3-Request For Qualifications 13MAR2026.pdf

REQUEST FOR CONTRACTOR QUALIFICATIONS

FOR CONSTRUCTION OF THE

TANNER RESERVOIR VALVE REPLACEMENT

PROJECT NO. 513800052

March 2026

OWNER

Salt Lake City Public Utilities

1805 W 500 South

Salt Lake City, UT 84104

ENGINEER

Advanced Engineering and Environmental Services, LLC

3400 N Ashton Boulevard, Suite 105

Lehi, UT 84048

Project No. 513800052

Tanner Reservoir Valve Replacement Page 2 Contractor Prequalification

CONTRACTOR PREQUALIFICATION REQUIREMENTS

Salt Lake City Department of Public Utilities (SLCDPU) is seeking Statements of Qualifications (SOQ)from qualified Contractors for the construction of the Tanner Reservoir Valve Replacement (Project). This document describes the requirements for prequalification of General Contractors to perform the work, the submittal requirements for prequalification statements and the evaluation criteria that will be used for the Contractor selection process.

PURPOSE AND APPROACH

The purpose of the prequalification process is to select those Contractors (General Contractors who will submit bids for the Work) that the Owner deems to be qualified and capable of completing the Project in conformance with the Contract Documents.

Parties submitting Statements of Qualifications in accordance with these documents will be notified whether or not they are selected for prequalification. Prequalified Contractors will be identified in the Notice Inviting Bids for the construction phase of the Project.

Selection as a prequalified Contractor does not imply Owner's acceptance or approval of the Contractor's specific personnel, equipment or methods, whether or not these items are described in the Contractor's prequalification statement.

PROJECT INTRODUCTION AND BACKGROUND

The Big Cottonwood Conduit (BCC) is a 6.6-mile transmission pipeline that delivers culinary water from the Big Cottonwood Water Treatment Plant (BCWTP) to Salt Lake City following Wasatch Blvd. & I-215. The portion of the BCC that is included in this project scope was installed in 1982.

Currently there are no in-line isolation valves on the BCC, and thus no way to inspect or repair any portion of the BCC without shutting down the BCWTP and draining the entire transmission main. In recent years there have been several incidents of external damage from construction activities which have necessitated emergency shutdowns.

The Tanner Turnout is located on Wasatch Blvd just north of the Old Mill Golf Course and provides BCC water to the Victory/Tanner pressure zone. Isolation for Tanner Turnout has previously been provided by two 18-inch AWWA butterfly valves, but in recent years both valves have been leaking.

Additionally, SLCDPU has received federal funding from the EPA as part of the Community Grants Program for ‘Salt Lake City Corporation for Waterline replacement project and related infrastructure’. SLCDPU has identified the Tanner Reservoir Valve Replacement as the best project that matches the original intent of

Tanner Reservoir Valve Replacement Page 3 Contractor Prequalification the federal funding. As such, the construction project must fully comply with federal funding requirements.

Available Project Information

To assist Contractors responding to this Statement of Qualification, Preliminary Drawings and Specification for the Tanner Reservoir Valve Replacement Project are located in Attachment A.

PROJECT DESCRIPTION

Overview

The estimated construction cost for the Project is approximately $2.5 million. The WORK will include the following:

• Improvements in the existing Tanner Turnout Vault including two new 18-inch high-performance butterfly valves, a new flow meter, vault ventilation, electrical and telemetry.

• Installation of new BCC Isolation Vault to include a 72-inch high-performance butterfly valve, two new access manways, two air-vacuum valves, and an 8-inch ductile iron drainpipe with a discharge structure.

• Replacement of approximately 100 feet of 72-inch PCCP pipeline with ¾-inch thick welded steel pipe along Wasatch Blvd.

Familiarity with Project

Contract bid documents (drawings and specifications) for the Project are currently in the final design phase.

Documents defined above are for review only. After reviewing the prequalification documents and preliminary plans, questions regarding project scope and schedule shall be submitted in writing to SLCDPU through the project solicitation at U3P.

Contractors are advised that technical and contractual changes to the construction drawings and specifications are anticipated prior to bidding. Prequalification will not exempt a contractor from meeting any of the requirements of the Contract Documents. The Contractor's Statement of Prequalification’s is not part of the Contract Documents.

Federal Funding Requirements

Contractors on federally funded projects must meet several key federal compliance requirements. Some of which include:

• Buy American Act (BABA): Use domestically manufactured materials unless a formal waiver is approved.

• Davis‑Bacon Act: Pay prevailing federal wage rates and fringe benefits to all laborers and mechanics on the project.

Tanner Reservoir Valve Replacement Page 4 Contractor Prequalification

• DBE/WBE Participation: Conduct documented outreach and provide subcontracting opportunities for Disadvantaged and Women’s Business Enterprises, consistent with project goals.

• Debarment Verification: Confirm that no contractor, subcontractor, or supplier on the team is listed as suspended or debarred in SAM.gov.

