250095_FTA_DBE_Provisions.pdf

FTA DBE JOC Provisions February 2025

Business Services Department Business Enterprise & Compliance Program (BECP)

Disadvantaged Business Enterprise (DBE) FTA DBE ON-CALL Project Requirements

ON-CALL No. ________________ Project Name: _____________________________________________

As a recipient of Federal Transit Administration (FTA) funds; the City of Tucson and all Contractors must adhere to DBE requirements issued by the USDOT 49 CFR Part 26.

Pursuant to the City of Tucson’s FTA 2024-2026 DBE Plan, the City is required to meet a 5% aspirational goal through race and gender - neutral DBE participation. Despite the lack of a race and gender -conscious DBE participation goal, the City is required to review, monitor and report DBE participation on all FTA funded construction projects during this time period.

For this project, the City of Tucson has not established a race or gender - conscious DBE participation goal.

The City extends to each contractor and subcontractor an equal economic opportunity to compete for business. The City encourages each Bidder to voluntarily solicit bids from and make strong efforts to subcontract with certified DBEs to perform part of the project work in a Commercially Useful Function that the Bidder might otherwise perform with its own forces or a non-DBE subcontractor.

Each Bidder should conduct the following DBE outreach efforts including, but not limited to, (1) identify DBE participation opportunities; (2) actively solicit and evaluate proposals from DBE firm(s); (3) maintain documentation of the selection decisions regarding the DBE firms, including reasons for rejection of DBE proposal(s). If a Bidder fails to conduct these outreach efforts or fails to submit the City’s Subcontractor List and DBE Commitment form and the Bidders List, the City may determine the Bidder non-responsive. A determination of non-responsiveness disqualifies the Bidder from further consideration of contract/project award. The City may request copies of the outreach efforts and selection decision documentation.

BECP has implemented an online Contract Compliance System, https://tucsonaz.diversitycompliance.com, to be used to track and monitor all construction projects. All contractors and subcontractor are required to access the system for project reporting purposes, as outlined in the enclosed DBE JOC Checklist.

Any questions regarding these requirements, please contact Lloyd Windle at 837-4105 or via email to ContractorCompliance@tucsonaz.gov.

250095 On-Call Data Communication Design Services

Business Enterprise and Compliance Program (BECP) Project Submission Check List

FTA DBE (ON-CALL)

In order to be in compliance with the DBE regulations, the Offeror must comply with the following:

WITH YOUR SEALED BID, submit:

1. City of Tucson Business Enterprise and Compliance Program (BECP) Subcontractors List and Statement of Proposed DBE Plan. Pursuant to the Tucson Procurement Code Section 28-48(2), the Offeror must include all DBE subcontractors and all subcontractors with a subcontract value of $5,000 or more.

2. Each bidder/proposer MUST submit a Bidders List for FTA Funded Projects form for the bidder and each proposed subcontractor listed on the Subcontractors List and Statement of Proposed DBE Plan.

PRIOR TO CONTRACT AWARD, submit to BECP at ContractorCompliance@tucsonaz.gov

1. Final Subcontractors List (w/ Federal Tax ID) for all subcontractors and all tier subcontractors. This list should include ALL subcontractors that will perform work during the duration of the project.

PRIOR TO NOTICE TO PROCEED (NTP),

1. Complete the Subcontractor Approval Request form (SARF) for each subcontractor. Upload the SARF, the subcontract for each subcontractor (including any tier subcontractors) and all required attachments into the City’s Contractor Compliance system at https://tucsonaz.diversitycompliance.com for review and approval by the City’s BECP.

It is the prime contractor’s responsibility to provide all subcontractors the appropriate provisions to ensure the subcontractor abide by the contract requirements. Davis Bacon and Related Acts also apply to this project including submission of certified weekly payrolls and related documents in accordance with the contract’s prevailing wage decision. Additional reporting requirements may include monthly and annual Equal Employment Opportunity compliance reports, as indicated in the contract.

