RR-20-4342 Volume 1 - Required Documents_01252021~1.pdf

RETURN WITH BID

SMALL BUSINESS INITIATIVE

Rolling Owner Controlled Insurance Program

(ROCIP)

CONTRACT RR-20-4342

SYSTEMWIDE RAMP QUEUE DETECTION

REAGAN MEMORIAL TOLLWAY (I-88)

MILE POST 114.5 TO 115.3, 123.3 TO 124.4,

& 129.3 TO 134.2

JANE ADDAMS TOLLWAY (I-90)

MILE POST 16.1 TO 17.4, 66.4 TO 67.8, & 76.2 TO 78.45

TRI-STATE TOLLWAY (I-294)

MILE POST 45.7 TO 48.7

VETERANS MEMORIAL TOLLWAY (I-355)

MILE POST 26.5 TO 27.8

Illinois Tollway 2700 Ogden Avenue Downers Grove, IL 60515

VOLUME I

REQUIRED DOCUMENTS

TOC-1

TABLE OF CONTENTS

VOLUME I

PART I: Instructions

Bid Schedule and Information SBI A-1

Pre-Bid Meeting Announcement A-2

New Notice – Small Business Initiative NN-1 thru NN-2

Small Business Initiative Program Special Provision 1 thru 15

Construction Bid Check List CL-1 thru CL-3

Instruction and Information to Bidders I-1 thru I-9

PART II: Bid Requirements

Bid P-1 thru P-9

Bid Bond (Insert after P-Pages)

Forms A or Forms B Disclosures N-1 thru N-2

Responsible Bidder Affidavit PA-1

Bidder Preferences R-1, R-2

Bidder List of Individual Contacts R-3

Affidavit R-4

Current Contractual Obligations S-1

Disadvantaged Business Enterprise Participation & Utilization Plan DBE-1 thru DBE-15

Equal Employment Opportunity Program EEO-1 thru EEO-8

Veteran Small Business Participation & Utilization Plan VOSB-1 thru VOSB-11

Bid Credit Incentive Programs BCP-1 thru BCP-4

Illinois Tollway Standard Business Terms and Conditions TC-1 thru TC-9

PART III: Contract Requirements

Contract Bond Agreement T-1 thru T-5

Performance Bond U-1, U-2

Payment Bond V-1, V-2

Insurance- Rolling Owner Controlled Insurance Program (ROCIP) I-4

TOC-2

VOLUME II

SPECIAL PROVISIONS J-1 thru J-224

SPECIAL PROVISIONS RECURRING -1

PART I - INSTRUCTIONS

Bid Schedule and Information SBI A-1

Pre-Bid Meeting Announcement A-2

New Notice – Small Business Initiative NN-1 thru NN-2

Small Business Initiative Program Special Provision 1 thru 15

Construction Bid Checklist

Instruction and information to Bidders

CL-1 thru CL-3

I-1 thru I-9

SBI A-1

THE ILLINOIS STATE TOLL HIGHWAY AUTHORITY

ADVERTISEMENT FOR BIDS

Bid Schedule and Information for

CONTRACT NO: RR-20-4342

Electronic submissions for the above numbered contract as described below will be received by the Illinois Tollway via BidBuy, the State of Illinois eProcurement System, until 10:30:00 a.m. local time on March 2, 2021. The Illinois State Tollway Highway Authority (ISTHA) will no longer accept manual, hard copy bid submissions. All bidders are strongly encouraged to submit bids timely as the system will not accept late bid submittals. Bid results will be posted on the Tollway’s on-line plan room:

www.illinoistollwaybidding.com.

For assistance with registration in BidBuy or submitting electronic bids, please contact the BidBuy Vendor Help Desk at:

il.bidbuy@illinois.gov and /or phone: 866-455-2897.

The optional pre-bid meeting will be held through WebEx on February 9, 2021 at 10:00 a.m. The WebEx link information is listed on the A-2 page.

The work to be done under this contract shall be started on or about June 10, 2021. All work under this contract shall be completed by March 21, 2022. The location of the services to be performed for this contract is the Ronald Reagan Memorial Tollway (I-88) between M.P 114.5 to 115.3 in Kane County and M.P. 129.3 to 134.2 and M.P. 123.3 to 124.4 in DuPage County, Jane Addams Memorial Tollway (I-90) between M.P. 16.1 to 17.4 in Winnebago County and M.P. 66.4 to 67.8 and M.P. 76.2 to

78.45 in Cook County, Tri-State Tollway (I-294) between M.P. 45.7 to 48.7 in Cook County, Veterans Memorial Tollway (I-355) between M.P. 26.5 to 27.8 in DuPage County. The work under this contract includes, but is not limited to installation of a new DMS site on a cantilevered structure, installation of ten ramp queue detection sites, installation a new CCTV site, installation of new flashing beacon sites, modification of various ITS enclosures to allow for network connectivity, installation of new ITS device enclosures, poles, and foundations, installation of new frame mounted disconnect switches, installation of new conduit and fiber optic cable, site restoration and other associated work and maintenance of traffic..

Bidders are also required to be registered, or submit evidence of application, with the Illinois Department of Human Rights

(IDHR).

Please note that written or oral communications received by the Illinois Tollway in connection with this solicitation may be required to be reported to the Procurement Policy Board as required by law. This provision is not intended to prohibit communications with State employees regarding a procurement matter, but rather only requires reporting of those communications when they occur.