TENTATIVE PROJECT SCHEDULE

Prequalification Documents Available March 13, 2026 Statements of Qualifications Due April 10, 2026 Notification for Qualified Contractors April 17, 2026 Project Bidding July 2026* Project Award August 2026* Project Construction Begins October 2026*

* Tentative dates

CONFIDENTIALITY

All responses, inquiries, and correspondence relating to this Request for Qualifications (RFQ) and all reports, charts, displays, schedules, exhibits, and other documentation produced by the offeror that are submitted to the City, as part of the proposal or otherwise, shall become the property of the City when received by the City and may be considered public information under applicable law. The City is subject to the disclosure requirements of the Government Records Access and Management Act, Title 63G, Chapter 2, Utah Code Annotated (“GRAMA”). The City generally considers proposals and all accompanying material to be public and subject to disclosure. Any material considered by the offeror to be proprietary must be accompanied by a written claim of business confidentiality containing a concise written statement of reasons supporting the claim. Blanket claims that the entire SOQ is confidential will be denied. The City cannot guarantee that any information will be held confidential. If the offeror makes a claim of business confidentiality, the City, upon receipt of a request for disclosure, will determine whether the material should be classified as public or nonpublic, and will notify the offeror of such determination.

The offeror is entitled under GRAMA to appeal an adverse determination. The City is not obligated to notify the offeror of a request to see the offeror’s proposal, and will not consider a claim of confidentiality, unless the offeror's claim of confidentiality is made in a timely basis and in accordance with GRAMA.

Tanner Reservoir Valve Replacement Page 5 Contractor Prequalification

PROJECT ADMINISTRATION

Inquiries and communications regarding this request shall be submitted in writing to SLCDPU through the project portal at U3P. The deadline for inquiries is April 8, 2026, at 2:00 pm MST.

SUBMISSION REQUIREMENTS

The deadline for submission of Statements of Qualifications is April 10, 2026, at 2:00 pm MST. Late submittals will not be accepted. Submittals shall be submitted in electronic format through the project portal at U3P.

Instructions: Compile your cover page, qualifications and proposal responses, and any other correspondence into one single PDF file. Upload your single file for this event using the U3P website. Responses must be uploaded and the electronic submission completed by the time and date specified. After uploading your response file, offerors MUST go to "Review and Submit" and click "SUBMIT RESPONSE" to complete the process. Responses submitted electronically through U3P require uploading of electronic attachments. U3P will accept a wide variety of document types as Word, Excel, and PDF attachments but not all. You MAY NOT submit documents that are embedded (zip files), movies, wmp and mp3 files or password protected files, etc. Such actions may cause your SOQ to be deemed as "non-responsive".

Statements of Qualifications should be well-organized and concise. The Owner reserves the right to request a contractor to clarify any part of his statement.

Response to such requests must be made in writing and will become part of the Statement of Qualifications. Unsolicited supplementary information and materials received after the deadline will not be considered in the evaluation.

Contractor’s submission must follow these requirements:

• Submit all required information as defined in the subsection Content of Submission in this RFQ.

• Submit via U3P one (1) electronic response in PDF format.

• Label the submitted file “Contractor Statement of Qualifications for

Construction of Tanner Reservoir Valve Replacement” and the submission deadline date.

• Submission deadline is 2:00 PM on Friday April 10, 2026. Responses received after the 2:00 pm deadline will not be considered.

CONTENT OF SUBMISSION

The Statement of Qualification shall be submitted in a PDF document and shall not exceed 10 pages, minimum 11-point font. Résumés may be attached and are not included in the page limit. The document shall include a cover page identifying it as

Tanner Reservoir Valve Replacement Page 6 Contractor Prequalification

“Tanner Reservoir Valve Replacement – Project No. 513800052, SOP, SLCDPU”. The cover does not count as one of the 10 pages. The response shall be signed by an officer or employee of the Contractor authorized to bind the Contractor contractually.

It is the Contractor’s responsibility to assure delivery of its submittal to SLCDPU prior to or at the designated date and time. Contractors will not be entitled to withdraw or amend their SOPs once submitted to SLCDPU.

SLCDPU reserves the right to request clarification of any item in a team’s response or to request additional information necessary to properly evaluate qualifications. All requests for clarification and responses shall be in writing via U3P.

The Statement of Qualifications shall include the information requested below:

1. Cover Page

2. Contractor Prequalification Information Form

3. Personnel and Qualifications

4. Previous Project Experience

5. Financial Information

6. Risk Assessment

7. Sustainability

8. Contractor’s Certification

Cover Page

The Cover Page shall identify the document as a Statement of Qualifications and shall include the name of the Owner, the name of the Project, and the name of the Contractor submitting the Statement of Qualifications.

Contractor Prequalification Information Form

The contractor shall complete items 1 through 10 below for this section of the Statement of Qualifications.