DURING THE PERFORMANCE OF THE CONTRACT, BUT PRIOR TO FINAL PAYMENT

1. Report Subcontractor Payments: The prime contractor is required to report, by the 15th of each month, all payments made to the subcontractors in the City’s Contract Compliance system (https://tucsonaz.diversitycompliance.com). In addition, all subcontractors must verify, by the end of each month, that they were paid the amount indicated and if they were paid promptly.

2. Subcontractor Modifications: The prime contractor must complete and submit the City’s Subcontractor Modification Form for any modifications to the subcontractor’s list. The form must be submitted to BECP at ContratorCompliance@tucsonaz.gov for review and approval. All subcontractor modifications are at the sole description of the Procurement Director. Approval must be received prior to any subcontractor changes being made.

3. Pay Estimates: BECP will review all pay estimates. If there are any issues regarding the Davis Bacon & Related Acts or the DBE program requirements, BECP may delay payment processing.

PRIOR TO FINAL PAYMENT

1. The prime contractor is required to complete the Prime Contractor/Consultant Evaluation of

Subcontractor/Subconsultant. This form must be completed when a subcontractor has completed their work on the project. The form must be emailed to ContractorCompliance@tucsonaz.gov.

DBE PROGRAM PROVISIONS

For FTA Funded Projects

ON-CALL 250095: Attachment B

SECTION I. DISADVANTAGED BUSINESS ENTERPRISE REQUIREMENTS

The City of Tucson has received federal financial assistance and has established a DBE Diversity Program for Contracts in accordance with 49 CFR 26, which is incorporated herein by this reference.

The DBE Diversity Program applies to all City and subrecipient contracts that are funded, in whole or in part, by federal financial assistance. In the event of any conflicts or inconsistencies between 49 CFR 26 and this DBE Diversity Program, 49 CFR 26 shall prevail.

The City of Tucson’s DBE Program is managed and administered by the City’s Business Services Department, Procurement Operations Division, Business Enterprise and Compliance Program (BECP).

Through a coordinated effort among several city departments and partner agencies, the DBE Program provides certification and opportunities in construction, purchasing, management and technical assistance, educational services, and networking.

As a recipient of Federal Transit Administration (FTA) funds; the City of Tucson and all Contractors must adhere to DBE requirements issued by the USDOT 49 CFR Part 26.

Pursuant to the City of Tucson’s FTA 2024-2026 DBE Plan, the City is required to meet a 5% aspirational goal through race and gender - conscious DBE participation. Despite the lack of a race and gender -conscious DBE participation goal, the City is required to review, monitor and report DBE participation on all FTA funded construction projects during this time period.

For this project, the City of Tucson has not established a race or gender - conscious DBE participation goal. The City extends to each contractor and subcontractor an equal economic opportunity to compete for business. The City encourages each Bidder to voluntarily solicit bids from and make strong efforts to subcontract with certified DBEs to perform part of the project work in a Commercially Useful Function that the Bidder might otherwise perform with its own forces or a non-DBE subcontractor.

Each Bidder should conduct the following DBE outreach efforts including, but not limited to, (1) identify DBE participation opportunities; (2) actively solicit and evaluate proposals from DBE firm(s); (3) maintain documentation of the selection decisions regarding the DBE firms, including reasons for rejection of DBE proposal(s). If a Bidder fails to conduct these outreach efforts or fails to submit the City’s Subcontractor List and DBE Commitment form and the Bidders List, the City may determine the Bidder non-responsive. A determination of non-responsiveness disqualifies the Bidder from further consideration of contract/project award. The City may request copies of the outreach efforts and selection decision documentation.

Each Bidder must complete and submit the enclosed Subcontractors List and DBE Commitment Form with their bid. This form must include:

(1) All proposed subcontractors with a contract value at or over $5,000.

(2) All proposed DBE subcontractors regardless of subcontract value.

SECTION II. DEFINITIONS

Agency means the City of Tucson for purposes of this solicitation.

