3-Exhibit C - Robinson Church Rd Sidewalk.pdf

Project #: PJ2430101017 Division 00 - Procurement & Contracting Requirements Project Name: Robinson Church Rd Sidewalk

CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM 00 55 00 - 1

00 55 00 – CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM

CBI Policy adopted July 1, 2023

The Charlotte Business INClusion (CBI) Program seeks to enhance competition and participation of Minority-owned, Women-owned, and Small Business Enterprises (MWSBEs) in City contracting.

To accomplish this, the City has increasingly examined its procurements and set specific MWSBE participation goals on a contract-by-contract basis.

In addition, CBI makes a concerted effort to expand its certified MWSBE vendor pool and assist city-certified firms in growing, enhancing, and developing their businesses. CBI currently offers numerous development programs that support certified businesses in organizational training, strategic development, and networking opportunities.

A complete list of City of Charlotte certified Small Business Enterprises (SBEs) and City of Charlotte registered Minority- Owned Business Enterprises (MBEs) and Women-Owned Business Enterprises (WBEs) (SBE, MBE, and WBE, collectively MWSBE) is available on the City’s InclusionCLT system: http://charlotte.diversitycompliance.com

PROJECT SUBCONTRACTING

GOAL:

MBE Goal: 7% WSBE Goal: 12%

In order to count MWSBE firms toward to project goal, MWSBEs must be certified with the City of Charlotte at the time of bid. For more information around certification requirements, please review the CBI Manual.

1. APPLICATION:

The City’s Charlotte Business INClusion (CBI) Policy and CBI Manual are incorporated into and made a part of this solicitation and the resulting contract (the “Contract”). Copies of the CBI Policy and CBI Manual may be obtained by:

Internet: www.charlottebusinessinclusion.com

Mail: Charlotte Business INClusion Office 600 East Trade Street Charlotte, North Carolina 28202

Capitalized terms used in this document shall have the meanings set forth in the CBI Manual. Each reference to “you” or “your” in these provisions refers to any entity that submits a bid, proposal or statement of qualifications on a City contract, and any entity that enters into a contract with the City.

For this solicitation, the CBI Manual requires that you either (a) meet the established Contract Goal, as listed on the first page of this document; or (b) comply with the Good Faith Efforts and Good Faith Negotiation requirements referenced in Section 3 below. Failure to comply with the CBI Policy and CBI Manual in the bid phase constitutes grounds for rejection of your Bid.

Failure to comply after the contract award may result in the assessment of damages and/or termination of your contract.

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2. SUBCONTRACTING GOALS:

You must submit your proposed MWSBE utilization for this Contract on CBI Form 3 (Subcontractor/Supplier Utilization Commitment Form) listing all subcontractors and suppliers that will be providing goods or services.

MBE or WBE established Goals can only be met with the City of Charlotte registered MBEs and WBEs that have been certified as a Historically Underutilized Business by the State of North Carolina.

SBE established Goals for this project can only be met with City of Charlotte certified SBEs.

CBI Form 3 MUST be submitted at the time of bid opening. Failure to submit CBI Form 3 at the time of bid opening shall constitute grounds for rejecting the Bid. All bidders must submit their proposed goal commitment at the time of Bid.

If the Bidder does not meet the goal at the time of bid opening, they will have twenty-four (24) hours to submit a completed CBI Form 3 demonstrating that they have met or exceeded the goal. If the goal is not met then, the City will proceed with the Good Faith Efforts process.

Bidders must state the projected dollar amount for each MWSBE firm listed on their CBI Form 3 and indicate the total dollar value of participation for the contract. In the event the bidder has no MWSBE participation, the bidder is still required to indicate this on CBI Form 3 by entering the word or number zero. Blank forms will be deemed to represent zero participation.

The City will only give Bidders credit towards the established Subcontracting Goal that:

a. Is listed on CBI Form 3 submitted at bid or within twenty-four (24) hours of bid opening (if goal not met at bid opening); and

b. Is listed on CBI Form 3A (when applicable); and

c. Is documented by CBI Form 4 (CBI Letter of Intent) which is submitted to the City within three (3) Business Days after the City requests it; and

d. Meets all of the requirements of the CBI Manual.

NOTE: MWSBEs listed on CBI Form 3 must be actively certified/registered with the City of Charlotte as of bid date and must be performing a Commercially Useful Function as defined in the CBI Manual.

Bids submitted that do not have the above required MWSBE information indicated on CBI Form 3 constitutes grounds for the Bid to be considered non-responsive and rejected.