1. Contractor's name: _____________________________________________________

2. Business address: ______________________________________________________

3. Telephone number: _____________________________________________________

4. Facsimile number:______________________________________________________

5. Firm type: _____Corporation _____Partnership _____Individual _____Joint Venture

6. Date company was organized: ____________________________________________

Tanner Reservoir Valve Replacement Page 7 Contractor Prequalification

7. Name of current President or CEO: ________________________________________

a. Number of years in that position:_____________________________________

8. Number of permanent office and support employees:___________________________

a. Number of permanent field employees:________________________________

9. How long has company been doing work similar to proposed project:______________

10. Contractor's License:____________________________________________________

a. Primary trade classification: ________________________________________

b. License No. and expiration date: _____________________________________

c. State(s) in which licensed:__________________________________________

d. Name on license (if different than contractor name): _____________________

Personnel and Qualifications

Present information which will identify key personnel who will be assigned to the project. List the experience in the last 10 years of the proposed project team for this project, with emphasis on the construction of projects that include the installation of large diameter steel pipe and high performance valves. Provide resumes for the following individuals, including experience, education, position occupied and duties on each assignment, number of years with the organization, and references:

• Project Manager

• Project Superintendent

Identify which major trade work (i.e., structural, mechanical, electrical, civil, instrumentation) will be completed by the Contractor's forces and which will be performed by subcontractors.

If awarded, the Contractor shall use the Project Manager and Project Superintendent listed in this section of the Statement of Qualification throughout the duration of the project. Substituting non-prequalified Project Managers and/or Project Superintendents during or after the bidding process may render a bid non-responsive.

Previous Project Experience for Company

Present information on similar pipe and valve installation projects completed by the Contractor in the past 10 years. Projects listed should demonstrate experience with the installation of large diameter, (60-inches in diameter and greater) steel pipe and valves. Include the following information for each project listed:

Tanner Reservoir Valve Replacement Page 8 Contractor Prequalification

• Name of project

• Owner (include reference and phone number)

• Engineer (include reference and phone number)

• Year completed

• Dollar value of work performed

• Sizes of steel pipe installed, with emphasis on large diameter steel pipe and high performance valves (60-inch diameter and greater)

• Information on traffic and public information management procedures

• Completed within time allowed? (if no, explain)

• Were any claims or disputes filed? (if yes, explain)

The Owner shall be entitled to contact each and every reference listed by the Contractor. The Contractor, by submitting a Statement of Qualification expressly agrees that any Contractor information in possession of said entities and references may be made available to the Owner. Owner may also contact additional parties that have received work from the Contractor to further evaluate the Contractor's work performance.

Financial Information

Submit a certified financial statement for the Contractor's most recent accounting period. Submit a letter from Contractor's Surety Company specifying Contractor's total bonding capacity and current unused bonding capacity. Submit additional references and information sufficiently comprehensive to permit an appraisal of Contractor's current financial condition.

Complete items 1 through 4 below. If additional space is need, attach additional pages and submit with this section.

1. Contractor's Surety (name, address, telephone number and contact person):_________ What is this Contractor's approximate total bonding capacity? ____________________ What is the Bonding company's current rating by A.M. Best? ____________________

2. Contractor's Bank or Financial Institution (name, address, telephone number and contact person): _______________________________________________________ What is the largest contract (name, Owner, and dollar amount) that this Contractor has completed?___________________________________________________________ What is this Contractor’s current rating with Dun & Bradstreet?__________________ What is this Contractor’s current working capital?_____________________________

Tanner Reservoir Valve Replacement Page 9 Contractor Prequalification

3. Contractor's Insurance Company (name, address, telephone number and contact person):______________________________________________________________ What is this Insurance Company’s current rating by A.M. Best?__________________ Has this Contractor been refused surety, bond, or liability insurance in the last 10 years?

4. Has the Contractor, or any of its parents or subsidiaries, ever had a bankruptcy petition filed in its name, voluntarily or involuntarily? If yes, specify date, circumstances, resolution and other details on separate page.

5. In order to enter an Agreement with the Owner, the Contractor will be required to maintain insurance, including Public Liability and Property Damage insurance.

Documentation of insurance is not required until after award of the bid.

Risk Assessment

Contractor shall submit written response for information required of Items 1 through 5 below.

1. Are there any unresolved claims or disputes on any work awarded to the Contractor during the past five years? If yes, give Owner’s name and details on separate page.

2. Has the Contractor ever failed to complete any work that it was awarded? If yes, give Owner’s name and details on separate page.

3. Does the contractor maintain a permanent safety program? Summarize this Contractor’s record of safety performance for the past three years, providing safety performance figures for experience modification rate (EMR or EMOD, three-year rolling average), and describing any citations from OSHA/MSHA.

4. Does the Contractor have a formal drug and alcohol testing program? If yes, provide a brief summary of the outline of the program.

5. Does the Contractor have a formal quality assurance program? If yes, provide a brief summary or outline of the program.

6. Has the contractor ever been in project litigation? If yes, provide a brief summary of the outcome of the litigation and measures taken to prevent future litigation.

Sustainability Program

Salt Lake City Department of Public Utilities emphasizes an effort towards sustainability for all projects. Contractors shall present a summary of their

Tanner Reservoir Valve Replacement Page 10 Contractor Prequalification sustainability program, or methods used to incorporate sustainability in their operations, such as recycling of construction waste.

Contractor’s Certification

I hereby warrant that the information presented in this statement of qualifications is true, accurate and complete. I have read, agree and will comply with the City’s ethics requirements as summarized in the paragraphs below.

