3_2024_Renewable_RFP_10197761_Attachment_7_SB_DVBE.pdf

Attachment 7 – State Preference/Participation Programs

STATE PREFERENCE/PARTICIPATION PROGRAMS

Economic Incentive Programs

Proposing firms may be eligible for additional preferences when their place of business is located within certain economic regions and when they hire persons living and working within those economic regions. Please access the following links to read information about these economic incentive programs.

TACPA CONTRACT PREFERENCE

This solicitation contains Target Area Contract Preference Act (TACPA) preference request forms.

Please carefully review the forms and requirements. Bidders are not required to apply for these preferences. Denial of the TACPA preference request is not a basis for rejection of the bid.

The State as part of its evaluation process reserves the right to verify, validate, and clarify all information contained in the bid. This may include, but is not limited to, information from bidders, manufacturers, subcontractors and any other sources available at the time of the bid evaluation.

Bidder refusal to agree to and/or comply with these terms, or failure to provide additional supporting information at the State's request may result in denial of preference requested.

Contracts awarded with applied preferences will be monitored throughout the life of the contract for compliance with statutory, regulatory, and contractual requirements. The State will take appropriate corrective action and apply sanctions as necessary to enforce preference programs.

• TACPA Preference Request (STD 830):

https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std830.pdf

• Bidder’s Summary of Contract Activities and Labor Hours:

https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/gspd0526.pdf

• Manufacturer’s Summary of Contract Activities and Labor Hours:

https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/gspd0525.pdf

Any questions regarding the TACPA preference should be directed to the Department of General Services, Procurement Division, TACPA Program at (916) 375-4609.

Small Business Program

1. The Small Business Procurement and Contract Act (Gov. Code Section 14835 et. seq.)

requires that a fair share of the State’s purchases and contracts for goods, information technology services and construction be placed with a certified small business or micro-business. The Act mandates that state agencies:

a) Establish participation goals,

b) Provide a 5% small business calculation preference, and

c) Provide the opportunity for proposing firms to receive a 5% non-small business calculation preference when achieving 25% small business participation through subcontracted efforts.

https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std830.pdf https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.documents.dgs.ca.gov%2Fdgs%2Ffmc%2Fgs%2Fpd%2Fgspd0526.pdf&data=05%7C01%7C%7Cef9b7307fcd54d9ae53f08da92ae16bb%7Cb71d56524b834257afcd7fd177884564%7C0%7C0%7C637983573706748990%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=rFrVAEjjWC6C%2FwdbZwf%2B%2BP3jqlCBt3CReLeG9Hsxqz0%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.documents.dgs.ca.gov%2Fdgs%2Ffmc%2Fgs%2Fpd%2Fgspd0525.pdf&data=05%7C01%7C%7Cef9b7307fcd54d9ae53f08da92ae16bb%7Cb71d56524b834257afcd7fd177884564%7C0%7C0%7C637983573706748990%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=5jPtcNFYX08tnkJTl6FMR%2FktVmof%2F2nhIAtHDm2fHtQ%3D&reserved=0

2. SMALL BUSINESS PREFERENCE

The Small Business preference provides certified small businesses and micro-businesses a calculation preference in the amount of five percent (5%) of the highest scored responsible and responsive proposal submitted by a proposing firm who is not a certified small business.

The small business preference is used as a calculation for determining the highest score and does not affect the actual price proposed.

The awarding department grants a certified small business a five percent (5%) Small Business preference on a proposal evaluation when a responsible non-small business has submitted the highest scored, responsive proposal pursuant to the evaluation solicitation method identified in the proposal and the certified small business:

a) Includes in its bid a notification to the awarding department that it is a small business or that it has submitted to the DGS OSDS a complete application no later than 5:00 p.m. on the bid due date, and is subsequently certified by the Department of General Services as a small business; and

b) Submits a timely, responsive bid; and

c) Has been determined to be a responsible bidder.

Firms having pending Small Business or DVBE Certification applications under review by the Department of General Services concurrent with the proposal time frame should contact DGS/OSDS to request an expedite review/approval of their application in order to be considered for the small business preference during the evaluation of this proposal. Contact DGS/OSDS at (916) 375-4940 to obtain information about the application expedite process.

Firms must notify the Department in writing at the time of the proposal submission that they have an application for Small Business or DVBE certification under review at the DGS Office of Small and Disabled Veteran Business Certification, and that they wish to be considered for the Small Business Preference Calculation.

3. NON-SMALL BUSINESS PREFERENCE

The non-small business preference calculation may be applied when:

a) A responsible non-small business has agreed to subcontract a minimum of 25% of the net price proposed with a certified Small Business,

b) The non-small business firm is not the highest scored firm, and

c) The firm has submitted a responsive proposal.

Non-small business firms will be granted a five percent (5%) non-small business preference on a proposal evaluation by the awarding department if a responsible non-small business has been ranked as the highest scored proposal pursuant to the evaluation of the solicitation under the following conditions:

a) The firm has included in its bid a notification to the awarding department that it commits to subcontract at least twenty-five percent (25%) of its net bid price with one or more OSDS certified small business(s) and

b) The firm has submitted a timely, responsive bid; and

c) The firm is determined to be a responsible bidder; and

d) The firm Identifies OSDS certified small business(s) it commits to subcontract with.

