8 MWBE WITH FORMS (1).pdf

pg 5.,!HENLn .

s5..„ 9

U , pe l ":.

fl+ i'2. 1,,., e p .:., .R°_' z 9

CITY COUNCIL

SCHENECTADY, NEW YORK

RESOLUTION NO. 2020- 125

r

Councilmember : Mr. Kosiur offered the following:

A Resolution Adopting the City of Schenectady 2020 MWBE and Workforce Goals Administrative Regulations and Procedures

WHEREAS, Chapter 6 of the Code of the City of Schenectady, as amended, requires the City Council to review and approve practices employed by the City to ensure the participation of minority-and women- owned business in all aspects of City contractual agreements; and

WHEREAS, the City of Schenectady is committed to achieving a workforce that reflects the demographic diversity of the City of Schenectady; and

WHEREAS, the City, through its Office of Affirmative Action, has developed the 2020 MWBE and Workforce Goals Administrative Regulations and Procedures document, which reflects the City' s commitment and complies with applicable laws:

NOW, THEREFORE BE IT,

RESOLVED, that the Ciry Council do hereby adopt and direct the implementation of the City' s 2020 MWBE and Workforce Goals Administrative Regulations and Procedures, subject to finalization by the Corporation Counsel, effective immediately, a copy of which shall be appended to the resolution and made a part hereon by reference.

Ap roved as to form this 10` day of August, 2020.

A U 10 2Q20 " : ;

7...

s . 4:. . 2azo r., 1, Andrew B. Koldin, Esq.

vi'g 4;:' Corparation Counsel

C

City of Schenectady 2020 MWBE and Workforce Goals

Administrative Regulations and Procedures

Background

In an effort to achieve a workforce that reflects the demographics diversity of the City Of

Schenectady, the City has devised the following goals for Minority and Women Business Enterprises (MBE/WBE) participation as well as Equal Employment Opportunity (EEO).

The City Of Schenectady establish the goal for MWBE' s as percentages of annual contract awards for contracts over$ 100, 000.00 for three types of city contracts, Public Works Construction, Public Works Consultants, Professional Services Consultants, with the aggregate minority and women awards goals as shown in table 1.

The City of Schenectady will use a weighted scoring system outlined in table 2 to encourage and assist contractors in reaching the stated MWBE goals.

The City of Schenectady establish the goal that MWBE' s will receive as percentages of annual contract awards for city commodity( goods and services ) contracts as shown in Table 3.

The City Of Schenectady establishes the Workforce EEO goals to be phased in as illustrated in Table 4.

Public works construction contracts exceeding $250,000.00 may only be awarded to contractors and subcontractors that have an approved apprenticeship program.

Please direct any questions you may have regarding this information to:

Ronnie Gardner

Affirmative Action Officer

City Hall, 105 Jay Street Room 2 Schenectady, NY 12305

Phone 518- 382- 5199 Ext 5374

Email Rgardner@schenectadyny.gov

MWBE and Workforce Goals Administrative Regulations and Procedures

Table of Contents

Part 1 — MWBE Goals

Section 1. Who Qualifies for MWBE Status for Purposes of Meeting City Goals

Section 2. Procedures for MWBE Requirements: Public Works Contracts

Section 3. Procedures for MWBE Requirements: Professional Services Consulting Contracts including Public Works Consulting Contracts

Section 4. Procedures for MWBE Requirements: Purchases of Goods and Services

Part 2— Workforce Goals

Section 1. Overall Requirements

Section 2. Procedures for Warkforce Requirements: Public Works Contracts

Section 3. Procedures for Workforce Requirements: Professional Services Consulting Contracts including Public Works Consulting Contracts

Part 3 - Responsibilities of Departments

Part 4 - Duties of the MWBE Office

Part 1— MWBE Goals

Section 1. Who Qualifies for MWBE Status for Purposes of Meeting City Goals

1. 1. APPLICATION. A contractor, vendor or consultant shall be eligible for meeting the City of Schenectady MWBE goals if:

1. 1. 1 It is a state- certified MWBE at the time of the contract award. State certification requires that a business be at least 51% owned and controlled by minorities (M), women( W), or both. Minority shall be defined consistent with state and federal definitions, e. g. Black, Hispanic, American Indian or Alaskan Native, Asian— Indian Subcontinent, and Asian

Pacific. State certified shall mean that the MWBE business has a valid current certification as listed in the Empire State Development( ESD) directory, or has been approved through another state agency MWBE or DBE certification process, or is under recertification review by ESD if verified and approved by the Affirmative Action Officer.

1. 1. 2 The contractor, vendor or consultant has bona fide offices and operations in the Empire

State Development( ESD) Capital Region, which includes the following counties:

Albany, Schenectady, Saratoga, Rensselaer, Columbia, Greene, Schoharie, Montgomery, Washington, Warren and Fulton.

1. 1. 3 The Affirmative Action Officer is authorized to approve the use of state-certified businesses from outside this region if the Affirmative Action Officer determines that a contract requires either specialty work that cannot reasonably be subcontracted to an MWBE business, or there is a lack of qualified responsive and responsible MWBE companies in the region to perform the work.