By: ____________________________________________________

Title: ___________________________________________________

Date: ___________________________________________________

REPRESENTATION REGARDING ETHICAL STANDARDS FOR SALT LAKE CITY

OFFICERS AND EMPLOYEES AND FORMER CITY OFFICERS AND EMPLOYEES.

The respondent represents that it has not: (1) provided an illegal gift or payoff to a Salt Lake City officer or employee or former City officer or employee, or his or her relative or business entity; (2) retained any person to solicit or secure this contract upon an agreement or understanding for a commission, percentage, or brokerage or contingent fee, other than bona fide employees or bona fide commercial selling agencies for the purpose of securing business; (3) knowingly breached any of the ethical standards set forth in the City's conflict of interest ordinance, Chapter 2.44, Salt Lake City Code; or (4) knowingly influenced, and hereby promises that it will not knowingly influence, a City officer or employee or former City officer or employee to breach any of the ethical standards set forth in the City's conflict of interest ordinance, Chapter 2.44, Salt Lake City Code.

Pursuant to the foregoing, it is the City’s policy that City employees are prohibited from personally accepting gifts, incentives, and marketing or promotional items from suppliers and those suppliers shall not offer such items to City employees. Such offers from suppliers are inappropriate and may result in suspension or debarment of the supplier from the City’s procurement processes.

Tanner Reservoir Valve Replacement Page 11 Contractor Prequalification

MINIMUM QUALIFICATIONS

Statements of Qualifications will be evaluated based on the following criteria:

• Personnel qualifications

• Company qualifications

• Previous project experience

• Financial condition

• Safety record and risk assessment

Qualified Contractors must meet the following minimum criteria:

• Contractor shall have been in business for a minimum of 10 years

• Contractor shall have installed at least five (5) large diameter steel pipes and high-performance valves that are 60-inch diameter or larger in the last 10 years.

• Contractor shall have proven track record of completed projects without unresolved, unrealistic, and unnecessary claims. Outstanding claims or frequent claims resulting in arbitration, mediation, or litigation may be grounds for disqualification.

• Contractor shall, at time of bid, hold a current Utah Contractor’s license in a classification appropriate to this Project (E100). The estimated minimum bonding capacity for the project is $2.5 million, and the Contractor shall have $2.5 million minimum available bonding capacity at the time of bidding.

• Contractor shall demonstrate an experience modification rate (EMR or EMOD) of 1.1 or better, based on the most recent three-year rolling average.

• Provide a minimum of three (3) references for similar projects completed by the Contractor. Positive feedback from references is required. The Owner reserves the right to disqualify a contractor based on poor references.

Contractor shall have significant experience with the installation of large diameter, (60-inches in diameter and greater) steel pipe and valves.

Qualified Contractor’s Project Manager must meet the following minimum criteria:

• Contractor's project manager shall have at least 10 years construction experience and shall have been project manager on the installation of at least three (3) large diameter steel pipelines and high-performance valves that are 60-inch diameter or larger in the last 10 years.

Qualified Contractor’s Project Superintendent must meet the following minimum criteria:

• Contractor's project superintendent shall have at least 10 years construction experience and shall have been project superintendent on the installation of at least three (3) large diameter steel pipelines and high-performance valves that are 60-inch diameter or larger in the last 10 years.

Tanner Reservoir Valve Replacement Page 12 Contractor Prequalification

All large diameter steel piping and high-performance valve installation will be performed by experienced, qualified forces under the direction of experienced, qualified recoating superintendents. Prequalification of contractors will be determined on a pass/fail basis for each of the minimum qualification criteria.

Statements of Qualifications will be evaluated in accordance with the following criteria.

QUALIFICATION EVALUATION

A. General:

1. Statement Clarity

2. Statement Completeness

B. Project Team Personnel and Qualifications:

1. Key Personnel Qualifications

2. Key Personnel Experience

3. Key Personnel Availability

C. Previous Project Experience/Performance:

1. Past Project Performance (including References)

2. Timely Completion of Work

3. Prompt Warranty Service

4. Overall Successful Completion

5. Successful Public Involvement Programs

D. Financial Statement Information:

1. Value of Current Work

2. Pending Claims/Disputes

3. Liquidated Damages Withheld

4. Bonding Capacity

E. Risk Assessment and Safety Record

1. Unresolved claims, disputes, and uncompleted projects

2. Injury Statistics

NOTIFICATION OF PREQUALIFIED CONTRACTORS

All Contractors who submit prequalification statements will be notified in writing if they did or did not prequalify. Only those Contractors that are prequalified will be invited to bid on this project. The Owner's decision will be final. Prequalification of contractors does not constitute a commitment by the Owner to bid or award any or all phases of the project.

