BALTIMORE CITY PUBLIC SCHOOLS MINORITY AND WOMEN BUSINESS ENTERPRISE PROGRAM AND PROCEDURES MANUAL FOR CITY-FUNDED CONTRACTS

Transcription

1 BALTIMORE CITY PUBLIC SCHOOLS MINORITY AND WOMEN BUSINESS ENTERPRISE PROGRAM AND PROCEDURES MANUAL FOR CITY-FUNDED CONTRACTS January

2 THE MINORITY/WOMENS BUSINESS ENTERPRISE DEPARTMENT The Minority/Women Business Enterprise Department (M/WBE Department) was established to implement the policy of the Baltimore City Board of Education with respect to Women and Minority Business Enterprise participation. It is the Board s stated goal that Women and Minority Business Enterprises shall be provided maximum opportunity to participate in the Boards procurement program. The responsibilities of the M/WBE Department include: Establishing MBE/WBE goals and sub goals, if feasible for projects advertised as Invitation for Bids (IFB), Request for Bids (RFB), Requests for Proposals (RFP) and Requests for Information (RFI). Participate at pre-bid or pre-proposal meeting. Evaluate responding bidders compliance with MBE/WBE goals prior to the selection of the contractor. Monitor projects through Sites Visits, Desk Audits or Compliance Reviews. Serving as an informed mediator for disputes arising between prime contractors and MBE/WBE sub-contractors. Provide an Annual MBE/WBE Report to the CEO and the Board and interim activity reports and updates as requested. The MBE/WBE Department utilizes the City of Baltimore guidelines when establishing MBE/WBE goals for city funded projects including the purchase of commodities, professional services, as well as construction renovation projects. The City of Baltimore has established annual aspirational goals of 27% MBE and 10% WBE participation. Goals and sub goals are set on each contract based upon the procedure described herein. 2

3 TABLE OF CONTENTS PAGE I. Definitions.. 5 II. Goal Setting Procedures. 9 III. Bidder Information and Forms 12 Part A: Instructions Part B: MBE and WBE Participation Disclosure Forms Part C: Statement of Intent Form Part D: MBE/WBE Participation Affidavit Part E: MBE/WBE Participation Waiver Request Form Part F: Subcontractor Utilization Form IV. Contract Compliance..24 V. Additional Records and Reports...25 VI. Complaint Procedure

4 Definitions: The following terms have the meaning indicated unless the context clearly requires a different meaning. (a) African American means a U.S. citizen or lawfully admitted permanent resident who originates from any of the black racial groups of Africa. (b) Asian American means a U.S. citizen or lawfully admitted permanent resident who originates from the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. (c) Baltimore City Market Area includes Baltimore City, Baltimore County, Anne Arundel County, Howard County, Harford County, Carroll County, and Queen Anne s County. The Market Area was defined in the 2007 Disparity Study conducted by the City of Baltimore and is the area where the majority of the companies that do business with the city are located. (d) Bid means a response to: (1) An invitation to bid; or (2) A request for proposals. (e) Business enterprise means a corporation, limited liability company, partnership, individual, sole proprietorship, joint stock company, joint venture, professional association, or any other legal entity operated for profit that is properly licensed and otherwise authorized to do business in the State of Maryland. (f) Certified business enterprise means a minority or women s business enterprise that has been certified by Baltimore City s Minority and Women s Business Opportunity Office as meeting the criteria for certification under this subtitle. (g) Chief means the Chief of the Office of Legal Counsel for Baltimore City Public Schools. (h) Commercially Useful Function means the performance of real and distinct work for which the business enterprise has the skill, expertise, and actual responsibility to perform, manage and supervise. The bidder may only count toward the contract goals expenditures to MBEs and WBEs that perform a commercially useful function in the execution of the contract. (i) Construction (1) means building, altering, repairing, improving, or demolishing any structure, building, street, utility, or other improvement to real property and includes: (i) building construction ;(ii) heavy construction (road construction and bridge construction); and (iii) specialty trades construction (e.g., carpentry, electrical, and plumbing). (j) Contracting agency means the City Schools agency, department, or authorized representative that issues invitations to bid or requests for proposals. 4