Section 2 Procedures for MWBE Requirements: Public Works Contracts

TABLE 1

Public Works Construction Pro' ects

Contract Type Aggregate Annual Aggregate Annual Aggregate Annual

Award Award Minorities Award Women

Public Work

Construction 23% 11. 5% 11. 5%

Contracts After

Au ust 1, 2020

Public Works

Consultants After 23% 11. 5% 11. 5%

Au ust 1, 2020

2. 1 APPLICATION. The City' s MWBE goals shall apply to all City public works projects;

unless state or federal or grantee goals are required that supersede City requirements. The City' s MWBE goals do not replace any state or federal or grantee goals, but may add to such goals if permitted.

2. 1. 1 Public works contracts shall include, but not be limited to contracts for work in or on city streets, sidewalks, bridges, water infrastructure, utility infrastructure, parks, recreational facilities, and buildings, and any other non-City owned facilities for which the City is otherwise responsible for constructing or maintaining. Demolition contracts established by the City shall be classified as public works contracts.

2. 1. 2 Public works term service and maintenance contracts that are awarded based on unspecified quantities and/ or time frames for work on infrastructure and facilities ( in other words, are not awarded on the basis of a discrete Total Bid Price where quantities and timing of orders can be reasonably estimated) shall be classified as City commodity contracts for the purposes of ineeting MWBE goals.

2. 2 CONTRACT REQUIREMENTS. The requirements and procedures for meeting the MWBE goals for public works contracts shall be as set forth in the contract documents.

These may be amended from time to time with the approval of the Affirmative Action Officer and the Corporation Counsel, and consistent with subsequent amendments.

2. 3 PRIOR APPROVAL OF BID DOCLTMENTS. Prior to advertisement for bids for a public works contract, the Affirmative Action Officer shall review and approve the bid documents. Any changes required by the Affirmative Action Officer shall be made prior to publishing the bid documents.

2. 4 APPROVAL OF MWBE UTILIZATION PLAN.

The Affirmative Action Officer shall review the MWBE Participation Plan( Form P) submitted with the bids received and shall work with the apparent low bidder as recommended by the department to develop an acceptable MWBE Utilization Plan, on a form designated by the City( Form A). The Affirmative Action Officer is authorized to adjust individual contract goals by waivers, or to permit the use of state- certified MWBE' s from outside the region if the contract requires either specialty work that cannot reasonably be subcontracted to an MWBE business, or there is a lack of qualified responsive and responsible MWBE companies in the region to perform the work. In approving the MWBE Utilization Plan for a contract, the Affirmative Action Officer will use appropriate discretion to ensure that the Ciry' s annual aggregate MWBE goals for public works contracts are met.

2. 4. 1 The Affirmative Action Officer must approve an MWBE Utilization Plan, which shall become incorporated into the contract documents, prior to the contract being executed by the Director of Finance and Purchasing Agent

2. 4. 2 An otherwise low bidder who fails to provide an MWBE Utilization Plan that the

Affirmative Action Officer will approve shall be declared non-responsive, and the City will proceed to award the contract to the lowest responsive and responsible bidder.

2. 5 CHANGE ORDERS.

If any individual contract change order is 5% or more, or if any change order brings the total net cumulative amount of change orders to the initial contract award to 5% or more, the contractor must submit a revised MWBE Utilization Plan for approval by the Affirmative Action Officer. A Form A MWBE Utilization Plan revision must be submitted and approved each time a new change order occurs after the 5% threshold has been reached. The Affirmative Action Officer may also issue a revised MWBE Utilization Plan for unforeseen changes, such as changes in the availability of MWBE subcontractors during the term of the contract.

2. 6 CONTRACTOR REPORTING REQUIREMENTS.

The Contractor shall submit periodic MWBE utilization reports to the City, on forms or on a web based system provided by the City. A completed MWBE Form W- Subcontractor/Supplier Payment Certification Form (Form W) and MWBE Form F -

Report of MWBE Utilization( Form F). These forms shall be submitted with each application for payment until these forms are superseded by the web based system. In order for the City to determine if MWBE subcontractors are being utilized according to the Approved Form A MWBE Utilization Plan, the contractor is required to submit a payment application/ invoice to the City a minimum of once every ninety( 90) days after the date of the Notice to Proceed/start of work and continuing during the term of the proj ect/ contract.

2. 6. 1 GOOD FAITH EFFORTS

49 CFR Appenclix A to Part 26- Guidance Concerning Goad Faith Efforts

Appendix A to Part 2b- Guidance Cancerning Good Faith Efforts

I. When, as a recipient, you establish a contract goal on a City Of Schenectady- assisted contract for procuring construction, equipment, services, or any other purpose, a bidder inust, in order to be responsible and/or responsive, make si ffi.cient good faith efforts t meet the goal. The bidder can meet this requirement in. either of two ways. First, the bidder can meet the goal, documenting commitments for participation by MWBE/ SECTTON 3 firms sufficient for this purpose.

Second, even if it doesn't Ineet the goal, the bidder can document adequate good faith. efforts.

This means that the bidder must show that it took all necessary and reasonable steps to achieve a MWBE/ SECTION 3 goal or oth.er requirement of this part which, by their scope, in.tensity, and appropriateness to the objective, could reasonably be expected to obtain stiffteient MWBE/ SECTION 3 participation, even if tl3ey were not fiilly successful, IL In any situation in which you have establish.ed a contract goal, Part 26 requires you to use the good fai.th efforts mechanrsm of this part. As a recipient, you have the responsibility to make a fair and reasonable judgment whether a bidder th t did not meet the goal made adequate good faith efforts. lt is im.portant for you to consider the quality, quantity, and intensity of the different kinds of efforts that the bidder has made, based on the regLilations and the guidance in this

Appen.dix.