All bids must be on forms prescribed by the Illinois Tollway and must comply with the terms and conditions set forth in the contract documents. Copies of the plans, special provisions, bid forms and other contract documents for this contract are available from BHFX Digital Imaging and can be viewed and/or ordered for purchase by visiting the On-line Plan Room via www.illinoistollwaybidding.com. Copies of the current Illinois Tollway Supplemental Specifications to the Illinois Department of Transportation Standard Specifications for Road and Bridge Construction can be purchased directly from BHFX Digital Imaging.

The current Illinois Tollway Supplemental Specifications may also be viewed in the ‘Doing Business’ section on the Tollway website. Current Illinois Department of Transportation Standard Specifications for Road and Bridge Construction, Supplemental Specifications and Recurring Special Provisions can be viewed and purchased from the Illinois Department of Transportation website. Electronic copies of the contract documents are also available on compact disk (CD) from BHFX Digital Imaging.

Copies are in a portable document format (PDF). Bidders with questions or in need of assistance in purchasing contract documents are to contact a BHFX Digital Imaging, Customer Service Representative at 630-393-0777, ask for the Plan Room.

Questions pertaining to the intent of the contract documents may be sent to the Illinois Tollway, attention 4278D.4342_Questions@docs.e-builder.net, to be received no later than 2:00 p.m. local time on February 12, 2021.

A completed Questionnaire and a statement of current contractual obligations on forms supplied by the Illinois Tollway will be required from all bidders. Each bid must be accompanied by a Bid Guaranty in the amount of five (5%) per cent of the total amount shown in the bid for the contract. The Bid Guaranty shall be in the form of an acceptable bid bond or a bank draft, certified check or cashier's check drawn on a solvent bank made payable to the Illinois State Toll Highway Authority.

Award of the above contract, if any award be made, will be to the lowest responsive and responsible bidder or bidders. The Illinois Tollway reserves the right to reject any and all bids, to waive technicalities, or cancel the solicitation.

COPIES OF PLANS, SPECIAL PROVISIONS, BID FORMS, CONTRACT DOCUMENTS, STANDARD SPECIFICATIONS AND SUPPLEMENTAL SPECIFICATIONS ARE NOT AVAILABLE AT THE TOLLWAY CENTRAL ADMINISTRATION BUILDING.

DATE: January 26, 2021

A-2

PRE-BID MEETING

FOR CONTRACT RR-20-4342

ILLINOIS STATE TOLL HIGHWAY AUTHORITY

Date: January 26, 2021

ANNOUNCEMENT

An optional pre-bid meeting will be held through WebEx on February 9, 2021 at 10:00 a.m. local time.

Complete the registration information to join WebEx. Please include the following:

First Name Last Name Email address: (confirm email address) Phone number Title and Organization

Tuesday February 9, 2021, 10:00 a.m. | 30 minutes| Central Time (US & Canada)

Event number: 177 323 4327

Password: 4342

Register and join Event:

https://illinois2.webex.com/illinois2/onstage/g.php?MTID=ef3090e45a31805780a487fe9ac8b9bd5

Video Address: 1773234327@illinois2.webex.com You can also dial 173.243.2.68 and enter your meeting number.

Audio conference: To receive a call back, provide your phone number when you join the event, or call the number below and enter the access code.

US Toll +1-415-655-0003 Access code: 177 323 4327

NN-1

NOTICE

Small Business Initiative Program (SBIP)

This contract is subject to the Small Business Initiative Program and the Small Business Set-Aside Program (SBSP).

Small Business Initiative as defined by the Special Provision and SBSP as defined under Section 45-45 of the Illinois Procurement Code (30 ILCS 500/45-45).

Only those bidders registered in the Tollway’s Small Business Initiative and the Illinois Procurement Gateway (IPG) who qualify as a small business under the Provision/Code may bid on this contract. For purposes of this contract, a small business is defined as a business that is independently owned and operated, is not dominant in its field of operation, and meets the required size status and sales limitations.

A business is considered "not dominant in its field of operation" if it does not exercise a controlling or major influence in a kind of activity in which a number of business concerns are primarily engaged. When computing the size status of a Bidder, annual sales and receipts of the Bidder and all of its affiliates shall be included, subject to the following limitations:

(1) No wholesale business is a small business if its annual sales for its most recently completed fiscal year exceed $13,000,000.

(2) No retail business or business selling services is a small business if its annual sales and receipts exceed

$8,000,000.

(3) No manufacturing business is a small business if its annual sales for its most recently completed fiscal year exceed $13,000,000 (wholesale) or employs more than 250 persons.

(4) No construction business is a small business if its annual sales and receipts exceed $14,000,000.

***Attention Small Business Initiative Vendors*** Note: A Bidder must be registered as a small business in the Illinois Procurement Gateway (IPG) and in the Illinois Tollway’s Small Business Initiative Program at the time bids are due in order for their bid to be evaluated. For complete requirements and to register a Bidder’s business visit (http://www.ipg.vendorreg.com) to register in the IPG and visit (Tollway website) to register as a Small Business in the Illinois Tollways Small Business Initiative.

Failure of the Bidder to submit evidence of registration in the Illinois Procurement Gateway (IPG) as a small business and the Illinois Tollway Small Business Initiative at the time of bid shall cause the bid to be deemed as non-responsive.