Arizona Unified Certification Program (AZUCP) means a consortium of government agencies organized to provide reciprocal DBE certification within Arizona pursuant to 49 Code of Federal

Regulations (CFR) Part 26. The official DBE database containing eligible DBE firms certified by AZUCP can be accessed at: https://utracs.azdot.gov. The certification system is called the Arizona Unified Transportation Registration and Certification System (AZ UTRACS).

Business to Government Now (B2G) means the web-based certification and compliance system used to track and monitor DBE and Small Business Participation. The B2G system can be accessed at:

https://tucsonaz.diversitycompliance.com.

Commercially Useful Function - The DBE is responsible for executing the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved.

If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, it is presumed that the DBE firm is not performing a commercially useful function and no DBE credit may be awarded toward the DBE goal.

Contract - A legally binding relationship obligating a seller to furnish supplies or services (including, but not limited to, construction and professional services) and the buyer to pay for them.

Contractor - One who participates, through a contract or subcontract (at any tier), in a federally funded program. For the purposes of DBE Plan evaluation, any offeror in negotiations with the City of Tucson pursuant to a Request for Qualifications is also subject to the Contractor DBE program compliance requirements.

DBE Business Enterprise Compliance Specialist means an Agency employee responsible for oversight and compliance of the DBE Contract provisions.

Disadvantaged Business Enterprise or DBE - A for-profit small business concern that has successfully completed the DBE certification process and has been granted DBE status by an AZUCP member pursuant to the criteria contained in 49 CFR Part 26.

Goods and Services Providers are firms that provide goods and services that represent a Commercially Useful Function directly to Transit as a DBE or Small Business.

Joint Venture - An association of a DBE firm and one or more other firms to carry out a single, for-profit business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest.

Manufacturer means a firm that owns; operates or maintains a factory or establishment that produces on the premises the components, materials, or supplies obtained by the recipient, successful bidder, or Transit Vehicle Manufacturer.

Outreach Efforts means the diligent and good faith efforts demonstrated by a Bidder to solicit participation from interested and qualified DBEs and other Small Businesses. Bidder shall identify and document potential business opportunities for DBEs and other Small Businesses, describe what efforts were undertaken to solicit DBE and Small Business participation, disclose results of negotiations with Small Businesses, and communicate and record Bidder’s selection decisions relating to DBE and Small Business participants.

Primary Industry Classification - The four-digit Standard Industrial Classification (SIC) code designation which best describes the primary business of a firm. The SIC code designations are described in the Standard Industry Classification Manual. As the North American Industrial Classification System (NAICS) replaces the SIC system, references to SIC codes and the SIC Manual are deemed to refer to the NAICS manual and applicable codes. The SIC Manual and the NAICS Manual are available through the National Technical Information Service (NTIS) of the U.S. Department of Commerce (Springfield, VA 22261). NTIS also makes materials available through its web site (https://www.census.gov/naics/)

Program - Any undertaking on the City of Tucson’s part to use federal financial assistance, authorized by the laws to which this part applies.

Race and Gender-Conscious - A measure or program that is focused specifically on assisting only DBEs.

Race and Gender-Neutral - A measure or program that is, or can be, used to assist all small businesses.

Regular dealer/broker is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or released to the public in the usual course of business.

Recipient - Any entity, public or private, to which federal financial assistance is extended, whether directly or through another recipient, or who has applied for such assistance.

Set-Aside - A contracting practice restricting eligibility for the competitive award of a contract solely to DBE firms.

Small Business Concern - With respect to firms seeking to participate as a DBE, a small business concern as defined pursuant to section 3 of the Small Business Act and Small Business Administration regulations implementing it (13 CFR 121) that also does not exceed the cap on average annual gross receipts specified in §26.65(b).

Socially and Economically Disadvantaged Individual - Any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who is --

(a) Any individual who the City of Tucson finds to be a socially and economically disadvantaged individual on a case-by-case basis.

