5-00 55 00 CBI Program.pdf

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

00 55 00 – CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM

The City of Charlotte has a long history of creating and implementing strategies to support and encourage local business growth. The Charlotte City Council has adopted the Charlotte Business INClusion Policy to promote diversity, inclusion, and local business opportunities in the City’s contracting and procurement process for Minority-Owned Business Enterprises and Small Business Enterprises (MWSBEs) located in the CSA, Charlotte Combined Statistical Area*.

A complete list of City of Charlotte certified Small Business Enterprises (SBEs) and City of Charlotte registered Minority-Owned Business Enterprises (MBEs), Woman-Owned Business Enterprises (WBEs), and Small Business Enterprises (SBEs) (MBE, WBE, and SBE, collectively MWSBE) is available on the City’s website at www.charlottebusinessinclusion.com.

PROJECT SUBCONTRACTING

GOAL:

MWSBE Goal: 7%

* The Charlotte CSA consists of the following 13 counties:

In NC: Anson, Cabarrus, Cleveland, Gaston, Iredell, Lincoln, Mecklenburg, Rowan, Stanly, and Union In SC: Chester, Lancaster, and York

MBE and SBE references throughout this document and CBI Forms 1-6 may refer to Subcontracting Goal. The information in the Subcontracting Goal box above will supersede any general references in this document.

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

The MBE Goal established for this project can only be met with City of Charlotte registered MBEs that have been certified as a Historically Underutilized Business by the State of North Carolina.

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 http://www.charlottebusinessinclusion.com/

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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.

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 after 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

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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.

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 SBE Goal are established, Bidder must meet the MBE Goal and SBE 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 Part B, Sections 4 and % of the CBI Policy for the subcontracting 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 Policy, Part B, Sections 4 and 5, . 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.

In awarding GFEs, the City may also take into account: (1) the Bidder’s past performance in meeting Subcontracting Goals; and

(2) the performance of other Bidders in meeting the established Subcontracting Goal on the contract up for award. For example, when the apparent low Bidder fails to meet the established Subcontracting Goal, but other Bidders meet it, the City may reasonably raise the question of whether, with additional reasonable efforts, the apparent low Bidder could have met the Subcontracting Goal.

It is important you carefully review Part B, Sections 4 and 5 of the CBI Policy to understand and comply with all requirements.

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.

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3.1. MWSBE Contacts

To receive credit for GFE 5.3.1 MWSBE Contacts, at least ten (10) Days prior to Bid Opening, the Bidder must contact MWSBE Firms in a manner reasonably calculated to meet the established Subcontracting Goals. A MWSBE Vendor List can be located at www.charlottebusinessinclusion.com.

Please refer to Part B, Section 5.3.1 of the CBI Policy regarding how these Contacts must be made and documented. Contacts are to be recorded on CBI Form 2:CBI Solicitation Form, which is submitted along with CBI Form 5, within three (3) Business Days after requested by the City.

3.2. Good Faith Negotiation

Bidders must negotiate in good faith with all interested MWSBE firms. Part B, Section 4 of the CBI Policy defines what negotiating in “Good Faith” means. Among other things, it means that if a MWSBE is low Bid on a contract for construction or the procurement of goods, then you must contract with that MWSBE unless it is not “Qualified” within the meaning of the CBI Policy.

3.3. MWSBE Assistance Organizations

To receive credit for GFE 5.3.4, Working with MWSBE Assistance Organization, the bidder must document that if it worked with one of the following organizations, as described in Part B, Section 5.3.4 of the CBI Policy.

o Metrolina Minority Contractors Association (MMCA) o Hispanic Contractors Association of the Carolinas (HCAC) o United Minority Contractors of North Carolina (UMCNC) o Carolinas Association of General Contractors (CAGC)

3.4. Self-Performance

A Bidder that intends to perform 100% of the work on a contract with its own workforce may submit an affidavit (CBI Form 1) stating that the Bider 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. In such event the Bidder will not be required to comply with Part B, Section 5 of the CBI Policy. However, 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.

4. PROJECT DOCUMENTS / PLANS AND SPECIFICATIONS:

Plans and Specifications may be viewed at for appointment.