5 (k) Contractor means the person, firm, or legal entity with which the City Schools has entered into an agreement. (l) Control for purposes of determining whether a business is a minority business enterprise or women s business enterprise, means that the minority group member owners or women owners: (i) possess and exercise the legal authority and power to manage business assets, goodwill, and daily operations of the business; and (ii) actively and continuously exercise this managerial authority and power in determining the policies and directing the operations of the business. (iii) If owners who are not minority group members or women are responsible for the operation of the business out of proportion to their ownership interest, then the business is not controlled by minority group members or women. (m) Hispanic American means a U.S. citizen or lawfully admitted permanent resident of Mexican, Puerto Rican, Cuban, Central American, South American, or other Spanish or Portuguese culture or origin, regardless of race. (n) Includes, or including means by way of illustration and not by way of limitation. (o) Joint venture means an association between business enterprises that provides for the sharing of economic interest. (p) Manufacturer means a business enterprise that: (1) produces goods from raw materials or substantially alters or fabricates them before resale and (2) assumes the actual and contractual responsibility for providing the materials and supplies. (q) Minority Business Enterprise (MBE)means a business enterprise: (1) that is owned, operated, and controlled by 1 or more minority group members who have at least 51% ownership; (2) in which the minority group members have day-to-day operational and managerial control, interest in capital, and risks and earnings commensurate with their percentage of ownership; and (3) that is located in the Baltimore City Market Area. (r) Minority Group Member means a member of a minority group, such as African American, Hispanic American, Asian American, or Native American, for which a utilization disparity has been identified. (s) Native American means a U.S. citizen or lawfully admitted permanent resident who originates from any of the original peoples of North America and who maintains cultural identification through tribal affiliation or other suitable authority in the community. (t) Owned for purposes of determining whether a business is a minority business enterprise or women s business enterprise, means that: (1) the minority group member or female owner, as the context requires, possesses an ownership interest of at least 51% of the business; 5

6 (2) this ownership is real and continuing and goes beyond the mere indicia of ownership reflected in the ownership documents; and (3) the minority group member or woman owner enjoys the customary incidents of ownership and shares in the risks and profits commensurate with his or her ownership interests, as demonstrated by an examination of the substance, rather than the form of ownership arrangements. (u) Purchasing means the buying, renting, leasing, or otherwise obtaining or acquiring any supplies, materials, equipment, or services. (v) Sole proprietorship means a business enterprise that is 100% owned, operated, and controlled by 1 individual. (w) Subcontractor means a business enterprise that has a direct contract with a prime contractor to perform part of the work on a contract. (x) Supplier means a business enterprise that: (1) furnishes needed items to a contractor; and is either: (i) involved in the manufacture or distribution of the supplies or materials; or (ii) otherwise warehouses and ships the supplies. (y) Women s Business Enterprise (WBE) means a business enterprise: (1) that is owned, operated, and controlled by 1 or more women who have 51% ownership; (2) in which the women have day-to-day operational and managerial control, interest in capital, and risk and earnings commensurate with their percentage of ownership; and (3) that is located in the Baltimore City Market Area. 6

7 Goal Setting Procedures Procurement Review Group (PRG) In order to assist in development of subcontracting goals and sub-goals for individual projects that are reasonable and attainable, a Procurement Review Group (PRG) has been established. The PRG shall include at a minimum: A representative from the Minority and Women s Business Enterprise Department City Schools Officer Facilities Department Representative(s) Construction Manager for each project Representative from the Office of Legal Counsel Facilities Department shall: Provide a detailed cost estimate for each construction trade involved in the project. M/WBE Department shall: Evaluate each project which equals or exceeds $25,000 dollars and complete the MBE/WBE goal and sub-goals setting process applicable to the project. Review the MBE/WBE bid response package of the apparent lowest responsive and responsible bidder for approval; and Attend pre-bid meetings and serve as a resource to the prime and subcontractors. Materials Management Department shall: Review solicitation for advertising which includes the approved MBE/WBE goals. Conduct Bid Opening and identify the apparent low bidder. Receive bid package for evaluation to determine if the apparent low bidder has complied with the MBE/WBE/WBE goals, in collaboration with M/WBE representative Prepare the Board letter for the apparent low bidder that is found in compliance with MBE/WBE requirements. Goal Setting Procedures 1. The overall MBE/WBE goal and the sub goals, should be set for each project, considering but not limited to, the following factors: a. The extent to which the work to be performed can reasonably be segmented to allow for MBE/WBEs to participate in the project; b. A determination of the number of certified MBE/WBEs that potentially could perform the identified work; c. The geographic location of the project in relationship to the identified certified MBEs/WBEs; d. Information obtained from other school systems/city agencies related to establishing a MBE/WBE goal and/or sub goals for similar construction projects or procurements in the jurisdiction; 7

