STATE OF NORTH CAROLINA

DEPARTMENT OF TRANSPORTATION

HIGHWAY DIVISION 13

SMALL BUSINESS ENTERPRISE ID/IQ PROPOSAL

DATE AND TIME OF BID OPENING: OCTOBER 7, 2026 AT 2:00 PM

CONTRACT ID: D13POC.011.39193

WBS ELEMENT NO.: GMR13.BUN.1P, GMR13.BUN.1U, GMR13.BUN.1N,

GMR13.BUN.2P, GMR13.BUN.2U

FEDERAL AID NO.: STATE FUNDED

COUNTY: BUNCOMBE

TIP NO.: N/A

MILES: N/A

ROUTE NO.: VARIOUS INTERSTATE, PRIMARY, AND SECONDARY

ROUTES

LOCATION: VARIOUS

TYPE OF WORK: HAULING MATERIAL UPON REQUEST

NOTICE:

UNDER THE PROVISIONS OF THIS PROGRAM, A N.C. GENERAL CONTRACTOR’S LICENSE IS NOT

REQUIRED AND CONTRACT PAYMENT AND CONTRACT PERFORMANCE BONDS IS NOT

REQUIRED. BIDDERS SHALL ALSO COMPLY WITH ALL OTHER APPLICABLE LAWS, INCLUDING

BUT NOT LIMITED TO, THOSE REGULATING THE PRACTICES OF ELECTRICAL, PLUMBING,

HEATING AND AIR CONDITIONING AND REFRIGERATION CONTRACTING AS CONTAINED IN

CHAPTER 87 OF THE GENERAL STATUTES OF NORTH CAROLINA.

THIS IS A ROADWAY PROJECT. BID BOND IS NOT REQUIRED.

NAME OF BIDDER

ADDRESS OF BIDDER

D13POC.011.39193 Buncombe County

PROPOSAL FOR THE CONSTRUCTION OF

CONTRACT No. D13POC.011.39193 IN Buncombe County, NORTH CAROLINA

DEPARTMENT OF TRANSPORTATION,

RALEIGH, NORTH CAROLINA

The Bidder has carefully examined the location of the proposed work to be known as Contract No. D13POC.011.39193; has carefully examined the plans and specifications, which are acknowledged to be part of the proposal, the special provisions, the proposal, the form of contract; and thoroughly understands the stipulations, requirements and provisions. The undersigned bidder agrees to be bound upon his execution of the bid and subsequent award to him by the Department of Transportation in accordance with this proposal. Payment and performance bonds are not required on this project. The undersigned Bidder further agrees to provide all necessary machinery, tools, labor, and other means of construction; and to do all the work and to furnish all materials, except as otherwise noted, necessary to perform and complete the said contract in accordance with the 2024 Standard Specifications for Roads and Structures by the dates(s) specified in the Project Special Provisions and in accordance with the requirements of the Engineer, and at the unit or lump sum prices, as the case may be, for the various items given on the sheets contained herein.

The Bidder shall provide and furnish all the materials, machinery, implements, appliances and tools, and perform the work and required labor to construct and complete Contract No. D13POC.011.39193 in Buncombe County, for the unit or lump sum prices, as the case may be, bid by the Bidder in his bid and according to the proposal, plans, and specifications prepared by said Department, which proposal, plans, and specifications show the details covering this project, and hereby become a part of this contract.

The published volume entitled North Carolina Department of Transportation, Raleigh, Standard Specifications for Roads and Structures, January 2024 with all amendments and supplements thereto, is by reference incorporated into and made a part of this contract; that, except as herein modified, all the construction and work included in this contract is to be done in accordance with the specifications contained in said volume, and amendments and supplements thereto, under the direction of the Engineer.

If the proposal is accepted and the award is made, the contract is valid only when signed either by the Contract Officer or such other person as may be designated by the Secretary to sign for the Department of Transportation. The conditions and provisions herein cannot be changed except over the signature of the said Contract Officer or Division Engineer.

The quantities shown in the itemized proposal for the project are considered to be approximate only and are given as the basis for comparison of bids. The Department of Transportation may increase or decrease the quantity of any item or portion of the work as may be deemed necessary or expedient.

An increase or decrease in the quantity of an item will not be regarded as sufficient ground for an increase or decrease in the unit prices, nor in the time allowed for the completion of the work, except as provided for the contract.

033166

09/11/2026

TABLE OF CONTENTS

COVER SHEET

PROPOSAL SHEET

PROJECT SPECIAL PROVISIONS

PROJECT DESCRIPTION:........................................................................................................ G-1 SMALL BUSINESS ENTERPRISE CERTIFICATION: .......................................................... G-1 INTERESTED PARTIES LIST NOT REQUIRED: .................................................................. G-1 BOND REQUIREMENTS – No Bonds Required...................................................................... G-1 CONTRACT TIME FOR ID/IQ: ................................................................................................ G-2 NON-EXCLUSIVE CONTRACT: ............................................................................................. G-2 WORK ORDER ASSIGNMENT (MULTIPLE AWARDS) FOR ID/IQ: ................................. G-2 BONDING REQUIREMENTS FOR ID/IQ: .............................................................................. G-3 MOBILIZATION AND LIQUIDATED DAMAGES FOR ID/IQ: ........................................... G-4 EMERGENCY MOBILIZATION FOR ID/IQ: ......................................................................... G-4 RENEWAL OF CONTRACT (CPI PRICE ADJUSTMENT) FOR ID/IQ: .............................. G-4 DISPUTE RESOLUTION PROCESS FOR ID/IQ: ................................................................... G-5 NO MAJOR CONTRACT ITEMS: ........................................................................................... G-5 NO SPECIALTY ITEMS: .......................................................................................................... G-5