The established Contract Goal will represent the total dollars to be spent with MWSBEs as a portion of the total bid amount, which includes Contingency and excludes Allowances. The MWSBE percentage will be rounded to two decimal places. As an example, if the MBE percentage is 3.571, it should be listed as 3.57%, or if it is 3.578, it should be listed as 3.58%. The percentage will not be rounded to the next “whole” number, i.e., 4%. A Bidder may round up if the third number after the decimal is a five (5) or greater.

In the event Alternates are selected by the City, the established Contract Goal for this Contract will apply to the total contract amount, including Contingency, selected Alternates, and excluding Allowances (“Total Contract Amount”). If a low Bidder would meet the established Contract Goal on the base bid amount, but would not meet the established Subcontracting Goal for the Alternates selected by the City, the Bidder will have three (3) days after the City notifies it of its low bid status to secure enough additional participation to meet the established Contract Goal calculated on the Total Contract Amount. The low Bidder will be required to utilize CBI Form 3A to meet this requirement. This in no way exempts the bidder from the CBI requirements due at bid time.

If the Bidder fails to meet the established Contract Goal, calculated on the Total Contract Amount, then the Bidder must earn the Minimum Good Faith Effort (GFE) Points and meet the Good Faith Negotiation requirements set forth in Section4 of the CBI Manual. GFE Points will be calculated, independently, for each Contract Goal that is not met. For instance, if the Bidder fails to meet the MBE, WBE, or SBE Contract Goal that was set, the bidder will have to earn the minimum GFE points for MBEs, WBEs, or SBEs.

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If the Bidder fails to meet the MBE, WBE, or SBE Contract Goal on the Total Contract Amount and fails to earn the required Good Faith Efforts points, the Bid will be rejected.

The City will request CBI Form 4 Letters of Intent if you are a finalist for contract award. You must submit a separate CBI Form 4 for each MWSBE subcontractor/supplier identified on CBI Form 3 (and CBI Form 3A, if applicable) within three (3) days after bid opening or as otherwise specified by the CBI Office.

3. GOOD FAITH EFFORTS and GOOD FAITH NEGOTIATION:

If two Contract Goals are established for this Contract, then the Bidder must meet each goal. For example if a MBE Goal and WBE Goal are established, Bidder must meet the MBE Goal and WBE Goal. If you do not meet each established Contract goal, then you must earn the minimum good faith effort (GFE) points and meet the good faith negotiation requirements as set forth in Section 4 of the CBI Manual for the Contract Goal that was not met.

Detailed information of the City’s Good Faith Efforts and Good Faith Negotiation requirements can be found in the CBI Manual, Section 4, . Failure to meet the Good Faith Efforts and Good Faith Negotiation requirements will constitute grounds for rejection of your Bid.

Documenting Good Faith Efforts. To demonstrate Good Faith Efforts (GFE) compliance, Bidders must complete and submit CBI Form 5: Good Faith Effort (GFE) and Statement of GFE Compliance. A minimum of fifty (50) GFE Points must be earned for each Contract Goal not met. If more than one Contract Goal is not met, then Bidders will be required to complete and submit a separate form for each unmet Contract Goal.

CBI Form 5 lists GFEs and the number of points attainable for each type of Good Faith Effort. The City will request your Good Faith Effort (GFE) / Statement of GFE Compliance if you are an apparent low Bidder for contract award who did not meet the Contract Goal. You must submit CBI Form 5 and all supporting documentation within three (3) Business Days after the City requests it.

In deciding whether to award GFEs, the City will assess whether the efforts employed by the Bidder are those that a prime contractor would reasonably be expected to take if actively and aggressively trying to meet the established Subcontracting Goal for the Contract. This assessment will be made on a case-by-case basis taking all available facts into account. The focus will be on the likely effectiveness of the steps taken. Mere pro forma efforts will not be sufficient.

The City can take into consideration the performance of the other Bidders and their achievement towards the Contract Goal when determining if a Bidder has achieved Good Faith Efforts. Additionally, the Business Inclusion Officer can take into consideration the Bidder’s past performance towards meeting Contract Goals on past City contracts.

All actions necessary to earn the required GFE Points must be undertaken prior to Bid Opening. Failure to comply with the requirements set forth in this section shall constitute grounds for rejecting a bid.

Exempted Performance A Business Enterprise, who intends to perform 100% of the work on a Contract, may submit an affidavit stating that the Bidder: (i) does not customarily Subcontract any element of work; and (ii) normally performs, has the capability to perform, and will perform all elements of work on this Contract with its own current workforces. The affidavit shall be in a form provided by the City as part of the Solicitation. After approval by the Business Inclusion Officer, the Bidder shall not be required to comply with Section 3 of the CBI Manual.