(b) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged:

(i) “Black Americans,” which includes persons having origins in any of the Black racial groups of Africa;

(ii) “Hispanic Americans,” which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race;

(iii) “Native Americans,” which includes persons who are American Indians, Eskimos, Aleuts, or Native

Hawaiians;

(iv) “Asian-Pacific Americans,” which includes persons whose origins are from Japan, China, Taiwan, Lorea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru, Federated States of Micronesia, or Hong Kong;

(v) “Subcontinent Asian Americans,” which includes persons who origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal, or Sri Lanka;

(vi) Women;

(vii) Any additional groups whose members are designated as socially and economically disadvantaged by the SBA, at such time as the SBA designation becomes effective.

Subcontract means a contract at any tier below the prime contract, including a purchase order.

Subcontractor means an individual, partnership, JV, corporation, or firm that holds a contract at any tier below the prime contract, including a vendor under a purchase order.

Supplier means a firm that engages in, as its principal business, the purchase and sale of material or supplies required for the performance of a contract. The firm must own, operate, and maintain a store, warehouse or other establishment where the supplies are bought, kept in stock, and regularly sold to the public in the usual course of business.

SECTION III GENERAL REQUIREMENTS

A. Applicable Federal Regulations

This Contract is subject to DBE requirements issued by USDOT in 49 CFR Part 26. Despite the lack of a race- and gender-conscious DBE participation goal for this Contract, the Agency must track and report DBE participation that occurs as a result of any procurement, JV, goods/services, or other arrangement involving a DBE. For this reason, the Successful Bidder shall provide all relevant information to enable the required reporting. All contractors, subcontractors and those certified as DBEs must comply with all requirements stated herein.

B. Civil Rights Assurances.

As a recipient of USDOT funding, the Agency has agreed to abide by the assurances found in 49 CFR Parts 21 and 26. Each Contract signed by the Agency and the Successful Bidder, and each Subcontract signed by the Successful Bidder and a Subcontractor, must include the following assurance verbatim:

“The contractor, subrecipient, or subcontractor shall not discriminate on the basis of race, color, national origin, sex, or creed in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Parts 21 and 26 in the award and administration of USDOT-assisted contracts. 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 City of Phoenix deems appropriate.”

Note: For purposes of the required Contract and Subcontract language above, Successful Bidder is the “contractor” awarded the contract.

C. Contractor Performance Evaluation

At the conclusion of every City of Tucson construction project, the prime contractor is required to complete the Prime Contractor Evaluation of Subcontractor form. The Prime Contractor/Consultant must identify all subcontractors utilized on a project and rate the performance of each subcontractor from 1 – 5, based on industry standards. A score of 5 or 4 is considered above average. A score of 3 is considered average. A score of 1 or 2 is considered as poor performance. A rating of 1 or 2 of a subcontractor will require the prime contractor to complete a Substandard Performance Report documenting the cause for the substandard performance rating. The City of Tucson Project Manager must concur with all poor performance ratings.

D. DBE Certification

Only firms (1) certified by the Agency or another AZUCP member, and (2) contracted to perform a Commercially Useful Function on scopes of work for which they are certified, may be considered to determine DBE participation resulting from RGN measures on this Contract. This DBE determination affects the Agency’s tracking and reporting obligations to USDOT.

E. DBE Participation

For this solicitation, the Agency has not established a race- or gender-conscious DBE participation goal. The Agency extends to each individual, firm, vendor, supplier, contractor, and subcontractor an equal economic opportunity to compete for business. The Agency uses race-and gender-neutral measures to facilitate participation by DBEs and Small Businesses. The Agency encourages each Bidder to voluntarily subcontract with DBEs and Small Businesses to perform part of the work—a Commercially Useful Function—that Bidder might otherwise perform with its own forces.

The Arizona Unified Certification Program (AZUCP) Database contains the complete listing of those firms which are certified and therefore eligible to participate as a DBE on a project. DBE participation is NOT limited to Pima County firms. Any DBE firm recognized through the AZUCP is eligible to be recognized as a certified DBE. The AZUCP Database can be accessed through the following internet address (https://utracs.azdot.gov/Search ). If the name of a firm does not appear in the AZUCP database, it shall be the bidder’s responsibility to ascertain the certification status of the firm.