T.he efforts employed by the bidder sho.ild be those that one could reasonably expect a bidder to take if the bidder were act3vely and aggressively trying to obtain MWBE/ SECTION 3 participation sufficient to meet the MWBE/ SECTION 3 contract goa1. Mere pro forma efforts are not good faith efforts to meet the MWBE/ SECT.ION 3 contract requirements, We emphasize, however, that your detet7nination concerning the sufficiency of the firn' s good faith efforts is a judgment call. Determinations should not be made using quantitative formulas.

I. I. The Department also strongly cautions you against requiring that a bidder meet a contract goal( i.e., obtain a specified amount of MWBE/ SECTION 3 participation) in arder to be awarded a contract, even though the bidder rnakes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith effarts.

IV. The following is a list of types of actions which you sho ild consider as part of the bidder's good faith efforts to obtain MWBE/ SECTION 3 participation. It is not intended to be a mandatory cliecklist, nor is it intended to be exctusive or e; haustive. Other factors or types aP efforts may be relevant in appropriate cases.

A. ( i) Co.riducing m rket research to identify sma].1 business contractors and suppliers and soliciting through all reasonable and available means the interest of all certified MWBE/ SECTION 3 s that have the capability to perform the work of the contract. This may include attendance at pre- bid and business matchmaking meetiilgs and events, advertising and/or written notices, posting of Notices of Sources Soug lt and/ or Requests for Proposals, vritten notices or emails to al1. MWBE / SECTION 3 s listed in the State' s directory of tran.spo.rtation firms that specialize in the areas of work desired( as noted in the MWBE/ SECTION 3 directory) and which.are Iocated in. the area or surrounding areas of the project.

2) The bidder sho ild solicit this interest as early in the acquisition process as practicable to allow the MWBE/ SECTION 3 s to respond to the solicitation and submit a timely offer far the subcontract. The bidder should determine with certainty if the MWBE / SECTION 3 s are interested by taking appropriate steps to follow up initial solicitations.

B. Selecting portions of the work. to be performed by MWBE/ SECTION 3 s in order to increase the likelihood that the MWBE/ SECTION 3 goals will be achieved. This includes, where appropriate, breaking out contract work items into econo nlically feasible units ( for example, smaller tasks or quantities) to facilitate MWBE/ SECTION 3 pa.rticipation, even wl en the prime contractor might otherwise prefer to perform these work items with its own forces. This may include, wh.ere possible, establishing flexible timeframes for performance and delivery schedules in a manner that enco lrages and facilitates MWBE/ SECTION 3 participation.

C. Providing interested MWBE/ SECTION 3 s with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a soticitati.on with their offer for the s ubcontract.

D. ( 1) Negotiating in good faith with interested MWBE/ SECTION 3 s. It is the bidder's responsibility to make a portion of the work available to MWBE / SECTION 3 subcontractors and suppliers and to select those portions of the work or material needs consistent with the available MWBE/ SECTION 3 subcontractors and suppliers, so as to facilitate MWBE/

SECTION 3 participation. Evidence of such negotiation inchides th.e names, addresses, and telephone numbers of MWBE/ SECTION 3 s that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional Agreements coul.d not be reached for.MW.BE / SECTION 3 s to perform the work.

2) A bidder using good business judgment would consider a number of factors in negotiating with.subcontractors, including MWBE/ SECTION 3 subcontractors, and would take a frm's price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in ftnding and using MWBE/ SECTION 3 s is not in itself sufficient reason for a bidder's failure to meet the contract MWBE/ SECTION 3 goal, as long as such eosts are reasonable. Also, the ability or desire of a prime contractar to perform the work of a contract with its own or; anization does not relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from MWBE/ SECTI.ON 3 s if the price difference is excessive or unreasonable.

E. ( 1) Not rejecting MWBE/ SECTION 3 s as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor's standin within its industry, membership in specific groups, organizations, or associations and political or social. af..filiations for example union vs. non-union status) are not legitimate causes for the rejection or non-solicitation of bids in the contractor s̀ efforts to meet the project goal. Another practice considered an insufficient good faith effort is the rejection of the MWBE/ SECTION 3 because its c uotation for the work vas not the ] owest received. However, nothing in this paragrap.h shall be construed to require the bidder or prime contractor to accept unreasonable quotes in order to satisfy contract goals.

2) A prime contractar's inability to find a replacement MWB/ SECTION 3 at the original price is not alone sufficient to support a finding that good faith efforts have been made to replace the original MWBE/ SECTION 3 . T11e fact Yhat the contractor has the ability and/ ar desire to perforin the contract work with its own forces does not relieve the contractor of the obligation to make good faith efforts to find a replacement MWBE/ SECTION 3 , and it is not a sound basis far rejecting a prospective replacement MWBE/ SECTION 3 ' s reasor.iable qu.ote.

F. Making efforts to assist interested MWBE/ SECTION 3 s in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor.

G. Making efforts to assist interested MWBE/ SECTION 3 s in obtaining necessary equipment, supplies, materials, or related assistance or services.

H. Effectively using the services of available minority/women community organizations;

minority/women contractors' groups; local, State, and Federal minority/women business assistance offices; and other organizations as all.owed on a case- by- case basis to provide assistance in the recruitment and placement of MWSE/ SECTION 3 s.