The City may reject a Bid for non-compliance if: (i) the Business Enterprise is not licensed to perform each and every type of work included in the Contract, (ii) based on past practice or other grounds, the Business Enterprise will not be performing all of the work under the Contract with its own current workforce; (iii) the request for approval is submitted more than three (3) Days of Bid Opening; (iv) insufficient documentation is received to support the request; (v) any special skill-based qualification is available to and/or possessed by MWSBEs; (vi) there is no significant increase in the cost to the Business Enterprise for an MWSBE to perform the scope of work.

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4. PROJECT DOCUMENTS / PLANS AND SPECIFICATIONS:

Plans and Specifications may be viewed at for appointment.

Other Locations:

Carolinas Associated General Contractors (CAGC) 4824 Parkway Plaza Blvd.

Charlotte NC 28217 704.372.1450 Documents through: Isqft https://www.isqft,com/start 800.364.2059

Hispanic Contractors Association of the Carolinas (HCAC) 226 Westinghouse Blvd. Ste. 604 Charlotte NC 28273 704.583.4184 www.hcacarolinas.org

Dodge Data & Analytics https://upload.construction.com/ dfmgr/login

Beatties Ford Road Vocational Trade Center, Inc.

1406 Beatties Ford Road Charlotte NC 28216 980.349.4067 http://www.beattiesfordvoccenter.com/ contact.php

5. CBI POLICY PROVISIONS APPLICABLE AFTER CONTRACT AWARD:

Should the Bidder be awarded a contract with the City, the Bidder should note Section 5 (Responsibilities After Contract Award) and Section 6 (Remedies and Liquidated Damages) of the CBI Manual

As a condition for receiving payments under this Contract, the Bidder agrees to submit any payment record into InclusionCLT, or any subsequent system designated by the City, detailing the amounts paid by the Bidders to all subcontractors and suppliers receiving payment in connection with this Contract.

6. CBI CONTRACT PROVISIONS:

The following provisions are incorporated into the contract.

The parties acknowledge and agree that:

(a) That Charlotte Business Inclusion Program Policy (“CBI Policy”) and its Administrative Procedures Manual (“CBI Manual”) are posted on the City’s website and available in hard copy form upon request. Both the CBI Policy and CBI Manual comprise the CBI Program.

(b) The terms of the CBI Program, as revised from time-to-time, are incorporated into this Contract by reference; and

(c) A violation of the CBI Program shall constitute a material breach of this Contract and shall entitle the City to exercise any of the remedies set forth in the CBI Program, including but not limited to liquidated damages.

(d) The City will incur damages if the Contractor violates the CBI Program, including but not limited to loss of goodwill, detrimental impact on economic development, and diversion of internal staff resources. The parties further acknowledge and agree that the damages the City might reasonably be anticipated to incur as a result of such failures are difficult to ascertain due to their indefiniteness and uncertainty. Accordingly, the Contractor agrees to pay the liquidated damages assessed by the City at the rates set forth in the CBI Program for each specified violation. The Contractor further agrees that for each specified violation the agreed upon liquidated damages are reasonably proximate to the loss the City will incur as a result of such violation.

(e) Without limiting any of the other remedies the City has under the CBI Program, the City shall be entitled to withhold periodic payments and final payment due to the Contractor under this Contract until the City has received in a form satisfactory to the City all claim releases, payment affidavits and other documentation required by the CBI Program. In the event payments are withheld under this provision, the Contractor waives any right to interest that might otherwise be warranted on such withheld amount under North Carolina General Statutes Section 143-134.1.

(f) The remedies set forth in the CBI Program shall be deemed cumulative and not exclusive and may be exercised successively or concurrently, in addition to any other available remedy.

(h) The Contractor agrees to participate in any dispute resolution process specified by the City from time-to-time for the resolution of disputes arising from the CBI Program.

(i) Nothing in this Section shall be construed to relieve a Contractor from any obligation it may have under North Carolina General Statutes Section 143-134.1 regarding the payment of subcontractors.

(j) Payment Reporting. As a condition for receiving payments under this Agreement, the Contractor agrees to submit any payment record into InclusionCLT, or any subsequent system designated by the City, detailing the amounts paid by the Contractor to all subcontractors and suppliers receiving payment in connection with this Contract

Remedies for Violation of CBI Policy.

A violation of the CBI Program by a Contractor is deemed to be a material breach of the Contract. The City shall be entitled to:

(i) exercise all rights and remedies at law or at equity; (ii) terminate the Contract for default; (iii) suspend the Contract for

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default; (iv) withhold all payments due to the Contractor until the violation has been fully cured; (v) withhold all payments due to the Contract until a mutually agreeable resolution has been reach with the City; and/or (vi) assess any liquidated damages under Section 6.2 of the CBI Manual. The remedies set forth herein shall be deemed cumulative and not exclusive, and may be exercised successively or concurrently, in addition to any other available remedy.