8 e. Information obtained from other school systems /City agencies related to MBE/WBE participation in similar construction projects or procurement in the jurisdiction; and f. Any other activities or information that may be identified as useful and productive. 2. City-funded procurements rely upon a careful dissection of the project utilizing the factors above and historical data of a similar nature. If the cost estimates are available to segment the procurement, they will be utilized as well. Pre-Solicitation MBE/WBE Waiver Request A pre-solicitation waiver is a request for a waiver or reduction of the MBE/WBE contract goals by the respective City Schools Office. The contracting office shall submit the reasons for the request in writing before bids are solicited. The MBE/WBE Department may grant the waiver or reduction if it is determined that: The scope of work or the goods and services are available only from a sole source; or The reasonable and necessary requirements of the contract render subcontracting or other participation of businesses other than the bidder impractical; and At least 2 qualified certified business enterprises capable of providing the goods or services required by the contract are unavailable in the Baltimore City Market Area. Waiver Request by Bidder or Offeror If, for any reason, a bidder or offeror is unable to achieve the contract goal for each certified MBE/WBE/ classification specified as having a subcontract goal or the overall MBE/WBE contract goal, the bidder or offeror may request in writing a waiver to include the following: 1. A detailed statement of the efforts made by the contractor to identify and select portions of the work proposed to be performed by subcontractors in order to increase the likelihood of achieving the stated goal; 2. A detailed statement of the efforts made by the contractor prior to and up to 10 days before the bid opening to solicit minority business enterprises through written notices that describe the categories of work for which subcontracting is being solicited, the type of work to be performed, and specific instructions on how to submit a bid; 3. A detailed statement of the contractor s efforts to make personal contact with MBE/WBE firms identified for Item 2. above; 4. A record of the name, address, telephone number, and dates contacted for each MBE /WBE identified under items 2. and 3. above; 8

9 5. A description of the information provided to MBE s/wbe s regarding the plans, specifications and the anticipated time schedule for portions of the work to be performed; 6. Information on activities to assist minority business enterprises to fulfill bonding requirements, or to obtain a waiver of these requirements; 7. Information on activities to publicize contracting opportunities to minority business enterprises, attendance at pre-bid meetings, or other meetings scheduled by City School 8. As to each MBE/WBE that placed a subcontract quotation or offer which the apparent low bidder or successful offeror considers not to be acceptable, a detailed statement of reasons for this conclusion; and 9. A list of minority subcontractors found to be unavailable. A waiver of a MBE/WBE contract goal may be granted only upon a reasonable demonstration by the bidder or offeror that certified MBE/WBE subcontract participation was unable to be obtained, or was unable to be obtained at a reasonable price or in the appropriate MBE/WBE classifications, and if the MBE/WBE Department determines that the public interest is served by a waiver. In making a determination under this section, the MBE/WBE representative may consider engineering estimates, catalogue prices, general market availability of certified MBE/WBE s in the area in which the work is to be performed, other bids or offers substantiating significant variances between certified MBE and non-mbe cost of participation, and their impact on the overall cost of the contract to the State or any other relevant factor. A request for a waiver for Baltimore City funded projects must be submitted along with the bid. All supporting documentation must also be with the bid. Contractor s Post-Award Waiver Request If, after award of a contract, the contractor is unable to meet any contract goal by utilizing the certified business enterprise specified at bid opening, the contractor must seek a substitute certified business enterprise to fulfill its commitment. Requests to substitute changes or add MBE/WBE subcontractors must be submitted to City Schools MBE/WBE department for review and decision making before any work by substitute is authorized. No substitute or additional MBE/WBE may begin work without the written approval of that MBE/WBE office. CONTRACT COMPLIANCE Once the contract has been approved by the Board of School Commissioners and the Notice to Proceed has been issued, the M/WBE Department will establish a schedule to monitor compliance. Three methods may be used to monitor compliance: Onsite Contract Monitoring, Desk Audits and Compliance Reviews. Onsite Contract Monitoring 1. After the Notice to proceed has been issued, the MBE/WBE Department may establish a site-visit schedule based on the projected number of working days. 2. Visits shall be made when it is most likely that MBE/WBE subcontractor will be on the job performing the items of work for which they have contracted. 9

