IFB_6100_CLMC1162_MWDBE_PAC_v1.pdf

2-9A Construction Compliance Plan Packet 1 Revised August 2019

CITY OF AUSTIN

CITY CODE CHAPTER 2-9A

CONSTRUCTION

MBE/WBE PROCUREMENT PROGRAM

Solicitation Name:

Solicitation Number:

Issue Date:

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Table of Contents

MBE/WBE GOALS

OVERVIEW

MBE/WBE COMPLIANCE PLAN INSTRUCTIONS

Section I Project Identification and Goals

Section II Bidder Information

Section III MBE/WBE Compliance Plan Summary

Section IV Disclosure of MBE and WBE Subcontractors

Section V Disclosure of Non-Certified Subcontractors

Section VI Disclosure of Second-Level Subcontractors

Section VII Disclosure of Primary and Alternate Trucking Subcontractors

Section VIII MBE/WBE Compliance Plan Checklist

GOOD FAITH EFFORTS INSTRUCTIONS

Contacting Potential MBE/WBE Subcontractors

Good Faith Efforts Review

POST-AWARD INSTRUCTIONS

Confirmation Letters

Post-Award Monitoring

Payment Verification

Change Order/Contract Amendments

Progressive Sanctions

APPENDIX A: MBE/WBE COMPLIANCE PLAN

APPENDIX B: LETTER TO POTENTIAL SUBCONTRACTORS

APPENDIX C: CONFIRMATION LETTER

APPENDIX D: AVAILABILITY LIST

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MBE/WBE GOALS

Annual/Project Annual/Project

Participation Goals Participation Subgoals

MBE %

OR

African American %

WBE % Hispanic %

Combined MBE/WBE % Asian/Native American %

WBE %

OVERVIEW

This document should be read in conjunction with the City of Austin’s Minority-owned and Women-owned Business Enterprise Procurement Program Ordinance for Construction (Chapter 2-9A of the Austin City Code) and the Small and Minority Business Resources Department (SMBR) Rules. The definitions contained in Chapter 2-9A apply to this document. The City Code and Rules are amended from time to time and the Bidder is responsible for ensuring they have the most up to date version. The City Code and Rules are incorporated into this document by reference.

Copies of Chapter 2-9A and SMBR Rules may be obtained online at www.austintexas.gov/smbrdocuments or 811 Barton Springs Rd, 8th Floor, Suite 805 Austin, Texas 78704

Firms or individuals submitting responses to this Invitation for Bid agree to abide by the City’s Minority-owned and Women-owned Business Enterprise (MBE/WBE) Procurement Program and Rules. The City’s MBE/WBE Program is intended (1) to promote and encourage MBEs and WBEs to participate in business opportunities with the City of Austin; (2) to afford MBEs and WBEs an equal opportunity to compete for work on City contracts; and

(3) to encourage contractors to provide subcontracting opportunities to certified MBEs and WBEs by soliciting such Firm for subcontracting opportunities. The City of Austin and its contractors shall not discriminate on the basis of race, color, national origin, disability, or gender in the award and performance of contracts.

The City encourages Bidders to achieve the MBE/WBE participation goals and subgoals for this contract. However, Bidders may comply with the City Code and Rules without achieving the participation goals so long as they make and document Good Faith Efforts that would allow MBE and WBE participation per Section 2-9A-21 of the City Code and Section 9.1 of the Rules. Bidders that do not meet the project’s goals and subgoals are subject to Good Faith Efforts review.

Prior to the due date and time specified in the City’s solicitation documents, all Bidders (including those Firms certified as MBE/WBEs) shall submit: (1) an MBE/WBE Compliance Plan (Appendix A) and (2) if it is anticipated the project goals will not be met, all appropriate documentation to demonstrate Good Faith Efforts to meet the project goals. Any questions regarding preparation of the MBE/WBE Compliance Plan should be directed to SMBR at SMBRComplianceDocuments@austintexas.gov. Such contact is not a violation of the Anti-Lobbying Ordinance.

The City has implemented Anti-Lobbying Ordinance (Chapter 2-7 of the Austin City Code). Under Chapter 2-7, there is a “no-contact” period from the date the City issues a solicitation until the contract is executed. During the “no-contact” period, a person responding to a City solicitation can speak only to the contract’s authorized contact person regarding their solicitation response. Chapter 2-7 allows certain exceptions; for instance, a person responding to a City solicitation may speak to SMBR regarding this MBE/WBE Compliance Plan. See the full language of the City Code or solicitation documents for further details.

http://www.austintexas.gov/smbrdocuments mailto:SMBRComplianceDocuments@austintexas.gov

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MBE/WBE COMPLIANCE PLAN INSTRUCTIONS

(See Appendix A)

If the MBE/WBE Compliance Plan and Good Faith Efforts documentation are not submitted prior to the due date specified in the solicitation documents, the bid will be deemed non-responsive and not be accepted for consideration.

SMBR may request written clarification of items listed on the MBE/WBE Compliance Plan. However, there will be no further opportunity for the Bidder to augment the MBE/WBE participation originally listed in the MBE/WBE Compliance Plan or to demonstrate Good Faith Efforts that were not made prior to the submission of the MBE/WBE Compliance Plan. Changes to the MBE/WBE Compliance Plan are permitted only after contract execution and only with prior written approval of SMBR.