The bidder shall list certified SB subcontractors and include their name, address, phone number, a description of the work to be performed, and the percentage (as specified in the solicitation) per subcontractor.

4. NON-SMALL BUSINESS PREFERENCE CALCULATION

The Non-small business calculation preference five percent (5%) is used for bid evaluation purposes when there is at least one competing non-small business subcontracting at least twenty-five percent of its net price proposed to one or more certified small businesses, and award of the contract is made on the basis of the highest scored responsive, responsible bidder. The preference shall be computed as follows:

Firm A - High Score: 950 Points – Not a certified small business firm Firm B - Non-SB Proposal: 910 Points – Prime firm includes 25% to certified SB subcontractor participation

Preference Calculation: 950 x .05 (5%) = 47.50

Firm B Non-SB Bidder Bid: 910.00 Calculated preference +47.50

957.50 points

Award is made to Firm B as the highest scored firm with 957.50 points.

5. TIES BETWEEN CERTIFIED SMALL BUSINESSES AND DVBE BUSINESSES

In the event of a precise tie between the proposal score of a small business and the proposal score of a disabled veteran enterprise, the award shall go to the disabled veteran that is also a small business.

6. MAXIMUM ALLOWABLE PREFERENCES

In no event shall the amount of the small business or non-small business subcontractor preferences awarded on a single proposal exceed $50,000, and in no event shall the combined cost of the small business or non-small business subcontractor preference and preferences awarded pursuant to any other provision of law exceed $100,000. The five percent (5%) calculation preference is used for computation purposes only and does not alter or affect the actual proposal price or the amount of the executed contract. When a certified small business is responsive, responsible, and the highest scored firm, there is no need to compute the small business preference as the small business is already the highest scoring firm.

7. COMMERCIALLY USEFUL FUNCTION (Government Code 14837)

A certified small business, micro-business contractor, subcontractor or supplier, must meet commercially useful function requirements under Government Code section 14837(d) (4).

Selected firms must perform a “commercially useful function” relevant to this contract.

The term “small business contractor, subcontractor or supplier” means any person or entity that satisfies the ownership (or management) and control requirements in accordance with Government Code Section 14847 (d) (4) and provides services or goods that contribute to the fulfillment of the contract requirements by performing a commercially useful function. A person or an entity is deemed to perform a “commercially useful function” if that person or entity does all of the following:

1. Is responsible for the execution of a distinct element of the work of the contract.

2. Carries out contractual obligations by actually performing, managing, or supervising the work involved.

3. Performs work that is normal for its business services and functions.

4. Is not further subcontracting a portion of the work that is greater than that expected to be subcontracted by normal industry practices.

5. Is responsible, with respect to products, inventories, materials, and supplies required for the contract, for negotiating price, determining quality and quantity, ordering, installing, and, if applicable, making payment

6. Its role is not an extra participant in the transaction, contract or project through which funds are passed in order to obtain the appearance of DVBE participation.

8. SMALL BUSINESS - DVBE PROPOSING FIRM CUF REQUIREMENTS

The Department will determine, to the best of its ability, that your firm meets the criteria above for “commercially useful function”. In responding to this solicitation, you are confirming that, under Government Code 14837 Section 1, (d) (4) above, your business provides goods and/or services meet the definition of “commercially useful function”. In responding to this solicitation, you are confirming that, under CCR 1896.1 above, your business provides goods and/or services meet the definition of “commercially useful function”. All proposing firms are required to provide CUF documentation using the attached State’s Proposing firm Declaration Form GSPD-05-105, included in this attachment. When completing the declaration, proposing firms must identify all subcontractors proposed for participation in the contract.

Any proposing firm awarded a contract is contractually obligated to use the subcontractor for the corresponding work defined unless the State agrees to a substitution.

9. PENDING SMALL BUSINESS CERTIFICATION

If your firm is seeking small business certification in order to be considered for small business preference related to this solicitation, you must have: 1) notified DGS, Office of Small Business and DVBE Services (OSDS) that you are responding to a solicitation and are seeking an Expedite Review of your small business certification application in response to the solicitation, 2) provided DGS OSDS with the proposal Key Action Dates page from the RFP itself and 3) must have submitted a complete application with all required forms and documentation to OSDS for review and approval by close of business on the Proposal Submittal due date.

SECTION 1 -BIDDER'S BUSINESS INFORMATION

Refer to ATTACHMENT 2 Proposal/Proposer CERTIFICATION SHEET which provides Bidder's business information and dated signature of Bidder's authorized representative. That signature certifies compliance with all the requirements of this solicitation, including all NSB Preference Applications.

SECTION 2 - DESCRIBE THE SERVICES AND/OR COMMODITIES TO BE PROVIDED BY THE CA-CERTIFIED SB, MB, OR SB - PW CONTRACTOR IDENTIFIED BELOW IN SECTION 4

Bidder has agreed to commit a combined minimum 25% of the bid amount to one or more CA-certified SB, MB, or SB-PW firms. Note: SB-PW certification only applies to public works contracts.

Bidder commits % to the subcontractor listed below in Section 4.