Other Locations:

5. MANDATORY SUBCONTRACTING REQUIREMENTS:

Per Part B, Section 2.4 of the CBI Policy, City Council has the authority to establish mandatory subcontracting requirements for certain Contracts. The box checked below indicates whether such requirements have been established for this Contract:

o City Council has established a mandatory subcontracting requirement of xx.xx percent (XX%) for this Contract.

o City Council has not established a mandatory subcontracting requirement for this Contract.

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6. CBI POLICY PROVISIONS APPLICABLE AFTER CONTRACT AWARD:

If you are awarded a Contract with the City, note in particular the following Part D Sections of the CBI Policy regarding Post Contract Award Requirements and activity:

I. Compliance with the committed established Subcontracting Goals throughout Contract completion (Part D, Section2) II. Performance of a Commercially Useful Function and affiliate status (Part D, Section3)

III. Terminating or Replacing an MWSBE on the Contract (Part D, Section 5) IV. New Subcontractor Opportunities (Part D, Section 6) V. Renewals (Part D, Section 7)

VI. Payments to MWSBEs (Part D, Section 8) VII. Utilization Reports and Documentation of Payments (Part D, Section 9)

VIII. Remedies and Liquidated Damages ( Part D, Section 14)

7. CBI CONTRACT PROVISIONS:

The following provisions are incorporated into any Contract that may result from this solicitation.

Charlotte Business INClusion. The City has adopted a Charlotte Business INClusion Policy (“ CBI Policy”), which is posted on the City’s website and available in hard copy form upon request to the City.

The parties acknowledge and agree that:

I. The terms of the CBI Policy, as revised from time-to-time, together with all rules and guidelines established, are incorporated into this Agreement by reference; and

II. A violation of the CBI Policy shall constitute a material breach of this Agreement and shall entitle the City to exercise any of the remedies set forth in Part D of the CBI Policy, including but not limited to liquidated damages; and

III. Without limiting any of the other remedies the City has under the CBI Policy, the City shall be entitled to withhold periodic payments and final payment due to the Contractor under this Agreement until the City has received in a form satisfactory to the City all claim releases and other documentation required by the City’s CBI Policy, and 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; and

IV. The remedies set forth in Part D, Section 14 of the CBI Policy shall be deemed cumulative and not exclusive and may be exercised successively or concurrently, in addition to any other available remedy; and

V. The City will incur costs if the Contractor violates the CBI Policy, and such costs are difficult to ascertain due to their indefiniteness and uncertainty. Accordingly, the Contractor agrees to pay the City liquidated damages at the rates set forth in Part D of the CBI Policy.

VI. 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 Policy

VII. 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.

Remedies for Violation of CBI Policy.

A violation of the CBI Policy by a Contractor shall constitute a material breach of the Contract, and shall entitle the City pr private owner to:

(i) exercise all rights and remedies at law or at equity for violation of the CBI Policy;

(ii) terminate the Contract for default;

(iii) suspend the Contract for default;

(iv) withhold all payments due to the Contractor under the Contract until such violation has been fully cured or the City and the Contractor have reached a mutually agreeable resolution;

(v) assess liquidated damages as provided in Part D Section 14.2; and/or

(vi) Offset any liquidated damages and/or any amounts necessary to cure any violation of the CBI Policy from any retainage being held by the City on the Contract, or from any other amounts due to the Contactor under the Contract.

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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 damages if the Contractor violates the CBI Policy 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 Committed Subcontracting Goal.

If the City determines upon completion or termination of a Contract that the Contractor did not meet a Committed Subcontract Goal and that such failure is not otherwise excused under Part D of the CBI policy, the City may assess the lesser of: (a) $200,000 or (b) the dollar difference between the Committed Subcontracting Goal that was missed and the Contractor’s actual utilization toward that Goal. Such amount may be assessed when it becomes apparent that it will not be possible for the Contractor to achieve the Committed Subcontracting Goal.