Please register in the Illinois Procurement Gateway (IPG) at (https://ipg.vendorreg.com).

* Click on vendor registration (right side of page)

* Click on “create vendor account” or log in if you already have an account.

* Once account is created, log into the Illinois Procurement Gateway.

* Next, click on Start/Renew Vendor Registration in upper right-hand corner.

* Under Available Vendor Registrations (left side), click on State of Illinois Vendor Registration.

* Complete all fields and submit for review/qualification.

Assistance with the Illinois Procurement Gateway may be obtained by emailing eec.ipg@illinois.gov or calling 217.782.1270.

Questions?

If you have questions, please contact Andrew Shackelford, Small Business Specialist at EEC.SmallBusiness@Illinois.gov

NN-2

Small Business Initiative Tiers (SBIP)

Contracts within the Small Business Initiative Program shall be advertised on the Tollway’s bidding schedule in three Tiers as listed below.

Small Business Tier 1 Construction contracts with an engineers’ estimate dollar value of $1,000,000 or less will be designated Tier 1 contracts and will be subject to the criteria specified in the bid documents and summarized as follows:

Prequalification from Illinois Department of Transportation (IDOT) and Illinois Capital Development Board (CDB) is not required.

Contracts will not include Diversity Goals* Contracts may include Rolling Owners Construction Insurance Program (ROCIP).

Prime contractors will be required to self-perform a minimum of 35%.

Prime contractors will be required to utilize only small businesses Prime contractors will be required to utilize only SBs as subcontractors on any Tier 1 contract.

Small Business Tier 2 Construction contracts with an engineers’ estimated dollar value between $1,000,001 and $3,000,000 will be designated Tier 2 contracts and will be subject to the criteria specified in the bid documents and summarized as follows:

Prequalification from IDOT and CDB is not required unless otherwise stipulated by the Tollway in the specifications of the bid documents.

Contracts include Diversity goals.

Contracts may include Rolling Owners Construction Insurance Program (ROCIP).

Prime contractors are required to self-perform a minimum of 40% of the contract value.

Prime contractors will be required to utilize only small businesses.

Small Business Tier 3 Construction contracts with an engineers’ estimated dollar range between $3,000,001 and $5,000,000 will be designated Tier 3 contracts and will be subject to the criteria specified in the bid documents and summarized as follows:

Prequalification from IDOT and CDB is not required unless otherwise stipulated by the Tollway in the specifications of the bid documents.

Contracts include Diversity goals.

Contracts may include Rolling Owners Construction Insurance Program (ROCIP).

Prime contractors are required to self-perform a minimum of 35% of the contract value.

Prime contractors will be required to utilize only small businesses.

Joint Ventures are allowed under the Tollway’s Small Business Initiative Tier Program.

Please register in the Illinois Tollway System

Once you have registered with the IPG, please register with the Illinois Tollway at www.illinoistollway.com.

Click on Doing Business (left side of page)

Click on Diversity (left side of page) Click on Small Business Initiative (under Diversity Overview, left side of page) Under How to Get Involved, click the link for the SBI application Complete application Email application to SBI@getipass.com

Assistance with the Tollway’s Small Business Initiative Registration may be obtained by emailing: SBI@getipass.com Proof of Registration with the Tollway’s Small Business Initiative Program is required.

Illinois State Toll Highway Authority

SPECIAL PROVISION FOR

SMALL BUSINESS INITIATIVE PROGRAM

1. POLICY STATEMENT

It is the policy of The Illinois State Toll Highway Authority (“ISTHA” or “Tollway”) that qualified Illinois Small Businesses (“SBs”), as defined herein, have maximum feasible opportunities to participate fully in the performance of contracts funded and administered by the Tollway. The Tollway seeks to

(i) ensure non-discrimination in the award and administration of its contracts and associated subcontracts, (ii) ensure it is not a passive participant in a discriminatory marketplace, (iii) create a level playing field on which Illinois based SBs can compete fairly for its contracts,(iv) ensure that any and all firms permitted to participate as Small Businesses meet the eligibility standards of the Small Business Initiative Program as prime or subcontractors, and (v) help remove barriers to the participation of SBs in Tollway contracts and associated subcontracts.

Consistent with this policy, it is the responsibility of all contractors for general contracting work, and a specific condition of all Tollway contracts to which they are parties, to ensure full and fair opportunities for SBs to compete in contracts funded and administered by the Tollway and to fully comply with this Special Provision.

2. DEFINITIONS

For the purposes of this Special Provision, the following terms shall have the following meanings:

Affiliate: Concerns and related entities are affiliates of each other when one directly or indirectly controls or has the power to control the other, or when a third party or parties controls or has the power to control both. It does not matter whether control is exercised, so long as the power to control exists. In determining whether concerns and related entities are independently owned and operated and whether affiliation exists, the CPO will consider the totality of the circumstances and all appropriate factors, including use of common facilities, common ownership and management, identity of interest (substantially identical business or economic interests such as family members, individuals or firms with common investments, or firms that are economically dependent through contractual or other relationships) and contractual arrangements. The CPO may find affiliation even if no single factor is sufficient to constitute affiliation. A franchise relationship shall not affect the determination of affiliate status if the franchise has the right to profit commensurate with ownership and bears the risk of loss or failure.

