Carthage Town Hall Renovation Project.pdf

MICHAEL GRAVES

4431 Monroe Road, Charlotte, NC 28205

T 704 533 2155 , MICHAELGRAVES.COM

PROJECT MANUAL

CARTHAGE TOWN HALL

Project No . MGC -25004

Date 02 .18.202 6 seals-1

TOWN OF CARTHAGE

CARTHAGE TOWN HALL

PROJECT NO. MGC-25004

02.18.2025

Corporate Seal Walter Robbs Architects, a Michael Graves Company

Architectural Walter Robbs Architects, a Michael Graves Company

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MGC-25004

TABLE OF CONTENTS

BIDDING REQUIREMENTS AND INFORMATION

Advertisement for Bids Instructions to Bidders County Sales & Tax Report (NC) Guidelines for the Recruitment and Selection of Minority Businesses Minority Business Identification and Participation Forms Bid Form Bid Bond (A310)

SAMPLE CONTRACT FORMS:

Performance Bond (A312) Payment Bond (A312) General Guarantee Roofing Warranty Asbestos and PCB Warranty

CONDITIONS OF THE CONTRACT:

Standard Form of Agreement Between Owner and Contractor (A101) General Conditions of the Contract for Construction (A201) Supplementary General Conditions (To A201 General Conditions)

SPECIFICATIONS:

DIVISION1 – GENERAL REQUIREMENTS

01 11 00 Summary of the Work 01 20 00 Alternates & Allowances 01 31 00 Project Meetings 01 32 33 Photographic Documentation 01 33 00 Submittals 01 35 50 Product Requirements 01 35 91 Historic Treatment Procedures 01 42 00 Reference Standards & Layout Work 01 50 00 Temporary Facilities 01 61 00 Materials and Equipment 01 63 00 Product Substitutions 01 73 00 Cutting and Patching 01 74 00 Cleaning Up 01 75 00 Documents at Project Site 01 78 00 Contract/ Project Close-Out 01 83 00 Equipment Maintenance and Operations Program

DIVISION 2 – EXISTING CONDITIONS

02 41 19 Selective Demolition 02 42 96 Historic Removal and Dismantling

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DIVISION 3 – CONCRETE (not used)

DIVISION 4 – MASONRY (not used)

DIVISION 5 - METALS

05 03 85 Historic Treatment of Decorative Formed Metal 05 50 00 Miscellaneous Metal Fabrications 05 73 00 Decorative Metal Railings (interior and exterior)

DIVISION 6 - WOOD AND PLASTICS

06 03 12 Historic Wood Repair 06 10 00 Rough Carpentry 06 20 00 Finish Carpentry 06 40 00 Architectural Woodwork

DIVISION 7 - THERMAL AND MOISTURE PROTECTION

07 21 16 Flexible Insulation 07 31 13 Asphalt Shingles 07 53 20 Single-Ply Mechanically Attached PVC Roofing 07 62 00 Flashing and Sheet Metal 07 72 10 Roof Hatches 07 90 00 Sealants

DIVISION 8 - DOORS AND WINDOWS

08 03 14 Historic Treatment of Wood Doors 08 03 52 Historic Treatment of Wood Windows 08 71 40 Door Hardware (Allowance)

DIVISION 9 - FINISHES

09 03 20 Historic Treatment of Plaster 09 03 91 Historic Treatment of Plain Painting 09 29 00 Gypsum Drywall 09 65 00 Resilient Flooring 09 91 00 Field Painting

DIVISION 10 - SPECIALTIES

10 52 20 Fire Extinguishers 10 81 00 Toilet Accessories

DIVISION 11 - EQUIPMENT

11 46 50 Kitchen Appliances

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DIVISION 12 - FURNISHINGS

12 49 30 Venetian Blinds

DIVISION 22 - PLUMBING

See Plumbing Drawings

DIVISION 23 – MECHANICAL (not used)

DIVISION 26 - ELECTRICAL

See Electrical Drawings

DIVISION 31 – EARTHWORK

See Civil Drawings

DIVISION 32 – EXTERIOR IMPROVEMENTS

See Civil Drawings

DIVISION 33 – UTILITIES (not used)

END OF TOC

ADV-1

ADVERTISEMENT FOR BIDS

Sealed Bids will be received by the Town of Carthage at 10:00 am on June 2, 2026 at the McDonald Building, 207 McReynolds Street, Carthage, North Carolina; at which time the Bids will be opened and read publicly for the construction of the following:

Carthage Town Hall

Bids will be received from invited prequalified General Contractors only and their bids will include general construction, electrical, plumbing, civil, and all work indicated by the Bidding Documents.

Digital copies of the Bidding Documents will be available from the Architect’s Office to pre-qualified General Contractors only. Contact Wendy Long at Michael Graves, wlong@michaelgraves.com. General Contractors will be required to share the Bidding Documents with their sub-contractors. Digital copies of the Bidding Documents will not be available to sub-contractors from the Architect’s Office.

General Contractors may purchase printed, full sets of the Bidding Documents from The Sharpe Company, 800-688-0629.

The project consists of:

Renovation of 208 Monroe Street, Carthage, North Carolina, to serve as new Carthage Town Hall

Bidders must be properly licensed Contractors in accordance with applicable North Carolina state law.

Bids must be on the standard form provided by the Architect and must be marked to identify the type of Prime Contract noted.

