6-Bidder Contributions CEC Form 55 - Instructions.PDF

Form 55 Instructions | Revised February 2022

Form 55 Instructions

TABLE OF CONTENTS

INTRODUCTION

CONTACT INFORMATION

BIDDER RESPONSIBILITIES

PAGE 1: COVER PAGE AND BIDDER INFORMATION

Original or Amended Filing

Reference Number

Date Bid Submitted

Contract Description

Awarding Authority

Bidder Information

Schedule Summary

Certification

PAGE 2: SCHEDULE A – BIDDER’S PRINCIPALS

PAGE 3: SCHEDULE B – SUBCONTRACTORS AND THEIR PRINCIPALS

Form 55 Instructions | Revised February 2022 Page | 1

INTRODUCTION

Bidders who respond to certain City contract solicitations are limited by City law in their ability to spend money in connection with City elections. They are prohibited from making campaign contributions to and engaging in prohibited fundraising activity for City candidates and officeholders. They are also required to disclose their identities and the identities of their subcontractors and principals. Form 55 must be used for that purpose, and these instructions provide information about how to complete the form.

CONTACT INFORMATION

All questions about Form 55 and the laws regarding bidders and contractors should be directed to the Los Angeles City Ethics Commission:

ethics.commission@lacity.org

(213) 978-1960 phone

(213) 978-1988 fax

Whistleblower Hotline: (800) 824-4825

200 North Spring Street City Hall 24th Floor, Suite 2410

Los Angeles CA 90012 ethics.lacity.org https://ethics.lacity.org/

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BIDDER RESPONSIBILITIES

A bidder is any person who bids on or submits a proposal or other response to a City contract solicitation, whether it involves a competitive or a non-competitive selection process.

You are a bidder required to complete Form 55 when all of the following apply:

• You submit a response or proposal for an RFP (request for proposals), RFQ (request for qualifications), RFB (request for bids), or any other written or verbal request to enter into a competitive or non-competitive City contract; and

• The contract is expected to be valued at $100,000 or more; and

• The contract must be approved by an elected office (City Council, Mayor, City Controller, or City

Attorney).

For purposes of Form 55, a contract is any agreement, franchise, lease, non-regulatory permit, land use license or easement, or concession with the City that meets the qualifications listed above. This includes an agreement for the performance of any work, service, or construction; the provision of any materials, goods, or equipment; the sale or purchase of property; and the making of grants. This also includes the selection of a pre-qualified list of persons to contract with the City if the RFQ’s not-to-exceed amount is at least $100,000 and the list selection requires approval by an elected City office. The definition does not include a contract with another government agency or a contract between a City proprietary department and an underwriting firm for a noncompetitive sale of revenue bonds.

Form 55 is used to disclose information about the following individuals and entities:

• You (the bidder);

• Your principals;

• Your subcontractors with subcontracts valued at $100,000 or more; and

• The principals of those subcontractors.

The campaign finance restrictions and requirements in Los Angeles City Charter § 470(c)(12) and Los Angeles Municipal Code § 49.7.35 apply to all of those individuals and entities. They are subject to the laws because of the positions they hold in relation to a City bid, not because they are disclosed on your Form 55. See section G for more information.

You are required to do all of the following:

1. Submit a completed Form 55 with your bid or proposal documents to the City department awarding the contract.

2. Amend your Form 55 within 10 business days if the information in the form changes after you submit it with your bid or proposal.

3. Notify your principals and subcontractors of the campaign finance restrictions and requirements that apply to them.

https://codelibrary.amlegal.com/codes/los_angeles/latest/laac/0-0-0-1874 https://codelibrary.amlegal.com/codes/los_angeles/latest/lamc/0-0-0-224321

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PAGE 1: COVER PAGE AND BIDDER INFORMATION

You must complete all sections on the cover page.

ORIGINAL OR AMENDED FILING

ORIGINAL FILING

Check this box if this is the first time you are submitting a Form 55 in connection with the City contract that you are currently seeking or have been awarded.

AMENDMENT

Check this box if you are making changes to a Form 55 that you previously submitted in connection with the same City contract that you are seeking or have been awarded. For an amended filing, you must provide the later of:

• The date that your original Form 55 submission was signed; or

• The date that your most recent amendment was signed.

Example 1: Your law firm submitted a Form 55 last month when responding to an RFP from the City Attorney’s Office for legal services. Your law firm is now responding to an RFP with the Port of Los Angeles for a different contract to provide legal services. Check the “Original Filing” box on the Form 55 submitted to the Port, because this is the first time your firm is submitting Form 55 in connection with the contract with the Port.

Example 2: Your company submitted a Form 55 last week when responding to an RFP from the Department of Water and Power (DWP) for construction services. This week, your company moved its offices to a new location. Your company is required to update its contact information on the Form 55 submitted with its proposal. On a new Form 55, check the “Amendment” box, because your company is submitting an updated version of the Form 55 that was already submitted in connection with the construction services contract.

REFERENCE NUMBER

If applicable, provide the bid number, contract number, RAMP ID, or other identifying number or code assigned to the bid or contract that you seek. You can usually find this number on the City solicitation package (e.g., the RFP documents). However, not all solicitations have a reference number.

If there is no reference number for the bid or contract, enter “N/A” in this box.