Liquidated Damages. The City and the Contractor acknowledge and agree that the City will incur costs if the Contractor violates the CBI Policy and/or CBI Manual in one or more of the ways set forth below, including but not limited to loss of goodwill, detrimental impact on economic development and diversion of internal staff resources. The parties further acknowledge and agree that the damages the City might reasonably be anticipated to accrue as a result of such failures are difficult to ascertain due to their indefiniteness and uncertainty. Accordingly, the Contractor agrees to pay the liquidated damages assessed by the City at the rates set forth below for each specified violation of the CBI Policy. The Contractor further agrees that for each specified violation the agreed upon liquidated damages are reasonably proximate to the loss the City will incur as a result of such violation:

I. Failure to Meet Contract Goal

If a Contractor will not or did not meet a Contract Goal and such failure is not excused pursuant to Section 5.1.2 of the CBI Manual, then the City may assess the lesser of: (a) $200,000 or (b) the dollar difference between the Contract Goal and the Contractor’s actual MWSBE utilization. This may be assessed only once per Contract.

II. Use of a Conduit If the Contractor lists an MWSBE for a Contract Goal with knowledge that the MWSBE will be acting as a Conduit or will not be performing a Commercially Useful Function, the City may assess the lesser of: (a) $100,000 per incident;

or (b) the dollar amount stated on the MWSBE’s letter of intent.

III. Wrongful Termination or Replacement of an MWSBE Subcontractor If the Contractor terminates or replaces an MWSBE Subcontractor in violation of Section 5.3.1 of the CBI Manual, then the City may assess the lesser of: (a) $50,000 per incident; or (b) the dollar amount of the prospective work to be performed by the MWSBE Subcontractor.

IV. Failure to Perform Modified Good Faith Efforts If the Contractor fails to comply with Section 4.2 of the CBI Manual, then the City may assess the lesser of: (a) $50,000 per incident; or (b) the dollar amount of the prospective work to be performed by the MWSBE Subcontractor.

V. False Statements and Misrepresentations If the Contractor makes a false statement, material misrepresentation, or material misleading omission regarding any matter, then the City may assess the lesser of: (a) $50,000 per incident; or (b) the dollar difference between the Contractor represented as payment and what was actually paid. In the event of any overlap between Section 6.2.5 of the CBI Manual and Section 6.2.2 of the CBI Manual, then the damages set forth in Section 6.2.2 of the CBI Manual shall apply.

VI. Failure to Respond to Request for Information If the Contractor fails to provide any report, documentation, affidavit, certification, or written submission required under the CBI Program within the time period set forth therein, the City may assess $40 per Day until receipt of the item.

VII. Use of An Affiliate to Meet the Contract Goal If the Contractor listed an MWSBE for a Contract Goal with knowledge that the MWSBE is an Affiliate and the City cannot invoke Section 5.2.2 of the CBI Manual, then the City may assess the lesser of: (a) $75,000 per incident or (b) the dollar amount paid to the MWSBE Affiliate. In the event of any overlap between Section 6.2.7 of the CBI Manual and Section 6.2.2 of the CBI Manual, then the damages set forth in Section 6.2.2 shall apply.

VIII. Quick Pay Commitment If a Quick Pay Commitment is offered to any MWSBE Subcontractor in the Vendor Documents but is not subsequently honored, then the City may assess the lesser of: (a) $50,000 or (b) ten percent (10%) of the dollar amount listed on the MWSBE Subcontractor’s letter of intent.

IX. Violation of Exempt Performance Allowance If a Contractor submits an affidavit under Section 3.2 of the CBI Manual but Subcontracts thereafter, then the City may assess the lesser of: (a) $25,000 per incident; or (b) the dollar amount of the work performed by any and all Subcontractors.

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The City shall be entitled to exercise all remedies and recover all damages set forth in Section 6 of the CBI Manual directly from each Contractor that the City enters into a Contract with, regardless of whether such remedies or damages are due to a breach by that Contractor or by a Subcontractor on the applicable project. Each Contractor on a Contract shall be responsible for taking appropriate measures to enable it to exercise all remedies and recover all damages set forth in Section 6 directly from each Subcontractor. Additionally, the City shall be a third-party beneficiary to each Contract for the purpose of seeking injunctive relief and other remedies to the extent necessary to enforce the CBI Program directly against Contractors, though the City shall have no obligation to do so.

7. CBI FORMS:

Bidders shall submit the following CBI forms within the timeframes indicated below:

CBI FORM SUBMISSION REQUIREMENTS

CBI Form 1: Intent to Perform Contract with Own Workforce Affidavit A Bidder that intends to perform 100% of the work on a Contract with its own workforce must submit an Affidavit (CBI Form 1) stating that the Bidder does not customarily subcontract elements of this type project, and normally performs and has the capability to perform and will perform all elements of work on this Contract with its own current workforces.