Bidders shall use complete sets of Bidding Documents in preparing Bids; neither the Owner nor Architect assumes responsibility for errors or misinterpretations resulting from the use of incomplete sets of Bidding Documents.

A Pre-Bid Meeting will be held on-site, at 10:00 am on May 5, 2026, for interested bidders. All questions will be due to Michael Graves by 5:00 pm on May 12, 2026. Submit questions to Wendy Long at Michael Graves, wlong@michaelgraves.com. A pre-bid addendum will be published by Michael Graves on May 19, 2026.

A Bid Bond will be required with each Bid. The Bond shall be in the sum equal to 5% of the gross Base Bid.

A Payment and Performance Bond will be required each in the sum equal to 100% of the Contract Sum.

No Bidder may withdraw his Bid within 30 days after the opening thereof.

The Owner reserves the right to accept or reject any or all Bids, and to waive informalities.

Owner:

mailto:wlong@michaelgraves.com mailto:wlong@michaelgraves.com

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INSTRUCTIONS TO BIDDERS

1.0 QUALIFICATIONS OF BIDDERS:

a. Only pre-qualified general contractors may submit a bid.

2.0 BID EVALUATION:

a. The award of the Contract will be made to the lowest responsible Bidder as soon as practical. The Owner may award based on the Base Bid and any alternates the Owner chooses.

b. Before awarding a Contract, the Owner may require the apparent three (3) low Bidders to qualify themselves to be responsible Bidders by furnishing any or all the following data:

1. The latest financial statement showing assets and liabilities of the company or other information satisfactory to the Owner.

2. A listing of completed projects of similar size and complexity.

3. Permanent name and address of place of business.

4. The number of regular employees of the organization and length of time the organization has been in business under present name.

5. The name and home office address of the Surety proposed and the name and address of the responsible local claim agent.

6. The names of members of the firms who hold appropriate trade licenses, together with license numbers.

7. A list of references.

8. A detailed inventory of personnel and equipment proposed to be used on the

Project.

9. A detailed resume of the resident superintendent responsible for the Project.

10. Banking, insurance and bond company references.

11. A list of any pending claims filed against the bidder.

12. A list of all current projects under contract.

13. Other information requested by the Owner or representative and necessary to determine that the Bidder is a responsible Bidder.

c. Failure or refusal to furnish any of the above information, if requested, shall constitute a basis for disqualification of any Bidder.

d. In determining the lowest responsible Bidder, the Owner will take into consideration the past performance of the Bidder with concern given to completion times, quality of work, cooperation with other contractors, and cooperation with the Designer and Owner.

e. Should the Owner adjudge that the apparent low Bidder is not the lowest responsible Bidder by the above information, said apparent low Bidder will be so notified and the bid security shall be returned.

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3.0 SITE VISITATION AND EXISTING BUILDING:

a. Before submitting a Bid for this work, each Bidder shall examine the premises and understand the effect existing conditions may have on work under the Contract. No allowances will be made subsequently, in this connection, for any error or negligence on Bidder’s part.

4.0 OTHER BIDDERS:

a. It shall be the responsibility of each Bidder to become familiar with the Bidding Documents relevant to the other Bidders so that the relationship between other contractors and Bidder will be clear.

5.0 PREPARATION OF BID:

a. Each Bid shall be prepared on the clean copy of the Bid Form bound in the Project Manual.

The sample Bid Form bound with the Project Manual shall not be used. The Bidder shall indicate the correct name, address, and license number in the space provided at the top of the first page of the Bid Form.

b. Each Bidder shall indicate again the correct name on the last page of the Bid Form above the signature. Bids by individuals must be signed by the person bidding. Bids by a construction company with sole owner shall be signed in the name of the company by the owner of the company. Bids by partnership shall show the full name of all partners and shall be signed in the name of the partnership by one of the partners.

c. Bids by corporations shall indicate the legal name of the corporation followed by the name of the State of incorporation; and shall be signed by the president or vice president of the corporation. The signature of a person authorized as agent to bid will be acceptable provided the Bid is accompanied by a proper power-of-attorney. Bids by corporations shall have the corporate seal affixed adjacent to the signature.

d. All signatures shall be in ink, and the name of the person signing shall be typed also or printed below the signature followed by a title showing the relationship to the bidding organization such as: "Owner" in the case of a sole owner; "Partner" in case of a partnership; "President", "Vice President", "Secretary", or "Treasurer", in the case of a corporation; or "Agent" in the case of someone acting as agent or attorney-in-fact. A Bid by a person who affixes to the signature the word "President", "Secretary" or "Agent", etc., without disclosing the name of the organization may be held as an individual Bidder.

6.0 STATEMENT OF BIDDERS QUALIFICATIONS:

a. The statement of Bidder's Qualifications which is included as a part of the Bid Form must be completed and submitted with the Bid Form.

b. Failure to comply with this requirement may result in disqualification of the Bidder.

7.0 BASE BID AND ALTERNATES:

a. The amount of the Base Bid shall be typed or printed in both words and figures, and shall be the total charge for the Project, including all Cash Allowances but not including any Bid Alternates.

b. If an alternate called for does not, in the Bidder's judgement, require a change in the Base

Bid price, the Bidder shall so indicate by writing the words "No Change" in the space provided on the Bid Form for the amount to be added. Each Bidder shall consider how the various alternates will affect the Alternate Bid Price.