10 3. On the day of the visit the MBE/WBE representative will meet with the Contractor or his or her representative (foreman, superintendent, etc.) and the subcontractor. 4. A standard checklist to document the presence of subcontractors on the project Will be used. This checklist will be listed on our website. The checklist will include at a minimum whether the sub is performing in a workmanlike manner, does the sub report to the job in a timely manner, is there a supervisor from the subcontractor s company supervising the work of his or her workers, have there been any complaints about the subcontractors performance, is the subcontractor performing the work contracted to perform, or is someone else performing the task. 5. The MBE/WBE representative will meet with City Schools representative to verify information obtained from subcontractor and general contractor. The City Schools inspector will be provided with a copy of the MBE/WBE Plan at the start of the project. The frequency of onsite visits will depend upon the Complexity, and the length of the project and the items of work scheduled to be performed by the sub, staff availability and other relevant factors. Desk Audits: 1. The Desk Audit will be a random internal review performed by an MBE/WBE representative. Records such as Part C MBE/WBE statement of intent, Part F MBE/WBE subcontractor utilization, Part G MBE/WBE monthly acquisition for payment, audits will based upon project progress, and will determine how often progress reports are submitted. 2. At least quarterly, contractors performing work on Baltimore City funded contracts will be required to submit reports documenting the subcontractor s presence on the project.(part F: Subcontractor s Utilization Form) This will work as a compliment to the site visit. When requesting final payment, the contractor must submit Form F showing level of participation achieved by subs on the project. Along with this Form, contractors will be asked to submit cancelled checks or bank logs showing payments to subcontractors. Contractors working on City Funded contracts will also submit on a monthly basis, electronic data reflecting actual payments to subcontractors within the established MBE/WBE tracking software. 10

11 MINORITY AND WOMEN S BUSINESS PROGRAM BIDDER INFORMATION AND FORMS CONTRACTING AGENCY: Baltimore City Public Schools CONTRACT NUMBER: BCS CONTRACT TITLE: HVAC Renovation - White Pine Elementary Pursuant to Minority and Women s Business Program, Minority Business Enterprise (MBE) and Women s Business Enterprise (WBE) participation goals apply to this contract. In order for the Prime Contractor to get credit for MBE and/or WBE participation, MBE and WBE subcontractors must be certified by Baltimore City s Women and Minority Business Opportunity Office. 37% The overall goal for MBW/WBE is The MBE Goal is 27% The WBE Goal is Note: Only MBEs and/or WBEs certified by Baltimore City s Minority and Women s Business Opportunity Office (MWBOO) can be utilized to meet the MBE requirements for this contract. Bid Requirements Bid must include a commitment to utilize MBEs and WBEs at a percentage that equals or exceeds the contract goals stated above. Bidder must submit the following completed documents WITH THE BID: (1) Prime Contractors Summary Form (Part A) (2) MBE and WBE Participation Disclosure Forms (Part B-MBE &Part B -WBE) (3) Statement of Intent Form(s) signed by both Bidder and MBE or WBE (Part C) (4) MBE/WBE Participation Affidavit (Part D) (5) Waiver Request (Part E, if applicable) Any bid that does not include the MBE/WBE Participation Disclosure Form, signed Statement of Intent Form(s) and MBE/WBE Participation Affidavit is non-responsive and will be rejected. Bidder must keep a record of bidder s efforts to obtain MBE and WBE participation. 10% 11

