.

CALCULATING DBE PARTICIPATION. The DBE Utilization Plan values represent work anticipated to be performed and paid for upon satisfactory completion. The Owner is only able to count toward the achievement of the overall goal and the contract goal the value of payments made for the work actually performed by DBE companies. In addition, a DBE must perform a commercially useful function on the contract to be counted. A commercially useful function is generally performed when the DBE is responsible for the work and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. The Owner and Contractor are governed by the provisions of 49 CFR Part 26.55 on questions of commercially useful functions as it affects the work. Specific counting guidelines are provided in 49 CFR Part 26.55, eCFR :: 49 CFR Part 26 -- Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programshttp://www.ecfr.gov/cgi-bin/text-idx?SID=2f29885f0225988be59d5ac612baa2b4&mc=true&node=pt49.1.26&rgn=div5#se49.1.26_155 the provisions of which govern over the summary contained herein.

(a) DBE as the Contractor: 100 percent goal credit for that portion of the work performed by the DBE’s own forces, including the cost of materials and supplies. Work that a DBE subcontracts to a non-DBE does not count toward the DBE goals.

(b) DBE as a joint venture Contractor: 100 percent goal credit for that portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work performed by the DBE’s own forces.

(c) DBE as a subcontractor: 100 percent goal credit for the work of the subcontract performed by the DBE’s own forces, including the cost of materials and supplies, excluding the purchase of materials and supplies or the lease of equipment by the DBE subcontractor from the prime Contractor or its affiliates. Work that a DBE subcontractor in turn subcontracts to a non-DBE does not count toward the DBE goal.

(d) DBE as trucker: 100 percent goal credit for trucking participation provided the DBE is responsible for the management and supervision of the entire trucking operation for which it is responsible. At least one truck owned, operated, licensed, and insured by the DBE must be used on the contact. Credit will be given for the following:

(1) The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract.

(2) The DBE may also lease trucks from a non-DBE firm, including from an owner-operator.

The DBE that leases trucks equipped with drivers from a non-DBE is entitled to credit for the total value of transportation services provided by non-DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided by DBE-owned trucks or leased trucks with DBE employee drivers. Additional participation by non- DBE owned trucks equipped with drivers receives credit only for the fee or commission it receives as a result of the lease arrangement.

(3) The DBE may lease trucks without drivers from a non-DBE truck leasing company. If the

DBE leases trucks from a non-DBE truck leasing company and uses its own employees as drivers, it is entitled to credit for the total value of these hauling services.

(e) DBE as a manufacturer:

(1) 100 percent goal credit is to be assigned for a DBE manufacturer defined as a firm that owns (or leases) and operates a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

https://www.ecfr.gov/current/title-49/subtitle-A/part-26#26.55 https://www.ecfr.gov/current/title-49/subtitle-A/part-26#26.55 http://www.ecfr.gov/cgi-bin/text-idx?SID=2f29885f0225988be59d5ac612baa2b4&mc=true&node=pt49.1.26&rgn=div5#se49.1.26_155 http://www.ecfr.gov/cgi-bin/text-idx?SID=2f29885f0225988be59d5ac612baa2b4&mc=true&node=pt49.1.26&rgn=div5#se49.1.26_155

(f) DBE as a regular dealer:

(1) 60 percent goal credit for the cost of the materials or supplies purchased from a DBE regular dealer.

(2) 100 percent goal credit for the cost of materials or supplies obtained from a DBE manufacturer.

(3) 100 percent credit for the value of reasonable fees and commissions for the procurement of materials and supplies if not a regular dealer or manufacturer.

(g) DBE as a distributor:

(1) Distributors are permitted to drop-ship from manufacturers if the firm has a distributorship agreement or assumes all responsibility for the materials after point of origin, allowing 40 percent credit for cost of materials.

DBE CONTRACT COMPLIANCE. See IFB Volume 4 Sample Contract, Special Conditions, item SC 1, DBE Contract Compliance.

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INTRO 24 Request for Clarification / Interpretation / Substitution Form (pre-bid)

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Interpretation of Contract Documents Information not shown on Contract Documents Conflict in Contract Documents Coordination Problems Substitution

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