II. Use of a Conduit If the Contractor lists an MWSBE to receive credit towards a Committed Subcontracting Goal with knowledge that the MWSBE will be acting as a Conduit or will not be performing a Commercially Useful Function reasonably commensurate with the payment amount for which the Contractor will be seeking credit, the City may assess the lesser of: (a) $100,000 per incident; or (b) the dollar amount the Contractor indicated that it would pay such MWSBE in the MWSBE’s contract (or if no contract has been signed, 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 the CBI Policy, the City may assess the lesser of: (a) $50,000 per incident; or (b) the dollar amount of the work remaining to be performed by the terminated MWSBE at the time it was terminated )or if the MWSBE was not terminated because it was never retained, then the dollar amount that the Contractor indicated it would pay the MWSBE in the MWSBE’s letter of intent.)

IV. Failure to Comply with CBI Policy Following Termination or Withdrawal of a MWSBE.

If the Contractor fails to comply with the Modified Good Faith Efforts requirements (Part D, Section 5 of the CBI Policy) in replacing a MWSBE that is terminated or withdraws from work on a project, the City may assess the lesser of: (a) $50,000 per incident or (b) the dollar amount of the work remaining to be performed by the MWSBE that withdrew or was terminated at the time of the termination or withdrawal.

V. Failure to Comply with CBI Policy to Add New Subcontractors.

If the Contractor fails to comply with the Modified Good Faith Efforts requirements (Part D, Section 5 of the CBI Policy) in adding new subcontractors to a Contract, or when the scope of work of a Contract changes so as to create a new MWSBE subcontracting opportunity, the City may assess the lesser of: (a) $50,000 per incident; or (b) the dollar amount of the new or additional work.

VI. False Statements and Misrepresentations If the Contractor makes a false statement or material misrepresentation or material misleading omission regarding any matter relevant to the CBI Policy (including but not limited to information relating to good faith efforts, MWSBE utilization, SBE certification/MWSBE registration, or payments to MWSBEs), the City may assess the lesser of: (a) $50,000 per incident; or (b) if the misrepresentation relates to payment, the dollar difference between what the Contractor represented and the truth.

VII. 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 Policy within the time period set forth therein, the City may assess $40 per day for each day that such report, documentation or written submission is overdue.

VIII. Seeking Credit for Use of An Affiliate to Meet the Committed Subcontracting Goal. If the City finds a violation of Part D, Section 3 of the CBI Policy due to a Contractor seeking credit for utilizing a MWSBE that the City determines to be

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an Affiliate, the City may assess the lesser of: (a) $75,000 per incident or (b) the dollar amount the Contractor counted towards its Committed Subcontracting Goal for that MWSBE.

8. 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.

If not meeting the established Subcontracting Goal, and intending to perform 100% of the work, the Bidder must submit this completed CBI Form 1 with its Bid.

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.

If not meeting the established Subcontracting Goal, submitted as part of a Bidder’s Good Faith Efforts documentation, within three (3) Business Days after requested by the City.

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.

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

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 WITHIN TWENTY-FOUR (24) HOURS

AFTER BID OPENING

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CBI FORM SUBMISSION REQUIREMENTS

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.

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.

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.

If not meeting the established Subcontracting Goal, CBI Form 5 must be submitted as part of the Bidder’s Good Faith Efforts documentation, within three (3) Business Days after requested by the City.

CBI Form 6: Payment Affidavit – Subcontractor/Supplier Utilization.

Contractor shall provide with each pay request to the City a payment affidavit showing work that has been completed and approved for all subcontractors, suppliers, manufacturers, brokers, and/or members of a joint venture in connection with the contract.

Upon award of Contract, CBI Form 6 must be submitted to the City with each pay request for the duration of the project.

For Final Payment period, check the box indicating “Final Payment.”

All CBI Forms and a full list of MWSBE vendors are available online at www.charlottebusinessinclusion.com

** NOTE: Please find below a list of activities that the City has identified as potential MBE or SBE subcontracting opportunities. This is a potential listing, not all inclusive, Bidders may identify additional or different opportunities.