V. In determining whether a bidder has made good faith efforts, it is essential to scrutinize its documen.ted efforts. At a minimum, you must review the performance of other bidders in meeting the contract goal. For example, when the apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether, with additional. efforts, the apparent successfiil bidder could have met the goal. If the apparent successfiil bidder fails to meet the goal, but meets or eYceeds the average MWBE/ SECTION 3 participation obtained by other bidders, you may view this, in conjunction with other factors, as evidenee of the apparent successful biclder having made good faith efforts. As provided in

26. 53{ b)( j{(vi), you must also rec uire the contractor to submit copies of each MWBE/

SECTION 3 and non-MWBE/ S.ECTION 3 subcontractor quote submitted to the bidder when a non-MWBE/ SECTION 3 subcontractor was selected over a MWBE/ SECTION 3 far work on the contract to review whether MWBE / SECTION 3 prices were substantially higher; and contact the MWBE/ SECTION 3 s listed on a contractor's solicitation to inquire as to whether they were contacted by the prime. Pro forma mailings to MWBE/ SECTION 3 s requesting bids are not alone sufficient to satisfy good faith efforts under the rule.

VI. A promise to use MWBE/ SECTION 3 s after con.tract award is not considered to be responsive to the contract solicitation or to constitute good faith efforts.

2. 7 FAILURE TO MEET THE APPROVED GOALS, If a contractor fails to provide required reports and forms that demonstrate the contractor' s success in meeting the goals set in the initial or subsequent approved form A MWBE utilization plan, the City has the right to withhold payment for failure to submit required documentation per Section 13. 3 of the Special Terms and Conditions of the contract documents. If a contractor fails to meet the goals set in the Final MWBE Utilization Plan( i. e. the initial Form A or last dated revision), The Purchasing Supervisor shall take such failure into account in determining whether or not the contractor is a responsible bidder, for purposes of evaluating subsequent bids submitted by that contractor.

Section 3. Procedures for MWBE Requirements: Professional Services Consulting Contracts.

3. 1 APPLICATION. The City' s MWBE goals shall apply to all City professional services consulting contracts, including public works consulting contracts, over$ 10, 000, unless state, federal or grantee goals are required that supersede City requirements. The City' s MWBE goals do not replace any state or federal or grantee goals, but may add to such goals if permitted. While any individual Professional Services Agreement( PSA) for professional services consulting and public works consulting may or may not meet the overall and minority category goals, it is the City' s policy to achieve the goals in aggregate based on the annual value of contracts awarded. Therefore, departments are expected to strive to meet ar exceed the goals on as many contracts as possible.

3. 1. 1 MWBE goals shall apply to all professional services consulting contracts, including public works consulting contracts. " Consulting Services" shall be those professional services that are provided by a consultant based upon the accumulation of information, the synthesis of that information into conclusions, and the preparation and transmittal of recommendations for action— all informed and guided by the knowledge, experience and specialized training of the consultant. A consultant is an experienced professional or firm in a given field who provides expert advice to the City or acts far the City in a particular area for a fee, including but not limited to the following areas: engineering, architecture, finance, security, management, education, accountancy, law, human resources, marketing and information technology.

3. 1. 2 The Mayor has discretion over Professional Services Contracts

3. 2 CONTRACT AND RFP REQUIREMENTS. Departments shall follow the PSA/RFP policy and procedures as set forth by the Mayor.

For each RFP and PSA for a professional services or public works consulting contract, the RFP and PSA shall include MWBE goals language as provided in the Professional

Services Agreement Form approved by the Law Department per Appendix 1.

Respondents to the RFP are expected to address the MWBE goals requirements specified in the RFP. Departments shall award respondents the additional MWBE evaluation weighting points specified in Table

TABLE 2

Additional Evaluation Weighting Points for MWBE Goals

Res ondin Com an Wei ht Awarded

Prime Contractor is an MWBE 10%

Prime Uses 10%- 20% MWBE Subcontractors 5%

Prime Uses More Than 20% MWBE Subcontractors 10%

3. 2. 1 The evaluation weighting points for use of one or more subcontractors shall be based on how the prime contractor will utilize MWBE subcontractors, shown as either a percent of the total contract dollar amount ar as a percent of the total full-time- equivalent labor hours budgeted for this project

3. 3 PRIOR APPROVAL OF RFP. Prior to advertising, publishing and distributing the RFP for a professional services consulting or public works consulting contract, the department shall ensure that the Affirmative Action Officer has reviewed the RFP for the relevant

MWBE and workforce goals language and forms. The review process will provide the opportunity for the Affirmative Action Officer to work with the department to identify potential MWBE consultants for the work and determine if a waiver of the MWBE goals is appropriate given the type of work required and the availability of qualified MWBE' s.

3. 4 PRIOR APPROVAL OF RECOMMENDATION FOR AWARD. Departments are required to have the Affirmative Action Officer review the recommendation for award prior to the department submitting the Mayor' s transmittal letter to City Council for authorization for all proposed PSA' s. As part of this review, the Affirmative Action

Officer and the Law Department will determine whether or not the proposed PSA is subject to the MWBE and workforce goals per Section 3. 1. NOTE—since MWBE and workforce goals apply to all professional services consulting contracts, even if a department does not issue an RFP to obtain a contract with a professional consultant, the department is still required to review the proposed PSA with the Affirmative Action

Officer.

3. 4. 1 The Affirmative Action Officer will review the proposed MWBE and workforce plans and work with the department to make any preliminary adjustments with the proposed consultant that demonstrate the consultant' s understanding of and commitment to the City' s MWBE and warkfarce goals

3. 4.2 This review will include verifying that the prime consultant andJor any subcontractors are certified MWBE' s in order to qualify for any MWBE evaluation weighting points.