12 Verifying Certification Each bidder is responsible for verifying that all MBEs and WBEs to be used on a contract are certified by the Minority and Women s Business Opportunity Office (MWBOO) before bid opening. A directory of certified MBEs and WBEs is available from MWBOO. Since changes to the Directory occur daily, the bidder should call MWBOO at to verify certification, expiration dates, and services that the MBE or WBE is certified to provide. Contract Requirements During the term of the contract, any unjustified failure to comply with the MBE and WBE participation requirements is a material breach of contract. Before final payment may be made under the contract, the contractor must submit the Subcontractor Utilization Form with its final payment request. The Subcontractor Utilization Form will include a list of the names of all subcontractors utilized on the contract, both MBE/WBE and non-mbe/wbe, the total amount paid to each subcontractor, and the owner s race/ethnicity and gender. Substitution of MBE or WBE The Baltimore City Schools must approve substitution of an MBE or WBE specified at bid opening, prior to services being rendered by the substitute MBE or WBE firm. Waiver Requests If a bidder is unable to comply with a contract goal, the bidder must submit a waiver request with the bid. The waiver request must be made on the MBE/WBE Participation Waiver Request Form. No waiver will be granted unless the waiver request includes documentation with the bid that demonstrates a good faith effort to meet the goals and sub goals. Participation of M/WBEs A business enterprise that is certified as both an MBE and WBE (M/WBE) may not be counted toward both MBE and WBE goals for the same project. The bidder must select the goal for which the business enterprise is to be counted toward. Non-affiliation A bidder may not use an MBE or WBE to meet a contract goal if: 1. the bidder has a financial interest in the MBE or WBE 2. the bidder has an interest in the ownership or control of the MBE or WBE 3. the bidder is significantly involved in the operation of the MBE or WBE A bidder that is an MBE or WBE may NOT use itself to meet a contract goal. Subcontracting by MBE or WBE A bidder may not count toward its contract goal any agreement with a certified MBE or WBE subcontractor who intends to subcontract more than 10% of the dollar amount of the services to be performed under its agreement with the bidder. This restriction does not apply to MBE or 12

13 WBE contracts for the purchase of materials, equipment, or supplies as an incident to the performance of services under its agreement with the bidder. Manufacturers A bidder may count toward the contract goal its entire expenditure to a certified MBE or WBE manufacturer. Suppliers A bidder may count toward the contract goal 100% of its expenditure to a certified MBE or WBE supplier who manufactures the goods supplied. A bidder may count 100% of its expenditure to a certified MBE or WBE supplier who is a wholesaler warehousing the goods supplied; or who is a manufacturer s representative. However, only 25% of each contract goal may be attained by expenditures to MBEs or WBEs that are non-manufacturing suppliers. Joint Ventures A bidder may count toward the contract goal the portion of its expenditure to a joint venture that is equal to the percentage of the MBE or WBE participation in the joint venture. The MBE or WBE member of the joint venture must have an interest in the control, management, and operation of the joint venture commensurate with the member s percentage of ownership. The MBE or WBE that is a member of the joint venture must be responsible for a clearly defined portion of the work to be performed, equal to its share in the ownership, control, and management of the joint venture. Insurance companies and travel agents A bidder may count toward the contract goals only 15% of its expenditure to a MBE or WBE insurance company or travel agent. Financial institutions A bidder may count toward the contract goals only the fees charged and earned by an MBE or WBE financial institution. 13

14 FORMS TO BE SUBMITTED WITH THE BID Part A: Prime Contractor Project Summary Form Name of Bidder (Offeror): Fed. Sample Construction, Inc. ID: xx-xxxxxxx Address: Maple Ave, Baltimore, MD Telephone: Cell: Fax: Contracting Agency BALTIMORE CITY PUBLIC SCHOOLS HVAC Renovations - White Pine Elementary School Contract (Project) Title BCS Contract Number: May 30, 2009 Bid Due Date: 37% Overall MBE/WBE Goal MBE GOAL: 27% WBE GOAL: 10% THIS PACKAGE OF MBE AND WBE PARTICIPATION FORMS IS DUE WITH THE BID. FOR MORE INFORMATION OR ASSISTANCE WITH THESE FORMS, CONTACT: Brien C. Boone or Vastie D. Presley Minority and Women Business Office Baltimore City Public Schools (BCPS) 200 East North Avenue Room 320 Baltimore, Maryland Phone: or

15 INSTRUCTIONS The requirements of the, are a part of this contract and are incorporated by reference. FAILURE OF ANY BIDDER, CONTRACTOR OR SUBCONTRACTOR TO COMPLY WITH SHALL BE A MATERIAL BREACH OF CONTRACT. The following are included: *Part A: Prime Contractor Project Summary Form *Part B: MBE and WBE Participation Disclosure Forms *Part C: Statement of Intent Form - A Statement of Intent Form shall be completely executed for each and every MBE and WBE named in Part B. *Part D: MBE/WBE Participation Affidavit - to be completed by Bidder. Part E: MBE/WBE Participation Waiver Request Form. If you are unable to meet the MBE and WBE participation goals or sub goals for this contract, the law requires you to submit a waiver request with the bid. Part F: Subcontractor Utilization Form *ALL FORMS ARE DUE WITH BID. For any Contract competitively bid and awarded by the Board of School Commissioners, these forms are due before the Board of School Commissioners approves the Contract or Agreement. 15

