RFQS_6100_CLMP400_MWDBE_PAC_v1.pdf

2-9B Professional Services Project Specific Compliance Plan Packet 1 REV. MAY 2021

CITY OF AUSTIN

CITY CODE CHAPTER 2-9B

PROFESSIONAL SERVICES

PROJECT SPECIFIC

MBE/WBE PROCUREMENT PROGRAM

Solicitation Name:

Solicitation Number:

Issue Date:

2-9B Professional Services Project Specific Compliance Plan Packet 2 REV. MAY 2021

Table of Contents

MBE/WBE GOALS

OVERVIEW

MBE/WBE COMPLIANCE PLAN INSTRUCTIONS

Section I Project Identification and Goals

Section II Proposer Information

Section III MBE/WBE Compliance Plan Summary

Section IV Disclosure of MBE and WBE Subconsultants

Section V Disclosure of Non-Certified Subconsultants

Section VI Disclosure of Second-Level Subconsultants

Section VII MBE/WBE Compliance Plan Checklist

GOOD FAITH EFFORTS INSTRUCTIONS

Contacting Potential MBE/WBE Subconsultants

Good Faith Efforts Review

POST-AWARD INSTRUCTIONS

Confirmation Letters

Post-Award Monitoring

Payment Verification

Change Order/Contract Amendments

Progressive Sanctions

MBE/WBE COMPLIANCE PLAN

LETTER TO POTENTIAL SUBCONSULTANTS

CONFIRMATION LETTER

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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 Professional Services (Chapter 2-9B of the Austin City Code) and the Small and Minority Business Resources Department (SMBR) Rules. The definitions contained in Chapter 2-9B apply to this document. The City Code and Rules are amended from time to time and the Proposer 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 2-9B and SMBR Rules may be obtained online at SMBRComplianceDocuments@austintexas.gov or from SMBR, 811 Barton Springs Rd, 8th Fl, Suite 805 Austin, Texas 78704 (512) 974-7600.

Firms or individuals submitting responses to this Request for Qualifications 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 subconsulting opportunities to certified MBEs and WBEs by soliciting such Firm for subcontracting opportunities. The City of Austin and its consultants shall not discriminate on the basis of race, color, national origin, disability, or gender in the award and performance of contracts.

The City encourages Proposers to achieve the MBE/WBE participation goals and subgoals for this contract.

However, Proposers 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 2-9B-21 of the City Code and Section 9.1 of the Rules. Proposers 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 Proposers (including those Firms certified as MBE/WBE) shall submit: (1) an MBE/WBE Compliance Plan and (2) if it is anticipated the project goal(s) 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.

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 Proposal 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 Proposer 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. The Compliance Plan will be reviewed and approved by the Small and Minority Business Resources Department.

Please type or clearly print all information, use “none” or “N/A” where appropriate. 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, Goal(s) or Subgoals. The Proposer does not need to fill in any information under Section I.

Section II Proposer Information

The Proposer 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 Subconsultant participation for this Proposal. Proposer should complete Sections IV- VI, described below, before attempting to complete Section III. After completing Sections IV-VI, total the percentage(s) 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-VI and Section III, the percentages contained in Sections IV-VI will prevail. If the Proposer indicates that they do not anticipate meeting the goals with certified MBE/WBE firms, then the Proposer 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 Subconsultants

Please list all certified MBE/WBEs Subconsultants 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. Do not include the percentage of work that the MBE/WBE’s Subconsultants will be subcontracting to second-level Subconsultants. By listing certified MBE and WBE Firms on the MBE/WBE Compliance Plan, the Proposer 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 Proposer. 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 Subconsultant.

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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 Proposer 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 Subconsultant 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 Subconsultant’s MBE/WBE certification. Please see Section VI for an explanation of how to count the value of second-level Subconsultants’ 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 Subconsultant may not be counted toward both the MBE and the WBE goals. The Proposer must decide whether to designate the dual certified Subconsultant 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

2-9B Professional Services Project Specific Compliance Plan Packet 6 REV. MAY 2021 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 Subconsultants

Please list all known non-certified Subconsultants, 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 Proposer 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 Proposer did not meet the project goals, Proposer must explain in the space provided why MBEs/WBEs were not used as Subconsultants and submit documentation for the stated reason if applicable. If Proposer did meet the project goals, please indicate “Goals Met” in the space provided.