Bid Bond means a written guaranty, issued by an insurance company or a bank, guaranteeing the bidder will honor the terms of the bid. Bid Bond requirements shall be listed within each solicitation.

The amount of the bond is variable and at the discretion of the Tollway.

Broker means a person or entity that fills orders by purchasing or receiving supplies from a third- party supplier rather than out of its own existing inventory and provides no substantial service other than acting as a conduit between a supplier and a customer.

Commercially Useful Function means a distinct element of contract work a contractor is responsible for executing, by actually performing, managing, and supervising the work or fulfilling responsibilities for such work as a Small Business Joint Venture or Teaming Agreement partner.

Contingency Work means anticipated work within the scope of the project that is of such an uncertain nature that the location or quantity of the work could not be identified prior to awarding the contract.

Core Work means anticipated work within the scope of the project that is of such a nature that the location and estimated quantity of the work could be identified prior to awarding the contract.

Direct Allowance Items means costs items that may include mobilization, contractor quality plan, and other items as directed on the Tollway website’s Direct Allowable Cost Document. Direct Allowance Items are allowable when requested by the Tollway and included in the contract. The costs are allowable when it is customary for the firm to bill for the cost, and it can be itemized in the firm’s billing and accounting systems.

Disadvantaged Business Enterprise (“DBE") means (i) a business currently certified by the Illinois Unified Certification Program (“ILUCP”) pursuant to 49 C.F.R. Part 26, (ii) a business currently certified by the City of Chicago, Illinois or the County of Cook, Illinois as a Minority or Women- Owned Business (“M/WBE") pursuant to its M/WBE program for construction contracts, Art. IV, § 2- 92-650, et seq., as amended, or (iii) a business currently certified by the U.S. Small Business Administration (“SBA”) pursuant to the Small Business Act as an SBA 8(a) business, owned and operated by a socially and economically disadvantaged person. A DBE is considered to have current certification if the firm is listed in the directory database of the pertinent certifying agency and confirmed to be in good standing.

Diversity Goals refers to various goal programs administered by the Tollway which may be applied to contracts within the Small Business Initiative Program.

Good Faith Efforts means actions a contractor undertakes to achieve a DBE/VET contract goal, which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the contract goal.

Manufacturer means a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

Mobilization means preparatory work and operations necessary for the movement of personnel, equipment and incidentals to the project site for the establishment of offices, buildings and other facilities necessary for work on the project and for all other work operations which must be performed, or costs incurred when beginning work on the project.

Performance Bond means a surety bond, issued by an insurance company or a bank, guaranteeing a contractor’s completion of a project to the Tollway’s satisfaction. Performance Bond requirements shall be listed within each solicitation. The amount of the bond is variable and at the discretion of the Tollway.

Regular Dealer means a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a Regular Dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A firm may be a Regular Dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business if the firm both owns and operates distribution equipment for the products. Any supplementing of a Regular Dealer's distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-by-contract basis. Packagers, manufacturer representatives, or other persons who arrange or expedite transactions are not Regular Dealers.

Rolling Owner Controlled Insurance Program (“ROCIP”) means an insurance program managed and controlled by the Tollway that provides insurance coverage for specific construction projects.

Requirements regarding enrollment in the ROCIP will be listed within each solicitation and is at the discretion of the Tollway.

Small Business means an Illinois business currently registered by the State of Illinois Chief Procurement Office/General Services pursuant to the Small Business Set-Aside Program (“SBSP”). A SB is considered to have current registration if the firm is listed in the SBSP directory database at time of bid. The link to the directory is found at:

https://ipg.vendorreg.com/FrontEnd/SearchRegistry.asp?TN=ipg&XID=7553&QT=C56DF4AAA

C20AC51C2C73E4E1E4E6DD939C22C318D9F0C1F

Click the Search by Reference/Small Business Set-Aside Program Registered drop-down and mark

“YES”.

Small Business Joint Venture or Teaming Agreement mean an association of two or more persons, or types of SBs and persons numbering two or more, proposing to perform as a prime contractor, in which each partner contributes property, capital, efforts, skill and knowledge, is responsible for a distinct, clearly defined portion of the work of the project and has a proportional share in the capital contribution, control, management, risks, and profits of the Small Business Joint Venture or Teaming Agreement as described in a written agreement that specifies the terms and conditions of the relationships between the partners and each partners’ risks and responsibilities and identifies the lead partner, if any. The combined gross revenue for any Small Business Joint Venture or Teaming Agreements cannot exceed the State’s $14 million annual gross revenue threshold.

Small Business Initiative Program means a Tollway program in which an Illinois business may participate only if it is registered as a small business by the State of Illinois Chief Procurement Office/General Services and listed in the SBSP directory database at time of bid.

Supplier means any person or entity providing supplies, including, but not limited to, equipment, materials, printing and insurance, or that finances the purchase of supplies that can be procured regularly or are available on the commercial market.

Supplies means all personal property, including but not limited to equipment, materials, printing and insurance.

Utilization Plan means a list (which all bidders are required to submit) of all subcontractors to be utilized and, where applicable, those identified to satisfy the goals outlined below.

Disadvantaged Business Enterprise Utilization Plan (“DBE Utilization Plan”) means the list of currently certified DBEs that the Bidder commits will be utilized, including its own participation as a DBE, if applicable, in the scopes of work and the dollar values or the percentages of work to be performed pursuant to a solicitation and in conformance with this Special Provision. This utilization plan applies to Tiers 2 and 3 of the Small Business Initiative Program.