Questions regarding the AZUCP and the City’s DBE Program can be addressed to the City’s Department of Procurement, Business Enterprise and Compliance Program at 520-837-4000 or via email at ContractorCompliance@tucsonaz.gov.

F. DBE Program Compliance

The contractor and all DBE subcontractors must comply with all aspects of the DBE federal program requirements as specified in 49 CFR Part 26. The contractor must include a copy of the DBE contract provisions in every subcontract. The executed subcontract with all required contract provisions must be uploaded into the City’s Contract Compliance system, https://tucsonaz.diversitycompliance.com, prior to the Notice to Proceed.

Failure by the contractor to comply with the DBE provisions is a material breach of the contract which may result in remedies as deemed appropriate by the City, including but not limited to the following:

(1) Withholding monthly progress or final payments;

(2) Assessing sanctions;

(3) Liquidated damages; and/or;

(4) Disqualifying the contractor from future bidding as non-responsible.

The contractor must comply with applicable Prompt Payment regulations, Tucson Code Section 11-38 and Arizona Revised Statutes Title 32-1129. The contractor must pay their subcontractors within 7 days of payment from the City.

The prime contractor is required to report, by the 15th of each month, all payments made to the subcontractors in the City’s Contract Compliance system (https://tucsonaz.diversitycompliance.com). In addition, all subcontractors must verify, by the end of each month, that they were paid the amount indicated and if they were paid promptly.

The City of Tucson may withhold payment from the prime contractor for work performed by subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed.

The prime contractors must provide notice to all subcontractors that complaints of violations of the prompt payment provision may be submitted in writing to the City of Tucson, Business Enterprise & Compliance Program, 255 W. Alameda, 8th floor Tucson, Arizona 85701 – PO Box 27210, Tucson, Arizona 85726. The complaint shall set forth the facts and identify the prime contractor and the construction project. Subcontractors will be assisted by the Department of Procurement, Business Enterprise & Compliance Program with the complaint process as detailed in the City of Tucson Construction Fairness Ordinance comprised of Chapter 28, Tucson Procurement Code Section 28-101, Tucson Code Chapter 11-38 and Tucson Code, Chapter 8- 2.2.

G. False, Fraudulent Or Dishonest Conduct

The City of Tucson will bring to the attention of the federal government any false, fraudulent or dishonest conduct in connection with the DBE Diversity Program for Contracts so that the federal government can take steps (e.g., referral to the Department of Justice for criminal prosecution, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 49 CFR 26.109. The City will also consider similar action under its own legal authorities, including responsibility determinations in future contracts.

H. Non-Discrimination

The City of Tucson shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any federal contract or in the administration of its DBE Program or the requirements of 49 CFR 26. The recipient shall take all necessary and reasonable steps under 49 CFR 26 to ensure nondiscrimination in the award and administration of federal contracts. The recipient’s DBE Program, as required by 49 CFR 26, is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the City of Tucson of its failure to carry out its approved program, the Department may impose sanctions as provided for under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C.

1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.).

I. Record Keeping

The City of Tucson will require prime contractors to maintain records and documents of payments to DBE for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of the City of Tucson or federal government. The reporting requirement also extends to any certified DBE subcontractors.

J. Small Business Participation

The Agency will track the participation of all approved businesses throughout the life of this contract. The Agency will count Small Business participation as authorized by federal regulations.

A summary of these regulations can be found at www.ecfr.gov (49 CFR Part 26.39).

K. Subcontractor Performance & Substitution Requests

All subcontractor modifications (addition, substitution, deletion) pursuant to the Tucson Procurement Code Section 28-48(2), may only be allowed at the sole discretion of the Procurement Director. Approval must be obtained prior to the subcontractor beginning the work.

The prime contractor must complete and submit the City’s Subcontractor Modification Form for any modifications to the subcontractor’s list. The form must be submitted to BECP at ContractorCompliance@tucsonaz.gov for review and approval. All subcontractor modifications are at the sole description of the Procurement Director. Approval must be received prior to any subcontractor changes being made

The contractor’s distinct contract items of work to be awarded to DBE’s shall be performed by the designated DBE. The DBE must perform a commercially useful function, that is, the DBE must manage, perform, and supervise a distinct element of work.