MINORITY BUSINESS ENTERPRISE AND WOMEN BUSINESS ENTERPRISE

(DIVISIONS): ........................................................................................................................... G-21

SMALL BUSINESS ENTERPRISE (MULTI-YEAR MAINTENANCE CONTRACTS):.... G-21

RESTRICTIONS ON ITS EQUIPMENT AND SERVICES: .................................................. G-21 USE OF UNMANNED AIRCRAFT SYSTEM (UAS): .......................................................... G-21 EQUIPMENT IDLING GUIDELINES: ................................................................................... G-21 OUTSOURCING OUTSIDE THE USA: ................................................................................. G-22 INVOICES: ............................................................................................................................... G-23

ROADWAY .................................................................................................................................R-1

STANDARD SPECIAL PROVISIONS

AVAILABILITY OF FUNDS – TERMINATION OF CONTRACTS ..................................SSP-1 ERRATA..................................................................................................................................SSP-2 PLANT AND PEST QUARANTINES ...................................................................................SSP-5 MINIMUM WAGES ...............................................................................................................SSP-6 TITLE VI AND NONDISCRIMINATION: ...........................................................................SSP-7 ON-THE-JOB TRAINING ....................................................................................................SSP-16

UNIT PROJECT SPECIAL PROVISIONS

SIGNATURE SHEETS AND FORMS .................................................................................... S-1 BID/PAY ITEM SHEETS ......................................................................................................... T-1 DOT EXECUTION SHEET .................................................................................................... U-1

INSTRUCTIONS TO BIDDERS

PLEASE READ ALL INSTRUCTIONS CAREFULLY

BEFORE PREPARING AND SUBMITTING YOUR BID.

All bids shall be prepared and submitted in accordance with the following requirements. Failure to comply with any requirement may cause the bid to be considered irregular and may be grounds for rejection of the bid.

TRADITIONAL PAPER BIDS:

1. Small Business Enterprise bidders shall submit a SBE Application for Certification Form within the NC

Online Certification System on the Department’s website and have been approved by the Office of Economic Opportunity & Compliance prior to bidding. The SBE shall submit this form for approval at a minimum of one week prior to bidding.

2. Download the entire proposal from the Connect NCDOT website and return the entire proposal with your bid.

3. Enter required information on the cover page. The “Name of Bidder” and the “Address of Bidder” should be as it appears in the Directory of Firms found on the Department’s website.

4. In accordance with Article 102-3 of the Standard Specifications, registration on the Interested Parties List is required unless SP1 G02 Interested Parties List Not Required provision is included in the proposal.

5. All entries on the itemized proposal sheet (bid form) shall be written in ink or typed.

6. The Bidder shall submit a unit price for every item on the itemized proposal sheet. The unit prices for the various contract items shall be written in figures. Unit prices shall be rounded off by the Bidder to contain no more than TWO decimal places.

7. An amount bid shall be entered on the itemized proposal sheet for every item. The amount bid for each item shall be determined by multiplying each unit cost bid by the quantity for that item, and shall be written in figures in the "Amount" column of the form.

8. The total amount bid shall be written in figures in the proper place on the bid form. The total amount bid shall be determined by adding the amounts bid for each item.

9. Changes to any entry shall be made by marking through the entry in ink and making the correct entry adjacent thereto in ink. A representative of the Bidder shall initial the change in ink. Do not use correction fluid, correction tape or similar products to make corrections.

10. The bid shall be properly executed on the included Execution of Bid – Non-collusion, Debarment and Gift Ban Certification form. All bids shall provide the following information:

a. Complete one of the following forms: Corporation, Partnership, Limited Liability Company, Joint

Venture, Individual Doing Business in His Own Name or Individual Doing Business Under a Firm Name, based on the business entity submitting the bid.

b. Corporations that have a corporate seal shall include it on the bid, otherwise write your corporations name in the seal location.

c. Provide the name of individual or representative submitting bid along with their position or title held on behalf of the bidder.

d. Name, signature, and position or title of witness.

11. The bid shall not contain any unauthorized additions, deletions, or conditional bids.

12. The Bidder shall not add any provision reserving the right to accept or reject an award, nor enter into a contract pursuant to an award.

13. THE ENTIRE PROPOSAL WITH THE ITEMIZED PROPOSAL SHEET AND ALL OTHER

APPLICABLE FORMS SHALL BE COMPLETED AND PLACED IN A SEALED ENVELOPE

AND SHALL BE DELIVERED TO AND RECEIVED IN THE NCDOT DIVISION OFFICE,

LOCATED AT 55 ORANGE STREET ASHEVILLE, NC 28801, BY 2:00 PM ON, OCTOBER 7,

2026.

14. The sealed bid must display the following statement on the front of the sealed envelope:

QUOTATION FOR – CONTRACT ID D13POC.011.39193 – HAULING MATERIAL UPON

REQUEST ON VARIOUS INTERSTATE, PRIMARY, AND SECONDARY ROUTES IN

BUNCOMBE COUNTY BE OPENED AT 2:00 PM ON, OCTOBER 7, 2026.