If the Bidder is not licensed to perform each and every type of work included in the Contract, or if the City has cause to believe based on past practice or other grounds that the Bidder will not be performing all work under the Contract with its own workforce, then the City may reject the Bidder’s Bid for non-compliance with the CBI Policy.

Due at bid opening if the Bidder intends to perform 100% of the work. In addition to submitting a completed CBI Form 1, the Bidder must also provide, at Bid Opening sufficient supporting documentation for the City to determine that the Bidder does not customarily subcontract work on this type project.

CBI Form 2: Solicitation Form Identifies all MWSBEs the Bidder contacted and any MWSBEs that contacted the Bidder.

Documentation content includes: Scope of work, MWSBE contact, date and method of contact, response status, as well as other information.

Note: For each scope of work bid by a MWSBE and NOT awarded to a MWSBE, Bidder must complete CBI Form 2A documenting the reason(s) for rejecting the MWSBE’s Bid.

Not due at time of bid.

This form will only need to be submitted if the Bidder does not meet the established goal(s). If requested by the City, Bidder must submit form within three (3) Business Days from the initial request.

ALL supporting documentation, reflecting the solicitation methods and content, must be submitted at the same time as CBI Form 2.

CBI Form 2A: Good Faith Negotiation Form.

Bidders must submit a completed CBI Form 2A for each MWSBE who bid the project and was ultimately not selected by the Bidder to participate on the Contract.

Not due at time of bid.

This form will only need to be submitted if the Bidder does not meet the established goal(s). If requested by the City, Bidder must submit form within three (3) Business Days from the initial request.

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CBI FORM SUBMISSION REQUIREMENTS

CBI Form 3: Subcontractor / Supplier Utilization Commitment.

Identifies all MWSBE, and non-MWSBE subcontractors and suppliers to be utilized on the Contract and the dollar amounts committed to MWSBEs and non- MWSBEs.

DUE AT BID OPENING. Must be completed and signed.

CBI Form 3A: Subcontractor/Supplier Utilization Commitment – ALTERNATES.

Identifies additional MWSBE commitments made after Bid Opening, when there are accepted alternates.

This form will only be accepted when the City selects alternates.

Not due at time of bid.

This form will be requested if the project contains alternates. If requested by the City, Bidder must submit form within three (3) Business Days from the initial request.

CBI Form 4: Letter of Intent.

Bidders must submit a separate Letter of Intent executed for each MWSBE listed on CBI Form 3 and CBI Form 3A (if applicable) that the Bidder commits to utilize on the Contract.

Not due at time of bid.

Must be submitted within three (3) Business Days after requested by the City.

CBI Form 5: Good Faith Efforts (GFE) and Statement of GFE Compliance.

Identifies the minimum GFE points required for this contract, the GFE Categories, and respective GFE Points value for each GFE Category.

Bidder must check each GFE Category for which it has performed the respective effort, as described in Part B Section 5.3 of the CBI Policy.

Not due at time of bid.

This form will only need to be submitted if the Bidder does not meet the established goal(s).

If requested by the City, Bidder must submit form within three (3) Business Days from the initial request.

All CBI Forms are available online at www.charlottebusinessinclusion.com

MWSBE vendors can be found on the City’s InclusionCLT system: https://charlotte.diversitycompliance.com/

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CBI FORM 1 - INTENT TO PERFORM CONTRACT WITH OWN WORKFORCE

Affidavit of (Name of Bidder)

I hereby certify that I have read Section 3.2 of the CBI Administrative Procedures Manual, and affirm that it is our intent to perform 100% of the work required for the

Contract.

(Name of Project)

In making this certification, the Bidder states that the Bidder does not customarily subcontract elements of this type project, and normally performs, and has the capability to perform, and will perform all elements of the work on this project with the Bidder’s own current work forces; and

The Bidder agrees to provide any additional information or documentation requested by the City of Charlotte in support of the above statement. If additional scopes of work are added after the Bidder has been awarded the Contract, then the Bidder agrees to make a Good Faith Effort to utilize certified Minority, Women, Small Business Enterprises (MWSBEs), as applicable, where possible.

The undersigned hereby certifies that they have read this certification and is authorized to bind the Bidder to the commitments herein contained.

Date: Name of Authorized Officer:

Signature:

Title:

State of County of

Subscribed and sworn to before me this day of 20

Notary Public

My commission expires

Version 06-2023

SEAL

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CBI FORM 2: SOLICITATION FORM

Copy this Form 2 as needed to document MWSBE contacts.