In the event that a DBE is unable or unwilling to fulfill its agreement with the contractor, the contractor shall immediately notify the Business Enterprise Compliance Specialist, the Contract Officer and the Project Manager. The DBE firm can only be terminated for good cause. The contractor shall immediately take reasonable good faith efforts to obtain another certified DBE firm to perform an equal or greater dollar value of the work. The prime contractor must complete the City’s Subcontractor Modification Form. The form must be submitted to BECP at ContractorCompliance@tucsonaz.gov for review and approval

DBE contract work items shall not be performed by the contractor in lieu of subcontracting.

Contract items eliminated from the project, with the approval of the Project Manager, may not reduce the contractor’s obligation for DBE participation.

L. Monitoring Payments to Subcontractors

Prime contractors must maintain records and documents of payments to DBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of the City of Tucson or federal government. This reporting requirement also extends to any certified DBE subcontractor. As part of the contract documents requirement, the contractor will submit company procedures and policy for prompt payment of work and prompt release of retention to subcontractors.

Prime contractors are required to pay all subcontractors for satisfactory performance of their contracts no later than 7 days from receipt of each progress payment made by the City of Tucson to the prime contractor.

The prime contractor is to pay all retention owed to a subcontractor within 30 days of satisfactory completion of the contracted work. For the purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and accepted by the prime contractor as required by the City of Tucson. Payment of retention by a prime contractor to subcontractors following completion and acceptance of work is NOT dependent on the billing of, or payment from, the City of Tucson for the retention release.

Required timelines are indicated below:

A. When a subcontractor has completed all the tasks called for in the subcontract, the subcontractor will submit a written request to the prime contractor for an acceptance inspection and release of all retention.

B. Within 10 days of receipt of an inspection request by a subcontractor, the contractor shall schedule an inspection / walk through for acceptance of the work.

C. Within 30 days of the acceptance of a subcontractors work, the prime contractor shall pay all retention owed to a subcontractor.

Prime contractors will report the actual value of any contract to DBE firms for work committed to them at the time of the contract award.

Once a subcontractor’s work has been accepted, a prime contractor may bill the City of Tucson for release of retention equal to the amount of retention that is/has been released to a subcontractor.

The prime contractor is required to report, by the 15th of each month, all payments made to the subcontractors in the City’s Contract Compliance system (https://tucsonaz.diversitycompliance.com). In addition, all subcontractors must verify, by the end of each month, that they were paid the amount indicated and if they were paid promptly.

Prime contractors must provide notice to their subcontractors that complaints of violations of the prompt payment provision may be submitted in writing to the City of Tucson Business Enterprise & Compliance Program, 255 W. Alameda, 8th Floor, Tucson, Arizona 85701. The complaint shall set forth the facts and identify the prime contractor, contract # and contract title/project location.

Subcontractors will be assisted by the Department of Procurement with the complaint process.

The City of Tucson may withhold payment from the prime contractor for work performed by subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed.

The City of Tucson may withhold payment from the prime contractor for failure to submit and/or complete required documents.

BUSINESS SERVICES DEPARTMENT

BUSINESS ENTERPRISE & COMPLIANCE PROGRAM

SUBCONTRACTORS LIST AND STATEMENT OF PROPOSED DBE PLAN

FTA FUNDED PROJECTS

On-Call No. _________________ Project Name: _____________________________________________

Enter your DBE subcontractors for this project in the following table. These are your committed subcontractors for this project.

Any addition, deletion or substitution to the listed subcontractors will be a violation of the Tucson Procurement Code and may only be allowed at the discretion of the Procurement Director.

ALL PROPOSED DBE FIRMS

(Print additional form to add more DBE firms)

Subcontractor’s Name Trade/Industry Dollar Value of Contract

Enter all other committed subcontractors for this project in the following table. Any addition, deletion or substitution to the listed subcontractors requires approval from and is at the discretion of the Procurement Director.