ATTN: CHAD LOFTIS

As well as the following information:

a. Name of the Corporation, Partnership, Limited Liability Company, Joint Venture, Individual Doing

Business in His Own Name or Individual Doing Business Under a Firm Name, submitting bid.

b. Name of the individual or representative submitting bid along with their position or title held on behalf of the bidder.

c. Address of the Corporation, Partnership, Limited Liability Company, Joint Venture, Individual Doing

Business in His Own Name or Individual Doing Business Under a Firm Name, submitting bid.

d. SAP Vendor Number of the Corporation, Partnership, Limited Liability Company, Joint Venture, Individual Doing Business in His Own Name or Individual Doing Business Under a Firm Name, submitting bid. This information can be found on the Directory of Firms found on the Department’s website.

e. Contractor License Number, if available, of the Corporation, Partnership, Limited Liability Company, Joint Venture, Individual Doing Business in His Own Name or Individual Doing Business Under a Firm Name, submitting bid.

15. If delivered by mail, the sealed envelope shall be placed in another sealed envelope and the outer envelope shall be addressed as follows:

N. C. DEPARTMENT OF TRANSPORTATION

DIVISION OF HIGHWAYS, DIVISION 13

ATTN: CHAD E. LOFTIS

55 ORANGE STREET

ASHEVILLE, NC 28801

16. Questions should be emailed 7 calendar days prior to the bid opening to Chad E. Loftis at celoftis@ncdot.gov or Gabe Johnson at gljohnson@ncdot.gov. Contact with any other NCDOT personnel concerning this project is strictly prohibited, unless otherwise noted, and may result in bids being considered non-responsive.

D13POC.011.39193 G-1 Buncombe County

PROJECT SPECIAL PROVISIONS

GENERAL

PROJECT DESCRIPTION:

This renewable Indefinite Delivery/Indefinite Quantity (ID/IQ) Small Business Enterprise (SBE) contract is for providing two (2) multi-axle dump trucks, with operators, equipped with a minimum

10.0 cubic yard (nominal) dump bed for hauling material upon request on various routes in Buncombe County.

All work and materials shall be in accordance with the provisions of the General Guidelines of this contract, the Project Special Provisions, the North Carolina Department of Transportation 2024 Standard Specifications for Roads and Structures, the North Carolina Department of Transportation 2024 Roadway Standards Drawings, and the current edition of the Manual of Uniform Traffic Control Devices (MUTCD).

The Contractor shall keep himself fully informed of all Federal, State and local laws, ordinances, and regulations, and shall comply with the provisions of Section 107 of the Standard Specifications.

SMALL BUSINESS ENTERPRISE CERTIFICATION:

(01-02-19)

Any firm that wishes to bid as a small business enterprise (SBE) shall be SBE certified prior to submitting a bid. Information regarding SBE certification can be found at:

https://connect.ncdot.gov/business/SmallBusiness/Pages/default.aspx.

INTERESTED PARTIES LIST NOT REQUIRED:

(6-21-22)(Rev. 2-20-24) 102 SP1 G02

Revise the Standard Specifications as follows:

The Interested Parties List sign up process is not applicable to this contract.

Page 1-13, Article 102-3 PROPOSALS AND INTERESTED PARTIES LIST, lines 12-15, delete the first paragraph.

Page 1-14, Article 102-8 PREPARATION AND SUBMISSION OF BIDS, lines 43-44, delete the first sentence of the first paragraph.

BOND REQUIREMENTS – No Bonds Required

(6-1-16)(Rev. 1-16-24) SPD 01-420B

The provisions of Articles 102-10 and 103-7 of the Standard Specifications are waived for this project. No bonds required.

D13POC.011.39193 G-2 Buncombe County

CONTRACT TIME FOR ID/IQ:

(2-15-22)(Rev. 4-15-25) 108 SP1 G11

The date of availability for this contract is November 16, 2026.

The completion date for this contract is November 15, 2027.

Except where otherwise provided by the contract, observation periods required by the contract will not be a part of the work to be completed by the completion date and/or intermediate contract times stated in the contract. The acceptable completion of the observation periods that extend beyond the final completion date shall be a part of the work covered by the performance and payment bonds.

Work shall be accomplished in a continuous manner once the contractor begins.

The liquidated damages for this contract will be assessed per the Mobilization and Liquidated Damages for ID/IQ provision located elsewhere in this contract.

NON-EXCLUSIVE CONTRACT:

(6-1-15) SPD 01-750

The Department may, as it deems to be in the best interest of the state and the Department of Transportation, execute more than one contract based on this proposal. The Contractor(s) understands and agrees, by signature on the Purchase Order Contract Bid Proposal, that this agreement does not constitute an exclusive contract. If awarded, the contracts will be executed with the lowest responsible bidders. The Department of Transportation reserves the right to make multiple awards for the services provided by this contract. Furthermore, the Department reserves the right to reject all bids received.

WORK ORDER ASSIGNMENT (MULTIPLE AWARDS) FOR ID/IQ:

(2-15-22)(Rev. 4-19-22) SPD 01-800B

Work orders will be assigned based on the lowest work order cost for the line items and estimated quantities necessary to complete the work order. Unit prices from each awarded contractor’s bid will be used to determine the lowest cost for each work order. The assigned Contractor shall respond to the work order assignment with the anticipated start date, within three working days of notification unless noted otherwise. Failure on the part of the Contractor to reply within the specified time frame may be received as a rejection of the work order. If the Contractor with the lowest work order cost cannot complete the work within the time specified in the assignment, the Engineer may contact the Contractor with the next lowest work order cost. If that Contractor can complete the work within the time specified in the assignment, then the work order will be assigned to that contractor. If not, assignment of work order will continue in order of work order cost until all awarded Contractors have had a chance to accept the terms of the assignment.