3. 5 APPROVAL OF MWBE UTILIZATION PLAN. After City Council has authorized entering into the PSA, the department shall work with the consultant and the Affirmative Action Officer to complete the Form A MWBE Utilization Plan and related documents.

The Affirmative Action Officer shall review the Plan, and once approved, the Plan shall be incorparated into the contract documents. NOTE— since the MWBE requirements apply to all professional services consulting and public works consulting contracts, even if a department does not issue an RFP to obtain a contract with a professional consultant, the department must review the proposed contract with the Affirmative Action Officer to ensure that an approved MWBE Utilization Plan is incorporated into the agreement.

3. 6 CHANGE ORDERS. If the contract incorporates the use of MWBE subcontractors, the agreement requires that the consultant shall notify the authorized City agent( the department) if a change occurs that will result in a significant( 5% or more) increase or decrease in the MWBE Utilization Plan goals. If so, the consultant is expected to submit a revised MWBE Utilization Plan, which must be approved by the Affirmative Action Officer. The Affirmative Action Officer may also issue a revised MWBE Utilization Plan far unforeseen changes such as changes in the availability of MWBE subcontractors during the term of the contract. Revised plan(s) will become incorparated into the agreement as an amendment.

3. 7 CONSULTANT REPORTING REQUIREMENTS. If the contract incorporates the use of MWBE subcontractors, the consultant shall submit to the department an MWBE Form W-

Subcontractor/Supplier Payment Certification Form( Form W) and MWBE Form F - Report of

MWBE Utilization( Form F). These forms shall be submitted with each application for payment until these forms are superseded by the web based system. When the department receives an invoice and forms F and W, the department shall transmit copies of those forms (until the web based reporting system is utilized) to the Affirmative Action Officer and Contract Compliance unit of the Department of Finance. In arder for the City to determine if MWBE subcontractors are being utilized according to the approved Form A MWBE Utilization Plan, the consultant is required to submit a payment application/ invoice to the City a minimum of once every ninety

90) days after the date of the Notice to Proceed/ start of work and continuing during the term of the project/contract.

3. 8 FAILURE TO MEET THE GOALS 1N THE APPROVED MWBE UTILIZATION

PLAN. The contract agreement language stipulates that failure to submit the required

MWBE utilization reports and documents shall constitute a default in the performance of the agreement subject to potential termination for default by the City. In addition, if the consultant fails to meet the goals in the most recent approved MWBE Utilization Plan, such failure may result in disqualification from award of future contracts with the City unless the consultant has demonstrated a good faith effort to meet the goals set forth in

Ordinance No. 2018- 54 for future agreements.

Section 4. Procedures for MWBE Requirements: Commodity Contracts - Purchases of

Goods and Services.

TABLE 3

Commodit Contracts

Contract Type Aggregate Annual Aggregate Annual Aggregate Annual

Award Award Minorities Award Women

Commodity Contracts After 10% 5% 5%

Au ust 1, 2020

4. 1 The Purchasing Supervisar shall develop practices and procedures to meet the annual MWBE goal set forth in Table 4 for City commodities ( goods and services) contracts.

4.2 The Purchasing Supervisor is authorized to utilize best value bids for City purchase and services bids, consistent with Article 8A of City Code, and to permit a 5% price advantage to

MWBE bidders for contracts awarded on the basis of best value.

4.3 The Purchasing Supervisor shall submit quarterly and annual reports to the Affirmative Action Officer including the total value of all purchase orders issued against City contracts, the total value of those purchase orders that were issued to MWBE' s, and any other tracking information requested by the Affirmative Action Officer to demonstrate efforts and abilities to meet the MWBE goals specified.

i

Part 2— Workforce Goals

Section 1. Overall Requirements.

TABLE 4

Workforce Goals on Public Works Contracts, Construction Contracts

Contracts Aggregate Annual Aggregate Annual Aggregate Annual

Award Award Minorities Award Women

After August 1, 2020 12% 7% 5%

After January 1, 2021 17% 10% 7%

After January 1, 2022 20% 12% 8%

1. 1 APPLICATION. The City' s workforce goals shall apply to all City public works contracts and professional services consulting contracts, including public works consulting contracts, over$ 100, 000, unless state, federal or grantee goals are required that supersede City requirements. The City' s workforce goals do not replace any state or federal or grantee goals, but may add to such goals if permitted.

Section 2. Procedures for Workforce Goals Requirements: Public Works Contracts

2. 1 APPLICATION. The City' s workforce goals shall apply to all City public works projects, unless state or federal or grantee goals are required that supersede City requirements.

2. 1. 1 Public works contracts shall include, but not be limited to contracts for work in or on city streets, sidewalks, bridges, water infrastructure, utility infrastructure, parks, recreational facilities, and buildings, and any other non- City owned facilities for which the City is otherwise responsible for constructing or maintaining. Demolition contracts established by the City shall be classified as public works contracts.

2. 1. 2 Public works term service and maintenance contracts that are awarded based on unspecified quantities and/ or time frames for work on infrastructure and facilities ( in other words, are not awarded on the basis of a discrete Total Bid Price where quantities and timing of orders can be reasonably estimated) shall be classified as City commodity contracts for the purposes of ineeting MWBE goals.