Please type or clearly print all information, use “none” or “N/A” where appropriate, and sign and date the MBE/WBE Compliance Plan as indicated. MBE/WBE Compliance Plans not complying with the MBE/WBE Compliance Plan Instructions shall be rejected as non-responsive. Submissions not utilizing the forms provided with the solicitation may render the submission nonresponsive or noncompliant.

Section I Project Identification and Goals

This section includes the pre-printed Project Name, Project/Solicitation Number, and goals and/or subgoals. The Bidder does not need to fill in any information under Section I.

Section II Bidder Information

The Bidder should complete this section with its information and sign in the space provided. The portion of Section II marked as “Reserved for City of Austin SMBR Only” should be left blank.

Section III MBE/WBE Compliance Plan Summary

This section is a summary of subcontractor participation for this Bid. Bidder should complete Sections IV-VII, described below, before attempting to complete Section III. After completing Sections IV-VII, calculate the percentage of MBE/WBE participation for each goal and enter the information in the blanks provided. Because Section III is a summary, if there are any inconsistencies between Sections IV-VII and Section III, the calculations contained in Sections IV-VII will prevail. If the Bidder indicates that they do not anticipate meeting the goals with certified MBE/WBE firms, then the Bidder shall submit documentation detailing their Good Faith Efforts to meet the established MBE/WBE goals. The MBE/WBE Compliance Plan will be reviewed and approved by the Small and Minority Business Resources Department.

Section IV Disclosure of MBE and WBE Subcontractors

Please list all certified MBE/WBEs subcontractors using the legal name under which they are registered to do business with the City of Austin and the value of the work they will be performing themselves except for subcontractor(s) that will be performing the trucking or hauling scope of work (see Section VII below). Do not include the value of work that the MBE/WBE’s subcontractors will be subcontracting to second-level subcontractors. By listing certified MBE and WBE Firms on the MBE/WBE Compliance Plan, the Bidder indicates that both parties acknowledge the price and scope of work and that they are prepared to contract for that price and scope if the City awards the project to the Bidder. Unit price subcontracts are acceptable if appropriate to the type of work being performed. A Letter of Intent (LOI) does not replace a binding contract between a prime contractor and a subcontractor.

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Before completing Section IV of the MBE/WBE Compliance Plan, please read the following instructions regarding how to count MBE/WBE participation:

(A) Only the value of the work actually performed by the MBE/WBE shall be counted toward the goals. This includes:

(1) work performed by the MBE/WBE’s own forces;

(2) the cost of supplies, materials, or equipment purchased, leased, or otherwise obtained by the MBE/WBE for the work of the contract (except that supplies, materials, and equipment purchased or leased from the prime contractor or its affiliate may not be counted toward the goal); and

(3) fees or commissions charged by an MBE/WBE for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a contract, provided the fee is reasonable and not excessive as compared with fees customarily allowed for similar services.

(B) When a Bidder purchases supplies, materials, or equipment from an MBE/WBE, the cost of those supplies, materials, or equipment shall be counted toward the goals as follows:

(1) If the supplies, materials, or equipment are obtained from an MBE/WBE that is a Manufacturer or Regular Dealer, 100 percent of the payment for the supplies, materials, or equipment shall be counted toward the goals.

(2) If the supplies, materials, or equipment are obtained from an MBE/WBE that is neither a Manufacturer nor a Regular Dealer, the cost of the materials and supplies themselves shall not be counted toward the goals. However, fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, may be counted toward the goals if the payment of such fees is a customary industry practice and such fees are reasonable and not excessive as compared with fees customarily allowed for similar services.

(C) When an MBE/WBE subcontractor listed on the MBE/WBE Compliance Plan subcontracts part of the work of its contract to another Firm, the value of that second-level subcontracted work may not be counted toward the goals based on the initial subcontractor’s MBE/WBE certification. Please see Section VI for an explanation of how to count the value of second-level subcontractors’ work.

(D) A Firm owned by a minority woman may be certified as both an MBE and a WBE (dual certified). On a single contract, the value of the work performed by a dual certified subcontractor may not be counted toward both the MBE and the WBE goals. The Bidder must decide whether to designate the dual certified subcontractor as an MBE or a WBE in the MBE/WBE Compliance Plan for the purpose of meeting the goals set for that contract. That designation may not be changed for the duration of the contract.

(E) When an MBE/WBE performs as a participant in a certified Joint Venture, only the portion of the contract value that is the result of the distinct, clearly defined portion of the work that the MBE/WBE performs with its own forces and for which it is at risk shall be counted towards the project goals. For more specific information regarding requirements and evaluations of certified MBE/WBE Joint Ventures, please see the City’s MBE/WBE Procurement Program Rules or contact SMBR’s Certification Division.

(F) Only expenditures to an MBE/WBE contractor that is performing a Commercially Useful Function shall be counted toward the project goals. If SMBR makes an initial determination that an MBE/WBE is not

2-9A Construction MBE/WBE Compliance Plan Packet 6 REV. APRIL 2020 performing a Commercially Useful Function given the type of work involved and normal industry practices, the MBE/WBE may present evidence to rebut this presumption.

(G) To be counted toward project goals, MBE/WBEs must be certified by SMBR prior to the due date to submit the MBE/WBE Compliance Plan as specified in the City’s solicitation documents. A Firm that is certified as an MBE/WBE at the time that the MBE/WBE Compliance Plan is filed may cease to be a certified Firm before the contract is completed. Only the value of the work performed by such a Firm while it is certified may be counted toward the project goals.

