5-Instructions for MWBE Compliance Schedule Completion.pdf

COMPLIANCE FORMS INSTRUCTIONS:

The Schedules A, C [C-1 or C-2] and/or D in addition to M/WBE certification letters must be included with a solicitation response in order to be considered responsive to the District’s stated M/WBE policy.

All Schedules must have all applicable blank spaces correctly filled in and notarized. A bid/proposal may be treated as non-responsive if the Bidder/Proposer’s response did not contain a sufficient level of certified MBE or WBE participation or an approved waiver request.

Schedule A – Affidavit of MBE/WBE Goal Implementation Plan

(This form is to be completed by the Prime Contractor/Bidder/Proposer)

The Schedule A document is the Bidder/Proposer’s M/WBE Utilization Plan and outlines their commitment to utilize certified MBE and WBEs to comply with the District’s M/WBE policy.

1. Project Name & Number should reference the RFP/RFB Number & Project Description that the products and/or services were advertised/solicited under (i.e. SN2301 Managed Hosting) If schedules are being completed for renewal, please indicate ‘Renewal’ in the field also

(i.e. NC2304 CART Services – Renewal)

2. Input the Prime Contractor/Bidder/Proposer’s Company Name

3. Include the Printed Name & Signature of the Company’s authorized representative that is submitting the Compliance Plan

4. Insert the Company’s full primary address

5. Enter the Company’s authorized representative’s contact phone number

6. Enter the Company’s authorized representative’s contact email address

7. Input the Name of the MBE/WBE Vendor If Prime Contractor/Bidder/Proposer is a self-performing MBE and/or WBE, they must list their firm’s complete information in this section of the Schedule A also

8. Indicate the MBE/WBE Vendor’s Street Address

9. Enter the MBE/WBE Vendor’s City, State & Zip Code

10. Identify the MBE/WBE firm’s Contact Person

11. Indicate the MBE/WBE firm’s Contact Person’s Title

12. Enter the MBE/WBE firm’s Contact Person’s phone number

13. Enter the MBE/WBE firm’s Contact Person’s email address

14. Check the certification status of the MBE/WBE firm If the firm is certified as both MBE & WBE, only check the status that will be utilized for credit on the contract

15. List the MBE/WBE firm’s Certification Agency(s)

16. Enter the MBE/WBE firm’s Subcontract Amount, if known

If Subcontract Amount is unknown at the time of Schedule completion, indicate ‘TBD’ in this field

17. Enter the percentage of the total contract value that will be completed by the MBE/WBE firm Percentages of participation without a dollar value are acceptable if the solicitation’s scopes of services are dependent upon CCC’s requirements

18. Indicate if the MBE/WBE firm is being utilized for either direct participation or indirect participation; Both selections cannot be checked for one firm If the same MBE/WBE firm will be utilized for both direct participation and indirect participation, the firm must be listed twice on the Schedule A with the specified contract amount and/or contract percentage for each participation type

19. Provide a brief description of services the MBE/WBE firm will perform

20. Identify at what percentage of project completion the MBE/WBE subcontractor will perform on the contract and check all that apply (i.e. if the subcontractor will perform throughout the duration of the contract, check 25%, 50% & 75%; if the subcontractor will complete their scope in the beginning of the contract, check 25%; etc.)

Repeat steps 7 through 20 for all scheduled MBE & WBE firms.

The Bidder/Proposer may make copies of page 2 if additional space is needed to outline their utilization plan.

21. Sum up the total participation dollar values and/or percentages for all MBE & WBE firms performing direct and/or indirect participation on the contract and enter the total values in the appropriate fields

22. If there is someone designated to handle MWBE Compliance inquiries for the Prime Contractor/Bidder/Proposer other than the submitter of the Schedule A, please list their name, phone & email address in this field

23. The authorized representative of the Prime Contractor/Bidder/Proposer’s company must sign and have the form notarized

Schedule C – Letter of Intent to Perform as Subcontractor, Subconsultant and/or Material Supplier (This form is completed by the MBE/WBE subcontractor)

The Schedule C document is the MBE/WBE subcontracting firm’s “letter of intent” to perform on the contract resulting from the solicitation and must be completed independently by the MBE/WBE firm.

Each MBE & WBE firm performing on the contract must complete a Schedule C form and provide a copy of their current certification letter.

1. Project Name & Number should reference the RFP/RFB Number & Project Description that the products and/or

2. Enter the name of the certified MBE or WBE firm

3. Identify the Contractor/Bidder/Proposer’s company firm to whom the MBE/WBE firm is subcontracting

4. Check the certified firm’s appropriate certification status If a firm is certified as both MBE & WBE, only check the status that will be utilized for credit on the contract

5. Select the option that best describes how the MBE/WBE firm will perform work on the contract

6. Provide a brief description of services the MBE/WBE firm will perform on the contract

If more space is needed to fully describe the certified MBE/WBE firm’s proposed scope of work, MBE/WBE may attach a separate additional sheet; just be sure to indicate ‘see attached sheet’ in the comment box

7. Enter the agreed upon subcontract dollar value and/or the percentage of participation to be achieved as well as the agreed upon terms of payment between the MBE/WBE subcontractor and the prime contractor/bidder/proposer

8. If any portion of the certified MBE/WBE firm’s subcontract award will be sublet to non-certified firms or other certified firms, the percentage of the sublet must be indicated in these fields If more than 10% of the MBE/WBE firm’s subcontract award will be sublet, a brief explanation and description of the work to be sublet must be provided on a separate sheet on the MBE/WBE firm’s letterhead If any portion of the MBE/WBE firm’s subcontract award will be sublet to other MBE/WBE firms, those lower tier

MBE/WBE firms must also complete a Schedule C form if they will be utilized for credit on the contract If no portion of the MBE/WBE firm’s subcontract award will be sublet, a zero (0) must be filled in each blank

9. Input the Printed Name of the MBE/WBE company

10. Include the Printed Name & Signature of the MBE/WBE firm’s authorized representative that is submitting the

Schedule C form

11. Enter the date the form was completed

12. The authorized representative of the MBE/WBE’s company must sign and have the form notarized

Schedule C-1—Letter of Intent to Perform as an MBE or WBE Prime Contractor

(this form is completed by any self-performing MBE/WBE Prime Contractor/Bidder/Proposer)

Schedule C-1 is required when the Prime Contractor/Bidder/Proposer is a certified MBE or WBE and seeks credit for their own participation. This document ensures the Prime is self-performing a portion of the work and is not planning to subcontract the majority of work to non-MBEs and/or other M/WBEs.

Schedule C-1 must be accompanied by a current letter of certification also.

1. Project Name & Number should reference the RFP/RFB Number & Project Description that the products and/or

2. Enter the name of the self-performing MBE or WBE prime contractor/bidder/proposer

3. Check the certified firm’s appropriate certification status If a firm is certified as both MBE & WBE, only check the status that will be utilized for credit on the contract

4. Select the option that best describes how MBE/WBE prime contractor/bidder/proposer will perform work on the contract

5. Indicate the percentage of the total contract the MBE/WBE prime contractor/bidder/proposer will self-perform on the contract If you are a self-performing M/WBE firm, and you intend to perform 100% of the contract, your M/WBE status does not absolve you from having to comply with either of the other goal requirements

6. Indicate the percentage of the total contract award that non-certified firms will perform on the contract in the first field and the total percentage of the total contract award that other certified MBE/WBE subcontractors will perform on the contract in the second field The percentages for MBE/WBE participation indicated on this form, should aligned with the total percentages indicated on the Schedule A form Sum of all three fields shall not exceed 100%

7. Input the Printed Name of the MBE/WBE prime contractor/bidder/proposer

8. Include the Printed Name & Signature of the MBE/WBE prime contractor/bidder/proposer’s authorized representative that is submitting the Schedule C-1 form

9. Enter the date the form was completed

10. The authorized representative of the MBE/WBE Prime Contractor/Bidder/Proposer’s company must sign and have the form notarized

Schedule C-2 – Letter of Intent to Perform as an MBE or WBE Joint Venture Partner

(This form is completed by any prime/subcontractor that intends to perform as a joint venture w/ an MBE/WBE firm)

The Schedule C-2 is required when the Prime Contractor/Bidder/Proposer is responding to the solicitation as a joint-venture with a MBE/WBE firm OR when a non-certified subcontractor performing on a contract is seeking MBE/WBE credit by partnering with a certified firm as a joint venture.

A copy of the Joint Venture agreement and the current letters of certification for each MBE or WBE Joint Venture partner must be attached also.

1. Project Name & Number should reference the RFP/RFB Number & Project Description that the products and/or

2. Identify the name of the Joint Venture firm (combined entity)

3. Insert the Joint Venture firm’s full primary address

4. Enter the JV firm’s authorized representative’s contact phone number

5. Include the Printed Name of the JV firm’s authorized representative

6. Identify the name of the MBE/WBE certified firm (separate entity)

7. Check the certified firm’s appropriate certification status

If a firm is certified as both MBE & WBE, only check the status that will be utilized for credit on the contract

8. List the MBE/WBE firm’s Certification Agency(s)

9. Indicate the MBE/WBE firm’s full primary address

10. Enter the MBE/WBE firm’s Contact Person’s phone number

11. Identify the MBE/WBE firm’s Contact Person

12. Identify the name of the non-certified firm (separate entity)

13. Indicate the non-certified firm’s full primary address

14. Enter the non-certified firm’s Contact Person’s phone number

15. Identify the non-certified firm’s Contact Person

16. List the names of the JV firm’s owners

Indicate the percentage of ownership held by the owner of the MBE/WBE firm and the owner of the non-certified firm

Indicate the percentage of profit to be obtained by the owner of the MBE/WBE firm and the owner of the non-certified firm

Input the percentage of loss to be incurred by the owner of the MBE/WBE firm and the owner of the non-certified firm

Insert the percentage of capital contributed by the owner of the MBE/WBE firm and the owner of the non-certified firm

Indicate the dollar amount of capital contributed by the owner of the MBE/WBE firm and the owner of the non-certified firm

Per the instructions on the form, attach a separate sheet listing the equipment (if any) provided by each JV partner

On a separate sheet, provide a list of other ownership interests (if any) of each JV partner

17. Indicate which JV owner is responsible for each activity listed on the left and notate any limitations or restrictions If there are no limitations or restrictions, indicate N/A in the field

18. Identify the trade or scope needed to perform the work of the JV firm in the Trade column. Then list the approximate number of employees from the MBE/WBE firm and/or the non-certified firm that will be contributed to perform that trade or scope of work in the appropriate column. If any new employees will be hired directly by the JV firm, indicate the number of employees under the Joint Venture column.

19. Input the Printed Name of the MBE/WBE firm

20. Include the Printed Name & Signature of the MBE/WBE firm’s authorized representative that is submitting the Schedule C-2 form

21. Enter the date the form was completed

22. Input the Printed Name of the non-certified firm

23. Include the Printed Name & Signature of the non-certified firm’s authorized representative that is submitting the

Schedule C-2 form

24. Enter the date the form was completed

25. The authorized representative of the Joint Venture company must sign and have the form notarized

Schedule D—Waiver Request

(This form is to be completed by the Prime Contractor/Bidder/Proposer)

If the Prime Contractor/Bidder/Proposer does not anticipate being able to meet the District’s MBE/WBE goal(s) they must submit a request to waive either one or both of the goals, fully or partially, using the Schedule D form.

In addition to completing the Schedule D form, Bidders/Proposers must also provide a detailed waiver explanation narrative citing the reason they are seeking a waiver and the Good Faith Efforts (demonstrable proof of due diligence) attempted to achieve M/WBE participation to support their request for a waiver. Please see the Instructions regarding Good Faith Efforts on page 2 of the Schedule D form for a full list of some examples of such good faith efforts. A response to each example is not required to be included in the waiver explanation narrative as it is meant to be used a reference or guidance.

1. Project Name & Number should reference the RFP/RFB Number & Project Description that the products and/or

If schedules are being completed for renewal, please indicate ‘Renewal’ in the field also (i.e. NC2304 CART

Services – Renewal)

2. Check which type of waiver is being requested If a partial waiver is being requested, take the difference between the minimum MBE/WBE goal percentage and the proposed MBE/WBE participation percentage and enter that percentage in the percent field (i.e. 25% (minimum MBE goal) - 10% (proposed utilization) = 15% partial MBE waiver)

3. Check any of the following reasons for a waiver that apply In the ‘Other’ field, a brief description of the waiver reason can be provided or enter “see attached narrative” to provide the full rationale if the reasons listed do not apply PLEASE NOTE: a waiver explanation narrative must be provided on the bidder/proposer’s company letterhead along with the completed Schedule D form for all waiver requests, full or partial

4. Include the Signature & Title of the Prime Contractor/Bidder/Proposer’s authorized representative that is submitting the Schedule D form

5. Insert the name of the Prime Contractor/Bidder/Proposer’s company

6. DO NOT COMPLETE this section of the Schedule D form. It is for CCC Contract Compliance Administrator Use Only