Per Section 4 of the CBI Administrative Procedures Manual, the Bidder must make the required contacts no less than ten (10) Days before Bid Opening to receive credit for this Good Faith Effort. All contacts must be verifiable with supporting documentation reflecting the methods and content of the solicitation. All documentation must be submitted with CBI Form 2. Bidder may also provide an Excel sheet with the same information listed in this Form 2 as supplemental documentation.

A Bidder must submit CBI Form 2 within the time specified in the City Solicitation Documents. If no time period is specified in the City Solicitation Documents, the Bidder must submit CBI Form 2 within three (3) Business Days after the City requests it.

If checking “No” for “Selected” below, the Bidder must document the reasons for rejecting each bid submitted by an M/W/SBE on CBI Form 2A.

Bidder Name:

Project Name:

Project Number:

Number of M/W/SBEs Contacted by Bidder:

M/W/SBE Firm (Circle one or both):

Contact Person:

Scope of Work: NIGP Commodity Code:

Initial Contact: Date: Method: Email Fax Courier

Follow-up: Date: Method: Phone In-Person

Response: No response Not bidding Is bidding $ Other (explain)

Selected: Yes NO (explain)

Follow-up: Date: Method: Phone In-Person

Follow-up: Date: Method: Phone In-Person

Follow-up: Date: Method: Phone In-Person

Response: No response Not bidding Is bidding $ Other (explain)

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CBI FORM 2A: GOOD FAITH NEGOTIATION FORM

This Bidder must complete this form for each M/W/SBE who submitted a project bid but was not included on the Bid submission.

A Bidder must submit CBI Form 2A within the time specified in the City Solicitation Documents. If no time period is specified in the City Solicitation Documents, the Bidder must submit Form 2A within three (3) Business Days after the City requests it.

Per Section 4 of the CBI Administrative Procedures Manual, Bidders must provide Good Faith Negotiation documentation within the time period specified by the City. Failure to comply with this requirement shall constitute grounds for rejecting a Bid.

Project Name:

Contact Person Name:

M/W/SBE INFORMATION

Firm Name Scope of work for which a Bid was submitted M/W/SBE Bid Amount ($)

Rationale for REJECTING M/W/SBE’s SUBCONTRACTING BID:

Was the M/W/SBE’s bid higher than what was proposed by the subcontractor/supplier selected by the Bidder? Y N

Was the M/W/SBE’s bid higher than the Bidder’s cost of performing such work on its own? Y N

Who were the other Bidders? What were the Bid Amounts?

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

Is the Business Enterprise that will be performing in place of the Interested M/W/SBE more qualified than the Interested M/W/SBE, to the extent that such difference in qualification would materially impact the Bidder’s Bid?

Explanation:

Y N

Is there a material deficiency with the Interested M/W/SBE’s bid? (e.g. Bid submitted late; Bid had inaccurate information)

Y N

If the M/W/SBE was NOT a “Qualified M/W/SBE” (as defined in Section 2 of the CBI Administrative Procedures Manual), please state the reasons below:

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CBI FORM 3A: SUBCONTRACTOR/SUPPLIER UTILIZATION COMMITMENTS – ALTERNATES

Copy this CBI Form 3A as needed.

In the event Alternates are selected by the City, the established Subcontracting Goal(s) for this Contract will apply to the total contract amount, including contingency and the selected Alternates (“Total Contract Amount”). In such an instance, Bidders must identify additional M/W/SBE commitments (for all tiers) and submit CBI Form 3A showing all commitments made after Bid Opening.

Bidder is not exempt from the CBI requirements due at bid time. In order to submit CBI Form 3A showing additional M/W/SBE commitments, a Bidder MUST either (i) have submitted CBI Form 3 at Bid Opening (and/or within 24 hours of bid opening) with 100% (or more) of the established Subcontracting Goal(s) met on the Total Contract Amount, or (ii) have met the Good Faith Efforts and Good Faith Negotiation requirements set forth in Section 4 of the CBI Administrative Procedures Manual. If the Bidder fails to meet both the established Subcontracting Goal(s), and the Good Faith Efforts and Good Faith Negotiation requirements set forth in Section 4 of the CBI Administrative Procedures Manual, the Bid shall be rejected.

A Bidder must submit CBI Form 3A within three (3) Business Days after the City requests it.

MBE Goal: WBE Goal:

SBE Goal:

List below the additional M/W/SBE commitments that you intend to use on this Contract, committed post-Bid Opening, as a result of alternates selected by the City. Scopes of work and NIGP codes listed below on Form 3A cannot have been listed on CBI Form 3, unless the amended utilization is associated with an M/W/SBE already listed on CBI Form 3.