Section V Disclosure of Non-Certified Subcontractors

Please list all known non-certified subcontractors, using the legal name under which they are registered to do business with the City of Austin, to be used in the performance of this contract. If Bidder will not use any non-certified Firms, please write “N/A” in the first box on this page.

The scopes of work indicated in Section V will be considered subcontracting opportunities for MBEs and WBEs, unless it is demonstrated that certified MBEs or WBEs are unavailable or do not possess the requirements in the technical portion of the solicitation to perform the work involved. If Bidder did not meet the project goals, Bidder must explain in the space provided why MBEs/WBEs were not used as subcontractors and submit documentation for the stated reason if applicable. If Bidder did meet the project goals, please indicate “Goals Met” in the space provided.

Section VI Disclosure of Second-Level Subcontractors

Please complete this section if Bidders knows that one or more of Bidder’s subcontractors will subcontract part of the work of their contracts to second-level subcontractors. In the last line of each entry box, please write the name of the first-level subcontractor that will be subcontracting work to the second-level subcontractor. Identify second-level subcontractors by the legal name under which they will be registered to do business with the City. The first-level subcontractor should be listed in Section IV or Section V. If Bidder is not aware of any second-level subcontractors, please write “N/A” in the first box on this page.

As discussed in Section IV above, when an MBE/WBE subcontractor subcontracts part of the work of its contract to another Firm, the value of that second-level subcontractor work may not be counted toward the goals based on the initial subcontractor’s MBE/WBE certification. The value of the second-level subcontractor work may be counted toward the project goals only based on the second-level subcontractor’s own MBE/WBE certification, if any. Work that an MBE/WBE subcontracts to a non-certified firm does not count toward the goals. Work that an MBE/WBE subcontractor contracts to another certified firm shall not be counted twice towards the goal.

Section VII Disclosure of Primary and Alternate Trucking Subcontractors

Please complete this section if the project includes trucking or hauling services as a scope of work. Each time this scope of work is required on the project, Bidder must contact the Firm listed as the primary trucking subcontractor in this section. If the primary trucking subcontractor is not available or cannot perform the entirety of the work at the time required, Bidder may contact the alternate trucking subcontractors in the order that Bidder lists them in this section. Identify primary and alternate trucking subcontractors by the legal name under which they will be registered to do business with the City. Bidder must contact the primary trucking subcontractor at least 24 hours before the work is to be performed. Bidder will not need to submit a Request for Change to use the alternate trucking subcontractors if Bidder contacted the primary trucking subcontractor first and then proceeded to contact the alternates in the order Bidder listed them on this section.

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For purposes of meeting the project goals or subgoals at the MBE/WBE Compliance Plan stage, the entire value of this scope of work shall be assigned to the primary trucking subcontractor. At contract closeout, MBE/WBE participation will be counted based on the actual usage of the primary and alternate trucking subcontractors.

Section VIII MBE/WBE Compliance Plan Checklist

Please complete the MBE/WBE Compliance Plan Checklist with the information requested if the stated project goal(s) are not met.

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GOOD FAITH EFFORTS INSTRUCTIONS

(See Appendices B and D)

The Bidder has a responsibility to make a portion of the work available to MBE/WBE subcontractors so as to facilitate meeting the goals or subgoals. If the Bidder cannot achieve the goals or subgoals, documentation of the Bidder’s Good Faith Efforts to achieve the goals or subgoals must be submitted at the same time as the MBE/WBE Compliance Plan. The SMBR Director will review the documentation provided and determine if the Bidder made sufficient Good Faith Efforts. That there may be some additional costs involved in soliciting and using MBEs and WBEs is not a sufficient reason for a Bidder’s failure to meet the goals and subgoals, as long as such costs are reasonable. However, a Bidder is not required to accept a higher quote from a subcontractor in order to meet a goal or subgoal.

Contacting Potential MBE/WBE Subcontractors

The City has determined the scopes of work for this project and provided an Availability List of all the MBE and WBE firms certified to perform those scopes. The Availability List (Appendix D) is included with the solicitation documents and has two sections: Vendors Within the Significant Local Business Presence (SLBP) Area and Vendors Outside the Significant Local Business Presence (SLBP) Area. As part of Good Faith Efforts, Bidders must contact all firms listed in the Vendors Within the SLBP Area section. Please note that every firm on the Availability List – outside the SLBP

– is City-certified as an MBE or WBE for purposes of meeting the project goals, and Bidders are encouraged to contact all the firms. If a Bidder identifies an additional scope of work for this project not identified in the solicitation, the Bidder must request from SMBR an Availability List for that scope of work and contact all firms, if any, on such list. The SMBR Director determines whether the Bidder has made sufficient Good Faith Efforts if goals or subgoals are not met.

The City neither warrants the capacity or availability of any Firm, nor does the City guarantee the performance of any Firm indicated on the availability list.

The availability list is sorted in numerical sequence by National Institute of Governmental Purchasing (NIGP) Commodity Code. It includes all certified MBE/WBE vendors for the scopes of work identified by the City as being potentially applicable to this project. However, the availability list is not a comprehensive identification of all areas of potential subcontracting opportunities. If a Bidder identifies one or more work areas that are appropriate subcontracting opportunities that not included on the availability list, the Bidder shall contact SMBR to request the availability list for MBE and WBE Firms in those areas. Requests for supplemental availability lists will be evaluated as a part of the Bidder’s Good Faith Efforts to meet the goals.