Tanner Reservoir Valve Replacement Page 13 Contractor Prequalification

ATTACHMENT A

Preliminary Design and Specification for the Tanner Reservoir Valve Replacement

SALT LAKE CITY CORPORATION

THE DEPARTMENT OF PUBLIC UTILITIES

PROJECT MANUAL FOR CONSTRUCTION OF

Tanner Reservoir Valve Replacement

PROJECT NO. 513800052

FISCAL YEAR 2025-2026

ENGINEERING DIVISION

1805 W. 500 S.

SALT LAKE CITY, UTAH 84104

ERIN MENDENHALL

Mayor

City Council

DISTRICT 1 – VICTORIA PETRO-ESCHLER DISTRICT 5 – DARIN MANO

DISTRICT 2 – ALEJANDRO PUY DISTRICT 6 – DAN DUGAN

DISTRICT 3 – CHRIS WHARTON DISTRICT 7 – SARAH YOUNG

DISTRICT 4 – EVA LOPEZ CHAVEZ

LAURA BRIEFER

Director

JESSE STEWART

Deputy Director

JASON BROWN, P.E.

Chief Engineer

JASON DRAPER, P.E.

Chief Engineer

PRELIMINARY

ATTACHMENT A

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Revised November 15, 2019 Table of Contents

00 01 10 - 1

T A B L E O F C O N T E N T S

Tanner Reservoir Valve Replacement

Reference No. of

Number Title Pages

INTRODUCTORY INFORMATION

00 01 01 Project Title Page

00 01 07 Seals Page

00 01 10 Table of Contents

00 01 15 List of Drawing Sheets

BIDDING AND CONTRACTING REQUIREMENTS

00 11 16 Invitation to Bid

00 21 13 Instructions to Bidders

00 22 13 Supplementary Instructions to Bidders

00 22 16 Supplementary Instructions (BIPWP)

00 41 00 Bid Form

00 43 00 Bid Schedule

00 43 36 Proposed Subcontractor Form

00 43 37 Work Under Contract Report

00 43 38 Bidder Status Report

00 43 45 Qualified Health Insurance Certification Form

00 43 46 Work Environment Certification Form

00 52 00 Agreement

00 61 13 Performance Bond

00 61 14 Payment Bond

00 62 11 Submittal Transmittal Form

00 62 16 Certificate of Insurance

00 70 00 Federal Requirements

CONDITIONS OF THE CONTRACT

00 73 00 Special Provisions

00 73 10 Modifications to the General Conditions

00 73 15 Modifications to APWA Standard Plans

00 73 50 Requirements of the Department of Public Utilities

00 91 13 Addenda

00 01 10 - 2

DIVISION 1 – GENERAL REQUIREMENTS

01 11 00 Summary of Work

01 14 00 Work Restrictions……………………………………………………………………….

01 31 13 Coordination

01 32 17 Baseline and Progress Schedules

01 33 00 Submittal Procedure

01 35 24 Contractors Certification of Compliance to Safety Plan

01 45 00 Quality Control

01 55 26 Traffic Control

01 57 00 Temporary Controls

01 58 00 Project Identification and Signs

01 67 00 Utility Materials

01 71 13 Mobilization and Demobilization

TECHNICAL DIVISIONS

02 EXISTING CONDITIONS

02 41 03 Selective Site Demolition

03 CONCRETE

03 10 00 Concrete Forming Accessories

03 20 00 Concrete Reinforcing

03 30 00 Cast-in-Place Concrete

09 FINISHES

09 96 00 High Performance Coatings

26 ELECTRICAL

26 00 00 Electrical General Requirements

26 05 02 Excavating Trenching and Backfilling

26 05 19 Power and Instrumentation Cable – Less Than 600V

26 05 26 Grounding and Bonding for Electrical Systems

26 05 34 Conduit

26 05 53 Identification for Electrical Systems

26 42 00 Galvanic Cathodic Protection

31 EARTHWORK

31 05 05 Sitework Demolition and Removal

31 11 00 Clearing and Grubbing

00 01 10 - 3

31 14 13 Soil Stripping and Stockpiling

31 22 00 Grading

31 23 16 Excavation

31 23 19 Dewatering

31 23 23 Fill and Backfill

31 23 33 Trenching and Backfill

31 25 00 Erosion and Sedimentation Control

32 EXTERIOR IMPROVEMENTS

32 01 01 Pavement Removal, Repair, and Surfacing

32 11 23 Aggregates for Exterior Improvements

32 97 00 Restoration of Disturbed Areas

33 UTILITIES

33 05 26 Utility Identification

33 11 13 Steel Water Transmission Pipe

33 11 14 Ductile Iron Pipe and Fittings

33 13 00 Disinfection of Water Systems

33 13 10 Pipeline Pressure and Leakage Testing

40 PROCESS INTEGRATION

40 05 06 Couplings, Adapters, and Specials for Process Piping

40 05 06 Hangers and Supports for Process Piping

40 05 23 Stainless Steel Process Pipe and Tubing

40 05 31 Polyvinyl Chloride Process Pipe

40 05 57 Double Offset Butterfly Valves (Large Diameter)

40 05 58 Process Valves

40 05 97 Identification for Process Equipment

40 61 13 Process Control System General Requirements

40 63 13 Process Control Panels and Hardware

40 63 14 Junction Boxes and Control Stations

40 70 01 Instrumentation General Requirements

40 71 00 Flow Measurement

END OF DOCUMENT

00 01 10 - 4

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Federal Requirements

00 70 00 - 1

DOCUMENT 00 70 00

FEDERAL REQUIREMENTS

PART 1 GENERAL

1.01 SUMMARY

A. This is a federally funded project. All bidders are required to take affirmative steps to assure compliance with special conditions set forth by the U.S. Environmental Protection

Agency (EPA). These conditions are in addition to all other bid requirements and are outlined in this Section. These regulations include compliance with regulations associated with, but not limited to Disadvantaged Business Enterprise, Equal Employment

Opportunity, American Iron and Steel Requirement, and Davis Bacon Prevailing Wage

Requirements.