Veteran Utilization Plan (“VET Utilization Plan") means the list of currently certified veteran- owned and/or service-disabled veteran-owned small businesses (“VOSB/SDVOSB”) that the Bidder commits will be utilized, including its own participation as a VOSB/SDVOSB, if applicable, in the scopes of work and the dollar values or the percentages of work to be performed pursuant to a solicitation and in conformance with this Special Provision. This utilization plan applies to Tiers 2 and 3 of the Small Business Initiative Program.

Veteran Owned Small Business/Service Disabled Veteran Small Business means a business currently certified by the Illinois Department of Central Management Services as a VOSB/SDVOSB. A VBP is considered to have current certification if the firm is listed in the directory database of the pertinent certifying agency at time of bid.

3. CONTRACTOR ASSURANCE

The contractor makes the following assurance and agrees to include the assurance in each subcontract the contractor signs with a subcontractor. The contractor shall not discriminate on the basis of any protected Tier identified by law in the performance of this contract. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the Tollway deems appropriate.

4. SB LOCATOR REFERENCES

Bidders should consult the Illinois Procurement Gateway (“IPG”) SB Directory as a reference source for Illinois SBs.

Only firms registered as a small business in the IPG at the time of bid opening are eligible to be considered for this contract. The link to the directory is included in the above definition of SB.

This directory will only be used as a source to identify registered SBs that may potentially participate in this contract.

Registration does not mean that a firm is in any way prequalified to provide the products and/or services in its registration specialty. “Registration” means that the Illinois Chief Procurement Office has determined, on the basis of information provided and the representations therein, that a business meets the requirements to be registered as an SB under the Illinois Procurement Code. The Illinois Chief Procurement Office does not, as a result of listing, make any representation concerning the ability of any listed firm to perform work in the specialty listed. The Tollway does not, through its use of and referral to the Illinois Procurement Gateway, make any representation concerning the ability of any listed firm to perform work in its registered specialty. Bidders must conduct their own due diligence regarding the capabilities of registered firms to perform contract work.

5. SMALL BUSINESS INITIATIVE RULES AND ELIGIBILITY CRITERIA

Procurement in construction-related work may be reserved for qualified Illinois businesses in the Small Business Initiative Program subject to the limitations listed below.

5.1. An Illinois business may participate in the Small Business Initiative Program as a prime contractor only if it is registered by the State of Illinois Chief Procurement Office/General Services pursuant to the SBSP and listed in the SBSP directory database at time of bid. In order to participate as a subcontractor in the Small Business Initiative Program, vendors must be registered with the SBSP at the time they are submitted for approval by the Tollway.

5.2. No wholesale business will be considered a small business for purposes of the Small Business Initiative

Program if its annual sales for its most recently completed fiscal year exceed $13,000,000.

5.3. No retail business or business selling services will be considered a small business for purposes of the Small Business Initiative Program if its annual sales and receipts exceed $8,000,000.

5.4. No Illinois manufacturing business will be considered a small business for purposes of the

Small Business Initiative Program if it employs more than 250 persons.

5.5. No Illinois construction business will be considered a small business for purposes of the Small Business Initiative Program if its annual sales and receipts for its most recently completed fiscal year exceed $14,000,000.

5.6. Advertisements for bids or offers for contracts under the Small Business Initiative Program shall be designated as Small Business Initiative Program advertisements. In awarding the contracts, only bids or offers from qualified SBs shall be considered.

5.7. The Tollway reserves the right, at its discretion, to award a contract solicited under the Small Business

Initiative Program under the Program or under the Tollway’s Small Business Set Aside Program.

5.8. Companies not eligible for inclusion in the Small Business Initiative Program who accept a contract reserved for the Small Business Initiative Program risk suspension from doing future business with the Tollway for up to five years.

5.9. Small Business Initiative Program contracts valued at $1,000,000.00 or less Are not required to submit a

DBE/VET Utilization Plan. For Small Business Initiative Program contracts valued at over $1,000,000.00, the bidder must submit a DBE Utilization Plan, and a VET Utilization Plan on ISTHA Form 2026 with the bid submission and satisfy applicable self-performance requirements.

6. TIERS OF SMALL BUSINESS INITIATIVE PROGRAM CONTRACTS

Contracts within the Small Business Initiative Program shall be advertised in one of three Tiers as listed below.

6.1. Small Business Tier 1

6.1.1. Construction contracts with an engineers’ estimate dollar value of $1,000,000 or less will be designated Tier 1 contracts and will be subject to the criteria specified in the bid documents and summarized as follows:

6.1.2. Prequalification by the Illinois Department of Transportation (“IDOT”) is not required.

6.1.3. Tier 1 contracts will not include Diversity Goals.

6.1.4. Prime contractors will be required to utilize only SBs as subcontractors on any Tier 1 contract.

6.2. Small Business Tier 2

6.2.1. Construction contracts with an engineers’ estimate dollar value between $1,000,001 and $3,000,000 will be designated Tier 2 contracts and will be subject to the criteria specified in the bid documents and summarized as follows:

6.2.2. Prequalification from IDOT is not required for Tier 2 contracts unless otherwise stipulated by the

Tollway in the specifications of the bid documents.