If the Bidder believes any of the work areas on the availability list are not applicable to the project’s scope of work or if the Bidder believes that the lists are inaccurate, the Bidder shall notify the authorized contact person of the concern immediately and prior to submission of the response to the solicitation. All Bidders will be notified in writing of any inaccuracy by addendum to the solicitation. Concerns about a particular MBEs/WBE’s certification status may be addressed to SMBR at SMBRComplianceDocuments@austintexas.gov. If the Bidder wants to use a certified subcontractor that does not appear on this list, Bidder may request from SMBR or visit www.austintexas.gov/certified_vendors_directory proof of certification and the specific work areas for which the subcontractor has been certified.

Appendix B provides a format for collecting required information from the subcontractors on the Availability List.

The information must be obtained at least seven (7) business days prior to the submission of the MBE/WBE Compliance Plan; alternate formats may be acceptable as long as they gather the same required information. Included with the solicitation documents is an alphabetized list containing the names and addresses of the MBE/WBE Firms listed on the Appendix D. This list is in label format and is designed to facilitate the printing of mailing labels.

mailto:SMBRComplianceDocuments@austintexas.gov http://www.austintexas.gov/certified_vendors_directory

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The following codes are used on the availability lists:

F Female M Male

AA/B African American H Hispanic

A/NA Asian/Native American W/C Caucasian

LOC

A firm’s two-digit location code (e.g., SL or

TX)

AU Austin

SL Significant Local Business Presence (SLBP) TX Outside SLBP

MBE

A firm certified as a Minority-owned Business Enterprise

WBE

A firm certified as a Woman-owned Business Enterprise

MWB

A firm certified as both a Minority-owned & Woman-owned Business Enterprise

WMB

A firm certified as both a Woman-owned & Minority-owned Business Enterprise

MWDB

A firm certified as a Minority-owned, Woman-owned, and Disadvantaged Business Enterprise

WMDB

A firm certified as a Woman-owned, Minority-owned, and Disadvantaged Business Enterprise

Good Faith Efforts Review

If goals are not met, SMBR will examine the MBE/WBE Compliance Plan and the Good Faith Efforts documentation submitted with the MBE/WBE Compliance Plan to ensure that the Bidder made Good Faith Efforts to meet the project goals or subgoals. In determining whether the Bidder has made Good Faith Efforts, SMBR will consider, at a minimum, the Bidder’s efforts to do the following:

(A) Solicit certified MBE/WBE subcontractors with a Significant Local Business Presence (SLBP) and request a response from those interested subcontractors who believe they have the capability to perform the work of the contract through at least two reasonable, available, and verifiable means. The Bidder must solicit this interest more than seven (7) business days prior to submission of the MBE/WBE Compliance Plan to allow sufficient time for the MBEs or WBEs to respond. (The date bids/proposals are due to the City should not be included in the seven-day solicitation criteria.) The Bidder must state a specific and verifiable reason for not contacting each certified Firm with a significant local business presence.

(B) Provide interested MBEs/WBEs with adequate information about the plans, specifications, and requirements of the contract, including addenda, in a timely manner, to assist them in responding and submitting a proposal.

(C) Negotiate in good faith with interested MBEs/WBEs that have submitted bids/proposals to the Bidder. An

MBE/WBE that has submitted a bid to a Bidder but has not been contacted within five (5) business days of submission of the bid may contact SMBR to request a meeting with the Bidder. Evidence of good faith negotiation includes the names, addresses, and telephone numbers of MBEs/WBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for MBEs/WBEs to perform the work. Bid shopping is prohibited.

(D) Select portions of the work to be performed by MBEs/WBEs in order to increase the likelihood that the

MBE/WBE goals or subgoals will be met. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate MBE/WBE participation, even when the Bidder might otherwise prefer to perform these work items with its own forces.

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(E) Publish solicitation notice in a local publication (i.e. newspaper, trade association publication, or via electronic/social media).

(F) Use the services of available community organizations; minority persons/women consultants’ or groups in the applicable field for the type of work described in this solicitation; local, state, and federal minority persons/women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of MBEs/WBEs.

(G) Seek guidance from SMBR on any questions regarding compliance with this section.

The following factors may also be considered by SMBR in determining compliance through good faith efforts;

however, they are not intended to be a mandatory checklist, nor are they intended to be exclusive or exhaustive:

(A) Whether the Bidder made efforts to assist interested MBEs/WBEs in obtaining bonding, lines of credit, or insurance as required by the City or consultant.

(B) Whether the Bidder made efforts to assist interested MBEs/WBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

In assessing minimum good faith efforts, SMBR may consider whether the Bidder sought assistance from SMBR on any questions related to compliance with this section. In addition, SMBR may also consider the performance of other Bidders successfully meeting the goals.

The ability or desire of a Bidder to perform the work of a contract with its own organization does not relieve the Bidder of the responsibility to make Good Faith Efforts.

Bidders may reject MBE/WBEs as unqualified only following thorough investigation of their capabilities. The MBE/WBE’s membership or lack of membership in specific groups, organizations, or associations, and political or social affiliations (for example union or non-union employee status), are not legitimate causes for the rejection or non-solicitation of bids/proposals in the Bidder’s efforts to meet the project goals or subgoals.

At a minimum, the following should be submitted to support Good Faith Effort documentation (documentation is not limited to this list):

Fax logs, emails, and/or copies of documents sent to firms within the SLBP area

Copies of written correspondence to certified firms (include names, addresses, and other identifying information)

Phone logs with responses (Phone contacts, alone, will not be sufficient.)