SECTION 3 - BIDDER'S SUBCONTRACTOR PARTICIPATION COMMITMENT

INSTRUCTIONS: Submit one form per subcontractor for participation commitments made to CA-certified SB, MB, or SB-PW firms (Note SB-PW certification can only be counted toward SB participation on public works-related contracts/projects)

State of California DEPARTMENT OF WATER RESOURCES California Natural Resources Agency

Non-Small Business (NSB) Preference Application

SECTION 4- SUBCONTRACTOR'S BUSINESS INFORMATION

FIRM NAME

CERTIFICATION TYPE

OSDS CERTIFICATION NUMBER

FIRM CONTACT

TELEPHONE

I EMAIL I

STREET ADDRESS

CITY I STATE I ZIP I

Printed Name of Authorized Representative Signature of Authorized Representative Date

DWR 9B28 (Rev_2/22) Page 1 of 1

Small Business DVBE Program Assistance

If you need assistance or an electronic fillable PDF form regarding small business or Disabled Veteran Business Enterprise (DVBE) program information, contact the CDWR SB/DVBE Advocate at:

State of California California Department of Water Resources Richard Zmuda, DVBE Program Manager

Voice: (916) 820-7833 Email: SB.DVBE@water.ca.gov

For additional information regarding small business or DVBE certification contact DGS, Office of Small and Disabled Veteran Business Services (OSDS), at:

(916) 375-4940, Email: OSDSHelp@dgs.ca.gov or via the internet at:

https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List- Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise

Disabled Veteran Business Enterprise Program

The Department of Water Resources has waived DVBE program requirements for this solicitation.

Under California Code of Regulations 1896.99.100, the California DVBE Incentive provides responsive/responsible firms the opportunity to receive additional incentive calculations. The incentive is applied at the time of solicitation cost evaluation when a proposing firm has identified a California-certified DVBE subcontractor to provide services or commodities in support of the overall contract effort. Application of the DVBE Incentive may displace a certified small business proposal.

Please refer to DWR Form 9526, included in this attachment for instructions regarding the DVBE Incentive.

1. DWR ADVOCATE PRE-REVIEW OF DVBE DOCUMENTATION

The Department’s DVBE Advocate offers a pre-review of a proposing firm’s DVBE documentation prior to proposal submission. Since non-compliance with the DVBE program is immediate cause for rejection, DWR strongly recommends firms take advantage of this opportunity to ensure they are fully compliant with DVBE Program requirements.

Upon satisfactory review of the firm’s DVBE documentation, the DWR advocate issues a Notification of Compliance. To request a pre-review of your DVBE documentation, please email the documentation to the attention of:

Richard Zmuda, DVBE Program Manager

Voice: (916) 820-7833 Email: SB.DVBE@water.ca.gov mailto:SB.DVBE@water.ca.gov mailto:SB.DVBE@water.ca.gov https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise https://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business-Disabled-Veteran-Business-Enterprise http://www.dgs.ca.gov/PD/Services/Page-Content/Procurement-Division-Services-List-mailto:SB.DVBE@water.ca.gov

2. DVBE INCENTIVE PROGRAM FOR RFP SECONDARY

Under California Code of Regulations 1896.99.100, the California DVBE Incentive provides responsive and responsible firms the opportunity to receive additional incentive calculations. The incentive is applied at the time of solicitation evaluation when a proposing firm selects a California-certified DVBE subcontractor to provide services or commodities in support of the overall contract effort. Application of the DVBE Incentive may place the proposing firm in line for contract award.

The following are key elements of the DVBE Incentive Program:

a) The DVBE Incentive is applied during the evaluation process and is only applied to responsive proposals from responsible firms proposing the percentage(s) of DVBE participation for the incentive(s) specified in the solicitation.

b) DVBE Incentive participation is optional and at the discretion of the proposing firm.

c) When requesting the Incentive application, bidding firms must complete and return the DWR 9526 California DVBE Incentive included within this solicitation with their proposal at time of submission.

d) The Incentive is calculated by multiplying the solicitation’s total points possible by the level of DVBE participation (%) identified by the responding firm. This amount is then added to the firm’s total points to determine if they have the high score. Computation is for evaluation purposes only and cannot be used to achieve any applicable minimum point requirements. (CCR 1896.99.100 (d))

e) Services or commodities provided by the DVBE firm MUST meet the definition of a “Commercially Useful Function” as defined under Government Codes:

14837; 14838.6; 14839; 14842; 14842.5 and Military and Veterans Code 999 and 999.6. A DVBE firm not meeting CUF regulations will render the responding firm ineligible for the DVBE Incentive application.

3. DVBE INCENTIVE OPTION VS. DVBE PROGRAM REQUIREMENTS

a) A Department may formally exempt a solicitation from California DVBE

Program requirements, but still be required to include the DVBE Incentive when that Department has not met DVBE program goals three of the previous two fiscal years. Proposing firms should review the RFP closely to determine if the California DVBE Program requirement is included in the solicitation language.

b) California DVBE Program requirements, when included in a solicitation, are not optional and must be met by the proposing firm.