16 This form should be filled out individually for both the MBEs and WBEs. See next page also! PART B: MBE/WBE PARTICIPATION DISCLOSURE FORM Use this form to list MINORITY Business Enterprises that you will use to meet the MBE Participation Goal. Please be reminded that: The same subcontractor may not be used to meet both the MBE and WBE goals. If Bidder is an MBE or WBE, Bidder may not use itself to meet either of the contract goals. Only 25% of each contract goal may be attained by expenditures to MBEs or WBEs that are non-manufacturing suppliers. (i.e. If bid amount is $100,000 and MBE goal is 15% or $15,000; then participation limit for MBE suppliers that are non-manufacturers is $3,750 or 25% of the 15% MBE goal.) If MBE sub-goals apply to this contract, each pre-determined sub-goal must be achieved and their total must equal or exceed the overall MBE contract goal. Prime Contractor s Name: Prime Contractor s Address: Contract Number & Title: MBE SUBCONTRACTORS Sample Construction, Inc Maple Avenue, Baltimore, MD BCS HVAC Renovation - White Pine Elementary h l i Name: Certification Expiration $ Amount of % of Total Number Date Subcontract Contract TOTAL DOLLAR AMOUNT OF CONTRACT TOTAL DOLLAR AMOUNT OF MBE SUBCONTRACTS $ $ Insert info for each MBE or WBE Ex. 37% TOTAL MBE PERCENTAGE OF ENTIRE CONTRACT % This area must be filled in and math must be correct. Form Prepared by: ORIGINAL SIGNATURE - Fred Sample April 20, 2009 Name and Title Phone # Date (If necessary, make additional copies of this page. Each additional page must be signed and dated.) 16

17 SAME AS FORM ABOVE (WBE) (If necessary, make additional copies of this page. Each additional page must be signed and dated.) PART B: MBE/WBE PARTICIPATION DISCLOSURE FORM Use this form to list WOMEN S Business Enterprises that you will use to meet the WBE Participation Goal. Please be reminded that: The same subcontractor may not be used to meet both the MBE and WBE goals. If Bidder is an MBE or WBE, Bidder may not use itself to meet either of the contract goals. Only 25% of each contract goal may be attained by expenditures to MBEs or WBEs that are non-manufacturing suppliers. (i.e. If bid amount is $100,000 and WBE goal is 6% or $6,000; then participation limit for WBE suppliers that are non-manufacturers is $1,500 or 25% of the 6% WBE goal.) Prime Contractor s Name: Prime Contractor s Address: Contract Number & Title: WBE SUBCONTRACTORS Name: Certification Expiration $ Amount of % of Total Number Date Subcontract Contract TOTAL DOLLAR AMOUNT OF CONTRACT TOTAL DOLLAR AMOUNT OF WBE SUBCONTRACTS $ $ TOTAL WBE PERCENTAGE OF ENTIRE CONTRACT % Form Prepared by: Name and Title Phone # Date (If necessary, make additional copies of this page. Each additional page must be signed and dated.) 17

18 PART C: MBE/WBE AND PRIME CONTRACTOR S STATEMENT OF INTENT COMPLETE A SEPARATE FORM FOR EACH AND EVERY MBE AND WBE NAMED IN PART B OR BID WILL BE CONSIDERED NON-RESPONSIVE. BCS-XXXXX White Pine Elementary School-HVAC Renovation Contract Name and Number: Sample Construction, Inc Name of Prime Contractor: Bayberry Mechanical Supply Company Name of MBE or WBE: MBE or WBE Certification Number: Work/Service to be performed by MBE or WBE: Materials/Supplies to be furnished by MBE or WBE: Subcontract Amount: $ (If this is a requirements contract, the subcontract dollar amount may be omitted.) Subcontract percentage of total contract: % The undersigned Prime Contractor and subcontractor agree to enter into a contract for the work/service indicated above for the dollar amount or percentage indicated, subject to the prime contractor s execution of a contract with the Baltimore City Public Schools for the above referenced contract number. The undersigned subcontractor is currently certified as an MBE or WBE with the City of Baltimore Minority and Women s Business Opportunity Office. ORIGINAL SIGNATURE - Fred Sample April 30, 2009 Signature of Prime Contractor (REQUIRED) Date Input actual dollar amount and actual percentage amount for sub-contractor Summarize work to be performed or all materials to be furnished during the life of the contract. ORIGINAL SIGNATURE - Thomas Bayberry Signature of MBE or WBE (REQUIRED) May 1, 2009 Date 18