Lists and copies of letters sent by mail, hand delivered, or e-mailed

Breakdown of negotiations made with certified firms

Copies of advertisements with local newspapers, trade associations, Chambers of Commerce and/or any other public media

Other communications regarding contacts with trade associations and Chambers of Commerce

The following additional Good Faith Efforts factors may also be considered:

Copies of emails or phone logs regarding assistance in bonding, lines of credit, or insurance (as required by City or Consultant)

Copies of emails or phone logs regarding assistance in obtaining equipment, supplies, materials, or services

Copies of all proposals received in response to Bidder contacting other Firms

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POST-AWARD INSTRUCTIONS

(See Appendix C)

Confirmation Letters

All Bidders are required to include copies of the confirmation letters received from subcontractors, confirming the Subcontractors’ willingness to provide services should the contract be awarded.

Changes to the MBE/WBE Compliance Plan including additions, deletions, contract changes, or substitutions of subcontractors are permitted only after contract execution and only with prior written approval of SMBR. Request for changes to the MBE/WBE Compliance Plan must be submitted on the Request for Change of MBE/WBE Compliance Plan Form for all levels of subcontracting and must be approved by the SMBR Director prior to adding, deleting, changing or substituting any subcontractor.

Post-Award Monitoring

The City will monitor post-award compliance information regarding the use of certified MBE/WBE Firm(s) listed on the MBE/WBE Compliance Plan. The Bidder will be required to submit post award reports detailing the utilization of all subcontractors. The reports and other information regarding post-award compliance will be discussed with the successful Bidder. The following information on Payment Verification, Change Order/Contract Amendments, and Progressive Sanctions provides an overview of some of the post-award monitoring process.

Payment Verification

Bidders are advised that the contract resulting from this solicitation includes a subcontractor payments clause. This clause requires all subcontractors to be paid within ten (10) calendar days from the date that the Bidder has been paid by the City for invoices submitted by subcontractors.

The Bidder shall submit a Subcontractor/Supplier Awards and Expenditures Report to the project manager and/or contract administrator at the time specified by the managing department. The report shall be in the format required by the City and shall include all awards and payments to subcontractors for goods and services provided under the contract during the previous month. This report may be used by the City to verify utilization of and payment to MBEs and WBEs.

The Bidder and/or any subcontractor whose subcontracts are being counted toward the MBE/WBE requirements shall allow the City access to records relating to the contract, including but not limited to, subcontracts, payroll records, tax information, and accounting records, for the purpose of determining whether the MBEs/WBEs are performing the scheduled subcontract work.

In determining achievement of MBE/WBE goals, the participation of an MBE/WBE subcontractor shall not be counted until the amount being counted toward the goal has been paid.

Change Order/Contract Amendments

The goals on this contract shall also apply to change orders that require work beyond the scope(s) of trades originally required to accomplish the project. The Bidder is required to make Good Faith Efforts to obtain MBE/WBE participation for additional scopes of work.

Change orders that do not alter the type of trades originally required to accomplish the project may be undertaken using the subcontractors already under contract to the Bidder. Project managers will have automatic SMBR approval

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Progressive Sanctions

The successful Bidder’s MBE/WBE Compliance Plan will be incorporated into the resulting contract with the City and shall be considered part of the consultant’s performance requirements. Progressive sanctions may be imposed for failure to comply with Chapter 2-9A of the City Code, including:

Providing false or misleading information in Good Faith Efforts documentation, post award compliance, or other Program operations;

Substituting Subcontractors without first receiving approval for such substitutions, which may include the addition of an unapproved Subcontractor and failure to use a Subcontractor listed in the approved MBE/WBE Compliance Plan ; and

Failure to comply with the approved MBE/WBE Compliance Plan without an approved Request for Change, an approved Change Order, or other approved change to the Contract.

Please refer to Section 2-9A-25 of the City Code and SMBR Rule 11.5 for additional information.

Appendix A

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MBE/WBE COMPLIANCE PLAN

All applicable sections must be completed and submitted by the due date and time as indicated in the solicitation documents.

The Bidder/Respondent by submitting and signing this solicitation’s 0300 form, understand and agree that the MBE/WBE Compliance Plan submitted as a part of the bid/proposal shall become a part of the contract with the City of Austin. The Bidder/Respondent further understand that the City of Austin’s Minority-owned and Women-owned Business Enterprise Procurement Program Ordinance) and the Small and Minority Business Resources Department (SMBR) Rules shall apply.

Section I — Project Identification and Goals Project Name

Solicitation Number

Project Goals or Subgoals

Combined MBE/WBE %

MBE %

African American %

Hispanic %

Asian/Native American %

WBE %

Section II — Bidder Company Information Company Name

Address

City, State Zip

Phone

Fax E-Mail

Name of Contact Person

Is your company registered on Vendor Connection?

Yes If yes, provide Vendor Code ______________________________

No All vendors; Subconsultants and consultants must register with COA’s Vendor Connect prior to award. See Link for registration information at www.austintexas.gov/vendor_registration

Is your company COA M/WBE certified?

Yes No (If yes, please indicate type below)

1. MBE WBE MBE/WBE Joint Venture

2. AA H A/NA WBE

City of Austin SMBR Use Only

I have reviewed this Compliance Plan and found that the Bidder HAS HAS NOT complied as per the City Code Chapter 2-9A through GFE.