6.2.3. Tier 2 contracts include Diversity goals for Core Work as stipulated in Section 7 of this Special Provision.

6.2.4. Prime contractors are required furnish the material, labor, equipment, and all incidentals necessary to perform, with its own organization, work items accounting for not less than 40 percent of the total Contract Award amount of Tier 2 contracts in accordance with the Special Provisions.

6.2.5. Prime contractors will be required to utilize only SBs as subcontractors on any Tier 3 contract.

6.3. Small Business Tier 3

6.3.1. Construction contracts with an engineers’ estimate dollar range between $3,000,001 and $5,000,000 will be designated Tier 3 contracts and will be subject to the criteria specified in the bid documents and summarized as follows:

6.3.2. Prequalification from IDOT is not required for Tier 3 contracts unless otherwise stipulated by the

Tollway in the specifications of the bid documents.

6.3.3. Tier 3 contracts include Diversity goals for Core Work as stipulated in section 7 of this Special Provision.

6.3.4. Prime contractors will be required to utilize only SBs as subcontractors on any Tier 3 contract.

7. CONTRACT GOALS TO BE ACHIEVED BY THE CONTRACTOR – Small Business Tiers2 & 3

This contract includes a specific DBE utilization goal of 21_% for Core Work. DBE utilization goals reflect the estimated availability of DBEs to perform the scopes of work in the contract, including as a prime contractor.

Consequently, in addition to the other award criteria established for the contract, ISTHA will award this contract to a bidder that either meets the DBE goal or who demonstrates good faith efforts to do so. The Contractor’s DBE commitment may apply to any and all Change Orders (“CO”) and Extra Work Orders (“EWO”).

This contract includes a specific Veteran Small Business participation goal of 3% based on the availability of CMS certified VOSB/SDVOSB vendors to perform or provide the anticipated services and/or supplies required by this solicitation. The participation of VOSBs/SDVOSBs will be calculated on the amount of Core Work identified in the bid documents. In addition to the other award criteria established for this solicitation, ISTHA will award this contract to a bidder that meets the VSB goal or demonstrates good faith efforts to do so. This goal is also applicable to COs and EWOs provided by the certified VOSB/SDVOSB bidder. If bidder is a CMS certified VOSB/SDVOSB vendor, the entire goal is met and no subcontracting with a CMS certified VOSB/SDVOSB vendor is required; however, bidder must submit a Utilization Plan indicating that the goal will be met by self-performance.

The VSB goal is separate and distinct from the DBE goal. A single firm may not be utilized to achieve credit toward both DBE and VSB goals on a single project except when the firm is bidding the contract as the prime contractor, is certified as both a DBE and VSB and will commit to meet both DBE and VSB goals by self-performing each of the same or a greater percentage of work than the DBE and VSB goals added together.

8. BIDDING PROCEDURES

Compliance with the bidding procedures of this Special Provision is required prior to award of the contract. The failure of the as-read low bidder to comply will render said bidder’s bid non- responsive. All bids must be submitted electronically through the State’s BidBuy software.

Relatedly, within three (3) days after notification of apparent low bidder status, the bidder must notify subcontractors of the subcontractors’ inclusion in the bid, and if the contract is awarded, bidder shall again notify the subcontractors.

8.1. Submission of the DBE/VET Utilization Plan

For Tiers 2 and 3, a bidder must submit a DBE/VET Utilization Plan on ISTHA Form 2026 with its bid submissions for the Small Business Initiative Program.

If a bid is deemed non-responsive due to a failure to submit a DBE/VET Utilization Plan or failure to comply with the bidding procedures set forth herein, ISTHA may elect to cause the forfeiture of the penal sum of the bidder's proposal guaranty.

The DBE/VET Utilization Plan shall indicate that the bidder either has obtained sufficient DBE/VET participation commitments to meet the contract goal or demonstrate and document its good faith efforts to meet the goal. The DBE/VET Utilization Plan shall further provide the name, telephone number, email address and telefax number of a responsible official of the bidder designated for purposes of notification.

If the bidder is a Small Business Joint Venture or Teaming Agreement, each Small Business Joint Venture or Teaming Agreement partner must attest to the DBE/VET Utilization Plan.

Any agreement between a contractor and a DBE/VET or other subcontractor in which the contractor precludes the DBE/VET from providing subcontracting quotations to other contractors is prohibited.

8.2. Submission of the DBE/VET Participation Commitment Statement, ISTHA Form 2025

The DBE/VET Utilization Plan must include a DBE/VET Participation Commitment Statement, ISTHA Form 2025, for each DBE/VET proposed for the performance of work to achieve the contract goal. The signatures on these forms must be original signatures. All elements of information indicated on ISTHA Form 2025 must be provided, including but not limited to:

8.2.1. The name and address of each DBE/VET to be used.

8.2.2. A full description, including pay item numbers for DBE/VETs or associated pay items for trucking services, of the Commercially Useful Function to be performed by each DBE/VET. Descriptions such as “miscellaneous” and prices such as “lump sum” are not acceptable. Contingency Work must not be included under Pay Items and will not be approved toward DBE/VET goal participation until such time as those pay items are confirmed as required contract work.

8.2.3. Direct Allowance Items will not be approved toward DBE/VET participation in the DBE/VET Utilization Plan.

8.2.4. Except as set forth in 8.2.5, Mobilization costs associated with a particular pay item shall be included in the cost of the pay item for which it is associated but shall be separately identified, and such mobilization costs will not be approved toward DBE/VET goal participation.