19 PART D: MBE/WBE/ PARTICIPATION AFFIDAVIT The Undersigned authorized representative of Contractor does hereby make the following Affidavit: Contractor acknowledges the MBE goal of %, and the WBE goal of % BCS HVAC Renovation - White Pine Elementary for Contract No./Title i with Baltimore City Public Schools (City Schools). My firm will make good faith efforts to achieve the MBE and WBE participation goals for this contract. I understand that, if awarded the contract, my firm must submit to Baltimore City Public Schools (BCPS) copies of all executed agreements with the MBE and WBE firms being utilized to achieve the participation goals and other requirements of. I understand that these documents must be submitted prior to the issuance of a notice to proceed. I understand that, if awarded the contract, my firm must submit to the BCPS canceled checks and any other documentation and reports required by BCPS on a quarterly basis, verifying payments to the MBE and WBE firms utilized on the contract. I understand that, if I am awarded this contract and I find that I am unable to utilize the MBEs or WBEs identified in my Statements of Intent, I must substitute other certified MBE and WBE firms to meet the participation goals. I understand that I may not make a substitution until I have obtained the written approval of BCPS. I understand that, if awarded this contract, authorized representatives of the Baltimore City Public Schools may examine, from time to time, the books, records and files of my firm to the extent that such material is relevant to a determination of whether my firm is complying with the MBE and WBE participation requirements of this contract. I do solemnly declare and affirm under the penalty of perjury that the contents of the foregoing Affidavit are true and correct to the best of my knowledge, information and belief. Sample Construction, Inc Contractor Company Name ORIGINAL SIGNATURE - Fred Sample Signature 1000 Maple Avenue, Baltimore, MD Fred Sample Address Print Name and Title Sworn and subscribed before me this day of, in the year. Notary Public Have this form notarized 19

20 PART E: MBE/WBE PARTICIPATION WAIVER REQUEST FORM Sample Construction, Inc Name of Bidder (Offeror) 1000 Maple Avenue, Baltimore, MD Address Contracting Agency Contract (Project) Title Contract Number: Baltimore City Public Schools BCS HVAC Renovations - White Pine Elementary School BCS May 30, 2009 Bid Due Date: Goals on this contract: % MBE % WBE I have achieved % MBE % WBE I am requesting a waiver of % MBE % WBE What percentage of the overall MBE and WBE percentage obtained and what percentage do you need waived. I have contacted MWBOO for assistance Yes No Number of MBE firms contacted: (Attach a list of names and dates contacted) Number of WBE firms contacted: (Attach a list of names and dates contacted) To support this request for a waiver, I include the following information as attachments which I certify to be true to the best of my knowledge. 1. A detailed statement of the efforts made by the contractor to identify and select portions of the work proposed to be performed by subcontractors in order to increase the likelihood of achieving the stated goal; 2. A detailed statement of the efforts made by the contractor prior to and up to 10 days before the bid opening to solicit minority business enterprises through written notices that describe the categories of work for which subcontracting is being solicited, the type of work to be performed, and specific instructions on how to submit a bid; 3. A detailed statement of the contractor s efforts to make personal contact with MBE firms identified for Item 2. above; 4. A record of the name, address, telephone number, and dates contacted for each MBE identified under items 2. and 3. above; 5. A description of the information provided to MBE s regarding the plans, specifications and the anticipated time schedule for portions of the work to be performed; 6. Information on activities to assist minority business enterprises to fulfill bonding requirements, or to obtain a waiver of these requirements; 20

21 7. Information on activities to publicize contracting opportunities to minority business enterprises, attendance at pre-bid meetings, or other meetings scheduled by the MBE Liaison or designated representative; 8. As to each MBE that placed a subcontract quotation or offer which the apparent low bidder or successful offeror considers not to be acceptable, a detailed statement of reasons for this conclusion; and 9. A list of minority subcontractors found to be unavailable. Signature (Company Representative Name) Date ORIGINAL SIGNITURE - Fred Sample May 3, 2009 Sworn and subscribed before me this day of in the year Notary Public Reviewed and accepted by the Baltimore City Public Schools MBE Liaison Officer. Have this form notarized Signature Date (City Schools Representative Name) Leave this section blank 21