Reviewing Counselor ________________________________________ Date __________________________

I have reviewed this Compliance Plan and have found the Bidder COMPLIANT NON-COMPLIANT

Director /Assistant Director ________________________________________ Date ___________________________________ http://www.austintexas.gov/vendor_registration

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Section III — MBE/WBE Compliance Plan Summary Directions:

For each subcontractor listed in Sections IV, V, VI or VII, fill in all blanks (if applicable).

For project participation numbers use an EXACT number.

Goal percentages should be based on the Base Bid amount only. Allowances are not included.

Alternates are not recorded on this MBE/WBE Compliance Plan.

If bidder is a certified MBE/WBE, include participation details in the Bidder box ONLY.

MBE/WBE Compliance Plans not complying with these requirements shall be rejected as non-responsive.

Is the stated project goal of the solicitation met? (If no, attach documentation of Good Faith Efforts) Yes No

PROPOSED PARTICIPATION GOALS

Use this section to calculate participation.

Include all details including the total dollar amount and percentage for each category where applicable.

MBE/WBE Project Goal Bidder Participation Goal

African American % $ % Hispanic % $ %

Asian/Native American % $ %

WBE % $ %

MBE % $ %

MBE/WBE Combined % $ % Non-Certified $ %

Total Subcontractor Amount $ %

Bidder’s Own Participation

(less any subcontracted amount)

Are you counting your own participation toward the goals? (if yes, indicate below)

AA HIS A/NA WBE MBE

Base Bid Amount (Subs + Bidder amount) $ _________________ 100 %

For SMBR Use Only:

Verified participation for each category:

African-American _______ % Hispanic _______ % Asian/Native American _______ % WBE _______ %

MBE _______ % WBE _______ % Combined MBE/WBE _______ %

Prime _______ % Non-Certified _______ %

2-9A Construction MBE/WBE Compliance Plan Packet 15 REV. APRIL 2020

Section IV — Disclosure of MBE and WBE Subcontractors (Duplicate as Needed)

Note:

Fill in all the blanks (use “none” or “N/A” where appropriate).

Fill in names of MBE/WBE certified Firms as registered with City of Austin Vendor Connection.

Select either MBE or WBE for dually certified firms to indicate which certification will count towards the MBE or WBE goal.

List only the scopes of work that you intend the subcontractor to perform. Do not list all scopes a subcontractor can perform.

Contact SMBR to request an availability list of certified Firms for additional scopes of work that were not included on the original availability list.

Name of MBE/WBE Certified Firm

City of Austin Certification Data MBE WBE Gender/ Ethnicity:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

Name of MBE/WBE Certified Firm

City of Austin Certification Data MBE WBE Gender/ Ethnicity:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

2-9A Construction MBE/WBE Compliance Plan Packet 16 REV. APRIL 2020

Section V — Disclosure of Non-Certified Subcontractors (Duplicate as Needed)

Note:

Fill in all the blanks (use “none” or “N/A” where appropriate).

MBE/WBE Compliance Plans not complying with these requirements shall be rejected as non-responsive.

Fill in names of Non-Certified Subcontractors as registered with the City of Austin.

List only the scopes of work that you intend the subcontractor to perform. Do not list all scopes a subcontractor can perform.

Are Goals Met? Yes No If no, state reason(s) below and attach documentation:

Name of Non-Certified Subcontractor

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

Reason Certified Firm not used

Name of Non-Certified Subcontractor

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

Reason Certified Firm not used

Name of Non-Certified Subcontractor

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

First-Level Subcontractor

Reason Certified Firm not used

Name of Non-Certified Subcontractor

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

First-Level Subcontractor

Reason Certified Firm not used

2-9A Construction MBE/WBE Compliance Plan Packet 17 REV. APRIL 2020

Section VI — Disclosure of Second-Level Subcontractors (Duplicate as Needed)

Note:

Fill in all the blanks (use “none” or “N/A” where appropriate).

MBE/WBE Compliance Plans not complying with these requirements shall be rejected as non-responsive.

Fill in names of Second-Level Subcontractors as registered with the City of Austin.

List only the scopes of work that you intend the subcontractor to perform. Do not list all scopes a subcontractor can perform.

Name of Second-Level Subcontractor

City of Austin Certification No MBE WBE Gender/ Ethnicity:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

First-Level Subcontractor

Name of Second-Level Subcontractor

City of Austin Certification (choose one) No MBE WBE Gender/ Ethnicity:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

First-Level Subcontractor

Name of Second-Level Subcontractor

City of Austin Certification (choose one) No MBE WBE Gender/ Ethnicity:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Amount of Subcontract $ %

First-Level Subcontractor

First-Level Subcontractor

Name of Second-Level Subcontractor

City of Austin Certification (choose one) No MBE WBE Gender/ Ethnicity:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

First-Level Subcontractor

2-9A Construction MBE/WBE Compliance Plan Packet 18 REV. APRIL 2020

Section VII — Disclosure of Primary and Alternate Trucking Subcontractors (Duplicate as Needed)

Note:

Fill in all the blanks (use “none” or “N/A” where appropriate).

MBE/WBE Compliance Plans not complying with these requirements shall be rejected as non-responsive.

List only the scopes of work that you intend the subcontractor to perform. Do not list all scopes a subcontractor can perform.

Fill in names of Primary and Alternate Trucking Subcontractors as registered with the City of Austin.