4. DVBE INCENTIVE APPLICATION BASED ON RFP SECONDARY HIGH

SCORE METHOD

Because this solicitation is being conducted as a Request for Proposal (RFP) Secondary, the DVBE Incentive application will be based on the High Score method and follows the guidelines identified below:

a) Application of the Incentive is based on the High Score Method. The Incentives shall not exceed 5 percent, nor be less than 1 percent of the total possible available points, not including points for socioeconomic incentives or preferences. (CCR 1896.99.120 (b))

b) Incentive points are included in the sum of non-cost points.

c) Incentive points cannot be used to achieve any applicable minimum point requirements

d) Incentive points may be a “desirable” administrative requirement that awards points based on amounts of participation.

Small Business and Disabled Veteran Business Enterprise Evaluation

In Phase five, Small Business Preferences and DVBE Incentive calculations will be completed as necessary prior to contract award. The application of the Small Business Preference and DVBE Incentives may result in the displacement of a previously high scoring firm.

1. Proposing firms that are Small Business certified by DGS, Office of Small Business and DVBE Services (OSDS) may receive a five (5) percent preference calculation.

The Small Business (SB) preference will be calculated by factoring five (5) percent of the highest scored points and adding those points to that of the certified Small Business.

Example: High Score:

Small Business Score:

950.00 points

910.00 points

950 x 0.05 SB preference = 47.50 points

Small Business Score:

910.00 points

SB Points: 47.50 points

957.50 points

In the example above, the SB would achieve a high point score and be in line for contract award.

2. The DVBE Program Incentive is applied during Phase five and may result in the increase of a firm’s total points, placing them in line for award. Application of the DVBE Incentive is based on the number of total possible points specified.

The following example is based on 1000 total possible points:

Confirmed DVBE Participation Possible Points Calculation

1% - 1.99% inclusive

1% x 1000 = 10 Points

2% - 2.99% inclusive 2% x 1000 = 20 Points 3% - 3.99% inclusive 3% x 1000 = 30 Points 4% - 4.99% inclusive 4% x 1000 = 40 Points 5% and Over 5% x 1000 = 50 Points

a) Once all proposals are evaluated for the factors indicated under the

Rating/Scoring Criteria above, the DVBE Incentive will be calculated and those points will be factored into the total points of those firms with lower scores that have identified DVBE participation levels as outlined in the above table. The points applied may result in a firm achieving high points placing them in line for the solicitation award.

b) A Small Business firm may not be displaced by a non-Small Business firm achieving higher points as a result of the DVBE Incentive application.

c) An Evaluation Committee shall conduct the scoring and review the results submitted.

d) Only firms that are certified as small business by the Department of General

Services, Office of Small Business Certification and Resources, receive a 5 percent preference. The preference is applied by the Department before the contract is awarded.

3. DVBE Incentive Application – Allowable Incentive Amounts

a) When the DVBE program is a required component of the solicitation, the minimum acceptable commitment level is three (3) percent. Incentive amounts applied begin at three percent and will not exceed five (5) percent.

b) When the Department waives DVBE program compliance from a solicitation, a responding firm’s DVBE participation is optional. Firms proposing DVBE participation are eligible to receive a DVBE incentive calculation from one (1) to five (5) percent. The incentive applied will be at the level of proposed DVBE commitment.

Example scale using high score method:

Available points example using sliding scale:

Technical proposal: 600 points Cost proposal: 400 points Total: 1000 points

Confirmed DVBE Participation Possible Points

Calculation:

1% - 1.99% inclusive

1% X 1000 = 10 Points 2% - 2.99% inclusive 2% X 1000 = 20 Points 3% - 3.99% inclusive 3% X 1000 = 30 Points 4% - 4.99% inclusive 4% X 1000 = 40 Points 5% and Higher 5% X 1000 = 50 Points

In the example above, there are 50 maximum DVBE Incentive points possible.

Example results using high score method:

Proposing Firm A B C

Responsive/Responsible

Yes

Total Points 850.00 955.00 925.00

Eligible Preference SB None SB

SB Preference points achieved

47.75

47.75

Points Subtotal 897.75 955.00 972.75

Rank 3 2 1

DVBE Participation No (0%)

Yes (5%)

Yes (2%)

Incentive Points Applied None 50 20

Adjusted Points 897.75 1005.00 992.75

New Rank 3 2* 1*

* Note: Application of the DVBE Incentive calculation cannot displace a higher point bid of a CA-certified Small Business by a non-Small Business certified bidder.

4. Order of Evaluation

a) Small Business Preference is calculated by multiplying the highest total points achieved by 5% and adding the resulting calculation to the total points of the Small Business firm. In this sample the calculation was based on 955 points x .05 resulting in 47.75 additional points added to the certified Small Businesses (A and C).

b) DVBE Incentive Points are factored by multiplying the DVBE participation (%) identified by the total possible points that could be awarded (1000). This amount is then added to the firm’s total points. In the sample above, Firm B had 50 additional points added (.05% x 1000 total points available) to their total points giving them the highest adjusted point total. Firm C received 20 Incentive points and has the second highest adjusted point total, but since no other certified small business has a higher adjusted point total, Firm C is placed first for award.

c) Under the High Score Method, it is not possible for a non-Small Business certified bidder to displace a high point Certified Small Business with the Application of the DVBE Incentive.