M/W/SBE Name Description of work / materials

NIGP

Commodity Code Total Projected Utilization ($)

Form 3A MBE Utilization $

Form 3A WBE Utilization $

Form 3A SBE Utilization $

Initial Form 3 MBE Utilization $

Initial Form 3 WBE Utilization $

Initial Form 3 SBE Utilization $

Cumulative MBE Utilization (Form 3 & Form 3A) $

Cumulative WBE Utilization (Form 3 and Form 3A) $

Cumulative SBE Utilization (Form 3 and Form 3A) $

Total Contract Amount (including Contingency and alternates selected by the City) $

Percent MBE Utilization (Cumulative MBE Utilization divided by Total Contract Amount) %

Percent WBE Utilization (Cumulative WBE Utilization divided by Total Contract Amount) %

Percent SBE Utilization (Cumulative SBE Utilization divided by Total Contract Amount) %

Signature Your signature below indicates that the undersigned Company certifies and agrees that:

(a) It has complied with all provisions of the CBI Policy; and (b) failure to properly document such compliance in the manner and within the time periods established by the CBI Policy shall constitute grounds for rejection of your bid.

Signature of Authorized Official Printed Name Title Submittal Date

CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM 00 55 00 - 12

CBI FORM 4: LETTER OF INTENT

Per Section 3.5 of the CBI Administrative Procedures Manual, within three (3) Business Days after receiving a request from the City (or within such longer time as may be communicated by the City in writing), a Bidder must submit a separate Letter of Intent for each M/W/SBE listed on CBI Form 3 and CBI Form 3A (if applicable).

To be completed by the Bidder

Name of Bidder:

Address:

Contact Person: Email:

Telephone: Fax:

If the Bidder has entered into a Quick Pay Agreement, in association with this Letter of Intent and as defined in the CBI Administrative Procedures Manual, please attach a copy of the executed Agreement with the undersigned M/W/SBE.

Identify in complete detail the scope of work to be performed or item(s) to be supplied by the M/W/SBE.

Cost of work to be performed by the M/W/SBE: $

To be completed by the M/W/SBE

Name of the M/W/SBE:

Address:

Contact Person: Email:

Telephone: Fax:

Upon execution of a Prime Contract with the City for the above referenced project, the Bidder certifies that it intends to utilize the M/W/SBE listed above, and that the description, cost and percentage of work to be performed by the M/W/SBE as described above is accurate. The M/W/SBE firm certifies that it has agreed to provide such work/supplies for the amount stated above.

Bidder:

Date:

Signature and Title

M/W/SBE Firm:

Date:

(Circle one or both)

Signature and Title

CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM 00 55 00 - 13

CBI FORM 5 - GOOD FAITH EFFORTS (GFE) AND STATEMENT OF GFE COMPLIANCE

Per Section 3 of the CBI Administrative Procedures Manual, if a Bidder has not fully met the established Subcontracting Goal(s) for this project, then the Bidder must document it has met the GFE requirements by completing this Form. GFE Points will be calculated, independently, for each Subcontracting Goal that is not met. For instance, if the Bidder fails to meet both the WBE Goal and the MBE Goal that was set, the Bidder will have to earn the minimum GFE points for WBEs and also the minimum GFE Points for MBEs.

Detailed information of the City’s GFE requirements can be found in Section 4 of the CBI Administrative Procedures Manual. The Bidder must submit CBI Form 5 within three (3) Business Days after the City requests it, unless specified otherwise in the City Solicitation Documents. Failure to do so constitutes grounds for rejection of the Bid. Below is a list of Good Faith Efforts as defined in Section 4. To the left of each item is the number of points assigned to that item. Please place an “X” in the first column for each item you are claiming credit. Failure to achieve the minimum number of Good Faith Efforts points stated in the box below constitutes grounds for rejection of your bid.

NOTE: All actions necessary to earn GFE Points must be undertaken prior to Bid Opening.

Total Available GFE Points is: 155 Minimum Number of GFE Points Required for this Project is: 50

Points Good Faith Effort (GFE)

Section 4.1.1: Contacts. Any communication with MWSBEs must be through personal, frequent, and persistent contact and by promptly returning telephone calls, facsimiles, and emails. MWSBEs shall be contacted in a manner reasonably calculated to meet each Contract Goal established for the Contract. Factors considered may include, but are not limited, to:

4.1.1.1 The number of MWSBEs contacted in the Relevant Market;

4.1.1.2 Whether MWSBEs perform scopes of work sufficient to meet each Contract Goal;

4.1.1.3 Whether the contacts were made for the first time at least ten (10) Days before the Bid Opening;

4.1.1.4 How the contacts were made;

4.1.1.5 Whether the contacts were documented in a verifiable way (and in compliance with any forms provided by the City);

4.1.1.6 Whether the substance of the Vendor Documents was reasonably sufficient to generate a response from MWSBEs;

4.1.1.7 Whether prompt and adequate responses were provided to MWSBE inquiries;

4.1.1.8 Whether follow-up contacts were made to MWSBEs that did not respond to the initial contact;

4.1.1.9 Whether the Bidder provided the project name and Vendor Documents; and,

4.1.1.10 Whether a written or electronic correspondence log was maintained which listed the names of MWSBEs contacted, telephone or fax numbers, email addresses, dates of contact, scope of work for which each MWSBE was asked to provide a bid, and the results of that contact.