Section VI Disclosure of Second-Level Subconsultants

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

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

Section VII 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 Proposer has a responsibility to make a portion of the work available to MBE/WBE Subconsultants so as to facilitate meeting the goals or subgoals. If the Proposer cannot achieve the goals or subgoals, documentation of the Proposer’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 Proposer 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 Proposer’s failure to meet the goals and subgoals, as long as such costs are reasonable. However, a Proposer is not required to accept a higher quote from a Subconsultant in order to meet a goal or subgoal.

Contacting Potential MBE/WBE Subconsultants

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 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, Proposers 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 Proposers are encouraged to contact all the firms. If a Proposer identifies an additional scope of work for this project not identified in the solicitation, the Proposer 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 Proposer 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 Proposer identifies one or more work areas that are appropriate subcontracting opportunities that not included on the availability list, the Proposer 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 Proposer’s Good Faith Efforts to meet the goals.

If the Proposer believes any of the work areas on the availability list are not applicable to the project’s scope of work or if the Proposer believes that the lists are inaccurate, the Proposer shall notify the authorized contact person of the concern immediately and prior to submission of the response to the solicitation. All Proposers 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 Proposer wants to use a certified Subconsultant that does not appear on this list, Proposer may request from SMBR or visit www.austintexas.gov/certified_vendors_directory for proof of certification and the specific work areas for which the Subconsultant has been certified.

Appendix B provides a format for collecting required information from the Subconsultants 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 Availability List. This list is in label format and is designed to facilitate the printing of mailing labels.

http://www.austintexas.gov/certified_vendors_directory

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The following codes are used on the availability list:

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 Minority-owned, Woman-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 Proposer made Good Faith Efforts to meet the project goals or subgoals. In determining whether the Proposer has made Good Faith Efforts, SMBR will consider, at a minimum, the Proposer’s efforts to do the following:

(A) Solicit certified MBE/WBE Subconsultants with a Significant Local Business Presence (SLBP) and request a response from those interested Subconsultants who believe they have the capability to perform the work of the contract through at least two reasonable, available, and verifiable means. The Proposer 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 Proposals/proposals are due to the City should not be included in the seven day solicitation criteria.) The Proposer 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 proposals to the Proposer. An MBE/WBE that has submitted a proposal to a Proposer but has not been contacted within five (5) business days of submission of the proposal may contact SMBR to request a meeting with the Proposer. 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. Proposal 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 Proposer 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 Proposer 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 Proposer 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 Proposer sought assistance from SMBR on any questions related to compliance with this section. In addition, SMBR may also consider the performance of other Proposers successfully meeting the goals.

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

Proposers 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 proposals in the Proposer’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 Proposer contacting other Firms

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POST-AWARD INSTRUCTIONS

(See Appendix C)

Confirmation Letters

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

Changes to the MBE/WBE Compliance Plan including additions, deletions, contract changes, or substitutions of Subconsultants 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 Subconsultant.

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 Proposer will be required to submit post award reports detailing the utilization of all Subconsultants. The reports and other information regarding post-award compliance will be discussed with the successful Proposer. 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

Proposers are advised that the contract resulting from this solicitation includes a Subconsultant payments clause.

This clause requires all Subconsultants to be paid within fourteen (14) calendar days from the date that the Proposer has been paid by the City for invoices submitted by Subconsultants.

The Proposer 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 Subconsultants 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 Proposer and/or any Subconsultant 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 Subconsultant 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 Proposer is required to make Good Faith Efforts to obtain MBE/WBE participation for additional scopes of work.