State of California—Department of General Services, Procurement Division

GSPD–05–105 (REV 08/09)

BIDDER DECLARATION

Solicitation Number

1. Prime bidder information (Review attached Bidder Declaration Instructions prior to completion of this form):

a. Identify current California certification(s) (MB, SB, NVSA, DVBE): or None (If “None”, go to Item #2)

b. Will subcontractors be used for this contract? Yes No (If yes, indicate the distinct element of work your firm will perform in this contract e.g., list the proposed products produced by your firm, state if your firm owns the transportation vehicles that will deliver the products to the State, identify which solicited services your firm will perform, etc.). Use additional sheets, as necessary.

c. If you are a California certified DVBE: (1) Are you a broker or agent? Yes No

(2) If the contract includes equipment rental, does your company own at least 51% of the equipment provided in this contract (quantity and value)? Yes No N/A

2. If no subcontractors will be used, skip to certification below. Otherwise, list all subcontractors for this contract. (Attach additional pages if necessary):

Subcontractor Name, Contact Person, Phone Number & Fax Number

Subcontractor Address & Email Address

CA Certification (MB,SB, NVSA,DVBE or None)

Work performed or goods provided for this contract

Corresponding % of bid price

Good Standing?

51% Rental?

CERTIFICATION: By signing the bid response, I certify under penalty of perjury that the information provided is true and correct.

To view GSPD-05-105, please go to: https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/gspd05-105.pdf https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/gspd05-105.pdf

State of California—Department of General Services, Procurement Division

GSPD–05–105 (REV 08/09)

BIDDER DECLARATION Instructions All prime bidders (the firm submitting the bid) must complete the Bidder Declaration.

1.a. Identify all current certifications issued by the State of California. If the prime bidder has no California certification(s), check the line labeled “None” and proceed to Item #2. If the prime bidder possesses one or more of the following certifications, enter the applicable certification(s) on the line:

• Micro Business (MB)

• Small Business (SB)

• Nonprofit Veteran Service Agency (NVSA)

• Disabled Veteran Business Enterprise (DVBE)

1.b. Mark either “Yes” or “No” to identify whether subcontractors will be used for the contract. If the response is “No”, proceed to Item #1.c. If “Yes”, enter on the line the distinct element of work contained in the contract to be performed or the goods to be provided by the prime bidder. Do not include goods or services to be provided by subcontractors.

Bidders certified as MB, SB, NVSA, and/or DVBE must provide a commercially useful function as defined in Military and Veterans Code Section 999 for DVBEs and Government Code Section 14837(d)(4)(A) for small/ micro businesses.

Bids must propose that certified bidders provide a commercially useful function for the resulting contract or the bid will be deemed non-responsive and rejected by the State. For questions regarding the solicitation, contact the procurement official identified in the solicitation.

Note: A subcontractor is any person, firm, corporation, or organization contracting to perform part of the prime’s contract.

1.c. This item is only to be completed by businesses certified by California as a DVBE.

(1) Declare whether the prime bidder is a broker or agent by marking either “Yes” or “No”. The Military and Veterans Code Section 999.2 (b) defines “broker” or “agent” as a certified DVBE contractor or sub-contractor that does not have title, possession, control, and risk of loss of materials, supplies, services, or equipment provided to an awarding department, unless one or more of the disabled veteran owners has at least 51-percent ownership of the quantity and value of the materials, supplies, services, and of each piece of equipment provided under the contract.

(2) If bidding rental equipment, mark either “Yes” or “No” to identify if the prime bidder owns at least 51% of the equipment provided (quantity and value). If not bidding rental equipment, mark “N/A” for “not applicable.”

2. If no subcontractors are proposed, do not complete the table. Read the certification at the bottom of the form and complete “Page of ” on the form.

If subcontractors will be used, complete the table listing all subcontractors. If necessary, attach additional pages and complete the “Page of ” accordingly.

2. (continued) Column Labels Subcontractor Name, Contact Person, Phone Number & Fax Number—List each element for all subcontractors.

Subcontractor Address & Email Address—Enter the address and if available, an Email address.

CA Certification (MB, SB, NVSA, DVBE or None)—If the subcontractor possesses a current State of California certification(s), verify on this website (https://www.dgs.ca.gov/pd).

Work performed or goods provided for this contract—Identify the distinct element of work contained in the contract to be performed or the goods to be provided by each subcontractor. Certified subcontractors must provide a commercially useful function for the contract. (See paragraph 1.b above for code citations regarding the definition of commercially useful function.) If a certified subcontractor is further subcontracting a greater portion of the work or goods provided for the resulting contract than would be expected by normal industry practices, attach a separate sheet of paper explaining the situation.

Corresponding % of bid price—Enter the corresponding percentage of the total bid price for the goods and/or services to be provided by each subcontractor. Do not enter a dollar amount.

Good Standing?—Provide a response for each subcontractor listed. Enter either “Yes” or “No” to indicate that the prime bidder has verified that the subcontractor(s) is in good standing for all of the following:

• Possesses valid license(s) for any license(s) or permits required by the solicitation or by law

• If a corporation, the company is qualified to do business in California and designated by the State of California Secretary of State to be in good standing

• Possesses valid State of California certification(s) if claiming MB , SB, NVSA, and/or DVBE status

51% Rental?—This pertains to the applicability of rental equipment. Based on the following parameters, enter either “N/A” (not applicable), “Yes” or “No” for each subcontractor listed.