8.2.5. If the DBE/VET is the prime contractor, the Mobilization pay item may be approved toward DBE/VET participation in the DBE/VET Utilization Plan.

8.2.6. The price to be paid to each DBE/VET for the identified work, shall specifically state the quantity, unit price and total subcontract price for the work to be completed by the DBE/VET. If partial pay items are to be performed by a DBE/VET, ISTHA Form 2025 must indicate the portion of each item to be performed by each DBE/VET, a unit price where appropriate and the subcontract price amount.

8.2.7. A commitment statement signed by the bidder and each DBE/VET evidencing availability and intent to perform a Commercially Useful Function on the project.

8.2.8. If the bidder is a Small Business Joint Venture or Teaming Agreement comprised of DBE/VETs and non-DBE/VETs, the DBE/VET Utilization Plan must also include a clear identification of the portion of work to be performed by each DBE/VET Small Business Joint Venture or Teaming Agreement partner(s).

8.2.9. If the bidder is unable to meet the DBE/VET goal, it must demonstrate it made good faith efforts to do so, as described in this Special Provision.

8.2.10. The contract will not be awarded until the DBE/VET Utilization Plan, including if applicable, the bidder’s good faith efforts to meet the DBE/VET goal, is approved by ISTHA. The DBE/VET Utilization Plan will be approved if it demonstrates that DBE/VETs will be used to perform a Commercially Useful Function sufficient to meet the contract goal, or that the bidder made sufficient good faith efforts, as defined in this Special Provision, to meet the goal.

8.3. Counting DBE/VET Participation

The DBE/VET Utilization Plan’s DBE/VET commitments represent work expected to be performed and paid for upon satisfactory completion. ISTHA is only able to count toward the achievement of the contract goal the value of payments made for work actually performed by DBE/VETs. ISTHA will count DBE/VET participation, and the contractor will receive credit towards meeting the DBE/VET contract goal, as follows:

8.3.1. The entire amount of that portion of work performed by the DBE/VET’s own forces either as the contractor or a subcontractor shall be counted, including the cost of supplies and materials obtained by the DBE/VET for work on the contract and supplies purchased or equipment leased by the DBE/VET (except supplies and equipment the DBE/VET purchases or leases from the prime contractor or the prime contractor’s Affiliate). Work a DBE/VET subcontracts to a non-DBE/VET does not count toward the DBE/VET goal.

8.3.2. The entire amount of fees or commissions charged by a DBE/VET 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, shall be counted, provided the fee is reasonable and not excessive as compared with fees customarily charged for similar services.

8.3.3. One hundred percent of the cost of trucking services utilized on the contract shall be counted, provided the DBE/VET is responsible for the management and supervision of the entire trucking operation for which it is responsible. At least one truck owned, operated, licensed and insured by the DBE/VET must be used on the contract. Credit will only be applied for trucking activity to and from the ISTHA job site. Credit will be given for the following: (1) the DBE/VET may lease trucks from another DBE/VET, including an owner-operator who is registered as an DBE/VET; the DBE/VET who leases trucks from another DBE/VET receives credit for the total value of the transportation services the lessee DBE/VET provides on the contract; and (2) the DBE/VET may lease trucks from a non-DBE/VET, including from an owner-operator. Goal credit will be limited to the value of the reasonable fee or commission received by the DBE/VET for trucks that are leased from a non- DBE/VET.

8.3.4. When a DBE/VET performs as a participant in a Small Business Joint Venture or Teaming

Agreement, only the portion of the total dollar value of the contract equal to the distinct, clearly defined portion of contract work performed by the DBE/VET with its own forces and for which it is separately at risk, shall be counted. A Small Business Joint Venture or Teaming Agreement may also count the dollar value of work subcontracted to DBE/VETs other than the Small Business Joint Venture or Teaming Agreement partner(s). The Tollway will evaluate the Small Business Joint Venture or Teaming Agreement, which must be submitted with the DBE/VET Utilization Plan, for compliance with this Special Provision and eligibility for credit towards meeting the DBE/VET goal. The agreement must describe in detail the financial contribution of each partner, the list of personnel and equipment contributed and used by each partner, the responsibilities of each partner for each aspect of the Small Business Joint Venture or Teaming Agreement (if applicable), the bonding capacity of each partner (if applicable), the prequalification status of each partner, the basis and distribution of all profits and losses, and any other elements deemed relevant by the Tollway.

8.3.5. One hundred percent of the cost of materials obtained from a DBE/VET Manufacturer shall be counted towards the DBE/VET contract goal.

8.3.6. One hundred percent of the cost of materials or supplies obtained from a DBE/VET Regular Dealer or Supplier shall be counted towards the DBE/VET contract goal.

8.3.7. One hundred percent of the fees or transportation charges for the delivery of materials or supplies required on a job site shall be counted towards the DBE/VET contract goal but only if the payment of such fees is a customary industry practice and is commensurate with fees customarily charged for similar services.

8.3.8. One hundred percent of fees and commissions for the procurement of materials and supplies shall be counted towards the DBE/VET contract goal but only if the DBE/VET is not a Regular Dealer or Manufacturer, provided that such fees or commissions are determined by the Tollway, in its sole discretion, to be reasonable and not excessive as compared with fees customarily allowed for similar services.