2. 2 CONTRACT REQUIREMENTS. The requirements and procedures for meeting the workforce goals for public works contracts shall be as set forth in the contract documents, Special Laws and Regulations ( SLR). These may be amended from time to time with the approval of the Affirmative Action Officer and the Corporation Counsel, and consistent with

Ordinance No. 2018- 54 or subsequent revisions. Key requirements are:

2. 1 The prime contractor and all subcontractors are required to submit a Workforce Staffing Plan prior to the initiation of any work.

MWBE and Worl force Goals Administrative Regulations and Procedures

2. 2 The Workforce Staffing Plan(s) shall be reviewed by the Affirmative Action Officer, and once signed by the Affirmative Action Officer, shall become an integral part of the performance agreement between the parties.

2. 3 Workforce goals may be met in the aggregate b any combination of prime and subcontractor employees, independent owner operators and supervisors who work on the job

2. 3 PRIOR APPROVAL OF BID DOCUMENTS. Prior to advertisement for bids for a public works contract, the Affirmative Action Officer shall review and approve the bid documents. Any changes required by the Affirmative Action Officer shall be made prior to publishing the bid documents.

2. 4 WORKFORCE UTILIZATION REPORTS. The requirements and procedures for submitting workforce utilization information during the term of the contract shall be as set forth in the contract documents, Special Laws and Regulations ( SLR). Key requirements are:

2. 4. 1 Workforce utilization will be tracked through certified payrolls.

2.4.2 Independent owner operators and supervisory personnel who work on the job will be counted for meeting workforce goals.

2. 5 CHANGE ORDERS. Aggregate workforce utilization goals shall apply to and reflect any and all change orders authorized during the course of the contract.

2. 6 CONTRACTOR REPORTING REQUIREMENTS

i

2. 6. 1 The prime contractor and all subcontractors shall be required to submit certified payrolls that, in addition to meeting the requirements of Labor Law, include worker category, minority and gender information for each employee on the payroll. Additional information for independent owner operators and supervisory personnel who work on the job shall also be reported as appropriate. This information will be reported to the City on a form acceptable to the

City, which may be paper or on a web based system provided by the City.

2. 6. 2 The information provided in Section 2. 6. 1 shall be reviewed by the City and tracked to determine actual employees utilized on the project. The City reserves the right to require the contractor to provide monthly and cumulative summary reports on a form acceptable to the City.

This information will be the basis for determining how the workforce goals were met. Failure of the contractor to provide these reports shall be deemed a default of the contract.

2. 6. 3 The workforce goals outlined in table 2 may be met in aggregate by any combination of prime contractor and subcontractor employees, including independent owner operatars and supervisory personnel. Workforce M and W utilization shall be calculated by determining the total hours of all employees paid and the corresponding percentage of hours worked by minority M) employees and female (W) employees. However, if it appears that the warkforce goals are not being met or are not likely to be met during the course of the contract, the City reserves the right to require the contractor to demonstrate what steps will be taken to ensure that, by the end of the work of the contract, the workfarce goals will be met.

2. 6. 4 In order far the Ciry to determine ifwarkforce goals are being met, the Contractor is required to submit a payment application/ invoice to the City a minimum of once every ninety

30) days after the date of the Notice to Proceed/ start of work and continuing during the term of the project/contract.

Training Requirements for Construction Contract

The City Of Schenectady requires all construction contracts that are greater than 100, 000.00) one hundred thousand dollars in total construction cost and is anticipated to exceed 6 months of construction; to include a detailed and well defined plan on how they will provide a certified pre-apprenticeship or apprenticeship training programs to at least ( 1) one Section 3 Resident in its priority order. ( 1) One additional Section 3 Resident in its priority order will be provided training for every additional ($ 500,000) five hundred thousand to ($ 1, 000,000.00) one million dollars of the total contract value. The training plan and trainings must be aligned with the scope of work in the contract and approved by The City of

Schenectady. A training program participant can only count for ( 1) one training slot per total contract amount. Those who do not offer a certified pre- apprenticeship or apprenticeship training program will contribute into the City Of Schenectady Section 3 Training Fund as prescribed in the chart listed below.

Total Contract Amount of Section 3 Contribution to CITY OF SCHENECTADY

Training Fund if Training/ Interns

At least$ 100,000, but less than 1 6% of the Total Contract Value up to 500,000

At least$ 500,000, but less than 2 5% of the Total Contract Value up to

At least$ 1, 000, 000, but less than 3 4% of the Total Contract Value up to

At least$ 2, 000, 000, but less than 4 3% of the Total Contract Value up to

At least$ 4, 000, 000, but less than 10 2% of the Total Contract Value up to 7, 000,000. 00

2. 7 FAILURE TO MEET WORKFORCE GOALS. A contractor' s failure to meet the aggregate workforce goals at the time the final payment application for this contract is submitted may be a basis for the City to declare the contractor non-responsive on future bid submissions.

l

Part 3 - Responsibilities of Departments

Each department that is the administrator/owner of a public works contract, public works consulting contract, or professional services consulting contract, is responsible for administering their contracts to meet the MWBE and workfarce participation goals specified in Ordinance No.

2018- 54 and these regulations and procedures. To that end, deparhnents shall:

1. Ensure that any bids or RFP' s issued by the department include MWBE and workforce goals language as specified in these administrative regulations and procedures.

2. Prior to issuing a bid or RFP, submit the bid or RFP to the Affirmative Action Officer for review and approval at least three business days prior to publishing and advertising bids or RFP' s. Or, if no RFP is issued, the department must ensure that the selected consultant fully understands the MWBE and workforce goals requirements.