Project Title

NIGP

Code Commodity Code Description

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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

CHARLOTTE BUSINESS INCLUSION (CBI) PROGRAM 00 55 00 - 10

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)

Person:

Scope of Work: NIGP Commodity Code:

Initial Contact: Date: Method: Email Fax Courier

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

Person:

Scope of Work: NIGP Commodity Code:

Initial Contact: Date: Method: Email Fax Courier

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

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)

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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:

Version 10-2020

CBI FORM 3: Subcontractor / Supplier Utilization Commitment

Construction Projects Only

This form MUST be submitted within 24 hours after the time of Bid Opening.

Failure to properly complete and submit Form 3 within 24 hours after the time of Bid Opening constitutes grounds for rejection of the Bid.

Copy this CBI Form 3 as needed.

Per Part B, Section 3 of the CBI Policy, the Subcontractor/Supplier Utilization Commitment (CBI Form 3), captures information regarding MBEs, SBEs, and other subcontractors and suppliers that the Bidder intends to use on the Contract FOR ALL TIERS.

For Construction Contracts under $500,000, MSBEs must satisfy the requirements of Part B, Section 3 of the CBI Policy in order to count the work they intend to perform on the contract with its own current workforces towards the established Subcontracting Goal and must list themselves below along with their projected utilization amount.

Established MBE Goal: Established SBE Goal:

List below all MBEs, and SBEs (Non-Hauling Services) that you intend to use on this Contract. NOTE: You will only receive credit for SBEs that are currently certified with the City as of the Bid Opening Date. Furthermore, you will only receive credit for MBEs that are registered with the City as of Bid Opening Date.

MBE/SBE

Vendor Name

(Non-Hauling Services)

Description of work / materials NIGP Code Vendor # Total Projected

Utilization ($)

For all hauling services on this Contract, list below all MBEs and SBEs that you intend to provide such work and the Total Projected Utilization ($).

MBE/SBE

Vendor Name

(Hauling Services) Description of work / materials NIGP Code Vendor #

Total

Projected

Utilization ($)

Total Subcontractor / Supplier Utilization

(including MSBEs and Non-MSBEs)

Total MBE Utilization $

Total SBE Utilization $

Total Bid Amount (including Contingency) $

Percent MBE Utilization* (Total MBE Utilization divided by Total Bid Amount) %

Percent SBE Utilization* (Total SBE Utilization divided by Total Bid Amount) %

* The Utilization percentage stated MUST be rounded to (2) decimal places.

CBI FORM 3: Subcontractor / Supplier Utilization Commitment

List below all non-MSBE (subcontractors and suppliers) that you intend to use on this Contract

Vendor Name Description of work / materials NIGP Commodity Code Vendor # Projected Utilization

(if known) ($)

Letters of Intent submitted upon notice from the City

Per Part B, Section 3.6 of the CBI Policy, 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), Bidders must submit a separate Letter of Intent (CBI Form 4) for each MBE and/or SBE listed on CBI Form 3. Each Letter of Intent must be executed by each MBE, and/or SBE and the Bidder. The City shall not count proposed

MBE, and/or SBE utilization for which it has not received a Letter of Intent by this deadline. Per Part B, Section 3.3, a Regular Dealer as defined in the CBI Policy shall only count 60% of all expenditures towards the established Subcontracting Goal(s). In addition, a Hauler, Broker, or Packager shall only count fees or commissions charged for providing a Commercially Useful Function by the MBE, and/or SBE towards the established Subcontracting Goal(s). The Bidder is still obligated to pay the MBE, and/or SBE the full amount listed on the

Contract with the MBE, and/or SBE regardless of what percentage is actually counted towards the MBE, and/or SBE goal.

Adding subcontractors or suppliers after submitting this form

Nothing in this certification shall be deemed to preclude you from entering into subcontracting arrangements after submission of this form.

However, per Part D of the CBI Policy, you must comply with the following:

• You must maintain the level of MBE, and/or SBE participation proposed on this CBI Form 3 (and CBI Form 3A, if applicable) throughout the duration of the Contract, except as specifically allowed in Part D.

• If you need to terminate or replace a MBE, and/or SBE, you must comply with Part D, Section 5.

• If the scope of work on the Contract increases, or if you elect to subcontract any portion of work not identified on this form as being subcontracted, then you must comply with Part D, Section 6.