Enter “N/A” if the:

• Subcontractor is NOT a DVBE (regardless of whether or not rental equipment is provided by the subcontractor) or

• Subcontractor is NOT providing rental equipment (regardless of whether or not subcontractor is a

DVBE)

Enter “Yes” if the subcontractor is a California certified DVBE providing rental equipment and the subcontractor owns at least 51% of the rental equipment (quantity and value) it will be providing for the contract.

Enter “No” if the subcontractor is a California certified DVBE providing rental equipment but the sub-contractor does NOT own at least 51% of the rental equipment (quantity and value) it will be providing.

Read the certification at the bottom of the page and complete the “Page of ” accordingly.

https://www.dgs.ca.gov/pd

NOTE.

DWR may request a bidder to correct/clarify DVBE documents that are deemed to have administrative or clerical error(s). DVBE program administrative/clerical errors are minor, non-substantive errors and do not impact the bid outcome. Prior to correction of administrative/clerical any error(s), DWR will first verify the bidder has complied with DVBE program requirements. Once determined compliant, DWR will apply the incentive as appropriate.

DEFINITIONS

DISABLED VETERAN

A disabled veteran, for purposes of DVBE certification eligibility, is defined as a veteran of the military, naval or air services of the United States with at least a ten (10) percent service-connected disability, and who is a resident of the State of California.

DISABLED VETERAN BUSINESS ENTERPRISE (DVBE)

DVBE is a business enterprise certified by the California Department of General Services (DGS), Office of Small Business and DVBE Services (OSDS), as meeting all the following criteria:

• Sole proprietorship owned by a disabled veteran; or a firm or partnership, 51 percent of the stock or partnership interests of which are owned by one or more disabled veterans

• Managed by and with the daily business operations controlled by one or more disabled veterans

• Sole proprietorship, corporation or partnership with its home office located in the United States which is not a branch or subsidiary of a foreign corporation, firm or other business

ADDITIONAL PROVISIONS – DVBE PROGRAM CLAUSES

Please review the Additional Provisions for provisions directly related to the DVBE program. The Additional Provisions define contractor obligations related to the DVBE program that will be part of the final contract. Bidders are advised to carefully review the Additional Provisions to understand relevant obligations pertaining to the DVBE program. A synopsis of the clauses is provided below:

Contract Amendments – DVBE Program Requirements. This clause explains the requirements and obligations of the contractor and the DVBE program related to subsequent contract amendments.

Contract Audits. This clause explains the requirements and obligations of the contractor related to the review or copying of all records pertaining to the performance of its contract as pertains to the DVBE program.

Contractor SB/DVBE Payment Certification. This clause explains the requirement made of the contractor related to reporting DVBE activity using the Small Business and DVBE Subcontractor Payment Certification, DWR Form 9683.

Substitution of DVBE Firms. This clause explains the requirements, under Military and Veterans Code 999.10, as to when the contractor, subject to the approval of DGS Office of Small Business and DVBE Services, may replace a DVBE firm identified in its bid or offer with that of another DVBE firm.

DVBE Quarterly Reports. This clause explains the requirements and obligations of the contractor related to reporting DVBE activity using DWR Form 9553 to identify and report the activity or non-activity within the period reported.

OPTIONAL PRE-REVIEW FOR DVBE COMPLIANCE

Upon request, DWR’s SB/DVBE Program Manager will provide pre-review of a bidder’s DVBE documentation to ensure compliance with DVBE program requirements. Bidders must submit their documents at least three (3) working days prior to the bid submission deadline. Upon verification of DVBE Program compliance, bidders will receive a written Notification of Compliance (NOC) to include in their bid package along with originals of all required DVBE documents.

The NOC confirms the bidder has satisfied DVBE program requirements related to this solicitation. Bidders are strongly advised to seek a pre-review of their documentation. Documents for review should be emailed to:

SB.DVBE@water.ca.gov.

SUGGESTIONS FOR LOCATING DVBE FIRMS

• Contact DWR’s SB/DVBE Program Manager for help with finding potentially qualified DVBEs. (Contact information provided below under ADDITIONAL RESOURCES.

• Contact other State and Federal Agencies and Local Veteran Organizations.

• Search the online database of CA-certified SB/DVBE vendors maintained by DGS, OSDS, at:

https://www.caleprocure.ca.gov/pages/index.aspx. Click on the link titled “Small Business / Disabled Veteran Business Enterprise” and then select “Search for Certified SB/DVBE Firms”.

• Check for subcontractor ads that may be placed on the California State Contracts Register (CSCR) for this solicitation prior to the closing date at: https://www.caleprocure.ca.gov/pages/index.aspx. Click on the link titled “Get Public Procurement Information” and then select “Search CSCR”.

ADDITIONAL RESOURCES

DGS/Procurement Division, Office of Small Business and DVBE Services (OSDS) 707 Third Street, Room 1-400, West Sacramento, CA 95605 OSDS Receptionist, 8:00 a.m. – 5:00 p.m.