For federal ID/IQ contracts, all work orders will be assigned via the Work Order Assignment form (Form IDIQ-1MA), and the Contractor is required to formally respond in writing for federal work orders within three working days, unless noted otherwise. The Work Order Assignment form will also be used for any state ID/IQ contract in which the estimated work order cost meets the threshold for Performance and Payment Bonds in accordance with the Bonding Requirements for ID/IQ provision found elsewhere in this contract. For state ID/IQ contracts in which the work order

D13POC.011.39193 G-3 Buncombe County assignment doesn’t meet the threshold for bonds, the Department has the option to use the Work Order Assignment Form or other methods for work order assignments as agreed upon by the Engineer and Contractor.

The Contractor shall be required to prosecute the work in a continuous and uninterrupted manner from the time they begin the work until completion and final acceptance of the work order.

Multiple failures of the Contractor to mobilize and begin work on the work order within the agreed upon time frame or failure to complete the work within the given time frame may result in the Contractor being excluded from future work on this contract in accordance with the Standard Specifications.

BONDING REQUIREMENTS FOR ID/IQ:

(2-15-22) SPD 01-810

For purposes of this ID/IQ contract, the following definitions apply:

Project Agreement: A transportation improvement with a defined scope of work; a written agreement between NCDOT and the Federal Government defining the extent of construction work to be undertaken in accordance with the submitted plans, specifications and estimates. Execution of the agreement prompts the authorization to proceed (construction funding).

Project: An undertaking issued to a contractor through a Work Order Assignment. The construction under a Project Agreement may be accomplished by one or more work order assignments, from one or more ID/IQ contracts. Note that for ID/IQ contracts this definition supersedes the definition in the Standard Specifications.

Award: The issuance of a signed Work Order Assignment by NCDOT shall constitute the notice of award of a project.

In accordance with North Carolina General Statute 44A-26, bonds are required on contracts awarded for any one project that exceeds $500,000. Beyond statutory requirements, NCDOT policy requires payment and performance bonds on all projects where the engineer’s estimate is $450,000 or greater, all Asphalt Surface Treatment projects, and projects containing the 12-month guarantee provision. The limit for waiving bonds for all bridge replacement and major bridge rehabilitation projects (latex overlays, etc.) is $300,000 based on the engineer’s estimate. The decision of bonding of a work order assignment below the dollar amounts listed shall be at the discretion of the Division’s evaluation of the risks associated with the project.

The need for contract payment and performance bonds will be determined at the Work Order Assignment level. The Work Order Assignment will notify the Contractor of an award of a project and if required, to provide contract payment and performance bonds per Article 103-7 of the Standard Specifications. The Work Order Assignment replaces the Notification of Award Letter mentioned in Article 103-4(A) of the Standard Specifications.

D13POC.011.39193 G-4 Buncombe County

MOBILIZATION AND LIQUIDATED DAMAGES FOR ID/IQ:

(2-15-22) SPD 01-820

The Contractor shall mobilize to each location he is required to perform work. There will be no direct pay for Mobilization as it will be incidental to the other bid items. The only exception is if there is an Emergency Mobilization provision within the contract.

The Contractor will be provided a Work Order Assignment for each project with location(s), estimated quantities, and liquidated damages unless waived by the Engineer. Notification will be verbal followed by a faxed or emailed signed Work Order Assignment. There will be no minimum quantities for any line item associated with a particular mobilization. The Contractor shall complete the work identified on each Work Order Assignment.

The Contractor shall mobilize and complete the work within the time specified on the Work Order Assignment. Failure to complete the work by the completion date may result in the application of liquidated damages. Liquidated damage amounts will be based on the work order estimate and the liquidated damage table below.

Work Order Value Liquidated Damages (per calendar day) $0 - $100K $100.00

$100K - $200K $250.00 $200K - $300K $500.00 $300K - $500K $600.00 $500K - $1M $700.00 $1M - $2M $850.00

EMERGENCY MOBILIZATION FOR ID/IQ:

(2-15-22) SPD 01-830

The Contractor shall arrive on site within two (2) hours of notification. Compensation will be in addition to the specific line items in the contract. Emergency Mobilization will be paid for at the contract unit price per each. Failure to respond within the time frame will result in nonpayment of this item.

Payment will be made under:

Pay Item Pay Unit Emergency Mobilization Each

RENEWAL OF CONTRACT (CPI PRICE ADJUSTMENT) FOR ID/IQ:

(2-15-22)(Rev. 9-19-23) SPD 01-840

The Contractor shall submit a bid for one year. At the option of the Department, this contract may be extended for two (2) additional periods of one year each (maximum (3) three years total). Each year shall have a limit of One Million Dollars ($1,000,000.00).

The compensation payable to the contractor shall be fixed for the first twelve months of this contract. However, upon an application of renewal of the contract, or thirty days prior to the end of each contract period, the renewal contract may be adjusted to reflect the adjustment in the

D13POC.011.39193 G-5 Buncombe County

Consumer Price Index over the latest twelve month period as published by the US Bureau of Labor and Statistics at http://www.bls.gov/cpi to be applied to new work order assignments. The Consumer Price Index for All Urban Consumers (CPI-U), US City Average, All Items, 1982- 84=100, not seasonally adjusted will be used. If the amount of the requested adjustment is more than ten percent, the Department of Transportation reserves the right to cancel this contract.