Primary Trucking Subcontractor

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person Phone:

Commodity Codes

Alternate Trucking Subcontractor

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person Phone:

Commodity Codes

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person Phone:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person Phone:

City Of Austin Vendor Code

Address/ City / State / Zip

Contact Person Phone:

2-9A Construction MBE/WBE Compliance Plan Packet 19 REV. APRIL 2020

Section VIII — MBE/WBE Compliance Plan Check List

Is each stated project goal of the solicitation met?

Yes No

(If no, complete and submit Section VIII Compliance Plan Check List)

If the goals or subgoals were not achieved, all questions in Section VIII must be completed and Good Faith Efforts documentation must be submitted with the MBE/WBE Compliance Plan. The completion and submission of this form is not required if the above question is answered Yes.

Is the following documentation attached to support good faith effort requirements to achieve goals or subgoals?

Copy of written solicitation sent to MBE/WBEs in SLBP area 7 business days prior to the submission of this Compliance Plan

Yes No

Two separate methods of notices sent to MBE/WBEs in SLBP area Indicate notice types: fax transmittals emails phone log letters

Yes No

Copy of advertisements placed in local publication Yes No

Copy of notices sent to Minority and Women organizations Yes No

Documentation that demonstrates additional GFEs:

o Efforts to assist interested MBEs/WBEs in obtaining bonding, lines of credit, or insurance as required by the City or contractor o Efforts to assist interested MBEs/WBEs in obtaining necessary equipment, supplies, materials, or related assistance or services o Efforts made to reach agreements with the MBE/WBEs who responded to Bidder’s written notice

Yes No

Were additional elements of work identified to achieve the goals or subgoals? Yes No

If yes, please explain: __________________________________________________

Was SMBR contacted for assistance? Yes No

If yes, complete following:

Contact Person: __________________________________________________

Date of Contact: __________________________________________________

Summary of Request: __________________________________________________

Were Minority or Women organizations contacted for additional assistance? Yes No

If yes, complete following:

Organization(s): ___________________________________________________

Date of Contact: ___________________________________________________

Summary of Request ___________________________________________________

Appendix B

2-9A Construction MBE/WBE Compliance Plan Packet 20 REV. APRIL 2020

LETTER TO POTENTIAL SUBCONTRACTORS

____________________________________ is soliciting Minority- and Women-Owned Business Enterprise participation for the following City of Austin project. Solicitation documents are available at our office or at One Texas Center, 505 Barton Springs Road, 10th Floor, Suite 1045 C-Congress Room or at www.austintexas.gov/vendor_registration

Solicitation Name: ______________________________________________________ Solicitation Number: ______________________________________________________ Location of Pre-bid Conference ______________________________________________________ Response Due Date and Time: ______________________________________________________

This Project Includes the Following Scopes of Service:

□ Asbestos Abatement □ HVAC

□ Carpentry □ Insulation

□ Carpeting □ Lab and Field-Testing Services

□ Concrete □ Landscaping

□ Demolition Services □ Masonry

□ Doors and Frames □ Millwork

□ Drilling □ Painting

□ Drywall □ Paving and Resurfacing

□ Electrical □ Plumbing

□ Excavation Services □ Roofing

□ Fabricated Steel □ Stone

□ Flooring □ Tile

□ Glazing Services □ Weather and Waterproofing

□ Hardware □ Welding

□ Heavy Construction Equipment □ Windows

□ Other ______________________ □ Other ______________________

Contact our office for detailed information on the scopes of services to be subcontracted and the relevant terms and conditions of the contract.

Contact: ________________________ at ___________________ or _____________________ (Name) (Telephone) (Fax)

(Email)

All Responses MUST be received by: _____________________________________________________ http://www.austintexas.gov/vendor_registration

2-9A Construction MBE/WBE Compliance Plan Packet 21 REV. APRIL 2020

CONFIRMATION LETTER

Name of Prime Contractor: ___________________________________________________________________

Address: _________________________________________________________________________________ Street City State Zip Code

Telephone: (____)____________ Fax: (____)____________ Proposed Contract Amount: $

Project/Solicitation Number: ________________________________

Project Name: _____________________________________________________________________________

Type of Agreement (check one): Lump Sum Unit Price Commodity

Period of Performance: _______________ Level of Subcontracting (check one): 1st 2nd 3rd

Legal Name of Subcontractor*: _______________________________________________________________

Subcontractor* City Of Austin : ________________________________________________________________

Address: _________________________________________________________________________________ Street City State Zip Code

Telephone: (____)_________ Fax: (____)_________ Proposed Subcontract Amount: $ ____________ Commodity Code and description of work to be performed by Subcontractor Firm:

The Prime Contractor and the Subcontractor listed above agree that the Prime Contractor has provided the Subcontractor with a copy of the City’s prevailing wage requirements

Prime Contractor Subcontractor: (Includes Suppliers, Manufacturers, Alternates)

Legal Name of Firm, as registered with the City of Austin Legal Name of Firm, as registered with the City of Austin

Signature Signature

Print Name Print Name

Title Title

Date Date

STATE OF _________________ STATE OF _________________

COUNTY OF _______________ COUNTY OF _______________

SUBSCRIBED AND SWORN TO before me on the SUBSCRIBED AND SWORN TO before me on the