FIRST TIER SUBCONTRACTORS AT AND ABOVE $5,000

(Print additional form to add more subcontractors)

Subcontractor’s Name

Trade/Industry Dollar Value of Contract

Bidder’s Base Bid Amount $

Total Claimed DBE Participation $_________________ _______%

I hereby certify by signing below that the foregoing DBE firms shall be contracted to work on the trades identified above and/or supply material and/or equipment for this project. The information shown above is a true reflection of the proposed subcontracts expressed as a percentage of the base bid.

Company Name: __________________________________________

Signature: _______________________________________________ Phone No. _____________

Date: _________________ Name & Title: ______________________________________________

13 Revised June 2019

BUSINESS SERVICES DEPARTMENT

BUSINESS ENTERPRISE & COMPLIANCE PROGRAM

BIDDERS LIST

FTA FUNDED PROJECTS

Solicitation No. _________________ Project Name: _________________________________________

Name of Prime Contractor or Subcontractor: ____________________________________________________________

Per 49 CFR Part 26.11, each Prime and Subcontractor MUST submit the following information.

Enter the address including zipcode

Street ________________________________________

City __________________ State ______ Zip _______

Indicate if you are a DBE or non-DBE

DBE _______ Non-DBE _______

Enter the race and gender of the firms majority owner

__ Black American __ Male __ Hispanic American __ Female __ Asian-Pacific American __ Subcontinent Asian American __ Native American __ Caucasian __ Other

What is the age of your firm?

__ Less than 1 year __ 8 – 10 years __ 1 – 3 years __ More than 10 years __ 4 – 7 years

Disclose the annual gross receipts of the firm

__ Less than $1 million __ $6 – 10 million __ $1 - 3 million __ Over $10 million __ $3 - 6 million

Enter the 6-digit NAICS code, description of the trade and dollar amount for each scope of work you sought to perform. Print additional copy to add more.

6-Digit NAICS Code Description Dollar Amount

14 Revised June 2019

BUSINESS ENTERPRISE & COMPLIANCE PROGRAM (BECP)

FINAL SUB-CONTRACTORS LIST

(To be submitted prior to contract/project award)

Contract No.: Project:

Prime Contractor:

The undersigned Contractor certifies that the following list of subcontractors is the exhaustive list of all subcontractors that will perform work on the above listed contract/project.

The Federal Labor Standards requires that the Contractor and each subcontractor to provide their Employer (IRS) Number and their Business Racial/Ethnic Classification, and the dollar value of each subcontract. The Racial/Ethnic Code indicates the racial/ethnic character of the owner(s) and controller(s) of 51% of the business. When 51% or more of the business is not owned or controlled by a single racial/ethnic category, enter the code that seems most appropriate.

The Racial/Ethnic Code may be a combination of two-code number – for example 2/3.

Racial/Ethnic Codes:

1= White Americans 2= Black Americans 3= Native Americans 4=Hispanic Americans 5= Asian/Pacific Americans

Work Category(ies) Subcontractor’s Name & AZ ROC License Number

Value of Contract

Tax ID # (9 digits)

DUNS #

Ethnic Code

Contractor Representative:

Phone # Email:

Signature: Date:

BECP Approval: Date

FTA DBE JOC Provisions October 1, 2023

PRIME CONTRACTOR:

TELEPHONE NO.

CONTRACT NO.

PROJECT NAME:

PRIME CONTRACT AMOUNT $

ESTIMATED SUBCONTRACT AMOUNT$

SUBCONTRACTOR

ADDRESS

CITY, STATE, ZIP _

TELEPHONE NO.

EMAIL ADDRESS (REQUIRED)

CONTACT NAME (PRINT)

SUBCONTRACTOR R.O.C. NO. CLASS

SUBCONTRACTOR FED EIN NO.