Phone: (916) 375-4940 Email: OSDSHelp@dgs.ca.gov

Department of Water Resources Richard Zmuda, DM Small Business / DVBE Program Manager 715 P Street, 7th Fl. DBX # 19 Sacramento, CA 94236-0001 DWR SB/DVBE Website: https://water.ca.gov/Work-With-Us/Procurement/Small-Business-And-Disabled-Veteran- Business-Enterprises Direct Contact: Richard.Zmuda@water.ca.gov Direct Email: SB.DVBE@water.ca.gov Phone: (916) 820-7833 https://www.caleprocure.ca.gov/pages/index.aspx https://www.caleprocure.ca.gov/pages/index.aspx mailto:OSDSHelp@dgs.ca.gov https://water.ca.gov/Work-With-Us/Procurement/Small-Business-And-Disabled-Veteran-Business-Enterprises https://water.ca.gov/Work-With-Us/Procurement/Small-Business-And-Disabled-Veteran-Business-Enterprises mailto:Richard.Zmuda@water.ca.gov

To view DGS PD 843, please go to: https://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/pd_843.pdf http://www.documents.dgs.ca.gov/dgs/fmc/gs/pd/pd_843.pdf

State of California DEPARTMENT OF WATER RESOURCES California Natural Resources Agency

SMALL BUSINESS AND DVBE SUBCONTRACTOR PAYMENT CERTIFICATION

Contract No. 46000

Exhibit E:

As the Department of Water Resources contractor of record for Contract 46000 . I certify, in accordance with Government Code 14841 and Military and Veteran Code§ 999.5, and pursuant to the terms and conditions of the contract, all payments have been made to the small business or DVBE firm(s) listed below for commodities or services rendered under this contract. I understand certification must be made to the Department of Water Resources within 60 days of receiving final payment under this Agreement. I further understand and acknowledge that falsification of this certification may result in the imposition of civil or criminal penalties for not less than $2,500 or more than $25,000 for each violation.

Instructions: Please copy this form to include as many Small Businesses or DVBE firms as necessary. Authorized signatures and information are required on each separately submitted form.

Return completed form to: Department of Water Resources, Attention DWR SB/DVBE Advocate, 715 P Street, 7th Floor, Sacramento, CA 95814

Contracted Firm Name

Name of Firm Representative

Title

Phone Fax

Firm Address Street

City State Zip

DWR Contract Number 46000

Total Amount Received Under this Contract:

Date Final Payment Received:

SMALL BUSINESS - DVBE SUBCONTRACTOR INFORMATION

SB/DVBE Subcontractor Address City/State Zip Amount Paid Participation Achieved

1 $ %

Printed Name Signature

Title Report Date

DWR 9683 (Rev. 10/19)

Additional Provisions – DVBE Program Clauses

1. CONTRACT AMENDMENTS – DVBE PROGRAM REQUIREMENTS

Disabled Veteran Business Enterprise (DVBE) program requirements shall be included and made a part of any subsequent contract amendment(s) when DVBE program requirements were included as part of the Department’s original solicitation/contract effort. DVBE participation program goals (usually 3 percent) are extended through the amended contract termination date and include any additionally encumbered funds that are a result of the contract amendment. The 90-Day and Final DVBE Subcontracting Activity Report shall be included in all subsequent contract amendment(s). The Contractor shall be responsible for continued program compliance and reporting.

2. CONTRACT AMENDMENTS – DVBE PROGRAM REQUIREMENTS

Disabled Veteran Business Enterprise (DVBE) program requirements shall be included and made a part of any subsequent contract amendment(s) when DVBE program requirements were included as part of the Department’s original solicitation/contract effort. DVBE participation program goals (usually 3 percent) are extended through the amended contract termination date and include any additionally encumbered funds that are a result of the contract amendment. The 90-Day and Final DVBE Subcontracting Activity Report shall be included in all subsequent contract amendment(s). The Contractor shall be responsible for continued program compliance and reporting.

3. CONTRACT AUDITS RELATED TO DVBE PROGRAM REQUIREMENTS

Contractor agrees that the State or its designee will have the right to review, obtain, or copy all records pertaining to performance of the contract as performance pertains to DVBE requirements. Contractor agrees to provide the State or its representative with any relevant information requested and shall permit the State or its representative access to its premises, upon reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under investigation for the purpose of determining compliance with this requirement. Contractor further agrees to maintain such records for a period of no less than three (3) years after final payment under the contract.

4. DVBE SUBCONTRACTOR ACTIVITY REPORTS – DWR 9553

The Contractor is required to furnish the Department with reports of DVBE subcontractor activity using the DWR 9553. Reports are to be made at 90-day intervals and must identify the DVBE subcontractor, the services performed or commodities used and the total paid to the subcontractor during the quarterly period reported. A final activity report is to be submitted prior to the contract expiration date. If multiple DVBE contractors are providing services or commodities, the Contractor must furnish individual reports for each DVBE subcontractor used.

The first report is due 90-days from the date of contract approval. At the Department’s request, the Contractor shall submit copies of the DVBE contractor’s paid invoices issued for that 90-day reporting period or final report.

If the Contractor fails to furnish the required reports, the Department may withhold final payment until the Contractor provides the required reports and, when requested by the Department, copies of paid invoices.