Section 4.1.2: Making Plans Available. The Solicitation and Vendor Documents shall be available at least ten

(10) Days before the Bid Opening for inspection by any MWSBE contacted under Section 4.1.1. MWSBEs may access the Solicitation and Vendor Documents at no cost to them either (i) through an email address or electronic document storage, (ii) on a website, (iii) at a physical address, (iv) by a mailing address, and/or (v) by a telephone/fax number.

CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM 00 55 00 - 14

Section 4.1.3: Breaking Down Work. Any work for MWSBEs should be broken down or combined to facilitate MWSBE participation and provided to any MWSBE contacted under Section 4.1.1. The break down or combination of work may be shown through active negotiations with MWSBEs or by placing the scopes of work in the Vendor Documents and expressing a willingness to negotiate with MWSBEs about the scope of work. No points shall be awarded for simply restating the scopes of work listed in the Solicitation.

Section 4.1.4: Working With MWSBE Assistance Organizations. Any outreach to an MWSBE Assistance Organization for the recruitment of MWSBEs must occur at least ten (10) Days before Bid Opening. No points shall be awarded for only posting the Vendor Documents on the website of the MWSBE Assistance Organization. Examples of working with assistance organizations include, but are not limited to, holding a project specific information session with an organization, presenting at a member meeting or holding an outreach event with the organization.

An “MWSBE Assistance Organization” is an organization identified by the City of Charlotte and listed in the City Solicitation Documents as providing assistance in the recruitment of MBEs/SBEs.

Section 4.1.5: Attendance at Pre-Bid. The name and signature of the Business Enterprise’s representative must be placed on the City’s sign-in sheet for any Solicitation meeting or attendance recorded by the City if the Pre-Bid meeting is held virtually.

Section 4.1.6: Bonding or Insurance Assistance on Construction Contract. MWSBEs should receive significant and meaningful bonding, insurance, or an alterative to bonding and insurance requirements and any corresponding verification shall provide: (i) the MWSBE’s contact information; (ii) a description of what was provided; (iii) when it was provided; and, (iv) any additional information requested by the City. No points shall be award for any assistance provided to an Affiliate.

Section 4.1.7: Negotiating in Good Faith with MWSBEs. Frequent communications must demonstrate an ongoing good faith negotiation with any MWSBE about performing a scope of work. If the MWSBE is not utilized, then any corresponding verification shall provide: (i) the MWSBE’s contact information; (ii) a description of the scope of work discussed during the negotiation; (iii) the price for the scope of work; (iv) when the negotiation occurred; (v) the results of the negotiation; (vi) any legitimate reason for not utilizing the MWSBE; and, (vii) the responses to the Vendor Documents from other Business Enterprises. No points shall be award for any assistance provided to an Affiliate or for reasons deemed to be illegitimate by the City.

Section 4.1.8: Financial Assistance. MWSBEs should receive significant and meaningful financial assistance and any corresponding verification shall provide: (i) the MWSBE’s contact information; (ii) a description of what was provided; (iii) when it was provided; and, (iv) any additional information requested by the City. No points shall be award for any assistance provided to an Affiliate.

Section 4.1.9: Entering Into Joint Venture. Any Business Enterprise negotiating to create a Joint Venture shall provide the following corresponding verification: (i) the MWSBE’s contact information; (ii) a description of the proposed Joint Venture; (iii) when it was offered; and, (iv) any additional information requested by the City. No points shall be award for any assistance provided to an Affiliate

Section 4.1.10: Quick Pay Agreements on the Construction Contract Up For Award. A written Quick Pay Commitment must be provided to all MWSBEs contacted under Section 4.1.1 and must be provided prior to Bid Opening. No points shall be awarded if (i) no points were awarded for Section 4.1, (ii) the Quick Pay Commitment has a statement indicating that the Bidder will consider entering into a Quick Pay Commitment;

or (iii) the Bidder only verbally communicated the Quick Pay Commitment to the Subcontractor.

Total GFE Points (Claimed by Bidder) _____ Total GFE Points Earned (Assessed by City) ______