CPI adjustment values can be determined using the calculator on the NCDOT Construction website.

This price escalation method will not be applied to items of work that are separately covered under commodity price escalation clauses. No other changes in the terms, conditions, etc. of this contract will be made when an extension to the contract is implemented. The Engineer will notify the Contractor in writing sixty (60) days before the contract completion date if the contract may be extended. The Contractor must notify the Engineer in writing forty-five (45) days before the contract completion date of his acceptance or rejection of this offer. Failure on the part of the Contractor to reply will be received as a rejection of contract extension.

DISPUTE RESOLUTION PROCESS FOR ID/IQ:

(2-15-22)(Rev. 1-16-24) SPD 01-850

If a question should arise on the contract or assignment of a work order, the contractor should notify the Engineer noted on the assignment documentation or the Division Engineer within 48 hours after the scheduled time of bid opening or work order assignment. The following should be included in the notification if applicable:

(A) the contract for which bids were solicited;

(B) the particular law, regulation, or contract specification violated;

(C) a detailed description of the alleged violation; and

(D) any other information deemed to be relevant.

Once the initial evaluation has been completed, the contractor may be asked to attend a meeting for further discussion and clarification.

Once a determination has been made, the contractor will be notified of the decision by the Division Engineer. If the decision does not meet the satisfaction of the contractor, they have 24 hours from the Division Engineer’s notification to elevate the dispute to the Chief Engineer. The Chief Engineer will make the final decision and will not be subject to further review by NCDOT.

NO MAJOR CONTRACT ITEMS:

(2-19-02) (Rev. 8-21-07) 104 SP1 G31

None of the items included in this contract will be major items.

NO SPECIALTY ITEMS:

(7-1-95)(Rev. 1-16-24) 108-6 SP1 G34

None of the items included in this contract will be specialty items (see Article 108-6 of the Standard Specifications).

D13POC.011.39193 G-6 Buncombe County

MINORITY BUSINESS ENTERPRISE AND WOMEN BUSINESS ENTERPRISE

(DIVISIONS):

(10-16-07)(Rev. 10-21-25) 102-15(J) SP1 G67

Description

The purpose of this Special Provision is to carry out the North Carolina Department of Transportation’s policy of ensuring nondiscrimination in the award and administration of contracts financed in whole or in part with State funds.

Definitions

Additional MBE/WBE Subcontractors - Any MBE/WBE submitted at the time of bid that will not be used to meet the Combined MBE/WBE goal. No submittal of a Letter of Intent is required.

Combined MBE/WBE Goal: A portion of the total contract, expressed as a percentage that is to be performed by committed MBE/WBE subcontractors.

Committed MBE/WBE Subcontractor - Any MBE/WBE submitted at the time of bid that is being used to meet the Combined MBE / WBE goal by submission of a Letter of Intent. Or any MBE or WBE used as a replacement for a previously committed MBE or WBE firm.

Contract Goal Requirement - The approved participation at time of award, but not greater than the advertised Combined MBE/WBE contract goal.

Goal Confirmation Letter - Written documentation from the Department to the bidder confirming the Contractor's approved, committed participation along with a listing of the committed MBE and WBE firms.

Manufacturer - A firm that owns (or leases) and operates or maintains a factory or establishment that produces on the premises, the materials or supplies obtained by the Contractor. A firm that makes minor modifications to the materials, supplies, articles, or equipment is not a manufacturer.

MBE Participation (Anticipated) - A portion of the total contract, expressed as a percentage that is anticipated to be performed by committed MBE subcontractor(s).

Minority Business Enterprise (MBE) - A firm certified as a Disadvantaged Minority-Owned Business Enterprise through the North Carolina Unified Certification Program.

Regular Dealer - A firm that owns (or leases), and operates a store, warehouse, or other establishment in which the materials or supplies required for the performance of the contract are bought, kept in sufficient quantities, and regularly sold to the public in the usual course of business.

A regular dealer engages in, as its principal business and in its own name, the purchase and sale or lease of the products in question. A regular dealer in such bulk items as steel, concrete or concrete products, gravel, stone, asphalt and petroleum products need not keep such products in stock, if it owns and operates distribution equipment for the products. Any supplement of regular dealers’ own distribution equipment shall be by a long-term operating lease and not on an ad hoc or contract-by-contract basis.

D13POC.011.39193 G-7 Buncombe County

Distributor – A firm that engages in the regular sale or lease of the items specified by the contract.

A distributor assumes responsibility for the items it purchases once they leave the point of origin (e.g., a manufacturer’s facility), making it liable for any loss or damage not covered by the carrier’s insurance.

Replacement / Substitution – A full or partial reduction in the amount of work subcontracted to a committed (or an approved substitute) MBE/WBE firm.

North Carolina Unified Certification Program (NCUCP) - A program that provides comprehensive services and information to applicants for MBE/WBE certification.

The MBE/WBE program follows the same regulations as the federal Disadvantaged Business Enterprise (DBE) program in accordance with 49 CFR Part 26.

United States Department of Transportation (USDOT) - Federal agency responsible for issuing regulations (49 CFR Part 26) and official guidance for the DBE program.