Final reports must be received by the Department at least 14 days prior to the contract expiration date.

Reports shall be made using the DVBE Activity Report Form 9553, in this Attachment.

All reports shall be made to both the Department of Water Resources DVBE Advocate and the Project Manager for the contract as follows:

Mail Reports to:

Department of Water Resource Department of Water Resources DVBE Program Manager Project Manager 715 P Street, 7th Fl, DBS # 19 1425 River Park Dr., Suite 300 Sacramento, CA 94236-0001 Sacramento, California, 95815

5. SUBSTITUTION OF A DVBE SUBCONTRACTOR

Contractor understands and agrees that should award of this contract be based in part on their commitment to use the Disabled Veteran Business Enterprise (DVBE) subcontractor(s) identified in their bid or offer, per Military and Veterans Code 999.5(e), a DVBE subcontractor may only be replaced by another DVBE subcontractor and must be approved by the Department of General Services.

Changes to the scope of work that impact the DVBE subcontractor(s) identified in the bid or offer and approved DVBE substitutions will be documented by contract amendment.

Failure of Contractor to seek substitution and adhere to the DVBE participation level identified in the bid or offer may be cause for contract termination, recovery of damages under rights and remedies due the State, and penalties as outlined in Military and Veterans Code 999.9; Public Contract Code (PCC) Section 10115, or PCC Section 4110 (applies to public works only). Contractor must immediately notify the Department’s SB/DVBE Advocate that substitution of a DVBE subcontractor is requested.

6. CONTRACTOR CERTIFICATION OF PAYMENT TO SMALL BUSINESS AND

DVBE SUBCONTRACTOR(S)

a. If, for this Contract, Contractor made a commitment to achieve small business participation, then Contractor upon contract close out or completion must report to the awarding department the actual percentage of small business participation that was achieved. (GC § 14841.)

b. If, for this Contract, Contractor made a commitment to achieve disabled veteran business enterprise (DVBE) participation, then Contractor upon contract close out or completion must certify payments made to the DVBE subcontractors in a written report to the awarding department. A person or entity that knowingly provides false information shall be subject to a civil penalty for each violation not less than $2,500 and not to exceed $25,000.

(MVC Code § 999.5(d); GC § 14841)

Awarding agencies are required to withhold $10,000 (or up to $10,000, if a lesser amount) from DWR’s final payment pending receipt of certification of payments to DVBE subcontractors. Failure to submit the missing DVBE certification report within 30 calendar days of notice the withheld amount becomes permanent. (MVC § 999.7)

Contractor Certification must be made using DWR Form 9683 “Small Business and DVBE Subcontractor Payment Certification”, in this Attachment. Fully complete this form with the authorized signature and submit to DWR’s Contract Manager with a copy to DWR’s SB/DVBE Program Manager.

7. PRIME CONTRACTOR’S DVBE SUBCONTRACTING REPORT – FORM STD 817

a. STD 817 – Statutory Reporting Requirements Upon completion of contracts that include commitments to DVBE subcontractors, the State’s Prime Contractors are required to certify, under penalty of perjury, the total amount received from the State and the details of payments made to all DVBE subcontractors under those contracts.

Contract awarding departments are required to withhold $10,000 from the final payment (or the full payment if less than $10,000) to Prime Contractors until their compliance with the certification requirements by submitting an accurate and appropriately signed STD 817 to the awarding department. The withhold amount will be permanently deducted if Prime Contractors do not comply with STD 817 requirements after given notice to cure deficiencies.

Prime Contractors are required to maintain supporting documentation for a minimum of six years for all payments to DVBE subcontractors identified in the STD 817. Upon request, proof of payment must be provided. [Military and Veteran Code (MVC) 999.5(d); Government Code (GC) 14841; California Code of Regulations (CCR) 1896.78(e); Public Contract Code (PCC) 10369]

b. STD 817 – Link to Download Form with Completion Instructions https://www.dgs.ca.gov/PD/Search- Results?search=817&divisionid=7bce8ca3ed8a4aedbdeaf52f5e77df36&activeFilters= division-or-office-facets

c. STD 817 – Filing Instructions

Upon completion of the contract submit one STD 817 per contract, signed by the Prime’s authorized representative, to DWR’s SB/DVBE Program Manager by either option below.

1. Option #1. Email electronic signed versions of the STD 817 to:

SB.DVBE@water.ca.gov

2. Option #2. Mail or deliver signed hard copies of the STD 817 to:

Department of Water Resources Attention: SB/DVBE Program Manager

715 P Street, 7th Fl. DBS # 19 Sacramento, CA 94236-0001 https://www.dgs.ca.gov/PD/Search-Results?search=817&divisionid=7bce8ca3ed8a4aedbdeaf52f5e77df36&activeFilters=division-or-office-facets https://www.dgs.ca.gov/PD/Search-Results?search=817&divisionid=7bce8ca3ed8a4aedbdeaf52f5e77df36&activeFilters=division-or-office-facets https://www.dgs.ca.gov/PD/Search-Results?search=817&divisionid=7bce8ca3ed8a4aedbdeaf52f5e77df36&activeFilters=division-or-office-facets mailto:SB.DVBE@water.ca.gov