• A Letter of Intent (CBI Form 4) must also be submitted for each MBE, and/or SBE you add subsequent to contract award.

All Subcontractors and Suppliers must be registered with the City of Charlotte.

Pursuant to the City’s Vendor Registration Policy, each subcontractor or supplier that you use on this contract must be registered in the City’s vendor database. You will need to provide the vendor number for each subcontractor or supplier used on this contract as a condition for receiving payment on this Contract.

Signature

Your signature below indicates that the undersigned firm 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 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

CBI FORM 4: Letter of Intent

Per Part B, Section 3.4 of the CBI Policy, 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 MBE and/or SBE listed on CBI Form 3 and CBI Form 3A (if applicable).

To be completed by the Bidder

Name of Bidder: Vendor #:

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 Policy, please attach a copy of the executed Agreement with the undersigned MBE and/or SBE.

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

Cost of work to be performed by MBE and/or SBE: $

To be completed by MBE and/or SBE

Name of SBE and/or MBE: Vendor#:

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 MBE and/or SBE listed above, and that the description, cost and percentage of work to be performed by the MBE and/or SBE as described above is accurate. The MBE and/or SBE firm certifies that it has agreed to provide such work/supplies for the amount stated above.

Bidder:

Date:

Signature and Title

MBE/SBE Firm:

Date:

(Circle one or both)

Signature and Title

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CBI FORM 5: Good Faith Effort (GFE) and Statement of GFE Compliance

Project Name:

Project Number:

Per Part B, Section 5 and Part C, Section 5 of the CBI Policy, 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 MBE or the SBE goal that was set, the Bidder will have to earn the minimum GFE points for MBEs and SBEs.

Detailed information of the City’s GFE requirements can be found in the CBI Policy, Part B, Section 5 and Part C, Section 5. 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 Part B, Section 5 and Part C Section 5. 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: 145 Minimum Number of GFE Points Required for this Project is: 50 Points Good Faith Effort (GFE)

Section 5.3.1: Contacts. The Bidder must contact SBEs and MBEs in a manner reasonably calculated to meet the established Subcontracting Goal(s) for the Contract. Factors considered may include but are not limited to:

(a) The number of available MBEs or SBEs contacted;

(b) Whether the Bidder directed its contacts to MBEs and/or SBEs listed as performing scopes of work sufficient to meet the MBE or SBE goals;

(c) Whether the contacts were made at least 10 Days before Bid Opening;

(d) How the contacts were made and whether they were documented in a verifiable way (and in compliance with any forms provided by the City);

(e) Whether the substance of the Bidder’s solicitation was reasonably sufficient to generate a response from

MBEs or SBEs;

(f) Whether the Bidder promptly and adequately responded to inquiries received from MBEs or SBEs; and

(g) Whether the Bidder made follow up contacts to MBEs or SBEs that did not respond to the Bidder’s initial contact.

Section 5.3.2: Making Plans Available. To receive credit for this GFE, the Bidder must: (i) make “Project

Documents” (as defined below) available for inspection by MBEs and/or SBEs at least 10 Days before Bid Opening;

and (ii) notify the MBEs or SBEs contacted under GFE 5.3.1 of the way in which Project Documents will be made available.

A Bidder may receive credit for GFE 5.3.2 only if it receives credit for GFE 5.3.1 (Contacts), and only if it responds promptly to any requests made for access to the Project Documents.

Section 5.3.3: Breaking Down Work. The Bidder must demonstrate to the City’s satisfaction that it broke down or combined elements of work into economically feasible units to facilitate MBE and SBE participation. In awarding points, the City will consider the number and dollar value of the scopes of work the Bidder listed in its written invitation for participation by MBEs or SBEs, whether those scopes would be sufficient to meet the established Subcontracting Goal and how the Bidder notified MBEs or SBEs of its willingness to break down the work into such units. Simply restating the City’s subcontracting scopes as listed in the City’s Solicitation Documents will not earn this GFE. A Bidder may receive credit for this GFE only if it receives credit for GFE 5.3.1 (Contacts).

Version 06-2020

Section 5.3.4: Working With MBE/SBE Assistance Organizations. The Bidder must document that it worked with an Assistance Organization for MBEs and SBEs to provide assistance in recruiting MBEs or SBEs for the Contract for which Bids are sought.

Section 5.3.5: Attendance at Pre-Bid. To receive credit for this GFE, the Bidder must attend any pre-bid meetings scheduled by the City for the Contract in question.

Section 5.3.6: Bonding or Insurance Assistance on Construction Contract. The Bidder must assist a MBEs or

SBEs in getting required bonding or insurance coverage for the Contract at issue or provide alternatives to bonding or insurance for MBEs or SBEs. To document satisfaction of this GFE, the Bidder must submit: (a) the name of the MBE or SBE; (b) a description of the assistance the Bidder provided; (c) the date the Bidder provided the assistance; (d) the name of a contact person with the MBEs or SBEs who can verify that the Bidder provided the assistance; and (e) any additional information requested by the City. No credit will be given for assistance provided to an Affiliate of the Bidder.

In deciding whether to award points for this GFE, the City will consider how significant and meaningful the assistance was, how many MBEs or SBEs it was offered to, and what impact it likely had on the Bidder’s efforts to recruit MBEs or SBEs for the project.

Section 5.3.7: Negotiating in Good Faith with MBEs/SBEs. The Bidder must: (a) demonstrate that it negotiated in good faith with interested MBEs or SBEs (which means showing at least some back and forth negotiation between the Bidder and MBEs or SBEs ); (b) demonstrate that it did not reject any MBEs or SBEs as unqualified without sound reasons based on their capabilities; (c) document in writing the reasons for rejecting any MBEs or SBEs for lack of qualification.

Section 5.3.8: Financial Assistance. The Bidder must provide one of the following types of assistance to an MBEs or

SBEs in connection with the Contract: (a) assistance in obtaining equipment, a loan, capital, lines of credit, (b) joint pay agreements or guaranties to secure loans, the purchase of supplies, or letters of credit, including waiving credit that is ordinarily required; or (c) assistance in obtaining the same unit pricing with the Bidder’s suppliers as the Bidder.

To receive credit for this GFE, Bidders must document: (a) the name of the MBEs or SBEs; (b) the description of the assistance the Bidder provided; (c) the date the Bidder provided the assistance; and (d) the name of a contact person with the MBEs or SBEs who can verify that the Bidder provided the assistance. No credit will be given for assistance provided to an Affiliate of the Bidder. In deciding whether to award points for this GFE, the City will consider how significant and meaningful the assistance was, how many MBEs or SBEs it was offered to, and what impact it likely had on the Bidder’s efforts to recruit MBEs or SBEs for the project.

Section 5.3.9: Entering Into Joint Venture. To receive credit for this GFE, the Bidder must demonstrate that it negotiated a Joint Venture or partnership arrangement with one or more MBEs or SBEs, as applicable, on the

Contract. To receive credit for this GFE, Bidders must document; (a) the name of the MBEs or SBEs; (b) a description of the Joint Venture or partnership; (c) evidence of the date the MBEs or SBEs entered into the agreement; and (d) the name of a contact person with the MBEs or SBEs who can verify the terms of the agreement. No credit will be given for a joint venture with an Affiliate of the Bidder.

Section 5.3.10: Quick Pay Agreements on the Construction Contract Up For Award. For purposes of this

Section, the term “Quick Pay Commitment” means an agreement or policy commitment to pay all MBEs or SBEs participating in the Contract within 20 Days after the Contractor confirms that the MBE, SBE has properly performed and the MBE’s or SBE’s work has been properly completed. To receive credit for this GFE, Bidders must provide the

City with a copy of the Quick Pay Commitment and documentation showing that the Bidder informed each MBEs or

SBEs about the Quick Pay Commitment as part of the Bidder’s MBEs or SBEs contacts under Section 5.3.1. No Bidder will receive credit for (i) any statement indicating that the Bidder will consider entering into a Quick Pay Commitment or

(ii) any statement made verbally but not in written form to communicate the Quick Pay Commitment. A Bidder may receive credit for this GFE only if it receives credit for GFE 5.3.1 (Contacts)

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