WBE Participation (Anticipated) - A portion of the total contract, expressed as a percentage that is anticipated to be performed by committed WBE subcontractor(s).

Women Business Enterprise (WBE) - A firm certified as a Disadvantaged Women-Owned Business Enterprise through the North Carolina Unified Certification Program.

Forms and Websites Referenced in this Provision

Payment Tracking System - On-line system in which the Contractor enters the payments made to MBE and WBE subcontractors who have performed work on the project.

https://apps.dot.state.nc.us/Vendor/PaymentTracking/

DBE-IS Subcontractor Payment Information - Form for reporting the payments made to all MBE/WBE firms working on the project. This form is for paper bid projects only.

https://connect.ncdot.gov/business/Turnpike/Documents/Form%20DBE- IS%20Subcontractor%20Payment%20Information.pdf

RF-1 MBE/WBE Replacement Request Form - Form for replacing a committed MBE or WBE.

https://connect.ncdot.gov/projects/construction/Construction%20Forms/DBE%20MBE%20WBE %20Replacement%20Form%20and%20Instructions.pdf

SAF Subcontract Approval Form - Form required for approval to sublet the contract.

https://connect.ncdot.gov/projects/construction/Construction%20Forms/SAF%20Form%20- %20Subcontract%20Approval%20Form%20Revised%2004-19.xlsm

JC-1 Joint Check Notification Form - Form and procedures for joint check notification. The form acts as a written joint check agreement among the parties providing full and prompt disclosure of the expected use of joint checks.

http://connect.ncdot.gov/projects/construction/Construction%20Forms/Joint%20Check%20Notif ication%20Form.pdf

D13POC.011.39193 G-8 Buncombe County

Letter of Intent - Form signed by the Contractor and the MBE/WBE subcontractor, manufacturer or regular dealer that affirms that a portion of said contract is going to be performed by the signed MBE/WBE for the estimated amount (based on quantities and unit prices) listed at the time of bid.

http://connect.ncdot.gov/letting/LetCentral/Letter%20of%20Intent%20to%20Perform%20as%20 a%20Subcontractor.pdf

Listing of MBE and WBE Subcontractors Form - Form for entering MBE/WBE subcontractors on a project that will meet the Combined MBE/WBE goal. This form is for paper bids only.

http://connect.ncdot.gov/municipalities/Bid%20Proposals%20for%20LGA%20Content/09%20M BE-WBE%20Subcontractors%20(State).docx

Subcontractor Quote Comparison Sheet - Spreadsheet for showing all subcontractor quotes in the work areas where MBEs and WBEs quoted on the project. This sheet is submitted with good faith effort packages.

http://connect.ncdot.gov/business/SmallBusiness/Documents/DBE%20Subcontractor%20Quote %20Comparison%20Example.xls

DBE Regular Dealer/Distributor Affirmation Form – Form is used to make a preliminary counting determination for each DBE listed as a regular dealer or distributor to assess its eligibility for 60 or 40 percent credit, respectively of the cost of materials or supplies based on its demonstrated capacity and intent to perform as a regular dealer or distributor, as defined in section 49 CFR 26.55 under the contract at issue. A Contractor will submit the completed form with the Letter of Intent.

https://connect.ncdot.gov/projects/construction/Construction%20Forms/DBE%20Regular%20De aler-Distributor%20Affirmation%20Form%20-%20USDOT%202024.pdf

Combined MBE/WBE Goal

There is NO MBE/WBE Goal for this project.

Directory of Transportation Firms (Directory)

Real-time information is available about firms doing business with the Department and firms that are certified through NCUCP in the Directory of Transportation Firms. Only firms identified in the Directory as MBE and WBE certified shall be used to meet the Combined MBE / WBE goal. The Directory can be found at the following link.

https://www.ebs.nc.gov/VendorDirectory/default.html

The listing of an individual firm in the directory shall not be construed as an endorsement of the firm’s capability to perform certain work.

Listing of MBE/WBE Subcontractors

At the time of bid, bidders shall submit all MBE and WBE participation that they anticipate to use during the life of the contract. Only those identified to meet the Combined MBE/WBE goal will be considered committed, even though the listing shall include both committed MBE/WBE subcontractors and additional MBE/WBE subcontractors. Any additional MBE/WBE subcontractor participation above the goal will follow the banking guidelines found elsewhere in this provision. All other additional MBE/WBE subcontractor participation submitted

D13POC.011.39193 G-9 Buncombe County at the time of bid will be used toward the Department’s overall race-neutral goals. Only those firms with current MBE and WBE certification at the time of bid opening will be acceptable for listing in the bidder's submittal of MBE and WBE participation. The Contractor shall indicate the following required information:

(A) Electronic Bids

Bidders shall submit a listing of MBE and WBE participation in the appropriate section of the electronic submittal file.

(1) Submit the names and addresses of MBE and WBE firms identified to participate in the contract. If the bidder uses the updated listing of MBE and WBE firms shown in the electronic submittal file, the bidder may use the dropdown menu to access the name and address of the firms.

(2) Submit the contract line numbers of work to be performed by each MBE and WBE firm. When no figures or firms are entered, the bidder will be considered to have no MBE or WBE participation.

(3) The bidder shall be responsible for ensuring that the MBE and WBE are certified at the time of bid by checking the Directory of Transportation Firms. If the firm is not certified at the time of the bid-letting, that MBE’s or WBE's participation will not count towards achieving the Combined MBE/WBE goal.