________ day of ____________, 20____ ________ day of ____________, 20____

Notary Republic Notary Republic

Vendors Within the SLBP Area

33055 Fencing, Temporary (For Construction and Other Ind

AUS7162615

AUSTIN LUMBER CO INC

630 S. Washington La Grange Tx 78945

LAURA CULIN

laura@austinlumber.com 5124765534 Fax: 5124768337

WB Caucasian LO

V00000955636 COE Concepts 4408 Hwy 183 S Austin Tx 78744

Regina Esteves gina@coe-concepts.com 5124686395 Fax: 5123940293

MWB Hispanic AU

V00000996837 Huma Ahmad Abadi 380 Canna Lily Cir Driftwood Tx 78619-5790

Huma Ahmad Abadi ahmadabadihuma@gmail.com 2146646549

WDB Asian SL

V00001001109 Roman Solutions LLC 1010 Rm 620 Lakeway Tx 78734

JR Roman jroman@standstrongfencing.com 5122225277

MB Hispanic AU

VS0000006907

TRINI CONSTRUCTION BUILDER LLC

Po Box 81431 Austin Tx 78708

Reginald Worlds info@triniconstructionbuilder.com 512-282-2262 Fax: 512-535-7962

MDB African American AU

ALL8314335

Tony Parent Enterprises, Inc.

13350 Old Kimbro Rd, Bldg A Manor Tx 78653

David Gilmore david@alliedfenceandsecurity.com 5124502483 Fax: 5122557096

MB/SBE Hispanic AU

V00000922275 WaterFilled Barrier Systems International, Inc.

195 Stockade Ranch Rd., B Paige Tx 78659

Jennifer McKeon jennifer@wbsintl.com 8449274685 700 Fax: 5127278620

WDB Caucasian SL

V00000909501 ZLynx Enterprise, Inc 6448 Highway 290 East Suite E107 Austin Tx 78723

Ronda Houston ronda@zlynxenterprise.com 512-451-8828 216 Fax: 5124679808

MB/SBE African American AU

V00000938555 Zacharias Johnson 6448 E Highway 290 Ste B106 Austin Tx 78723

Zacharias N Johnson zach.johnson@thehabitsgroup.net 5127893108

MDB/SBE African American AU

34060 Hydrants, Fire (Including Accessories and Parts)

Printed on 07/09/2026 2:44PM Page 1 of 37

City of Austin Subcontract Vendor List - VCRCVS

Solicitation No.: IFB 6100 CLMC1162 West Congress (Radam/St. Elmo) Water & WW Pipeline Renewal Version No.: 1 Phase: 1

C Code & Description Vend Code/Adr Contact Information W/MB Code/Bus Type Eth LCTN

VS0000035647

KLP Commercial, L.L.C.

18013 Vorwerk Rd Manor Tx 78653

Nathali Parker np@klpsupply.com 512-571-0477

MWDB Native American AU

MAR8301130

MARS INDUSTRIES L L C

Po Box 560 Cedar Creek Tx 78612-0560

ALVINO ROSALES

AROS3B@SWBELL.NET

512-303-4413 Fax: 512-321-1199

MDB/SBE Hispanic SL

UNI7027985

UNISM DEVELOPMENT CO INC

Po Box 14145 Austin Tx 78761-4145

BEN WARMATE

unism@sbcglobal.net 512-255-3726 Fax: 512-255-1451

6448 E Highway 290 Ste B106 Austin Tx 78723

Zacharias N Johnson zach.johnson@thehabitsgroup.net

40509 Fuel Oil, Diesel

BEN8308480

BENQWEST L L C

2300 E Ben White Blvd Austin Tx 78741-7111

Korim Ahmed

BENQWEST@YAHOO.COM

512-565-1048 Fax: 512-233-0843

MB Asian AU

6448 E Highway 290 Ste B106 Austin Tx 78723

Zacharias N Johnson zach.johnson@thehabitsgroup.net

5507818 BARRICADES, TRAFFIC, PORTABLE

V00000973105 GBC General Barricade Company LLC P.O. Box 443 Manor Tx 78653

German B Chaverria german@gbctraffic.com 5127892886

MDB Hispanic AU

6448 E Highway 290 Ste B106 Austin Tx 78723

Zacharias N Johnson zach.johnson@thehabitsgroup.net

65860 Pipe, PVC (Polyvinyl Chloride)

V00001005748

Printed on 07/09/2026 2:44PM Page 2 of 37

City of Austin Subcontract Vendor List - VCRCVS

Solicitation No.: IFB 6100 CLMC1162 West Congress (Radam/St. Elmo) Water & WW Pipeline Renewal

BNF Ventures, LLC 510 Tanner Trail Pflugerville Tx 78660

Joao Lopes Farias bnfventures@gmail.com 7209198429

WMB Hispanic AU

V00000917830 Earthco Landscape Construction LLC 4500 Williams Dr. Suite 212-108 Georgetown Tx 78633

Heath Williamson earthcolc@aol.com 5128187015 Fax: 5129438333

MDB/SBE African American SL

18013 Vorwerk Rd Manor Tx 78653

Nathali Parker np@klpsupply.com

Po Box 560 Cedar Creek Tx 78612-0560

ALVINO ROSALES

AROS3B@SWBELL.NET

512-303-4413

V00001003229 SX7 Supply, LLC 2407 Granite Creek Dr.

Leander Tx 78641

Michelle Schneider ms@sx7supply.com 7373177117

WB Caucasian SL

Po Box 14145 Austin Tx 78761-4145

BEN WARMATE

unism@sbcglobal.net 512-255-3726

6448 E Highway 290 Ste B106 Austin Tx 78723

Zacharias N Johnson zach.johnson@thehabitsgroup.net

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