B. The Bidder shall ensure, to the fullest extent possible, that at least the negotiated "Fair

Share" objectives of Federal funds for prime contracts or subcontracts for supplies, construction, equipment, or professional services are made available to minority and women owned or controlled organizations or businesses. The "Fair Share" objectives are as follows for each category of procurement:

Category

Professional Services

MBE

0.5%

WBE

0.5%

Supplies 0.25% 0.25%

Equipment 0.25% 0.25%

Construction 4.0% 2.0%

C. The BIDDER/CONTRACTOR agrees to include in its bid documents the "Fair Share" objectives and require all of its sub-contractors to include in their bid documents for sub-contracts the "Fair Share" objectives. The Bidder shall be prepared to provide documentation supporting compliance with these requirements. This documentation should include a log that lists dates and times of verbal, written, and faxed correspondence, telephone logs, a list of companies contacted and contact person with that company, notes of to whom bid packages were sent, responses from firms contacted, a list of bids or quotes received and which sub-bidders will be used, etc. If a MBE/WBE, which submitted a bid/quote was not selected, state the reason for not selecting them.

Upon request, after the bid opening and before the contract is awarded, the Bidder will provide all relevant information to the Owner [Borrower] who will provide the same information to the EPA.

D. Every BIDDER must sign the DBE “CERTIFICATION – SIGNATURE” page and

SUBMIT said page with his/her BID. If the BIDDER fails to submit the

“CERTIFICATION – SIGNATURE” page with his/her bid, the bid will be disqualified

00 70 00 - 2 by the EPA. If this occurs the Borrower will be required to select the next low bidder and the EPA will require that bidder to provide the above-described documentation.

E. To evaluate compliance with the "Fair Share" policy, the CONTRACTOR also agrees to comply with the following six affirmative steps:

1. Include all DBEs including: Small, Minority and Women Owned Businesses

(MBE/WBE) on solicitation lists.

2. Assure that DBEs are solicited whenever they are potential sources.

3. Divide total requirements, when economically feasible, into small tasks or quantities to permit maximum participation by DBEs.

4. Establish delivery schedules, when the requirements of the work will permit, which will encourage participation by DBEs.

5. Use the services of the Small Business Administration and the Minority Business

Development Agency of the United States Department of Commerce, as appropriate.

6. Require the Contractor to make the good faith efforts in subparagraphs “a” through “e” if the Contractor awards sub-agreements.

F. The Bidder shall submit EPA Form 5700-52A, “MBE/WBE Utilization under Federal

Grants, Cooperative Agreements, and Interagency Agreements" on a semi-annual basis based on the Federal Fiscal Year.

G. The contractor shall not discriminate on the basis of race, color, national origin or sex in the performance of this contract. The contractor shall carry out applicable requirements of 40 CFR Part 33 in the award and administration of contracts awarded under EPA financial assistance agreements. 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 other legally available remedies.

PART 2 DISADVANTAGED BUSINESS ENTERPRISE (DBE)

UTILIZATION

2.01 GENERAL

A. This project includes federal financial assistance. The Contractor/Bidder is required to make good faith efforts with adequate documentation to include disadvantaged business enterprises (DBEs) as subcontractors or suppliers on this project. More detailed regulations are published under 40 CFR Part 33.

2.02 DBE CERTIFICATION

A. DBEs include minority business enterprises (MBEs) and women's business enterprises

(WBEs). MBEs and WBEs must be independently certified as such in order to participate as a DBE. Certification can be through the Utah Department of Transportation (UDOT) or other valid government or private organizations. UDOT maintains their list of certified

DBE firms on the internet at the following URL:

https://www.udot.utah.gov/connect/business/civil-rights/. You should review this internet page to get the most recent list of UDOT certified DBE firms. If a desired DBE is not

00 70 00 - 3 certified through UDOT, the DBE should submit a copy of their independent certification to UDOT for review. If a desired DBE does not currently have an independent DBE certification, they can contact EPA Region 8’s acting DBE coordinator, Lindsay Seeger at seeger.lindsay@epa.gov or (303) 312-6564 to obtain information on certification through EPA.

2.03 GOOD FAITH EFFORTS

A. The Contractor/Bidder shall make the following good faith efforts when soliciting contractors, subcontractors, or suppliers to procure construction, equipment, services, and supplies on this project:

1. Ensure DBEs are made aware of contracting opportunities to the fullest extent practicable through outreach and recruitment activities. For Indian Tribal, State, Local, and Government recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources.

2. Make information on forthcoming opportunities available to DBEs and arrange time frames for contracts and establish delivery schedules, where the requirements permit, in a way that encourages and facilitates participation by

DBEs in the competitive process. This includes, whenever possible, posting solicitations for bids or proposals for a minimum of 30 calendar days before the bid or proposal closing date.

3. Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will include dividing total requirements when economically feasible into smaller tasks or quantities to permit maximum participation by

DBEs in the competitive process.

4. Encourage contracting with a consortium of DBEs when a contract is too large for one of these firms to handle individually.

5. Use the services and assistance of the SBA and the Minority Business

Development Agency of the Department of Commerce.

6. If the prime contractor awards subcontracts, require the prime contractor to take the steps in paragraphs (a) through (e) of this section.

7. Failure to comply with the six DBE Good Faith Efforts can be considered grounds for determining a bid to be non-responsive.

2.04 FAIR SHARE OBJECTIVE

A. DBE share objective percentages are set forth below. These are goals, not quotas. The requirement is that the Contractor/Bidder shall show and document good faith efforts to solicit DBE participation. The goals are:

MBE WBE

Construction 4.0% 2.0%

Equipment 0.25% 0.25%

Services 0.50% 0.50%

Supplies 0.25% 0.25%

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2.05 DOCUMENTATION FOR BIDDER TO SUBMIT WITH BID

A. Contractor/Bidder shall submit documentation with its bid to demonstrate compliance with good faith effort requirements. Examples of documentation include copies of advertisements in journals and newspapers, telephone logs, and/or direct correspondence.

The attached "Disadvantaged Business Enterprise Bidder Good Faith Effort

Documentation" form may be used as part of the documentation.

B. Contractor/Bidder shall submit with its bid a "bidders list" of all firms that provided

Contractor/Bidder a bid or quote on this project. The bidders list shall include both DBE and non-DBE bidders. Required information for each bidder includes 1) entity's name and point of contact, 2) entity's mailing address, telephone number, and e-mail address, 3) procurement on which entity bid or quoted and when, and 4) entity's status as a

MBE/WBE or non-DBE. Solicitations from non-DBEs can be included on the

"Disadvantaged Business Enterprise Bidder Good Faith Effort Documentation" form or separately on a similar form.

2.06 DOCUMENTATION FOR BIDDER TO SUBMIT WITH BID OR PROPOSAL PACKAGE

A. The DBE “Fair Share Objective” goals are listed on page 3 of this Section. All bidders must demonstrate compliance with the six DBE Good Faith Efforts and include documentation in the bid that records and certifies DBE solicitation efforts. All bidders must include this documentation with their sealed bid. An example of DBE solicitation effort documentation is shown on page 5 and 6 of this Section.

2.07 OTHER REQUIREMENTS AND INFORMATION

A. Contractor shall pay its subcontractors for satisfactory performance no more than 30 days from Contractor’s receipt of payment from Owner.

B. The Contractor shall notify the Owner in writing prior to any termination of a DBE subcontractor for Contractor's convenience.

C. If a DBE subcontractor fails to complete work under the subcontract for any reason, Contractor shall employ the six good faith efforts if soliciting a replacement subcontractor.

D. Contractor shall employ the six good faith efforts even if Contractor has achieved its fair share objectives.

E. Copies of DBE forms are also attached to this specification.

1. If a list of solicitations from non-DBE subcontractors is not included with the bid, it will be required to be submitted prior to the Award of Contract.

a. DBE Program Subcontractor Performance Form. This form captures an intended subcontractor’s description of work to be performed for the prime contractor and the price of the work submitted to the prime. This form is a documents of the Contractor’s Good Faith Effort from the

DBE’s perspective.

b. DBE Program Subcontractor Utilization Form. This form captures the prime’s intended use of an identified DBE subcontractor, and the

00 70 00 - 5 estimated dollar amount of the subcontract. This form is a documents of the Contractor’s Good Faith Effort from the Contractor’s perspective.

F. Contractor shall not discriminate on the basis of race, color, national origin or sex in the performance of this contract. Contractor shall carry out applicable requirements of 40

CFR part 33 in the award and administration of contracts awarded under EPA financial assistance agreements. Failure by Contractor to carry out these requirements is a material breach of this contract which may result in the termination of this contract or other legally available remedies.

2.08 DISADVANTAGED BUSINESS ENTERPRISE BIDDER GOOD FAITH EFFORT

DOCUMENTATION

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2.09 DBE PROCURMENT SEMI-ANNUAL REPORT

PART 3 EQUAL EMPLOYMENT OPPORTUNITY AND

AFFIRMATIVE ACTION REQUIREMENTS ON FEDERALLY

ASSISTED CONSTRUCTION CONTRACTS

3.01 NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL

EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 11246)

A. The Offeror's or Bidder's attention is called to the "Equal Opportunity Clause" and the

"Standard Federal Equal Employment Specifications" set forth herein.

B. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor's aggregate workforce in each trade on all construction work in the covered area, are as follows:

1. Goal for female participation in each trade: 6.9%

2. Minority participation goals in each trade:

a. 12.6% for Beaver, Garifeld, Iron, Kane, Washington

b. 2.4% for Utah, Provo-Orem

c. 10.2% for Grand, San Juan

d. 6.0% for Davis, Salt Lake, Tooele, Weber, Salt Lake City - Ogden

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e. 5.1% for Boz Elder, Cache, Carbon, Daggett, Duchesne, Emery, Juab, Millard, Morgan, Piute, Rich, Sanpete, Sevier, Summit, Uintah, Wasatch, Wayne

3. These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the

Contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the

Contractor also is subject to the goals for both its federally involved and non-federally involved construction.

4. The Contractor's compliance with the Executive Order and the regulations in 41

CFR Part 60-4 shall be based on its implementation of the Equal Opportunity

Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the Contractor shall make a good faith effort to employ minorities and women evenly on each of its projects.

The transfer of minority or female employees or trainees from contractor to contractor or from project to project for the sole purpose of meeting the

Contractor's goals shall be a violation of the contract, the Executive Order, and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

C. The Contractor shall provide written notification to the Director of the Office of Federal

Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number for the subcontractor; employer identification number of the subcontractor;

estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed. An example notification letter is available on the next page.

D. As used in this Notice, and in the contract resulting from this solicitation, the "covered area" is Salt Lake County, Utah.

E. This notice shall be included in, and shall be a part of, all solicitations for offers and bids on all Federal and federally assisted construction contracts or subcontracts in excess of

$10,000 to be performed in geographical areas designated by the Director pursuant to 41

CFR 60-4.6.

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PART 4 EQUAL OPPORTUNITY CLAUSES

4.01 THE EQUAL OPPORTUNITY CLAUSE PUBLISHED AT 41 CFR 60-1.4(B) IS REQUIRED

TO BE INCLUDED IN, AND IS PART OF, ALL NONEXEMPT FEDERALLY ASSISTED

CONSTRUCTION CONTRACTS AND SUBCONTRACTS (INCLUDING THIS

CONTRACT). THE EQUAL OPPORTUNITY CLAUSE SHALL BE CONSIDERED TO BE A

PART OF EVERY CONTRACT AND SUBCONTRACT REQUIRED BY THE

REGULATIONS TO INCLUDE SUCH A CLAUSE, WHETHER OR NOT IT IS

PHYSICALLY INCORPORATED IN SUCH CONTRACTS. THE NOTICES REQUIRED TO

BE POSTED BY PARAGRAPHS (1) AND (3) OF THE EQUAL OPPORTUNITY CLAUSE

SHALL BE THE "EQUAL EMPLOYMENT OPPORTUNITY IS THE LAW" POSTER

APPROVED BY THE OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS

AND AVAILABLE ON THE INTERNET AT:

HTTPS://WWW1.EEOC.GOV/EMPLOYERS/POSTER.CFM

4.02 EQUAL OPPORTUNITY CLAUSE (41 CFR 60-1.4(B))

A. During the performance of this contract, the Contractor agrees as follows:

1. The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The

Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be

00 70 00 - 9 limited to the following: Employment, upgrading, demotion, or transfer;

recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The

Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

2. The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin.

3. The Contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

4. The Contractor will comply with all provisions of Executive Order 11246 of

September 24, 1965, and of the rules, regulations, and relevant orders of the

Secretary of Labor.

5. The Contractor will furnish all information and reports required by Executive

Order 11246 of September 24, 1965, and by rules, regulations, and orders of the

Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

6. In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the

Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order

11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of

Labor, or as otherwise provided by law.

7. The Contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency the Contractor may request the United States to enter into such litigation to protect the interests of the United States.

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4.03 THE STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION

CONTRACT SPECIFICATIONS PUBLISHED AT 41 CFR 60-4.3(A) ARE REQUIRED TO BE

INCLUDED IN, AND ARE PART OF, ALL FEDERAL AND FEDERALLY ASSISTED

CONSTRUCTION CONTRACTS AND SUBCONTRACTS (INCLUDING THIS CONTRACT)

IN EXCESS OF $10,000 TO BE PERFORMED IN GEOGRAPHICAL AREAS DESIGNATED

BY THE DIRECTOR PURSUANT TO 41 CFR 60-4.6 AND IN CONSTRUCTION

SUBCONTRACTS IN EXCESS OF $10,000 NECESSARY IN WHOLE OR IN PART TO THE

PERFORMANCE OF NON-CONSTRUCTION FEDERAL CONTRACTS AND

SUBCONTRACTS COVERED UNDER EXECUTIVE ORDER 11246. THESE

SPECIFICATIONS SHALL BE CONSIDERED TO BE A PART OF EVERY CONTRACT

AND SUBCONTRACT REQUIRED BY THE REGULATIONS TO INCLUDE SUCH A

CLAUSE, WHETHER OR NOT IT IS PHYSICALLY INCORPORATED IN SUCH

CONTRACTS.

A. STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY

CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246) as used in these specifications:

1. "Covered Area" means the geographical area described in the solicitation from which this contract resulted;

2. "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority;

3. "Employer identification number" means the Federal Social Security number used on the employer's quarterly Federal Tax Return, U.S. Treasury Department

Form 941.

4. "Minority" includes:

a. Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);

b. Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South

American or other Spanish Culture or origin, regardless of race);

c. Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands);

d. American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification).

B. Whenever the Contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted.

C. If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S.