(B) Paper Bids

(1) If the Combined MBE/ WBE goal is more than zero,

(a) Bidders, at the time the bid proposal is submitted, shall submit a listing of MBE/WBE participation, including the names and addresses on Listing of MBE and WBE Subcontractors contained elsewhere in the contract documents in order for the bid to be considered responsive. Bidders shall indicate the total dollar value of the MBE and WBE participation for the contract.

(b) If bidders have no MBE or WBE participation, they shall indicate this on the Listing of MBE and WBE Subcontractors by entering the word “None” or the number “0.” This form shall be completed in its entirety. Blank forms will not be deemed to represent zero participation. Bids submitted that do not have MBE and WBE participation indicated on the appropriate form will not be read publicly during the opening of bids. The Department will not consider these bids for award and the proposal will be rejected.

(c) The bidder shall be responsible for ensuring that the MBE/WBE is certified at the time of bid by checking the Directory of Transportation Firms. If the firm is not certified at the time of the bid-letting, that MBE’s or WBE’s

D13POC.011.39193 G-10 Buncombe County participation will not count towards achieving the Combined MBE/WBE goal.

(2) If the Combined MBE/WBE Goal is zero, entries on the Listing of MBE and WBE

Subcontractors are not required for the zero goal, however any MBE or WBE participation that is achieved during the project shall be reported in accordance with requirements contained elsewhere in the special provision.

MBE or WBE Prime Contractor

When a certified MBE or WBE firm bids on a contract that contains a Combined MBE/WBE Goal, the firm is responsible for meeting the goal or making good faith efforts to meet the goal, just like any other bidder. In most cases, a MBE or WBE bidder on a contract will meet the Combined MBE/WBE goal by virtue of the work it performs on the contract with its own forces. However, all the work that is performed by the MBE or WBE bidder and any other similarly certified subcontractors will count toward the goal. The MBE or WBE bidder shall list itself along with any MBE or WBE subcontractors, if any, in order to receive credit toward the goals.

MBE/WBE prime contractors shall also follow Sections A or B listed under Listing of MBE/WBE Subcontractors just as a non-MBE/WBE bidder would.

Written Documentation – Letter of Intent

The bidder shall submit written documentation for each MBE/WBE that will be used to meet the Combined MBE/WBE goal of the contract, indicating the bidder’s commitment to use the MBE/WBE in the contract. This documentation shall be submitted on the Department’s form titled Letter of Intent.

The documentation shall be received in the office of the Engineer no later than 2:00 p.m. of the fifth calendar day following opening of bids, unless the fifth day falls on Saturday, Sunday or an official state holiday. In that situation, it is due in the office of the Engineer no later than 10:00 a.m. on the next official state business day.

If the bidder fails to submit the Letter of Intent from each committed MBE and WBE to be used toward the Combined MBE/WBE goal, or if the form is incomplete (i.e. both signatures are not present), the MBE/WBE participation will not count toward meeting the Combined MBE/WBE goal. If the lack of this participation drops the commitment below the Combined MBE/WBE goal, the Contractor shall submit evidence of good faith efforts for the goal not met, completed in its entirety, to the Engineer no later than 2:00 p.m. of the eighth calendar day following opening of bids, unless the eighth day falls on Saturday, Sunday or an official state holiday. In that situation, it is due in the office of the Engineer no later than 10:00 a.m. on the next official state business day.

Banking MBE/WBE Credit

If the committed MBE/WBE participation submitted exceeds the algebraic sum of the Combined MBE/WBE goal by $1,000 or more, the excess will be placed on deposit by the Department for

D13POC.011.39193 G-11 Buncombe County future use by the bidder. Separate accounts will be maintained for MBE and WBE participation and these may accumulate for a period not to exceed 24 months.

When the apparent lowest responsive bidder fails to submit sufficient participation by MBE and WBE firms to meet the advertised goal, as part of the good faith effort, the Department will consider allowing the bidder to withdraw funds to meet the Combined MBE/WBE goal as long as there are adequate funds available from the bidder’s MBE and WBE bank accounts.

Submission of Good Faith Effort

If the bidder fails to meet or exceed the Combined MBE/WBE goal, the apparent lowest responsive bidder shall submit to the Department documentation of adequate good faith efforts made to reach that specific goal.

One complete set and three (3) copies of this information shall be received in the office of the Engineer no later than 2:00 p.m. of the fifth calendar day following opening of bids, unless the fifth day falls on Saturday, Sunday or an official state holiday. In that situation, it is due in the office of the Engineer no later than 10:00 a.m. on the next official state business day.

Note: Where the information submitted includes repetitious solicitation letters, it will be acceptable to submit a representative letter along with a distribution list of the firms that were solicited. Documentation of MBE/WBE quotations shall be a part of the good faith effort submittal. This documentation may include written subcontractor quotations, telephone log notations of verbal quotations, or other types of quotation documentation.

Consideration of Good Faith Effort for Projects with a Combined MBE/WBE Goal More Than Zero

Adequate good faith efforts mean that the bidder took all necessary and reasonable steps to achieve the goal which, by their scope, intensity, and appropriateness, could reasonably be expected to obtain sufficient MBE/WBE participation. Adequate good faith efforts also mean that the bidder actively and aggressively sought MBE/WBE participation. Mere pro forma efforts are not considered good faith efforts.

The Department will consider the quality, quantity, and intensity of the different kinds of efforts a bidder has made. Listed below are examples of the types of actions a bidder will take in making a good faith effort to meet the goals and are not intended to be exclusive or exhaustive, nor is it intended to be a mandatory checklist.

(A) Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising, written notices, use of verifiable electronic means through the use of the NCDOT Directory of Transportation Firms) the interest of all certified MBEs/WBEs that are also prequalified subcontractors. The bidder must solicit this interest within at least 10 days prior to bid opening to allow the MBEs/WBEs to respond to the solicitation.

Solicitation shall provide the opportunity to MBEs/WBEs within the Division and surrounding Divisions where the project is located. The bidder must determine with certainty if the MBEs/WBEs are interested by taking appropriate steps to follow up initial solicitations.

D13POC.011.39193 G-12 Buncombe County

(B) Selecting portions of the work to be performed by MBEs/WBEs in order to increase the likelihood that the Combined MBE/WBE goal will be achieved.

(1) Where appropriate, break out contract work items into economically feasible units to facilitate MBE/WBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces.

(2) Negotiate with subcontractors to assume part of the responsibility to meet the advertised goal when the work to be sublet includes potential for MBE/WBE participation (2nd and 3rd tier subcontractors).

(C) Providing interested certified MBEs/WBEs that are also prequalified subcontractors with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

(D) (1) Negotiating in good faith with interested MBEs/WBEs. It is the bidder’s responsibility to make a portion of the work available to MBE/WBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available MBE/WBE subcontractors and suppliers, so as to facilitate MBE/WBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of MBEs/WBEs 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 could not be reached for MBEs/WBEs to perform the work.

(2) A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including MBE/WBE subcontractors, and would take a firm’s price and capabilities as well as the advertised goal into consideration. However, the fact that there may be some additional costs involved in finding and using MBEs/WBEs is not in itself sufficient reason for a bidder’s failure to meet the advertised goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Bidding contractors are not, however, required to accept higher quotes from MBEs/WBEs if the price difference is excessive or unreasonable.

(E) Not rejecting MBEs/WBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The bidder’s standing within its industry, membership in specific groups, organizations, or associates and political or social affiliations (for example, union vs. non-union employee status) are not legitimate causes for the rejection or non-solicitation of bids in the bidder’s efforts to meet the project goal.

(F) Making efforts to assist interested MBEs/WBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or bidder.

(G) Making efforts to assist interested MBEs/WBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

D13POC.011.39193 G-13 Buncombe County

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

minority/women contractors’ groups; Federal, State, and local minority/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of MBEs/WBEs. Contact within 7 days from the bid opening the Business Opportunity and Work Force Development Unit at BOWD@ncdot.gov to give notification of the bidder’s inability to get MBE or WBE quotes.

(I) Any other evidence that the bidder submits which shows that the bidder has made reasonable good faith efforts to meet the advertised goal.

In addition, the Department may take into account the following:

(1) Whether the bidder’s documentation reflects a clear and realistic plan for achieving the Combined MBE/WBE goal.

(2) The bidders’ past performance in meeting the contract goal.

(3) The performance of other bidders in meeting the advertised goal. For example, when the apparent successful bidder fails to meet the goal, but others meet it, you may reasonably raise the question of whether, with additional reasonable efforts the apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the advertised goal, but meets or exceeds the average MBE and WBE participation obtained by other bidders, the Department may view this, in conjunction with other factors, as evidence of the apparent successful bidder having made a good faith effort.

If the Department does not award the contract to the apparent lowest responsive bidder, the Department reserves the right to award the contract to the next lowest responsive bidder that can satisfy to the Department that the Combined MBE/WBE goal can be met or that an adequate good faith effort has been made to meet the advertised goal.

Non-Good Faith Appeal

The Engineer will notify the Contractor verbally and in writing of non-good faith. A Contractor may appeal a determination of non-good faith made by the Goal Compliance Committee. If a Contractor wishes to appeal the determination made by the Committee, they shall provide written notification to the Engineer. The appeal shall be made within 2 business days of notification of the determination of non-good faith.

Counting MBE/WBE Participation Toward Meeting the Combined MBE/WBE Goal

(A) Participation

The total dollar value of the participation by a committed MBE/WBE will be counted toward the contract goal requirements. The total dollar value of participation by

D13POC.011.39193 G-14 Buncombe County a committed MBE/WBE will be based upon the value of work performed by the MBE/WBE and the actual payments to MBE/WBE firms by the Contractor.

(B) Joint Checks

Prior notification of joint check use shall be required when counting MBE/WBE participation for services or purchases that involves the use of a joint check.

Notification shall be through submission of Form JC-1 (Joint Check Notification Form) and the use of joint checks shall be in accordance with the Department's Joint Check Procedures.

(C) Subcontracts (Non-Trucking)

A MBE/WBE may enter into subcontracts. Work that a MBE subcontracts to another MBE firm may be counted toward the anticipated MBE participation. The same holds for work that a WBE subcontracts to another WBE firm. Work that a MBE/WBE subcontracts to a non-MBE/WBE firm does not count toward the contract goal requirement. It should be noted that every effort shall be made by MBE and WBE contractors to subcontract to the same certification (i.e., MBEs to MBEs and WBEs to WBEs), in order to fulfill the MBE or WBE participation breakdown. This, however, may not always be possible due to the limitation of firms in the area.