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c. A detailed description of each Cash Allowance and Bid Alternate may be found in Section

01200 - Alternates, Allowances and Unit Prices, of these Specifications.

8.0 UNIT PRICES:

a. Bidders shall submit unit prices required by the Bid Form.

9.0 TAXES:

a. Bidders are cautioned that the General Assembly has amended the Sales and Use Tax Law to require that the State of North Carolina and its political subdivisions pay all applicable State sales and use taxes on their purchases of taxable tangible personal property.

b. Pursuant to carrying out the provisions of G.S. 105-164, each Bidder shall be registered with the Sales and Use Tax Division of the North Carolina Department of Revenue.

c. All applicable taxes shall be included in the Base Bid submitted by the Bidder.

d. It shall be the duty of the Contractor to give the Owner the advantage of all exemptions or credits in the matter of Federal taxes to which governmental agencies are entitled.

10.0 TIME OF COMPLETION:

a. The number of consecutive calendar days allowed for completion of the Project is stated on in the Supplementary Conditions and on the Bid Form.

11.0 ADDENDA:

a. If any person contemplating submitting a Bid for the proposed Contract is in doubt as to the true meaning of any part of these proposed Contract Documents, he may submit to the Architect a written request for an interpretation thereof in time to be received by the Architect not later than seven (7) days prior to the date established for the opening of Bids. The person submitting the request shall be responsible for its delivery.

b. Any interpretation of such documents will be made only by Addendum duly issued, and a copy of such Addendum will be mailed or delivered to each Prime Bidder receiving a set of documents.

c. The Owner will not be responsible for any other explanations or interpretations of such documents which anyone presumes to make on behalf of the Owner before Bid Opening.

d. It is the responsibility of each Prime Bidder to verify for himself that he has received all

Addenda; and that material suppliers and subcontractors are familiar with and include in their price all Addenda issued up to the time for Bid Opening.

e. The Bidder shall state the number and date of each Addenda received in the appropriate space on the Bid Form.

12.0 SUBSTITUTIONS:

a. Where any material or equipment is specified by name, or by identification of one or more specific manufacturers, and there are words such as "or approved equal" following the manufacturer(s) listed, then the Bidder may submit equivalent products for consideration for approval for use on the Project. Product must be equivalent in general appearance, construction, quality, and performance to that specified.

b. Any request for approval shall be submitted in writing only by a Prime Bidder and shall be accompanied by sufficient data for use in consideration by the Architect. Request shall be received by the Architect at least 10 days prior to date set for receipt of Bids.

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c. Include a copy of the project specification section with a detailed comparison of the proposed substitution versus the specified product entered thereon. Annotate any differences between the specified product and the proposed product.

d. All manufacturer's and other literature submitted must be reviewed and marked-up by the submitter differentiating between applicable and inapplicable information and annotating any differences between the specified product and the proposed product.

e. Submittal must indicate any changes or modifications needed to other parts of the work that will be necessary to accommodate the proposed substitution.

f. If the material or equipment submitted for consideration is approved by the Architect for use on the Project, the Architect will include approval of such item of material or equipment in an Addendum.

g. No substitutes will be allowed without written approval of the Architect. Verbal conversations are unofficial and do not change the requirements of the bidding documents in any way.

h. No substitution will be considered after Contracts are signed except as permitted by the

General and Supplementary General Conditions.

i. In the event that the Contractor proposes and receives approval to use a substitute product upon which the Drawings and Specifications are not based it will be Contractor’s responsibility to provide the required coordination and to take whatever actions necessary to insure that the adjacent construction is properly installed to receive the product; to insure that the product is properly installed including all supplementary and accessory components required for the product to work with the construction shown on the Drawings; to make any modifications necessary in order for the product and contiguous or adjacent construction to fit together and work properly; and to do these at no additional cost to the Owner.

j. By making a request for substitution, the Contractor:

1. Represents that the Contractor has personally investigated the proposed substitute product and determined that it is equal or superior in all respects to that specified.

2. Represents that the Contractor will provide the same warranty for the substitution as for the product specified.

3. Certifies that the cost data presented is complete and includes all related costs under this contract except the Architect's redesign costs and waives all claims for additional costs related to the substitution which subsequently become apparent.

4. Certifies that the Contractor will coordinate the installation of the accepted substitute, making such changes as may be required for the work to be complete in all respects.

13.0 BID BOND:

a. No Bid will be considered or accepted unless accompanied by a Bid Guarantee in the form of a deposit equal to 5% of the gross Base Bid. This deposit may be cash; or a cashier's check issued by, or a certified check drawn on a Bank or Trust Company authorized to do business in North Carolina or on a Bank insured by the Federal Deposit Insurance Corp.; or a U. S. Money Order, each payable to the Owner. The deposit will be retained by the Owner if the Bidder fails to execute the Contract within 10 days after notice of the award is given, or if the Bidder fails to give satisfactory surety as required and called for in the Conditions of the Contract.

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b. In lieu of making the cash deposit as above provided, any Bidder may submit with the Bid a

Bid Bond in the sum of 5% of the gross Base Bid executed by a corporate surety licensed under the laws of North Carolina to execute such bonds, conditioned that the surety will (upon demand) forthwith make payment to the obligee upon said bond if the Bidder fails to execute the Contract within 10 days after notice of the award is given or to give satisfactory surety as required and called for in the Conditions of the Contract.

c. Bid Guarantees will be returned to those Bidders who request it in writing. Bid Guarantees for the 3 lowest Bidders will be held until after Contracts have been signed; all others will be available 3 days or more after time set for receipt of Bids.