3. Ensure that prospective respondents are made aware of the new MWBE and workforce requirements. This shall include, but not be limited to:

3. 1 Clearly marked and highlighted at the front of each bid specification and/ or RFP a summary of the new MWBE and workforce goal requirements. RFP' s should have similar language referencing the appropriate section( s) of the RFP.

3. 2 Clearly identify the new requirements in the announcement of the bid or RFP.

3. 3 Clearly identify where the new MWBE and workfarce requirements may be found in the specification or RFP.

3. 4 Discuss the MWBE and workforce requirements at any pre-bid/pre-proposal meeting with potential bidders or respondents. NOTE—even if the department does not issue an RFP to obtain consulting services, the department must notify the potential consultant of the MWBE and workforce goals that will be incorporated into the Agreement.

4. Ensure that public bids and responses to RFP' s that are received include sufficient documentation to demonstrate how the bidder/respondent plans to meet the MWBE and workforce goals.

5. Prior to submitting the Mayor' s transmittal letter to City Council for authorization for all proposed PSA' s, ensure that the Affirmative Action Officer has reviewed the MWBE and workforce plans submitted by the recommended consultant or contractor.

6. After City Council has authorized a PSA that includes MWBE and/ or workforce goals, work with the consultant to obtain a Form A MWBE Utilization Plan that is approved by the

Affirmative Action Officer, and a Workforce Staffing Plan that is reviewed by the Affirmative Action Officer. Both the MWBE Utilization Plan and the Workforce Staffing Plan will be incorporated into the Agreement.

To summarize, departments interact with the Affirmative Action Officer at the following points in the RFP/ PSA process:

A). Prior to release of an RFP. Send the RFP to the Affirmative Action Officer, who will do a quick format review and offer department suggestions for potential respondents. As part of this review, the department may request that the Affirmative Action Officer and the Law Department determine whether or not the proposed PSA is a public works/professional services consulting contract subject to MWBE and workforce goals.

B).Prior to submittal to Council. The Affirmative Action Officer is required to review each PSA submitted as part of the Mayor' s transmittal letter information package requesting authorization from City Council. As part of this review, the Affirmative Action Officer and the Law Department will determine whether or not the proposed PSA is subject to MWBE and workfarce goals if this hasn' t been determined previously.

C). After Council authorization and before routing the Agreement in MLJNIS. The department is required to obtain a Form A MWBE Utilization Plan that is approved by the Affirmative Action

Officer, and a Workforce Staffing Plan that is reviewed by the Affirmative Action Officer and incorporated into the Agreement.

After the Agreement has been executed, departments:

7. Collect MWBE and workforce utilization reports required to be submitted, and not approve payments until such reports have been properly submitted, either in paper form or on the web based system provided by the City. This shall include ensuring that all information regarding MWBE and/ or DBE and/or warkforce utilization required by other funding agencies or grantors is properly submitted by the contractor/consultant and transmitted to the funding agency to meet their requirements. Copies of these forms ( ar the relevant data as provided in the City' s web based system) must be transmitted to the Affirmative Action Officer and Contract Compliance unit in Finance by the deparhnent.

8. Notify the Affirmative Action Officer of any changes to the original contract so that MWBE and workforce utilization plans are properly adjusted.

9 Provide information as the contract administrator to any funding agency or grantor that is required to demonstrate compliance with that agency' s MWBE and/ or DBE and/ or workforce utilization and other affirmative action goals.

10. Assist the Affirmative Action Officer as requested to ensure that City, state and federal

MWBE, DBE, workforce and other affirmative action goals required by grantors are being met and reports are filed as required.

ll. Provide the Affirmative Action Officer with an MWBE and warkforce utilization summary report at the end of each contract for public works consulting and professional services consulting administered by the department. The summary reports shall be on a form requested by the Affirmative Action Officer, ar electronically if available on a web based system provided by the City. This information must be kept by the department as part of the contract records for audit purposes.

Part 4 - Duties of the Affirmative Action Officer

To ensure that the requirements and these regulations and procedures are followed, the

Affirmative Action Officer shall:

1. Work with departments as appropriate to ensure that MWBEs have the opportunity to participate in City public works projects, professional services contracts and purchases of goods and services.

2. Review all City contracts and requests for proposals over$ 100,000 prior to solicitation for public works bids and public works consulting services and professional services consulting services RFP' s, to ensure that MWBE and warkforce goals are included where appropriate. The Affirmative Action Officer, with the review of the Law Department, shall determine whether or not the proposed contract is subject to the MWBE and workforce goals.

3. Maintain the City' s MWBE directory that is provided on the City' s web site as a primary resource for City departments and the public, and maintain and update the MWBE web site page.

4. Review and approve MWBE Utilization Plans and review Workforce Staffing Plans submitted for public works projects, public works consulting contracts and professional services consulting contracts. This shall include, but not be limited to, working with departments, contractors and consultants to resolve any problems associated with achieving the goals specified in the contract documents.

5. Review and track MWBE utilization reports and workforce utilization reports, and determine when a contractor/consultant has not met the MWBE and workforce goals set in the MWBE and workfarce plans incorporated into the contract/agreement.