22 PART F: MBE/WBE SUBCONTRACTOR UTILIZATION FORM Prime Contractor s Name: Contract Title: BCS Sample Construction, Inc HVAC Renovation White Pine Elementary School Contract Number: 1,000, Total Contract Dollar Amount: Provide the following information for EACH AND EVERY subcontractor, both MBE/WBE and NON-MBE/WBE used on this contract. (Duplicate form if necessary.) Name of Subcontractor Goods or services provided on subcontract Race/ethnicity AND sex of subcontractor s owner Dollar amount of subcontract Dollar amount paid to date If amount paid to date is less than subcontract dollar amount, explain why. Insert info for all subcontractors, both MBE and WBE Name of Subcontractor Race/ethnicity AND sex of subcontractor s owner Goods or services provided on subcontract Dollar amount of subcontract Dollar amount paid to date If amount paid to date is less than subcontract dollar amount, explain why Name of Subcontractor Goods or services provided on subcontract Race/ethnicity AND sex of subcontractor s owner Dollar amount of subcontract Dollar amount paid to date If amount paid to date is less than subcontract dollar amount, explain why ORIGINAL SIGNITURE - Fred Sample May 2, 2009 Prime Contractor s signature Date 22

23 Compliance Reviews 1. In order to ensure compliance with participation goals, the M//WBE Department will schedule compliance reviews. This is a more comprehensive review than the onsite visit or the desk audit. The Compliance review will include a visit to the contractor s office to review all pertinent records associated with the project. Records such as purchase orders, subcontracts with certified MBE/WBE firms, payment records to subs, and such other forms or documents that may be necessary to determine if the contractor is in compliance with the stated program goals may also be reviewed. At least 10 business days prior to the visit, a letter will be sent to the contractor notifying them of the visit and listing the documents to be reviewed. ADDITIONAL RECORDS AND REPORTS The Contractor will comply with the request of City Schools, MBE/WBE representative, providing documentation for on-going services, as well as prior services completed within the last five (5) years. The Contractor shall also grant right of entry at any job site, in which an MBE or WBE goal has been set, these job site visits will allow the MBE/WBE Representative to verify that the Prime Contractor is fulfilling his or her participation obligations. Contractors shall retain all records mentioned above and make them available for City Schools inspection for 5 years after final payment. Complaint Procedure A procedure has been established to address complaints received by the City Schools M/WBE Department. When a complaint is received (via fax, , phone, verbally) in the M/WBE Department the following steps are initiated: 1. The Complaint Form is forwarded to the Complainant. The Complaint Form must be completed, and signed and returned to the M/WBE Department. Upon receipt, the date, name of the Complainant, phone number, contract number, if applicable, whether the complaint is being filed by a contractor or subcontractor, and the type of complaint is recorded. 2. If the Complaint Form is not returned within five business days, the Complainant will be contacted to determine if the issue that led to the filing of the complaint has been resolved. If it has been resolved, a notation is entered on the complaint. A letter confirming that the complaint has been resolved and no further action is required by the M/WBE Department is sent to the Complainant. The file will be closed not earlier than 7 business days after the letter is sent, barring a request for investigation by the Complainant. 3. If the Complaint has not been resolved, an initial interview is scheduled with the Complainant. This interview may be conducted by telephone. 23

24 4. The MBE/WBE representative will provide the Accused with notification of the complaint. Both parties will be provided with an opportunity for interview to identify witnesses, and to submit relevant documentation. A brief description of the actions taken and the result achieved will be entered onto the Complaint Form and a letter will be sent to the Complainant and Accused confirming their solution. Depending on the type of complaint, immediate action may be required. For example, if non-performance by a subcontractor may result in work stoppage on a contract, the MBE/WBE staff member investigating the complaint will contact the subcontractor immediately to determine the reason for the non-performance. If the reason for non-performance is solely the fault of the subcontractor and it is unlikely that the sub will be able to perform in a timely fashion, the prime contractor may seek to substitute a subcontractor. Where substituting is approved, the contractor is required to send a certified letter to the subcontractor notifying him or her that their contract is being terminated. A copy of the letter must be forwarded to the MBE/WBE Department. 5. Complaints may be referred to the Investigative Unit for handling. Violations of city ordinances maybe referred to the city and when fraudulent acts have been determine by City School MBE/WBE Department, the complaint may be forwarded to the Governor s Office of Minority Affairs Fraud Hotline. 24