14.0 PERFORMANCE AND PAYMENT BONDS:

a. These bonds will be required as specified in the General and Supplementary General

Conditions. Sample forms are included in the "Sample Contract Forms" part of the Project Manual.

15.0 SUBMISSION OF BIDS:

a. Each Bid shall be submitted in a sealed envelope indicating the Bidder's name, and shall be marked in the lower left-hand corner as follows:

Bid for "(Name of Project) ."

Type of Work " Contract."

Bidder's Name " ."

License No. " ."

b. Bids shall not be mailed in prior to Bid Opening.

c. Sealed Bids shall be brought to the place of bidding by the Bidder and shall be handed directly to the Owner or the Architect prior to the opening time. Place of receipt of Bids and Bid Opening date are stated in the Advertisement for Bids.

d. One representative from each company bidding is required to be present.

e. Bids received after the time set for opening of Bids will not be considered.

16.0 WITHDRAWAL OF BID:

a. Negligence or error on the part of the Bidder in preparing the Bid confers no right for withdrawal of the Bid after it has been opened. No Bid may be withdrawn for 30 days after opening time.

17.0 REJECTION OF BIDS:

a. Bids may be rejected if they show any unexplained erasures, omissions, alterations of form, additions not called for, added restricting or qualifying conditions or other irregularities of any kind.

b. The Owner reserves the right to reject any and all Bids and/or to waive any and all technical defects in the execution of, and informalities in the submission of any Bid, if he considers it to be in the best interest of the Owner.

18.0 AWARDING OF CONTRACT:

a. In accordance with North Carolina General Statutes 143-129, the award will be made to the lowest responsible Bidder, taking into consideration quality, performance, and time specified in the proposal for the performance of the Contract. The Owner will determine to whom the Contract is to be awarded in the case of a tie low bid.

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b. The successful Bidder shall sign a Contract with the Owner like the sample copy bound within this Project Manual.

c. See Paragraph "Bid Evaluation" in these Instructions to Bidders for other information and requirements.

19.0 POST-BID INFORMATION:

a. Submissions:

1. Unless waived by the Architect, the Bidder shall, within 7 days of notification of selection for the award of a Contract for the work, submit the following information to the Architect:

(a) A designation of the work to be performed by the Bidder with own forces.

(b) The proprietary names and the suppliers of principal items or systems of materials and equipment proposed for the work.

(c) A list of names of the subcontractors or other persons or organizations

(including those who are to furnish materials or equipment fabricated to a special design) proposed for the principal portions of the work.

(d) The list of subcontractors shall be submitted on AIA Document G805 - List of Subcontractors, copy of which is included under the Contract Forms part of this Project Manual. All information required by the document shall be included.

(e) The Bidder will be required to establish to the satisfaction of the Architect and the Owner the reliability and responsibility of the proposed subcontractors to furnish and perform the work described in the Sections of the Specifications pertaining to such proposed subcontractors' respective trades.

(f) Prior to the award of the Contract, the Architect will notify the Bidder in writing if either the Owner or the Architect, after due investigation, has reasonable and substantial objection to any person or organization on such list. If the Owner or Architect has a reasonable and substantial objection to any person or organization on such list and refuses in writing to accept such person or organization, the Bidder may, choose to (1) withdraw the Bid, or (2) submit an acceptable substitute subcontractor with an increase in the Bid price (if applicable) to cover the difference in cost occasioned by such substitution. The Owner may, accept the increased Bid price or may disqualify the Bidder. In the event of either withdrawal or disqualification under this subparagraph, Bid Security will not be forfeited.

(g) Subcontractors and other persons and organizations proposed by the

Bidder and accepted by the Owner and the Architect must be used on the work for which they were proposed and accepted and shall not be changed except with the written approval of the Owner and the Architect.

(h) Plumbing, HVAC and electrical subcontractors and all other subcontractors required by law shall have current and proper contractor's license for the scope of their work on this Project.

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20.0 MAJOR SUBCONTRACTORS:

a. Each Bidder shall state on the blank spaces provided on the Bid Form, the names of the plumbing, HVAC and electrical subcontractors that he will use if awarded the Contract.

21.0 PREBID CONFERENCE:

a. Approximately 2 weeks prior to the receipt of Bids, the Owner will schedule a prebid conference for clarifying any questions which the Bidders and/or their subcontractors may have. The exact time and place will be included in the first addendum.

b. The Architect and Consultants will be present at this meeting, along with the Owner's representative.

c. An Addendum will be issued, if required, to clarify any items brought out relative to the

Contract Documents.

END OF IB

STATE OF NORTH CAROLINA

COUNTY SALES AND USE TAX REPORT

SUMMARY TOTALS AND CERTIFICATION

CONTRACTOR: Page ______ of ______

PROJECT: FOR PERIOD:

TOTAL FOR

COUNTY

OF:

TOTAL FOR

COUNTY OF:

TOTAL FOR

COUNTY OF:

TOTAL FOR

COUNTY OF:

TOTAL FOR

COUNTY OF:

TOTAL FOR

COUNTY OF:

TOTAL

ALL

COUNTIES

CONTRACTOR

SUBCONTRACTOR(S)*

COUNTY TOTAL

* Attach subcontractor(s) report(s)

** Must balance with Detail Sheet(s)

I certify that the above figures do not include any tax paid on supplies, tools and equipment which were used to perform this contract and only includes those building materials, supplies, fixtures and equipment which actually became a part of or annexed to the building or structure. I certify that, to the best of my knowledge, the information provided here is true, correct, and complete.

Sworn to and subscribed before me, This the _______ day of _________________, 20____

Signed

Notary Public

My Commission Expires: Print or Type Name of Above

Seal NOTE:

This certified statement may be subject to audit

STATE OF NORTH CAROLINA

SALES AND USE TAX REPORT DETAIL

CONTRACTOR: Page ______ of ______

SUBCONTRACTOR FOR PERIOD:

PROJECT:

PURCHASE

DATE

VENDOR

NAME

INVOICE

NUMBER

TYPE OF

PROPERTY

INVOICE

TOTAL

COUNTY

TAX PAID

COUNTY

OF SALE *

TOTAL: $

* If this is an out-of-state vendor, the County of Sale should be the county to which the merchandise was shipped.

MBGuidelines 2002 - i-

GUIDELINES FOR RECRUITMENT AND SELECTION OF MINORITY BUSINESSES FOR

PARTICIPATION IN STATE CONSTRUCTION CONTRACTS

In accordance with G.S. 143-128.2 (effective January 1, 2002) these guidelines establish goals for minority participation in single-prime bidding, separate-prime bidding, construction manager at risk, and alternative contracting methods, on State construction projects in the amount of $300,000 or more. The legislation provides that the State shall have a verifiable ten percent (10%) goal for participation by minority businesses in the total value of work for each project for which a contract or contracts are awarded. These requirements are published to accomplish that end.

SECTION A: INTENT

It is the intent of these guidelines that the State of North Carolina, as awarding authority for construction projects, and the contractors and subcontractors performing the construction contracts awarded shall cooperate and in good faith do all things legal, proper and reasonable to achieve the statutory goal of ten percent (10%) for participation by minority businesses in each construction project as mandated by GS 143-128.2. Nothing in these guidelines shall be construed to require contractors or awarding authorities to award contracts or subcontracts to or to make purchases of materials or equipment from minority-business contractors or minority-business subcontractors who do not submit the lowest responsible, responsive bid or bids.

SECTION B: DEFINITIONS

1. Minority - a person who is a citizen or lawful permanent resident of the United States and who is:

a. Black, that is, a person having origins in any of the black racial groups in Africa;

b. Hispanic, that is, a person of Spanish or Portuguese culture with origins in Mexico, South or

Central America, or the Caribbean Islands, regardless of race;

c. Asian American, that is, a person having origins in any of the original peoples of the Far

East, Southeast Asia and Asia, the Indian subcontinent, the Pacific Islands;

d. American Indian, that is, a person having origins in any of the original peoples of North

America; or

e. Female

2. Minority Business - means a business:

a. In which at least fifty-one percent (51%) is owned by one or more minority persons, or in the case of a corporation, in which at least fifty-one percent (51%) of the stock is owned by one or more minority persons or socially and economically disadvantaged individuals; and

b. Of which the management and daily business operations are controlled by one or more of the minority persons or socially and economically disadvantaged individuals who own it.

3. Socially and economically disadvantaged individual - means the same as defined in 15 U.S.C.

637. “Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias because of their identity as a member of a group without regard to their individual qualities”. “Economically disadvantaged individuals are those socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same business area who are not socially disadvantaged”.

4. Public Entity - means State and all public subdivisions and local governmental units.

5. Owner - The State of North Carolina, through the Agency/Institution named in the contract.

6. Designer – Any person, firm, partnership, or corporation, which has contracted with the State of

North Carolina to perform architectural or engineering, work.

7. Bidder - Any person, firm, partnership, corporation, association, or joint venture seeking to be awarded a public contract or subcontract.

MBGuidelines 2002 - ii-

8. Contract - A mutually binding legal relationship or any modification thereof obligating the seller to furnish equipment, materials or services, including construction, and obligating the buyer to pay for them.

9. Contractor - Any person, firm, partnership, corporation, association, or joint venture which has contracted with the State of North Carolina to perform construction work or repair.

10. Subcontractor - A firm under contract with the prime contractor or construction manager at risk for supplying materials or labor and materials and/or installation. The subcontractor may or may not provide materials in his subcontract.

SECTION C: RESPONSIBILITIES

1. Office for Historically Underutilized Businesses, Department of Administration (hereinafter referred to as HUB Office).

The HUB Office has established a program, which allows interested persons or businesses qualifying as a minority business under G.S. 143-128.2, to obtain certification in the State of North Carolina procurement system. The information provided by the minority businesses will be used by the HUB Office to:

a. Identify those areas of work for which there are minority businesses, as requested.

b. Make available to interested parties a list of prospective minority business contractors and subcontractors.

c. Assist in the determination of technical assistance needed by minority business contractors.

In addition to being responsible for the certification/verification of minority businesses that want to participate in the State construction program, the HUB Office will:

(1) Maintain a current list of minority businesses. The list shall include the areas of work in which each minority business is interested.

(2) Inform minority businesses on how to identify and obtain contracting and subcontracting opportunities through the State Construction Office and other public entities.

(3) Inform minority businesses of the contracting and subcontracting process for public construction building projects.

(4) Work with the North Carolina trade and professional organizations to improve the ability of minority businesses to compete in the State construction projects.

(5) The HUB Office also oversees the minority business program by:

a. Monitoring compliance with the program requirements.

b. Assisting in the implementation of training and technical assistance programs.

c. Identifying and implementing outreach efforts to increase the utilization of minority businesses.

d. Reporting the results of minority business utilization to the Secretary of the

Department of Administration, the Governor, and the General Assembly.

2. State Construction Office

The State Construction Office will be responsible for the following:

a. Furnish to the HUB Office a minimum of twenty-one days prior to the bid opening the following:

(1) Project description and location;

(2) Locations where bidding documents may be reviewed;

(3) Name of a representative of the owner who can be contacted during the advertising period to advise who the prospective bidders are;

(4) Date, time and location of the bid opening.

(5) Date, time and location of prebid conference, if scheduled.

b. Attending scheduled prebid conference, if necessary, to clarify requirements of the general statutes regarding minority-business participation, including the bidders' responsibilities.

MBGuidelines 2002 - iii-

c. Reviewing the apparent low bidders' statutory compliance with the requirements listed in the proposal, that must be complied with, if the bid is to be considered as responsive, prior to award of contracts. The State reserves the right to reject any or all bids and to waive informalities.

d. Reviewing of minority business requirements at Preconstruction conference.

e. Monitoring of contractors’ compliance with minority business requirements in the contract documents during construction.

f. Provide statistical data and required reports to the HUB Office.

g. Resolve any protest and disputes arising after implementation of the plan, in conjunction with the

HUB Office.

3. Owner

Before awarding a contract, owner shall do the following:

a. Develop and implement a minority business participation outreach plan to identify minority businesses that can perform public building projects and to implement outreach efforts to encourage minority business participation in these projects to include education, recruitment, and interaction between minority businesses and non-minority businesses.

b. Attend the scheduled prebid conference.

c. At least 10 days prior to the scheduled day of bid opening, notify minority businesses that have requested notices from the public entity for public construction or repair work and minority businesses that otherwise indicated to the Office for Historically Underutilized Businesses an interest in the type of work being bid or the potential contracting opportunities listed in the proposal. The notification shall include the following:

1. A description of the work for which the bid is being solicited.

2. The date, time, and location where bids are to be submitted.

3. The name of the individual within the owner’s organization who will be available to answer questions about the project.

4. Where bid documents may be reviewed.

5. Any special requirements that may exist.

d. Utilize other media, as appropriate, likely to inform potential minority businesses of the bid being sought.

e. Maintain documentation of any contacts, correspondence, or conversation with minority business firms made in an attempt to meet the goals.

f. Review, jointly with the designer, all requirements of G.S. 143-128.2(c) and G.S. 143-128.2(f) – (i.e. bidders’ proposals for identification of the minority businesses that will be utilized with corresponding total dollar value of the bid and affidavit listing good faith efforts, or affidavit of self-performance of work, if the contractor will perform work under contract by its own workforce) - prior to recommendation of award to the State Construction Office.

g. Evaluate documentation to determine good faith effort has been achieved for minority business utilization prior to recommendation of award to State Construction Office.

h. Review prime contractors’ pay applications for compliance with minority business utilization commitments prior to payment.

i. Make documentation showing evidence of implementation of Owner’s responsibilities available for review by State Construction Office and HUB Office, upon request

4. Designer

Under the single-prime bidding, separate prime bidding, construction manager at risk, or alternative contracting method, the designer will:

a. Attend the scheduled prebid conference to explain minority business requirements to the prospective bidders.

b. Assist the owner to identify and notify prospective minority business prime and subcontractors of potential contracting opportunities.

c. Maintain documentation of any contacts, correspondence, or conversation with minority business firms made in an attempt to meet the goals.

d. Review jointly with the owner, all requirements of G.S. 143-128.2(c) and G.S.143-128.2(f) –

(i.e. bidders’ proposals for identification of the minority businesses that will be utilized with

MBGuidelines 2002 - iv-corresponding total dollar value of the bid and affidavit listing Good Faith Efforts, or affidavit of self-performance of work, if the contractor will perform work under contract by its own workforce) - prior to recommendation of award.

e. During construction phase of the project, review “MBE Documentation for Contract Payment” – (Appendix E) for compliance with minority business utilization commitments. Submit Appendix E form with monthly pay applications to the owner and forward copies to the State Construction Office.

f. Make documentation showing evidence of implementation of Designer’s responsibilities available for review by State Construction Office and HUB Office, upon request.

5. Prime Contractor(s), CM at Risk, and Its First-Tier Subcontractors Under the single-prime bidding, the separate-prime biding, construction manager at risk and alternative contracting methods, contractor(s) will:

a. Attend the scheduled prebid conference.

b. Identify or determine those work areas of a subcontract where minority businesses may have an interest in performing subcontract work.

c. At least ten (10) days prior to the scheduled day of bid opening, notify minority businesses of potential subcontracting opportunities listed in the proposal. The notification will include the following:

(1) A description of the work for which the subbid is being solicited.

(2) The date, time and location where subbids are to be submitted.

(3) The name of the individual within the company who will be available to answer questions about the project.

(4) Where bid documents may be reviewed.

(5) Any special requirements that may exist, such as insurance, licenses, bonds and financial arrangements.

If there are more than three (3) minority businesses in the general locality of the project who offer similar contracting or subcontracting services in the specific trade, the contractor(s) shall notify three (3), but may contact more, if the contractor(s) so desires.

d. During the bidding process, comply with the contractor(s) requirements listed in the proposal for minority participation.

e. Identify on the bid, the minority businesses that will be utilized on the project with corresponding total dollar value of the bid and affidavit listing good faith efforts as required by G.S. 143-128.2(c) and G.S. 143-128.2(f).

f. Make documentation showing evidence of implementation of PM, CM-at-Risk and First-Tier Subcontractor responsibilities available for review by State Construction Office and HUB Office, upon request.

g. Upon being named the apparent low bidder, the Bidder shall provide one of the following: (1) an affidavit (Affidavit C) that includes a description of the portion of work to be executed by minority businesses, expressed as a percentage of the total contract price, which is equal to or more than the applicable goal; (2) if the percentage is not equal to the applicable goal, then documentation of all good faith efforts taken to meet the goal. Failure to comply with these requirements is grounds for rejection of the bid and award to the next lowest responsible and responsive bidder.

h. The contractor(s) shall identify the name(s) of minority business subcontractor(s) and corresponding dollar amount of work on the schedule of values. The schedule of values shall be provided as required in Article 31 of the General Conditions of the Contract to facilitate payments to the subcontractors.

i. The contractor(s) shall submit with each monthly pay request(s) and final payment(s), “MBE Documentation for Contract Payment” – (Appendix E), for designer’s review.

j. During the construction of a project, at any time, if it becomes necessary to replace a minority business subcontractor, immediately advise the owner, State Construction Office, and the Director of the HUB Office in writing, of the circumstances involved. The prime contractor shall make a good faith effort to replace a minority business subcontractor with another minority business subcontractor.

MBGuidelines 2002 - v-

k. If during the construction of a project additional subcontracting opportunities become available, make a good faith effort to solicit subbids from minority businesses.

l. It is the intent of these requirements apply to all contractors performing as prime contractor and first tier subcontractor under construction manager at risk on state projects.

6. Minority Business Responsibilities

While minority businesses are not required to become certified in order to participate in the State construction projects, it is recommended that they become certified and should take advantage of the appropriate technical assistance that is made available. In addition, minority businesses who are contacted by owners or bidders must respond promptly whether or not they wish to submit a bid.

SECTION 4: DISPUTE PROCEDURES

It is the policy of this state that disputes that involves a person's rights, duties or privileges, should be settled through informal procedures. To that end, minority business disputes arising under these guidelines should be resolved as governed under G.S. 143-128(g).

SECTION 5: These guidelines shall apply upon promulgation on state construction projects. Copies of these guidelines may be obtained from the Department of Administration, State Construction Office, (physical address) 301 North Wilmington Street, Suite 450, NC Education Building, Raleigh, North Carolina, 27601-2827, (mail address) 1307 Mail Service Center, Raleigh, North Carolina, 27699-1307, phone (919) 807-4100, Website: www.nc-sco.com

SECTION 6: In addition to these guidelines, there will be issued with each construction bid package provisions for contractual compliance providing minority business participation in the state construction program.

MBGuidelines 2002 - vi-

MINORITY BUSINESS CONTRACT PROVISIONS (CONSTRUCTION)

APPLICATION:

The Guidelines for Recruitment and Selection of Minority Businesses for Participation in State Construction Contracts are hereby made a part of these contract documents. These guidelines shall apply to all contractors regardless of ownership. Copies of these guidelines may be obtained from the Department of Administration, State Construction Office, (physical address) 301 North Wilmington Street, Suite 450, NC Education Building, Raleigh, North Carolina, 27601-2827, (mail address) 1307 Mail Service Center, Raleigh, North Carolina, 27699-1307, phone (919) 807-4100, Website:

http://www.nc-sco.com

MINORITY BUSINESS SUBCONTRACT GOALS:

The goals for participation by minority firms as subcontractors on this project have been set at 10%.

The bidder must identify on its bid, the minority businesses that will be utilized on the project with corresponding total dollar value of the bid and affidavit (Affidavit A) listing good faith efforts or affidavit (Affidavit B) of self-performance of work, if the bidder will perform work under contract by its own workforce, as required by G.S. 143-128.2(c) and G.S. 143-128.2(f).

The lowest responsible, responsive bidder must provide Affidavit C, that includes a description of the portion of work to be executed by minority businesses, expressed as a percentage of the total contract price, which is equal to or more than the applicable goal.

OR

Provide Affidavit D, that includes a description of the portion of work to be executed by minority businesses, expressed as a percentage of the total contract price, with documentation of Good Faith Effort, if the percentage is not equal to the applicable goal.

OR

Provide Affidavit B, which includes sufficient information for the State to determine that the bidder does not customarily subcontract work on this type project.

The above information must be provided as required. Failure to submit these documents is grounds for rejection of the bid.

MBGuidelines 2002 - vii-

MINIMUM COMPLIANCE REQUIREMENTS:

All written statements, affidavits or intentions made by the Bidder shall become a part of the agreement between the Contractor and the State for performance of this contract. Failure to comply with any of these statements, affidavits or intentions, or with the minority business Guidelines shall constitute a breach of the contract. A finding by the State that any information submitted either prior to award of the contract or during the performance of the contract is inaccurate, false or incomplete, shall also constitute a breach of the contract. Any such breach may result in termination of the contract in accordance with the termination provisions contained in the contract. It shall be solely at the option of the State whether to terminate the contract for breach.

In determining whether a contractor has made Good Faith Efforts, the State will evaluate all efforts made by the Contractor and will determine compliance in regard to quantity, intensity, and results of these efforts. Good Faith Efforts include:

(1) Contacting minority businesses that reasonably could have been expected to submit a quote and that were known to the contractor or available on State or local government maintained lists at least 10 days before the bid or proposal date and notifying them of the nature and scope of the work to be performed.

(2) Making the construction plans, specifications and requirements available for review by prospective minority businesses, or providing these documents to them at least 10 days before the bid or proposals are due.

(3) Breaking down or combining elements of work into economically feasible units to facilitate minority participation.

(4) Working with minority trade, community, or contractor organizations identified by the Office for Historically Underutilized Businesses and included in the bid documents that provide assistance in recruitment of minority businesses.

(5) Attending any prebid meetings scheduled by the public owner.

(6) Providing assistance in getting required bonding or insurance or providing alternatives to bonding or insurance for subcontractors.

(7) Negotiating in good faith with interested minority businesses and not rejecting them as unqualified without sound reasons based on their capabilities. Any rejection of a minority business based on lack of qualification should have the reasons documented in writing.

(8) Providing assistance to an otherwise qualified minority business in need of equipment, loan capital, lines of credit, or joint pay agreements to secure loans, supplies, or letters of credit, including waiving credit that is ordinarily required. Assisting minority businesses in obtaining the same unit pricing with the bidder's suppliers in order to help minority businesses in establishing credit.

(9) Negotiating joint venture and partnership arrangements with minority businesses in order to increase opportunities for minority business participation on a public construction or repair project when possible.

(10) Providing quick pay agreements and policies to enable minority contractors and suppliers to meet cash-flow demands.

MBGuidelines 2002 - viii-

APPENDIX E

MBE DOCUMENTATION FOR CONTRACT PAYMENTS

Prime Contractor/Architect: _________________________________________________________

Address & Phone: _________________________________________________________________

Project Name: ____________________________________________________________________

Pay Application #: _________________ Period: ________________________________

The following is a list of payments made to Minority Business Enterprises on this project for the above-mentioned period.

MBE FIRM NAME * INDICATE

TYPE OF

MBE

AMOUNT

PAID

THIS MONTH

TOTAL

PAYMENTS TO

DATE

TOTAL

AMOUNT

COMMITTED

*Minority categories: Black, African American (B), Hispanic (H), Asian American (A), American Indian (I), Female (F), Social and Economically Disadvantage (D)

Date: ________________ Approved/Certified By: ___________________________________ Name

Title

Signature

SUBMIT WITH EACH PAY REQUEST & FINAL PAYMENT

(Revised on 3/14/2003)

Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid

MBForms 2002-Revised July 2010

Identification of HUB Certified/ Minority Business Participation

I, , (Name of Bidder) do hereby certify that on this project, we will use the following HUB Certified/ minority business as construction subcontractors, vendors, suppliers or providers of professional services.

Firm Name, Address and Phone # Work Type *Minority **HUB

Category Certified (Y/N)

*Minority categories: Black, African American (B), Hispanic (H), Asian American (A) American Indian (I), Female (F) Socially and Economically Disadvantaged (D)

** HUB Certification with the state HUB Office required to be counted toward state participation goals.

The total value of minority business contracting will be ($) .

Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid Attach to Bid

State of North Carolina AFFIDAVIT A – Listing of Good Faith Efforts

County of

(Name of Bidder)

Affidavit of I have made a good faith effort to comply under the following areas checked:

Bidders must earn at least 50 points from the good faith efforts listed for their bid to be considered responsive. (1 NC Administrative Code 30 I.0101)

❑ 1 – (10 pts) Contacted minority businesses that reasonably could have been expected to submit a quote and that were known to the contractor, or available on State or local government maintained lists, at least 10 days before the bid date and notified them of the nature and scope of the work to be performed.

❑ 2 --(10 pts) Made the construction plans, specifications and requirements available for review by prospective minority businesses, or providing these documents to them at least 10 days before the bids are due.

❑ 3 – (15 pts) Broken down or combined elements of work into economically feasible units to facilitate minority participation.

❑ 4 – (10 pts) Worked with minority trade, community, or contractor organizations identified by the Office of Historically Underutilized Businesses and included in the bid documents that provide assistance in recruitment of minority businesses.

❑ 5 – (10 pts) Attended prebid meetings scheduled by the public owner.

❑ 6 – (20 pts) Provided assistance in getting required bonding or insurance or provided alternatives to bonding or insurance for subcontractors.

❑ 7 – (15 pts) Negotiated in good faith with interested minority businesses and did not reject them as unqualified without sound reasons based on their capabilities. Any rejection of a minority business based on lack of qualification should have the reasons documented in writing.

❑ 8 – (25 pts) Provided assistance to an otherwise qualified minority business in need of equipment, loan capital, lines of credit, or joint pay agreements to secure loans, supplies, or letters of…