6. Adjust individual contract goals by waiver, or permit the use of state- certified MWBE' s from outside the region, where the Affirmative Action Officer concludes that the contract includes specialty work that cannot reasonably be subcontracted to an MWBE business, or there is a lack of qualified responsive and responsible MWBE companies in the region to perform the contract work. The Affirmative Action Officer shall apply professional experience and judgment, in conjunction with staff in the departments, to determine how best to address and resolve NIWBE goal shortfalls for any contract. The Affirmative Action Officer shall document when waivers are granted and how shortfalls are resolved.

7. Recommend to the Director of Finance when a bidder should be declared non-responsive and/or non-responsible due to failure to make a good faith effort to meet the City' s MWBE and/ or Workforce goals for public works projects.

8. Recommend to the Director of Finance when a consultant should be declared in default for failure to submit MWBE and subcontractor/ supplier payment certification forms and/or workforce utilization reports required by the Agreement, or for failure to meet the workforce and/ or MWBE goals included in the Agreement with that consultant.

9. Prepare and submit quarterly and annual MWBE and workforce utilization reports to the

Mayor and City Council.

Form P MWBE Participation Plan DUE WITH BID

CITY OF SCHENECTADY

MWBE Participation Plan

(FINAL PLAN WILL BE INCORPORATED INTO CONTRACT, IF AWARDED.)

Provide a written Plan describing the process and steps that will be taken to ensure that the requirements relative to contracting with Minority and Women Business Enterprises will be met. Include in the description what specific actions will be taken to ensure that subcontractors comply with the requirements. The description must outline specific steps to be taken and detail the program or strategy to be employed to achieve the requirements. Provide an outline of the specific contracts that will be awarded to Section 3 MBE/WBE businesses, if known. Use additional sheets of paper, if necessary. Please Note The MWBE Goals.

Current Goals MBE 11.5% WBE 11.5% Effective January 1, 2022 MBE 15% and WBE 15%

NOTE: This plan shall incorporate actions to be taken by the bidder’s/offeror’s proposed subcontractors/suppliers.

Name: Title: Date: ___________________

Office of Affirmative Action

FORM A DUE PRIOR TO CONTRACT

CITY OF SCHENECTADY

CONTRACTING

UTILIZATION PLAN

Contracting Schedules that do not reflect a level of participation that meets or exceeds the stated requirements may cause the bid to be deemed non-responsive.

MBE / WBE firms not certified by NY Empire State Development (ESD) shall not be included on this schedule and shall not be counted towards the participation requirements. Duplicate form if additional space is needed.

ITEM # DESCRIPTION OF WORK TO BE

PERFORMED

NAME AND ADDRESS OF

COMPANY TO BE USED TO

PERFORM THE WORK

SCOPE OF WORK TO BE PERFORMED TOTAL ESTIMATED AMOUNT OF WORK TO

BE PERFORMED

LABOR MATERIALS BOTH Prime MBE WBE EXAMPLE GC John Doe, Prime

Contracting X $50,000

1.

2.

3.

4.

5.

6.

7.

Summary:

1) Total Contract Value $ Percentage of Total Contract Amount %

2) Total Amount to be Awarded to MBE $ Percentage of Total Contract Amount %

2) Total Amount to be Awarded to WBE: $ Percentage of Total Contract Amount %

Name: Title: Date:

FORM B-2 DUE PRIOR TO CONTRACT

CITY OF SCHENECTADY

WORKFORCE EMPLOYMENT AND TRAINING SCHEDULE

Project _______________

Employment and Training Schedules that do not reflect a level of participation that meets or exceeds the stated requirements may cause the bid to be deemed non- responsive. Duplicate form if additional space is needed.

Job Category Total Estimated Positions Needed for Contract

Total Estimated Number of Workforce Manhours Needed for

Contract

Total Number of Positions Currently

Occupied by Core

Employees

Total Estimated Number of Workforce

Manhours to be Performed by Current Core Employees

Total Estimated Number of Workforce

Manhours to be Performed by

Section 3 Residents

Training Plan List Types of Pre-

Apprenticeship and Apprenticeship Trainings That Will Be Provided to Section 3 Employees/THE CITY OF

SCHENECTADY Residents

Number of “On The Job

Training” Positions

Available to Section 3 Residents

List The Name Of The Training

Program Provider

What Type of Certification Will Be

Provided At The Completion of

Training

Ex. Clerical 2 80 hours 1 50 hours 30 hours 1

Name: Title: Date: __________________________

FORM F DUE MONTHLY

CITY OF SCHENECTADY

FORM F CONTRACTING

UTILIZATION PLAN

Contracting Schedules that do not reflect a level of participation that meets or exceeds the stated requirements may cause the bid to be deemed non-responsive.

MBE / WBE firms not certified by NY Empire State Development (ESD) shall not be included on this schedule and shall not be counted towards the participation requirements. Duplicate form if additional space is needed.

ITEM # DESCRIPTION OF WORK TO BE

PERFORMED

NAME AND ADDRESS OF

COMPANY TO BE USED TO

PERFORM THE WORK

SCOPE OF WORK TO BE PERFORMED TOTAL ESTIMATED AMOUNT OF WORK TO

BE PERFORMED

LABOR MATERIALS BOTH Prime MBE WBE EXAMPLE GC John Doe, Prime

Contracting X $50,000

1.

2.

3.

4.

5.

6.

7.

Summary:

1) Total Contract Value $ Percentage of Total Contract Amount %

2) Total Amount to be Awarded to MBE $ Percentage of Total Contract Amount %

2) Total Amount to be Awarded to WBE: $ Percentage of Total Contract Amount %

Name: Title: Date:

Trade…