8.4. Demonstrating Commercially Useful Function

Only expenditures to a DBE/VET that is performing a Commercially Useful Function shall be counted. To determine whether a DBE/VET is performing a Commercially Useful Function, the Tollway will evaluate the amount of work subcontracted, industry practices, whether the amount the DBE/VET is to be paid under the contract is commensurate with the work it is actually performing and other relevant factors.

8.4.1. With respect to materials and supplies used on the contract, to perform a Commercially Useful

Function, a DBE/VET must be responsible for negotiating price, determining quality and quantity, ordering materials, and installing (where applicable) and paying for the materials.

8.4.2. A DBE/VET does not perform a Commercially Useful Function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed to give the appearance of DBE/VET participation. In determining whether a DBE/VET is an extra participant, ISTHA will examine similar transactions, particularly those in which DBE/VETs do not participate.

8.4.3. If a DBE/VET does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force, or the DBE/VET subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, ISTHA will presume that the DBE/VET is not performing a Commercially Useful Function. When a DBE/VET is presumed not to be performing a Commercially Useful Function, the DBE/VET and the contractor may present evidence to rebut this presumption.

8.5. Extended Documentation Period for Apparent Low Bidders That Do Not Commit to Satisfy the

Advertised DBE/VET Goal

Except as set forth below, any contractor identified as the low bidder that does not commit to satisfy the advertised DBE/VET goal shall be allowed, upon email notification from the Tollway, an extended documentation period which will extend until 5:00 pm CT on the second business day after the day the email notification is sent (e.g., if a bidder is notified on Monday, extended documentation period ends on Wednesday at 5:00 pm CT). The extended documentation period allows a contractor to supplement its initial DBE/VET Utilization Plan to add DBE/VET participation sufficient to meet the stated DBE/VET participation goal or to demonstrate additional good faith efforts to obtain DBE/VET participation. The contractor may take other action beyond any stated additional efforts in order to obtain additional DBE/VET commitments. The contractor shall submit an amended DBE/VET Utilization Plan if additional DBE/VET commitments to meet the contract goal are secured by the end of the extended documentation period. If additional DBE/VET commitments sufficient to meet the advertised contract goal are not secured, the contractor shall report the final good faith efforts made during the extended documentation period along with a request for a waiver. All additional efforts taken by the bidder before and during the extended documentation period will be considered as part of the contractor’s good faith efforts.

The extended documentation period is intended to allow contractors that have made a good faith effort to secure DBE/VET participation an opportunity to meet the stated contract goal. Contractors are expected to have utilized good faith efforts in compiling their initial DBE/VET Utilization Plan, and the DBE/VET participation indicated in the initial DBE/VET Utilization Plan should reflect the participation the contractor could achieve through good faith efforts. The extended documentation period should not be used to secure significantly higher DBE/VET participation only after being identified as the low bidder. In no case should a contractor remove or replace a DBE/VET listed in the initial Utilization Plan without prior written consent of ISTHA. Under no circumstances is the contractor allowed to change the amount of the core bid submitted or any other documentation unrelated to this Special Provision. When ISTHA determines that a contractor, either through a pattern of conduct or with respect to a single bid, has failed to discharge its good faith efforts obligations in the intended fashion, ISTHA, in its discretion, may reject the bid outright without allowing the bidder to take advantage of the extended documentation period.

8.6. Good Faith Efforts Procedures

If the bidder cannot obtain sufficient DBE/VET commitments to meet the contract goal, the bidder must document in the DBE/VET Utilization Plan submitted with its bid (using ISTHA Form(s) 2025 and the Good Faith Efforts Contact Log and Checklist, ISTHA Form 2023) its good faith efforts to meet the goal, including any DBE/VET participation.

Documentation submitted after bid opening will not be accepted or reviewed.

Demonstrating good faith efforts means a bidder must show it took all necessary and reasonable steps to achieve the contract goal. Necessary and reasonable steps are those that could reasonably be expected to obtain sufficient DBE/VET participation.

ISTHA will consider the quality, quantity and intensity of the efforts a bidder made. Mere pro forma efforts are not good faith efforts; rather, a bidder is expected to make efforts reasonably expected of a bidder actively and aggressively trying to obtain DBE/VET participation sufficient to meet the contract goal.

The following is a list of actions ISTHA will consider when evaluating good faith efforts to obtain DBE/VET participation. The listed actions are not intended to be a mandatory checklist and are not intended to be exhaustive. Other actions or efforts brought to ISTHA’s attention may be relevant and will be considered by ISTHA as ISTHA deems appropriate.

8.6.1. Soliciting through all reasonable and available means (e.g., attendance at DBE/VET Networking

Sessions sponsored by ISTHA, pre-bid meetings, advertising and/or written notices) the interest of all DBE/VETs that have the capability to perform contract work. The bidder must solicit this interest with sufficient time to allow DBE/VETs to respond to the solicitation, but in any event, no later than 5 calendar days prior to the bid submission date. At least two methods of solicitation of DBE/VETs must be used (e.g., email and fax). The bidder must determine with certainty if DBE/VETs are interested by taking appropriate steps to follow-up initial solicitations.

8.6.2. Selecting portions of work to be performed by DBE/VETs in order to increase the likelihood that the DBE/VET goal will be achieved.