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Change orders that do not alter the type of trades originally required to accomplish the project may be undertaken using the Subconsultants already under contract to the Proposer. Project managers will have automatic SMBR approval to authorize any change order that increases the contract amount for an existing certified Subconsultant and is within the existing scope being performed by that Subconsultant.

Progressive Sanctions

The successful Proposer’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 2-9B of the City Code, including:

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

Substituting Subconsultants without first receiving approval for such substitutions, which may include the addition of an unapproved Subconsultant and failure to use a Subconsultant 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 2-9B-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 — Proposer 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 2-9B through GFE.

Reviewing Counselor ________________________________________ Date __________________________

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

Director /Assistant Director ________________________________________ Date ___________________________________

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Section III — MBE/WBE Compliance Plan Summary Directions:

For each Subconsultant 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 M/WBE, include participation details in the Bidder box ONLY.

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

PROPOSED PARTICIPATION GOALS

Use this section to calculate participation.

Include all details including the total 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 Subconsultant Percentage 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

For SMBR Use Only:

Verified participation for each category:

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

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

Prime _______ % Non-Certified _______ %

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Section IV — Disclosure of MBE and WBE Firms (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’s Austin Finance Online

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

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:

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Subcontract Percentage %

Name of MBE/WBE Certified Firm

City of Austin Certification Data MBE WBE Gender/ Ethnicity:

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Subcontract Percentage %

Name of MBE/WBE Certified Firm

City of Austin Certification Data MBE WBE Gender/ Ethnicity:

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Subcontract Percentage %

Name of MBE/WBE Certified Firm

City of Austin Certification Data MBE WBE Gender/ Ethnicity:

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Subcontract Percentage %

2-9B Professional Services Project Specific Compliance Plan Packet 15 REV. MAY 2021

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

Note:

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

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

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

Name of Non-Certified Firm

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Reason Certified Firm not used

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

2-9B Professional Services Project Specific Compliance Plan Packet 16 REV. MAY 2021

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

Note:

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

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

Name of Second-Level Firm

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

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

First-Level Subconsultant

Subcontract Percentage %

Name of Second-Level Firm

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

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

First-Level Subconsultant

Subcontract Percentage %

Name of Second-Level Firm

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

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

First-Level Subconsultant

Subcontract Percentage %

Name of Second-Level Firm

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

Vendor Code

Address/ City / State / Zip

Contact Person & Phone #

Fax & Email Address

Commodity Codes

Commodity Codes Descriptions

First-Level Subconsultant

2-9B Professional Services Project Specific Compliance Plan Packet 17 REV. MAY 2021

Section VII — MBE/WBE Compliance Plan Check List

Is each stated project goal of the solicitation met?

Yes No

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

If the goals or subgoals were not achieved, all questions in Section VII 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 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 consultant 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 Proposer’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

2-9B Professional Services Project Specific Compliance Plan Packet 18 REV. MAY 2021

LETTER TO POTENTIAL SUBCONSULTANTS

____________________________________ is soliciting Minority and Women-Owned Business Enterprise participation for the following City of Austin project. Solicitation documents are available for download at www.austintexas.gov/open_solicitations.

Solicitation Name: _________________________________________________ Solicitation Number: _________________________________________________ Location of Pre-Proposal Conference _________________________________________________ Response Due Date and Time: _________________________________________________

This Project Includes the Following Scopes of Services:

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

Please contact: ________________________ at ___________________ or ______________________ (Name) (Telephone) (Fax)

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

Appendix C

2-9B Professional Services Project Specific Compliance Plan Packet 19 REV. MAY 2021

CONFIRMATION LETTER

(Printed on Subconsultant letterhead)

Date

Contact Name Business Name Street Address City, State Zip

Re: Solicitation # _____

Dear (Contact Name):

This letter is to confirm that (insert Subconsultant name here) is pleased to provide (insert Prime Consultant name here) (insert service here) for the above-referenced solicitation.

We understand that we will be completing _____% of the work on this project.

We look forward to working with you and the City of Austin should your team be awarded the project.

Sincerely, (Insert signature)

Contact Name Title Business Name