DATE BID SUBMITTED

Enter the date that you submit your bid or response documents to the City department that will be awarding the contract.

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CONTRACT DESCRIPTION

Provide the following information in this section:

• Title of the RFP, RFQ, or RFB, as listed on the City solicitation documents; and

• Description of the services to be provided under the contract.

A brief description of the contract is usually given in the RFP, RFQ, RFB, or solicitation documents. If you cannot find one, describe what will be performed under the contract.

AWARDING AUTHORITY

Provide the name of the City department that will be awarding the contract you seek.

BIDDER INFORMATION

Provide all of the following information:

• Bidder’s full legal name;

• Bidder’s business address;

• Bidder’s phone number; and

• Bidder’s email address.

The email address and telephone number provided in this section will be used to contact you if there are questions about the information provided in your Form 55.

Remember to amend your Form 55 to keep this information current.

SCHEDULE SUMMARY

ITEM 1: BIDDER’S PRINCIPALS

Indicate whether you have one or more principals. Check only one box (“Yes” or “No”).

A principal is any of the following:

• Board chair;

• President;

• Chief executive officer;

• Chief operating officer;

• An individual who serves in the functional equivalent of any of the above positions;

• An individual who holds an ownership interest of 20% or more; or

• An employee authorized to represent you before the City regarding this contract.

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Example 1: You are putting together a proposal for a City contract on behalf of your employer, ABC, Inc. The proposal must include a Form 55. Because ABC, Inc. is an entity, you must check the “Yes” box and disclose ABC, Inc.’s principals on attached Schedule A pages.

Example 2: You are an individual submitting a proposal for a City contract and must complete a Form 55. You have two employees who are authorized to represent you before the City on this proposal. You must check the “Yes” box and disclose yourself and those employees as your principals on attached Schedule A pages.

All bidders who are entities are required to complete Schedule A. Most bidders are entities, so most bidders must check the “Yes” box and attach Schedule A pages to the cover page.

Attach to the cover page as many Schedule A pages as necessary to identify all of your principals.

ITEM 2: SUBCONTRACTORS AND THEIR PRINCIPALS

Indicate whether you have one or more subcontractors with subcontracts valued at $100,000 or more on the City contract you seek. Check only one box (“Yes” or “No”).

Example 1: Your construction company is submitting a response to a City RFP to provide construction services on a development project and must submit a Form 55. For the proposed project, you expect to hire ABC Company as a subcontractor that will perform $50,000 worth of work and XYZ Corporation as another subcontractor that will perform $200,000 worth of work.

Check the “Yes” box and attach Schedule B pages to disclose XYZ Corporation and its principals.

Example 2: Your architecture firm is submitting a response to a City RFP to provide landscape design services at a new park, and a Form 55 is required. For the proposed project, you expect to hire two subcontractors: More Sunshine, Inc., which will provide consulting services worth $30,000;

and Beautiful Parks Company, which will perform $85,000 worth of the work. Check the “No” box, indicating that you do not have any subcontractors with subcontracts valued at $100,000 or more.

Attach to the cover page as many Schedule B pages as necessary to identify all of your subcontractors and their principals.

ITEM 3: TOTAL NUMBER OF PAGES SUBMITTED

Enter the total number of Form 55 pages that you are submitting, including the cover page and all attached Schedule A and B pages.

CERTIFICATION

Form 55 must be signed by an authorized representative of the bidder. By signing this section, you are certifying under penalty of perjury all of the following:

• You understand and will comply with the requirements and restrictions in Los Angeles City Charter § 470(c)(12) and Los Angeles Municipal Code § 49.7.35;

• You have notified your principals and subcontractors of the requirements and restrictions; and

• The information you provided in the Form 55 and all attached pages is true and complete to the best of your knowledge and belief.

https://codelibrary.amlegal.com/codes/los_angeles/latest/laac/0-0-0-1874 https://codelibrary.amlegal.com/codes/los_angeles/latest/laac/0-0-0-1874

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PAGE 2: SCHEDULE A – BIDDER’S PRINCIPALS

You must complete this section if you have principals. If you are an entity, this section is required. You must disclose the name, title, and business address for each of your principals. For a definition of “principal”, see the instructions for Page 1, Section G.

If you need more space, mark the box indicating that you are attaching additional Schedule A pages. You may attach as many additional Schedule A pages as necessary to disclose all of your principals.

Remember to include all Schedule A pages in the total page count on your cover page and attach them to the cover page.

PAGE 3: SCHEDULE B – SUBCONTRACTORS AND THEIR PRINCIPALS

You must complete this section if you will have subcontractors with subcontracts worth $100,000 or more.

You must disclose the names and business addresses of those subcontractors and the names, titles, and business addresses of their principals. For a definition of “principal”, see the instructions for Page 1, Section G.

You must submit at least one Schedule B page for each subcontractor. Provide the name and business address of the subcontractor, and then mark the appropriate box to indicate whether the subcontractor has principals.

If a subcontractor has more principals than will fit on one page—or if you have multiple subcontractors to disclose—mark the box indicating that you are attaching additional Schedule B pages. You may attach as many additional Schedule B pages as necessary to disclose all of your subcontractors with subcontracts worth $100,000 or more and all of their principals.

Remember to include all Schedule B pages in the total page count on your cover page and attach them to the cover page.

H. Certification