CERTIFICATION: The Prime Contractor and Subcontractor certifies the following:

A. Documents No. 2- 9 have been incorporated into the subcontract agreement B. The Prime Contractor and Subcontractor shall execute the subcontract agreement prior to the start of Subcontractor's work. DBE subcontracts to be submitted to COT prior to Pre-Construction conference for approval C. Upon execution, Prime Contractor will upload copies of all subcontract agreements containing all of the following items into the B2GNow Contract

Compliance System:

1. Subcontract Agreement containing Bid Items of Work

2. Cargo Preference Act

3. Certification, Contracts or Subcontracts subject to EEO clause April, 1969

4. Standard Federal EEO Construction Contract Specifications (Executive Order 11246) Revised 11/3/1980

5. Notice of Requirement for Affirmative Action to ensure EEO (Executive Order 11246) Rev. 4/15/1981

6. Buy America Requirements

7. Title VI Assurances

8. Prompt Pay and Payment Reporting Provisions (Rev. 09/20/2016)

9. Wage Determination Decision Date Mod

FOR COT USE ONLY

Percentage Subcontracted to date: %

Total Subcontracted to date: $_________________

Subcontractor Approved: YES NO

Non-Committed DBE

Committed DBE

SUBCONTRACTOR APPROVAL REQUEST FORM (FTA) Revision Date: 5/17/2019

City of Tucson

BECP

LOWER TIER TO:

DBE: YES

DBE Program Approval / Date

Labor Compliance Program Approval / Date DTM Project Manager / Date

Authorized Prime Contractor Signature Authorized Subcontractor Signature Authorized Lower Tier Signature

Title Date Title Date Title Date

The modification of any subcontractor after contract award requires prior approval by the Business Services Director

TYPE OF REQUEST ADDITION REMOVAL REPLACEMENT

INCREASE REDUCTION

ARE ANY SBE / DBE FIRMS AFFECTED? YES NO If yes, please explain:

Contract # Contract Name:

Prime Contractor: Contact Name

Email: Phone:

CURRENT

SUBCONTRACTOR

PROPOSED

SUBCONTRACTOR

SUBCONTRACTOR

NAME

SUBCONTRACT

VALUE

CONTACT NAME

EMAIL

PHONE

ADDRESS

DUNS

SBE / DBE ? SBE / DBE

(circle one, if applicable)

SBE / DBE

(circle one, if applicable)

SIGNATURE By signing below, the Current Subcontractor indicates their understanding of, and agreement with, this modification and the explanation provided by the Prime Contractor in the “Reason for Request” field on this form:

Signature of Current Subcontractor (required)

REASON FOR REQUEST: (Note: Prime Contractor must explain why the subcontractor that was identified in the Prime Contractor’s bid is now being modified. Reason must demonstrate that this modification does not violate City of Tucson

Business Enterprise and Compliance Program (BECP) Subcontractor Modification Form

Ordinance 9158 as well as Section 28-48(2), Section 28-150(6)(5), Section 28-151.4(1), and Section 28-151.4(2) of the Tucson Procurement Code. The City seeks to ensure that this request is not being made as a result of “bid shopping” on the part of the Prime Contractor.)

________________ (attach supporting documentation as necessary)

Signature of Prime Contractor:_________________________________ Date: _______________________________

*********************************************COT Use Only********************************************

APPROVAL

BUSINESS ENTERPRISE DATE

BUSINESS SERVICES DIRECTOR DATE

Business Services Department Business Enterprise & Compliance Program (BECP)

Prime Contractor/Consultant Evaluation of Subcontractors/Subconsultants

Date: Prime Contractor/Consultant:

Contract #: Contract Name:

List all subcontractors/subconsultants that performed work on this contract.

Prime contractors/consultants must rate the subcontractor/subconsultant performance on this contract. The rating scale is 1-5, with 5 & 4 above average, 3 average, and 2 or 1 substandard performance. A rating of 1 or 2 will require the completion of the Subcontractor Substandard Performance Report.

Send the completed form to:

City of Tucson, Business Services Department/Business Enterprise & Compliance Program

255 W. Alameda, 8th floor, Tucson, AZ 85701 or email @ ContractorCompliance@tucsonaz.gov

Subcontractor/Subconsultant Firm Name

Rating Performance Rating 1 - 5

Signature: Date:

Print Name: Title:

Phone Number: Email: