ESBD_412430_1745316731599_CMR_HSP_Special Trades 32.9.pdf

HUB/SB Program Office

512-471-2851 https://financials.utexas.edu/hub

Exhibit H – Policy on Utilization Historically Underutilized Businesses

HUB Subcontracting Plan for:

• Construction Manager at Risk (CMR)

The University of Texas at Austin – Campus Planning and Project Management Use Only

Revision dated November 23, 2020 https://financials.utexas.edu/hub

Table of Contents

UT Austin HUB Policy

Instructions to Complete the Construction Manager At Risk (CMR)

Letter of HUB Commitment

HUB Subcontracting Plan (HSP)

HUB Subcontracting Opportunity Notification Form

Prime Contractor Progress Assessment Report (PAR)*

* Note 1: If awarded a contract, the Prime Contractor Progress Assessment Report (PAR) is a required form with each payment application submitted. This form is a condition of payment.

Page ii

Pages iii-iv

Page v

Page vi

Pages 1-7

For questions or clarifications regarding the HUB Subcontracting Plan:

UT Austin HUB/SB Program Office 512-471-2851 uthub-hsp@austin.utexas.edu

(When communicating with UT Austin HUB, please reference the contract number)

Letter of Transmittal mailto:uthub-hsp@austin.utexas.edu

POLICY ON UTILIZATION OF

HISTORICALLY UNDERUTILIZED BUSINESSES (HUBs)

Introduction

The Historically Underutilized Business (HUB) program is a state of Texas initiative to increase the opportunities available to businesses owned by minorities, service-disabled veterans (SDV), and/or women in the area of state procurement and contracting. Accordingly, The University of Texas at Austin is fully committed to the Good Faith Effort to:

enhance the opportunity of HUBs to compete for contracts and purchases increase the number of contracts awarded to HUB firms create a fair and open competitive market improve community awareness regarding HUBs

A Historically Underutilized Business (HUB) is defined as a sole proprietorship, partnership, or corporation in which at least 51 percent of the stock or other equitable securities are owned by one or more persons who are members of the following groups: Asian Pacific Americans, Black Americans, Hispanic Americans, Native Americans, SDV, or women.

These individuals must have a proportionate interest in the control, operation, and management of the business, and their principal place of business must be located in Texas.

The university has designated a staff member to serve as the Historically Underutilized Business (HUB) coordinator for the agency. The HUB coordinator assists the university with the development of the agency's procurement specifications, HUB subcontracting plans, and evaluation of contracts for compliance. The HUB coordinator also assists state agencies and the state comptroller with HUB compliance, facilitating compliance with the agency's good-faith effort criteria, HUB reporting, contract administration and marketing and outreach efforts for HUB participation.

Statewide HUB utilization goals are developed by the Texas State Comptroller’s Office – HUB Reporting. Current HUB goals are:

Category Goals

Heavy Construction 11.2%

Building Construction 21.1%

Special Trade 32.9%

Professional Services 23.7%

Other Services 24.6%

Commodities 21%

B. State of Texas Regulations Governing the Historically Underutilized Business Program (HUB)

In accordance with the Texas Government Code, Title 10, Subtitle D, Chapter 2161. Historically Underutilized Businesses, Subchapter A, state agencies, including institutions of higher education, must make a good-faith effort to use HUBs in state contracts, including contracts for construction, services, and commodities.

In accordance with the Texas Administrative Code, Title 34, Part 1, Chapter 20, Subchapter B, Rule §20.284, Statewide Annual HUB Utilization Goals, each state agency must make a good-faith effort to use HUBs in purchase contracts for construction, services (including professional and consulting services), and commodities.

ii https://financials.utexas.edu/assistant-vice-president-felix-alvarez http://www.window.state.tx.us/procurement/prog/hub/hub-reporting/ https://statutes.capitol.texas.gov/Docs/GV/htm/GV.2161.htm https://statutes.capitol.texas.gov/Docs/GV/htm/GV.2161.htm https://texreg.sos.state.tx.us/public/readtac$ext.TacPage?sl=R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=34&pt=1&ch=20&rl=284 https://texreg.sos.state.tx.us/public/readtac$ext.TacPage?sl=R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=34&pt=1&ch=20&rl=284

UT Austin Administration Historically Underutilized Subcontracting Plans (HSP)

Construction Manager at Risk (CMR)

All Texas State agencies and institutions of higher education are required to make a good faith effort to include minorities, service-disabled veterans (SDV), and women owned businesses in their procurement opportunities. The State of Texas uses the term Historically Underutilized Businesses (HUB) to distinguish State certified minority, SDV, and women owned businesses.

Statement of Probability - Subcontracting Opportunities are probable in connection with this solicitation.

Responses that do not include an HSP shall be rejected as a material failure to comply with advertised specifications in accordance with the request for qualifications.

Construction Manager at Risk alternate delivery method is a two (2) part process.

Part 1 – Pre-construction Services – Step One (if self-performing pre-con services) or Step Two (if subcontracting all or part of pre-con services).

Part 2 – Building Construction – Option Two only.

Part One If you are not subcontracting any portion of the pre-construction services and will be fulfilling the entire contract with your own resources, complete the following sections:

1. Section 1 – Respondent and requisition information. VID # refers to Tax ID number.

2. Section 2A – No, I will not be subcontracting any portion of the contract (pre-con services), and will be fulfilling the entire contract with my own resources.

3. Section 3 – Self Performing Justification – Check no and provide an explanation in the box provided. **

4. Section 4 – Affirmation

5. Letter of HUB Commitment

**Section 3 Sample Statement- edit as needed (this is intended to be a sample only, expectation is that you will complete according to detailed specifics regarding project) will be fulfilling the entire contract with our own resources, including employees, goods, services, transportation and delivery. If sub‐contracting opportunities are identified at a future date, we will immediately contact the project manager and HUB Associate and commit to performance of a Good Faith Effort through solicitation of HUB firms and submit an amended HUB Subcontracting Plan.

Part Two

If you are subcontracting with HUB vendors and Non-HUB vendors (or only Non HUB vendors) for any or all portions of the contract, complete the following:

1. Section 1 – Respondent and Requisition Information. VID # refers to Tax ID number

2. Section 2A – Yes, I will be subcontracting portions of the contract

3. Section 2B – List all the portions of work you will subcontract, and indicate the percentage of the contract you expect to award to HUB vendors and Non HUB vendors

4. Section 2C – No

5. Section 2D – No

6. Section 4 – Affirmation

7. Good Faith Effort (Attachment B) – Complete this attachment for each subcontracting opportunity listed in Section 2B

8. Include documentation of Good Faith Effort

9. Letter of HUB Commitment

Determination of Good Faith Effort in developing an HSP for construction contracts includes but is not limited to the following:

1. Divide the contract work into reasonable lots or portions to the extent consistent with prudent industry practices.

2 Provide notice to a minimum of two (2) minority/women trade organizations or development centers of subcontracting opportunities to be disseminated to their membership. Notify minority/women organizations of contracting opportunities with reasonable time to disseminate information to members (no less than seven (7) working days from receipt of notice). Weekends and holidays do not count toward 7 day notice.

iii

3. Notify three (3) or more State of Texas certified HUBs for each subcontracting opportunity in writing. Notify theHUBs of subcontracting opportunities with reasonable time to respond (no less than seven (7) working days from receipt of notice). Weekends and holidays do not count toward 7 day notice. The prime contractor must keep and provide official written documentation (i.e. fax transmittals, email, correspondence, etc. to demonstrate compliance).

4. The respondent shall use the State’s Centralized Master Bidders List (CMBL), HUB Directory, Internet resources, and/or other directories as identified by the agency when searching for HUB subcontractors. Respondents may also rely on the services of minority/women and community organizations, contractor groups, local, state and federal business assistance offices in identifying qualified HUB subcontractors. Search the CMBL at:

https://mycpa.cpa.state.tx.us/tpasscmblsearch/tpasscmblsearch.do.

5. Provide written justification of the selection process if a Non-HUB subcontractor is selected.

6. Encourage selected non-certified minority or woman owned business subcontractors to apply for HUB certification. If the minority or woman owned vendor is not a State certified HUB you may refer the firm to the HUB office for additional information on becoming HUB certified or the State HUB website https://www.comptroller.texas.gov/purchasing/vendor/hub/certification-process.php.

7. Provide documentation of “Good Faith Effort” with HSP.

Bid Notification - Allow a minimum of seven (7) working days from receipt of notice for the subcontractors to respond

Identify the scope of work and the trades that will be subcontracted

Identify a physical location to review plans/specifications

Provide information about bonding and insurance requirements

Identify a contact person, phone number, email, etc.

Notification to Awarded Subcontractors The successful respondent will provide notice as soon as practical to all subcontractors (HUBS and Non-HUBs) of their selection as a subcontractor for the awarded contract. The notice must specify at a minimum the contracting agency’s name, point of contact for the contract, contract award number, scope of work to be performed, approximate dollar value of the scope, and expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice must be provided to the HUB/SB Program Office (uthub-hsp@austin.utexas.edu) for the contract no later than ten

(10) working days after the contract is awarded.

Changes to the Plan

Once the HUB Plan has been submitted any changes to the HSP must be approved in writing by the UT Austin HUB/SB Program prior to any work commencing by the new subcontractor. Once the contract has been awarded the HSP is considered part of the contract. Violations to the HSP may be deemed a breach of contract by UT Austin.

Reporting – After Award

Prime contractor payment requests shall include: the State of Texas Prime Contractor Progress Assessment Report (PAR) identifying all 1st, 2nd, and 3rd tier subcontractor payments. It is a condition of payment to report HUB subcontracting expenditures.

Exhibit H Documents: https://financials.utexas.edu/hub/forms

Use only the HSP forms included on the UT Austin HUB/SB Program Office website. They contain instructions specific to UT Austin projects.

iv https://comptroller.texas.gov/purchasing/vendor/hub/certification-process.php mailto:uthub-hsp@austin.utexas.edu https://mycpa.cpa.state.tx.us/tpasscmblsearch/tpasscmblsearch.do https://financials.utexas.edu/hub/forms

Use Letter of HUB Commitment for:

Construction Manager at Risk (CMR) Part 1 Services

BUSINESS LETTERHEAD

Date

The University of Texas at Austin HUB/SB Programs Office 1616 Guadalupe St.

UTA 3.306

Austin, Texas 78701

RE: Historically Underutilized Business Plan for (Project Title): _______________ Project Number: ____ - ______

Dear , I have read and understand The University of Texas at Austin Policy on Utilization of Historically Underutilized Businesses (HUBs). In accordance with the requirements outlined in the HUB Subcontracting Plan (HSP), I am pleased to forward this HUB Subcontracting Plan as an integral part of our proposal in connection with your invitation for request for qualifications/proposals, referencing Project Number ______________. .

The Good Faith Effort for Building Construction will be documented by a two (2) part HUB Subcontracting Plan (HSP) process as described in the instructions located on page ii-iii of The University of Texas Exhibit H Policy on Utilization of Historically Underutilized Businesses (HUBs).

An HSP for Part One Preconstruction Services shall consist of a Letter of HUB Commitment (page v) and the HUB Subcontracting Plan (pages 1-7) with the appropriate sections completed per the instructions located on pages ii-vii of The University of Texas Exhibit H Policy on Utilization of Historically Underutilized Businesses (HUBs) for Professional Services.

Part Two of the process will require a revised HUB Subcontracting Plan (HSP). A HUB Subcontracting Plan is required for each Bid package and at Substantial Completion of the project. Each will contain the Letter of Transmittal (page vi) and the HUB Subcontracting Plan (pages 1-7). A Good Faith Effort will be required per instructions in Attachment B (pages 6-7).

A timeline of outreach events and the revised HUB Subcontracting Plan will be submitted to the HUB/SB Program Office prior to the execution of each contract process. Documentation of subcontracted work will be provided with each pay request through the State of Texas Progress Assessment Report (PAR).

Sincerely, (Respondent Print Name) (Respondent Signature)

Title cc: Contract Services v

SAMPLE

Use Letter of Transmittal for:

Construction Manager at Risk (CMR) Part 2 Services

RESPONDENT’S BUSINESS LETTERHEAD

Date

The University of Texas at Austin HUB/SB Programs Office 1616 Guadalupe St.

UTA 3.306

Austin,Texas 78701

RE: Historically Underutilized Business Plan for (Project Title): _____________ Project Number: ‐

Dear , In accordance with the requirements outlined in the specification section “Exhibit H – Policy on Utilization of Historically Underutilized Businesses (HUB)s,” I am pleased to forward this HUB Subcontracting Plan as an integral part of our response in connection with your invitation for Request for Proposals referencing the above project.

I have read and understand The University of Texas at Austin Policy on Utilization of Historically Underutilized Businesses (HUBs). I also understand the State of Texas Annual Procurement Goal according to 34 Texas Administrative Code Section 20.284, and the goal as stated in the Agency Special Instructions section of the HUB Subcontracting Plan, page 11.

This HUB Subcontracting Plan includes (# of) Subcontracting Opportunities [refer to Section 2, page 8].

The project Base Proposal contract dollar value is $___________ (do not include alternates)

Subcontractors No. of

Subcontractors Total

Subcontract $ Value

Total Estimated

HUB

% Minority Owned

% Woman Owned

% Service Disabled Veteran

HUB

NON‐HUB

TOTAL

I understand the above HUB percentages must represent Texas Comptroller HUB certification standards. For each of the listed HUB firms, I have attached a Texas Comptroller HUB Certification document.

By completion of Section B-4 of the HUB Subcontracting Plan, I affirm my intent to utilize the subcontractors selected to perform the scope of work to be subcontracted.

Should we discover additional subcontractors claiming Historically Underutilized Business status during the course of this contract we will notify you of the same. In addition, if for some reason a Subcontractor (HUB or Non-HUB) is unable to fulfill its contract with us, we will notify you immediately in order to take the appropriate steps to amend this contractual obligation and submit for approval, a Revised HUB Subcontractor Plan.

Sincerely, (Respondent Print Name)

Title cc: Contract Services

(Respondent Signature) vi

SAMPLE

Rev. 2/17

HUB Subcontracting Plan (HSP) In accordance with Texas Gov’t Code §2161.252, the contracting agency has determined that subcontracting opportunities are probable under this contract. Therefore, all respondents, including State of Texas certified Historically Underutilized Businesses (HUBs) must complete and submit this State of Texas HUB Subcontracting Plan (HSP) with their response to the bid requisition (solicitation).

NOTE: Responses that do not include a completed HSP shall be rejected pursuant to Texas Gov’t Code §2161.252(b).

The HUB Program promotes equal business opportunities for economically disadvantaged persons to contract with the State of Texas in accordance with the goals specified in the 2009 State of Texas Disparity Study. The statewide HUB goals defined in 34 Texas Administrative Code (TAC) §20.284 are:

11.2 percent for heavy construction other than building contracts,

21.1 percent for all building construction, including general contractors and operative builders’ contracts,

32.9 percent for all special trade construction contracts,

23.7 percent for professional services contracts,

26.0 percent for all other services contracts, and

21.1 percent for commodities contracts.

- - Agency Special Instructions/Additional Requirements - -

SECTION 1: RESPONDENT AND REQUISITION INFORMATION

a. Respondent (Company) Name: State of Texas VID #:

Point of Contact: Phone #:

E-mail Address:

b. Is your company a State of Texas certified HUB?

c. Requisition #:

- Yes - No

Fax #:

Bid Open Date:

(mm/dd/yyyy)

In accordance with 34 TAC §20.285(d)(1)(D)(iii), a respondent (prime contractor) may demonstrate good faith effort to utilize Texas certified HUBs for its subcontracting opportunities if the total value of the respondent’s subcontracts with Texas certified HUBs meets or exceeds the statewide HUB goal or the agency specific HUB goal, whichever is higher. When a respondent uses this method to demonstrate good faith effort, the respondent must identify the HUBs with which it will subcontract. If using existing contracts with Texas certified HUBs to satisfy this requirement, only the aggregate percentage of the contracts expected to be subcontracted to HUBs with which the respondent does not have a continuous contract* in place for more than five (5) years shall qualify for meeting the HUB goal. This limitation is designed to encourage vendor rotation as recommended by the 2009 Texas Disparity Study.

In accordance with34 TAC §20.284(d)(1)(D)(iii),the goals below are the applicable goals for The University of Texas Austin Administration only effective September 1, 2018.

Special Trade – 32.9% See page 2-3 for HSP completion instructions

Respondents shall submit a completed HUB Subcontracting Plan (HSP) to be considered responsive. Failure to submit a completed HSP shall result in the bid, proposal or other expression of interest to be considered non-responsive.

Prime Contractor Progress Assessment Report (PAR) shall be submitted with each request for payment as a condition of payment.

Please note that phone logs are no longer acceptable documentation of Good Faith Effort. Only fax, email, and certified letter are acceptable.

Cursory reviews will be scheduled by appointment. Please contact The University of Texas at Austin HUB/SB Program Office for assistance.

Seven (7) working days shall be defined as business days of The University of Texas at Austin, not including weekends or University observed holidays. The first working day shall be the day following the day that the notice was sent, and the 7th day is the day that the response is due.

SECTION 2: RESPONDENT's SUBCONTRACTING INTENTIONS

After dividing the contract work into reasonable lots or portions to the extent consistent with prudent industry practices, and taking into consideration the scope of work to be performed under the proposed contract, including all potential subcontracting opportunities, the respondent must determine what portions of work, including contracted staffing, goods and services will be subcontracted. Note: In accordance with 34 TAC §20.282, a “Subcontractor” means a person who contracts with a prime contractor to work, to supply commodities, or to contribute toward completing work for a governmental entity.

a. Check the appropriate box (Yes or No) that identifies your subcontracting intentions:

- Yes, I will be subcontracting portions of the contract. (If Yes, complete Item b of this SECTION and continue to Item c of this SECTION.)

- No, I will not be subcontracting any portion of the contract, and I will be fulfilling the entire contract with my own resources, including employees, goods and services. (If No, continue to SECTION 3 and SECTION 4.)

b. List all the portions of work (subcontracting opportunities) you will subcontract. Also, based on the total value of the contract, identify the percentages of the contract you expect to award to Texas certified HUBs, and the percentage of the contract you expect to award to vendors that are not a Texas certified HUB (i.e., Non-HUB).

Item # Subcontracting Opportunity Description

HUBs Non-HUBs

Percentage of the contract expected to be subcontracted to

HUBs with which you do not have a continuous contract* in place for more than five (5) years.

Percentage of the contract expected to be subcontracted to

HUBs with which you have a continuous contract* in place for more than five (5) years.

Percentage of the contract expected to be subcontracted to non-HUBs.

1 % % %

2 % % %

3 % % %

4 % % %

5 % % %

6 % % %

7 % % %

8 % % %

9 % % %

10 % % %

11 % % %

12 % % %

13 % % %

14 % % %

15 % % %

Aggregate percentages of the contract expected to be subcontracted: % % %

c. Check the appropriate box (Yes or No) that indicates whether you will be using only Texas certified HUBs to perform all of the subcontracting opportunities you listed in SECTION 2, Item b.

- Yes (If Yes, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed.)

- No (If No, continue to Item d, of this SECTION.)

d. Check the appropriate box (Yes or No) that indicates whether the aggregate expected percentage of the contract you will subcontract with Texas certified HUBs with which you do not have a continuous contract* in place with for more than five (5) years, meets or exceeds the HUB goal the contracting agency identified on page 1 in the “Agency Special Instructions/Additional Requirements.”

- Yes (If Yes, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed.)

- No (If No, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed.)

*Continuous Contract: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.

Enter your company’s name here: Requisition #:

SECTION 2: RESPONDENT's SUBCONTRACTING INTENTIONS (CONTINUATION SHEET)

This page can be used as a continuation sheet to the HSP Form’s page 2, Section 2, Item b. Continue listing the portions of work (subcontracting opportunities) you will subcontract. Also, based on the total value of the contract, identify the percentages of the contract you expect to award to Texas certified HUBs, and the percentage of the contract you expect to award to vendors that are not a Texas certified HUB (i.e., Non-HUB).

Item # Subcontracting Opportunity Description

HUBs Non-HUBs

Percentage of the contract expected to be subcontracted to

HUBs with which you do not have a continuous contract* in place for more than five (5) years.

Percentage of the contract expected to be subcontracted to

HUBs with which you have a continuous contract* in place for more than five (5) years.

Percentage of the contract expected to be subcontracted to non-HUBs.

16 % % %

17 % % %

18 % % %

19 % % %

20 % % %

21 % % %

22 % % %

23 % % %

24 % % %

25 % % %

26 % % %

27 % % %

28 % % %

29 % % %

30 % % %

31 % % %

32 % % %

33 % % %

34 % % %

35 % % %

36 % % %

37 % % %

38 % % %

39 % % %

40 % % %

41 % % %

42 % % %

43 % % %

Aggregate percentages of the contract expected to be subcontracted: % % %

HSP – SECTION 2

(Continuation Sheet)

*Continuous Contract: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the

HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.

SECTION 3: SELF PERFORMING JUSTIFICATION (If you responded “No” to SECTION 2, Item a, you must complete this SECTION and continue to SECTION 4.) If you responded “No” to SECTION 2, Item a, in the space provided below explain how your company will perform the entire contract with its own employees, supplies, materials and/or equipment.

SECTION 4: AFFIRMATION

As evidenced by my signature below, I affirm that I am an authorized representative of the respondent listed in SECTION 1, and that the information and supporting documentation submitted with the HSP is true and correct. Respondent understands and agrees that, if awarded any portion of the requisition:

The respondent will provide notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor for the awarded contract. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity they (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded.

The respondent must submit monthly compliance reports (Prime Contractor Progress Assessment Report – PAR) to the contracting agency, verifying its compliance with the HSP, including the use of and expenditures made to its subcontractors (HUBs and Non-HUBs). (The PAR is available at https://financials.utexas.edu/hub/forms).

The respondent must seek approval from the contracting agency prior to making any modifications to its HSP, including the hiring of additional or different subcontractors and the termination of a subcontractor the respondent identified in its HSP. If the HSP is modified without the contracting agency’s prior approval, respondent may be subject to any and all enforcement remedies available under the contract or otherwise available by law, up to and including debarment from all state contracting.

The respondent must, upon request, allow the contracting agency to perform on-site reviews of the company’s headquarters and/or work-site where services are being performed and must provide documentation regarding staffing and other resources.

Signature

Reminder:

Printed Name Title Date (mm/dd/yyyy)

If you responded “Yes” to SECTION 2, Items c or d, you must complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed in SECTION 2, Item b.

If you responded “No” SECTION 2, Items c and d, you must complete an “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed in SECTION 2, Item b.

HSP Good Faith Effort - Method B (Attachment B)

IMPORTANT: If you responded “No” to SECTION 2, Items c and d of the completed HSP form, you must submit a completed “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed in SECTION 2, Item b of the completed HSP form. You may print this page or download the fillable form at https://comptroller.texas.gov/purchasing/vendor/hub/forms.php.

SECTION B-1: SUBCONTRACTING OPPORTUNITY

Enter the item number and description of the subcontracting opportunity you listed in SECTION 2, Item b, of the completed HSP form for which you are completing the attachment.

Item Number: Description:

SECTION B-2: MENTOR PROTÉGÉ PROGRAM

If respondent is participating as a Mentor in a State of Texas Mentor Protégé Program, submitting its Protégé (Protégé must be a State of Texas certified HUB) as a subcontractor to perform the subcontracting opportunity listed in SECTION B-1, constitutes a good-faith effort to subcontract with a Texas certified HUB towards that specific portion of work.

Check the appropriate box (Yes or No) that indicates whether you will be subcontracting the portion of work you listed in SECTION B-1 to your Protégé.

- Yes (If Yes, continue to SECTION B-4.)

- No / Not Applicable (If No or Not Applicable, continue to SECTION B-3 and SECTION B-4.)

SECTION B-3: NOTIFICATION OF SUBCONTRACTING OPPORTUNITY

When completing this section you MUST comply with items a , b, c and d, thereby demonstrating your Good Faith Effort of having notified Texas certified HUBs and trade organizations or development centers about the subcontracting opportunity you listed in SECTION B-1. Your notice should include the scope of work, information regarding the location to review plans and specifications, bonding and insurance requirements, required qualifications, and identify a contact person.

When sending notice of your subcontracting opportunity, you are encouraged to use the attached HUB Subcontracting Opportunity Notice form (pg. 8).

Retain supporting documentation (i.e., certified letter, fax, e-mail) demonstrating evidence of your good- faith effort to notify the Texas certified HUBs and trade organizations or development centers. Also, be mindful that a working day is considered a normal business day of a state agency, not including weekends, federal or state holidays, or days the agency is declared closed by its executive officer. The initial day the subcontracting opportunity notice is sent/provided to the HUBs and to the trade organizations or development centers is considered to be “day zero” and does not count as one of the seven (7) working days.

a. Provide written notification of the subcontracting opportunity you listed in SECTION B-1, to three (3) or more Texas certified HUBs. Unless the contracting agency specified a different time period, you must allow the HUBs at least seven (7) working days to respond to the notice prior to you submitting your bid response to the contracting agency. When searching for Texas certified HUBs and verifying their HUB status, ensure that you use the State of Texas’ Centralized Master Bidders List (CMBL) - Historically Underutilized Business (HUB) Directory Search located at http://mycpa.cpa.state.tx.us/tpasscmblsearch/index.jsp. HUB status code “A” signifies that the company is a Texas certified HUB.

b. List the three (3) Texas certified HUBs you notified regarding the subcontracting opportunity you listed in SECTION B-1. Include the company’s Texas Vendor

Identification (VID) Number, the date you sent notice to that company, and indicate whether it was responsive or non-responsive to your subcontracting opportunity notice.

Company Name Texas VID

(Do not enter Social Security Numbers.)

Date Notice Sent

(mm/dd/yyyy) Did the HUB Respond?

- Yes - No

- Yes - No

- Yes - No

c. Provide written notification of the subcontracting opportunity you listed in SECTION B-1 to two (2) or more trade organizations or development centers in Texas to assist in identifying potential HUBs by disseminating the subcontracting opportunity to their members/participants. Unless the contracting agency specified a different time period, you must provide your subcontracting opportunity notice to trade organizations or development centers at least seven (7) working days prior to submitting your bid response to the contracting agency. A list of trade organizations and development centers that have expressed an interest in receiving notices of subcontracting opportunities is available on the Statewide HUB Program’s webpage at https://comptroller.texas.gov/purchasing/vendor/hub/resources.php.

d. List two (2) trade organizations or development centers you notified regarding the subcontracting opportunity you listed in SECTION B-1. Include the date when you sent notice to it and indicate if it accepted or rejected your notice.

Trade Organizations or Development Centers Date Notice Sent

(mm/dd/yyyy)

Was the Notice Accepted?

- Yes - No

- Yes - No

(Attachment B)

Enter your company’s name here: Requisition #:

https://comptroller.texas.gov/purchasing/vendor/hub/forms.php http://mycpa.cpa.state.tx.us/tpasscmblsearch/index.jsp https://comptroller.texas.gov/purchasing/vendor/hub/resources.php

HSP Good Faith Effort - Method B (Attachment B) Cont.

SECTION B-4: SUBCONTRACTOR SELECTION

Enter the item number and description of the subcontracting opportunity you listed in SECTION 2, Item b, of the completed HSP form for which you are completing the attachment.

a. Enter the item number and description of the subcontracting opportunity for which you are completing this Attachment B continuation page.

Item Number: Description:

b. List the subcontractor(s) you selected to perform the subcontracting opportunity you listed in SECTION B-1. Also identify whether they are a Texas certified

HUB and their Texas Vendor Identification (VID) Number or federal Employer Identification Number (EIN), the approximate dollar value of the work to be subcontracted, and the expected percentage of work to be subcontracted. When searching for Texas certified HUBs and verifying their HUB status, ensure that you use the State of Texas’ Centralized Master Bidders List (CMBL) - Historically Underutilized Business (HUB) Directory Search located at http://mycpa.cpa.state.tx.us/tpasscmblsearch/index.jsp. HUB status code “A” signifies that the company is a Texas certified HUB.

Company Name Texas certified HUB Texas VID or federal EIN

Do not enter Social Security Numbers.

If you do not know their VID / EIN, leave their VID / EIN field blank.

Approximate

Dollar Amount

Expected

Percentage of

Contract

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

- Yes - No $ %

c. If any of the subcontractors you have selected to perform the subcontracting opportunity you listed in SECTION B-1 is not a Texas certified HUB, provide written justification for your selection process (attach additional page if necessary):

REMINDER: As specified in SECTION 4 of the completed HSP form, if you (respondent) are awarded any portion of the requisition, you are required to provide notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity it (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded.

(Attachment B) http://mycpa.cpa.state.tx.us/tpasscmblsearch/index.jsp

HUB Subcontracting Opportunity Notification Form In accordance with Texas Gov’t Code, Chapter 2161, each state agency that considers entering into a contract with an expected value of $100,000 or more shall, before the agency solicits bids, proposals, offers, or other applicable expressions of interest, determine whether subcontracting opportunities are probable under the contract. The state agency I have identified below in Section B has determined that subcontracting opportunities are probable under the requisition to which my company will be responding.

34 Texas Administrative Code, §20.285 requires all respondents (prime contractors) bidding on the contract to provide notice of each of their subcontracting opportunities to at least three (3) Texas certified HUBs (who work within the respective industry applicable to the subcontracting opportunity), and allow the HUBs at least seven (7) working days to respond to the notice prior to the respondent submitting its bid response to the contracting agency. In addition, at least seven (7) working days prior to submitting its bid response to the contracting agency, the respondent must provide notice of each of its subcontracting opportunities to two (2) or more trade organizations or development centers (in Texas) that serves members of groups (i.e., Asian Pacific American, Black American, Hispanic American, Native American, Woman, Service-Disabled Veteran) identified in Texas Administrative Code §20.282(19)(C).

We respectfully request that vendors interested in bidding on the subcontracting opportunity scope of work identified in Section C, Item 2, reply no later than the date and time identified in Section C, Item 1. Submit your response to the point-of-contact referenced in Section A.

PRIME CONTRACTOR’S INFORMATION

Company Name:

Point-of-Contact:

E-mail Address:

State of Texas VID #:

Phone #:

Fax #:

SECTION B: CONTRACTING STATE AGENCY AND REQUISITION INFORMATION

Agency Name:

Point-of-Contact: Phone #:

Requisition #: Bid Open Date:

(mm/dd/yyyy)

SECTION C: SUBCONTRACTING OPPORTUNITY RESPONSE DUE DATE, DESCRIPTION, REQUIREMENTS AND RELATED INFORMATION

1. Potential Subcontractor’s Bid Response Due Date:

If you would like for our company to consider your company’s bid for the subcontracting opportunity identified below in Item 2, we must receive your bid response no later than on .

Central Time Date (mm/dd/yyyy)

2. Subcontracting Opportunity Scope of Work:

3. Required Qualifications: - Not Applicable

4. Bonding/Insurance Requirements: - Not Applicable

5. Location to review plans/specifications: - Not Applicable

In accordance with 34 TAC §20.285, each notice of subcontracting opportunity shall be provided to at least three (3) Texas certified HUBs, and allow the HUBs at least seven (7) working days to respond to the notice prior to submitting our bid response to the contracting agency. In addition, at least seven (7) working days prior to us submitting our bid response to the contracting agency, we must provide notice of each of our subcontracting opportunities to two (2) or more trade organizations or development centers (in Texas) that serves members of groups (i.e., Asian Pacific American, Black American, Hispanic American, Native

American, Woman, Service Disabled Veteran) identified in Texas Administrative Code, §20.282(19)(C).

(A working day is considered a normal business day of a state agency, not including weekends, federal or state holidays, or days the agency is declared closed by its executive officer. The initial day the subcontracting opportunity notice is sent/provided to the HUBs and to the trade organizations or development centers is considered to be “day zero” and does not count as one of the seven (7) working days.)

SECTION A:

Reporting (Month) Period:

Prime Contractor Progress Assessment Report

Contract/Requisition Number:

Contracting Agency/University Name:

Contractor (Company) Name:

Date of Award: Object Code:

(mm/dd/yyyy) (Agency Use Only)

State of Texas VID #:

Report HUB and Non-HUB subcontractor information

Texas

Subcontractor’s Name Subcontractor’s VID or HUB Certificate Number

Certified

HUB?

(Yes or No)

Total Contract $ Amount from HSP with Subcontractor

Total $ Amount Paid This Reporting Period to Subcontractor

Total Contract $ Amount Paid to Date to Subcontractor Object Code (Agency Use Only)

TOTALS: $ $

Signature: Title: Date:

Printed Name: Phone #:

(if Non- HUB, leave blank)

PAR Form - UT Austin (rev.09.21.20)

This form must be completed and submitted to the contracting agency each month to document compliance with your HSP.

The University of Texas at Austin - HUB Subcontracting Plan (HSP)

Email:

Point of Contact:

Total Amount Paid this Reporting Period to Contractor: $

Phone #: Email: