Request for Qualifications
for
Professional Services for
NEPA Environmental Review Documentation
Date: August 13, 2014
1
Table of Contents
2
I.
Instructions to proposers .............................................................................. 1-3
II.
RFQ Criteria and Scope
a. Evaluation Criteria .................................................................................. 4-5
b. Project List .............................................................................................. 6-6
III.
Contract Requirements
a. Contract ................................................................................................ 7-56
b. Non-Discrimination Form ...................................................................... 7-56
c. E-Verify Certification ............................................................................. 7-56
d. Auto CAD Specification......................................................................... 7-56
IV.
Small Business and Disadvantaged Business Enterprise Programs
Requirements
a. City of Charlotte Small Business Program .......................................... 59-80
b. Federal Disadvantage Business Enterprise Programs........................ 81-95
V.
Airport Security Requirements
a. Security Program ................................................................................ 96-99
b. Airport Badging Requirements ........................................................ 100-101
RFQ INSTRUCTIONS
I.
Introduction
Pursuant to this Request for Qualifications (“RFQ”), the Charlotte Douglas International
Airport (“CLT”) hereby requests Statements of Qualifications from firms interested in
providing Professional Services for NEPA Environmental Review Documentation.
The selected firm(s) shall be expected to enter into an Agreement for Professional
Services in the form set forth in Section IV.a. below.
Interested firms should submit five (5) of their Statements of Qualifications in bound
format; loose submittals will not be accepted. Statements of Qualifications are limited to
a total of 25 pages, including the cover page, staff resumes, and a firm brochure. Pages
may be no larger than 8.5”x11.”
All questions, comments or observations regarding the RFQ must be submitted in
writing no later than August 21st to the attention of
Kathy Dennis, AICP
Airport Planner
CLT Center
5601 Wilkinson Blvd
Charlotte, NC 28208
kpdennis@cltairport.com
CLT will respond to each question/comment in an addendum published on the CLT
website at http://charmeck.org/city/charlotte/Airport/AboutCLT/Pages/AdsForBids.aspx it
is the responsibility of the firm to check the website for any addenda, Firm shall
acknowledge receipt of any and all addendums. CLT will not respond to any
questions/comments orally. Questions/comments that are not received by date
identified below will not receive a response.
RFQ Schedule
Advertisement date:
August 13, 2014
Deadline for submission of questions/comments:
August 21, 2014
Statement of Qualifications due date:
August 29, 2014 COB EST
Selection announcement:
September 8, 2014
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Format and Content
Statements of Qualifications shall be in the following order and tabbed with the
appropriate number:
1. Cover Page, should state the firm name and reference this RFQ.
2. Cover Letter, at a minimum, should include:
a. Contact information for the firm representative who will negotiate scope
and fee.
b. Project the firm would like to be considered for.
c. Execution by a firm representative authorized to legally bind the firm.
d. Acknowledgement of addendums, if any.
3. A description of how the firm meets the Eligibility Criteria identified below.
4. Proposed means and methods of achieving DBE / SBE utilization. Although the
Disadvantaged Business Program allows us to negotiate a goal with the
successful proposal, we would like to see how you expect to utilize DBEs and/or
SBEs throughout the course of the project.
a. DBE form # 3, whichever is applicable, should be submitted for this
section, stating the DBE company(s) that you would use, EXCLUDING %
or dollar values.
5. Commercial Non-Discrimination Certification.
6. E-Verify Certification
II.
RFQ Evaluation and Selection Committee
A Selection Committee will be appointed by CLT to review Statements of Qualifications.
Contact with any members of the Selection Committee regarding this RFQ or the
selection process is prohibited.
After the date for receiving submittals has passed, all submittals shall be reviewed to
determine compliance with the requirements of the RFQ. Responses not in compliance
with RFQ requirements will be declared non-responsive and Respondents will be
notified. The Selection Committee will be given all submittals that meet the
requirements of the RFQ. The Selection Committee will evaluate the submittals using
the Evaluation Criteria.
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RFQ CRITERIA AND SCOPE
4
EVALUATION CRITERIA
Statement of Qualifications will be evaluated on the firm’s demonstrated ability and
experience in providing the professional services described herein. Evaluation Criteria
shall include, without limitation:
•
Experience in providing similar services for similar projects;
•
Qualifications, certifications, abilities, demonstrated experience on similar
projects and geographic location of key individuals identified in the Qualifications
Package;
•
Recent experience with projects comparable to the proposed work;
•
Recent experience in working with the FAA Memphis ADO, as well as regional
and national offices;
•
Proven airport planning / environmental experience and knowledge of Federal
Aviation Regulations, current FAA Advisory Circular (AC) publications and
standards for airport planning and noise compatibility;
•
Current workload of key personnel to be assigned to the project;
•
Execution of the attached Commercial Non-Discrimination Certification Affidavit
and E-Verify Certification;
•
Where applicable, ability to provide plans in AutoCAD and provide the City with
drawing files (See attached “Digital CAD Specifications for Airport Projects”) per
CLT Airport CAD specifications;
•
Where applicable, ability to work with and provide GIS files compatible with the
Airport’s ALP and other related GIS-based files;
•
Qualifications and experience of proposed sub-consultants with comparable
projects;
•
Compliance with DBE and / or SBE programs;
•
References.
•
Qualifications package responsiveness, appearance and presentation
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RFQ SCOPE
CLT is seeking professional services for the preparation of NEPA documentation for
airport development projects on an as-needed basis. One or multiple firms may be
selected through this solicitation. The anticipated scope of environmental planning and
related services may include, but are not necessarily limited to preparation of applicable
environmental review (NEPA) documents for all federally funded projects at CLT which
require NEPA review (inclusive of CatExes, EA Short forms, and/or standard EAs).
The preparation of environmental review documents may include the following:
*
Coordination with lead federal agencies and other outside agencies (city, state,
federal)
*
Ability to conduct analysis in air quality, land use, construction, public lands, biotic
resources, solid waste and hazardous materials, noise, socioeconomic impacts,
environmental justice, water resources/quality, cumulative effects, historic/cultural
resources, and other analysis as appropriate
*
Supplemental studies such as, but not limited to, Wetland/Stream Delineations,
Environmental Due Diligence Audits (Phase I Site Assessments), Biological
Assessments, Historic/Cultural Resource Surveys
*
The preparation and submittal of environmental permitting applications (including
but not limited to Section 404/401 permits)
*
Development evaluation
*
Coordination and attendance at public meetings or other public involvement events
*
Other related activities
The proposed scope of services noted above shall include, but is not necessarily limited
to, management of the NEPA process from project initiation through final FAA approval,
any required calculations, site assessments, data mining, agency submissions,
modifications, reviews, and coordination.
A demonstrated working relationship with the FAA Memphis ADO is required. In-depth
knowledge of CLT's capital program, terminal, airfield, and landside facilities is
desirable.
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III.
RFQ CONTRACT REQUIREMENTS
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AGREEMENT FOR PROFESSIONAL SERVICES
PROJECT:
[Project Name]
OWNER:
City of Charlotte
c/o Aviation Department
COMPANY:
[Insert Name]
Rev. 1.15.14
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AGREEMENT FOR PROFESSIONAL SERVICES
BETWEEN THE CITY OF CHARLOTTE AND [COMPANY NAME]
TABLE OF CONTENTS
ARTICLE 1
ARTICLE 2
ARTICLE 3
ARTICLE 4
ARTICLE 5
ARTICLE 6
ARTICLE 7
ARTICLE 8
ARTICLE 9
ARTICLE 10
ARTICLE 11
ARTICLE 12
ARTICLE 13
ARTICLE 14
ARTICLE 15
ARTICLE 16
ARTICLE 17
ARTICLE 18
ARTICLE 19
Description of Project ............................................................... 3
Scope of Services..................................................................... 3
Time of Beginning and Completion .......................................... 3
Compensation .......................................................................... 3
Personnel ................................................................................. 5
Notification................................................................................ 6
Insurance.................................................................................. 7
Indemnification ......................................................................... 7
Covenants and Representations .............................................. 8
Ownership and Use of Work Products...................................... 9
Termination ............................................................................ 10
Publicity and Statements to the Press .................................... 12
Drug Free Work Place Requirements ..................................... 13
General Compliance with Laws .............................................. 14
Non-Discrimination ................................................................. 14
Miscellaneous Conditions ....................................................... 16
Mandatory Federal Provisions ................................................ 16
Compliance with Security Measures....................................... 17
Compliance with E-Verify………………………….……………..17
EXHIBITS
EXHIBIT A
EXHIBIT B
EXHIBIT C
EXHIBIT D
EXHIBIT E
EXHIBIT F
EXHIBIT G
Scope of Services
Timetable
Fee Detail
Confidentiality Requirements
CAD Standards
Mandatory Federal Provisions
Disadvantaged Business Enterprises Program
AGREEMENT FOR PROFESSIONAL SERVICES
BETWEEN THE CITY OF CHARLOTTE AND [COMPANY NAME]
This AGREEMENT FOR PROFESSIONAL SERVICES (“Agreement”) is made and
entered into this
day of
, 2013 (“Effective Date”) by and between the
CITY OF CHARLOTTE, a North Carolina municipal corporation (“City”) and [INSERT NAME
AND CORPORATE DESCR.] with offices in Charlotte, North Carolina, (“Company”),
WITNESSETH:
THAT WHEREAS, the City is constructing the [project name] (“Project”) at Charlotte
Douglas International Airport; and
WHEREAS, City desires to engage Company to provide design and construction
administration services for the Project;
NOW THEREFORE, City and Company, for good and valuable consideration, agree as
follows:
AGREEMENT
ARTICLE 1 - DESCRIPTION OF PROJECT
[Insert brief description related to the project you defined in the first “whereas” above.]
ARTICLE 2 - SCOPE OF SERVICES
A detailed scope of services is provided in Exhibit A (“Services”), attached hereto and
incorporated by reference as if fully set forth herein.
ARTICLE 3- TIME OF BEGINNNG AND COMPLETION
The Services shall be completed on a timetable described in Exhibit B. Company shall
begin work on Phase 1 of the Services immediately upon issuance of the first written Notice to
Proceed (“NTP”). Company shall begin work on subsequent phases immediately upon
issuance of the next written NTP.
ARTICLE 4 - COMPENSATION
4.1
Total Compensation.[Note: Pick one of the following three compensation clauses.]
As complete compensation for the Services, Company will be paid on the basis of an
HOURLY RATE as detailed in Exhibit C, attached hereto and incorporated herein by
reference, to the extent permitted by law and with the total amount, including reimbursable
costs as detailed in 4.2 hereunder, not to exceed X Dollars ($X).
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As complete compensation for the Services, Company will be paid on the basis of a FIXED
LUMP SUM PAYMENT as detailed in Exhibit C, attached hereto and incorporated herein by
reference, to the extent permitted by law, including reimbursable costs as detailed in 4.2
hereunder, and in the total amount of X Dollars ($X). Both parties understand and agree that
compensation will be renegotiated if the scope of the Project were to change, per FAA
Advisory Circular 150/5100-D.
As complete compensation for the Services, Company will be paid on the basis of COST
PLUS A FIXED FEE, as detailed in Exhibit C, attached hereto and incorporated herein by
reference, and with the costs as detailed in 4.2 hereunder, to the extent permitted by law and
with the total amount not to exceed X Dollars ($X).
4.2
Reimbursable Costs. To be reimbursable, costs (also referred to as “expenses”)
must be actual, allowable, reasonable, allocable to the project, and consistent with 49 CFR
§18.36, FAA Order 5100.38 and OMB Circular A-87. There shall be no mark–up on expenses
pursuant to FAA Advisory Circular 150/5100- 14D.
4.3
Payments. Payments shall be made for fees and reimbursable costs, if applicable,
upon submission of an invoice stating the nature and quantity of work performed and
accompanied by proper supporting documentation as City may require. Costs shall be
itemized on each invoice. Failure to submit full supporting documentation may be cause for
invoice rejection or delay in payment. Payment will be made to Company on a monthly basis,
and, where applicable, shall be in proportion to the Services performed within each phase, on
the basis set forth in Exhibit XX.
Invoice Options:
1. Option 1 – email your invoices to cocap@charlottenc.gov . If you choose this option,
do not mail invoices. (Address to be formatted the same as option 2 even if emailing.)
2. Option 2 – mail your invoices to our PO Box.
City of Charlotte AP
Attn: Aviation Department / Development
P. O. Box 37979
Charlotte, NC 28237-7979
With both options, Accounts Payable (or AP) must be in the first line. Also, on the Attn: line,
you must indicate the department or area the invoice is for, along with a contact name if you
have one.
For example, Attn: Aviation-J. Doe or Attn: Zone 3.
Invoices that are addressed directly to City departments and not to Accounts Payable may not
be handled as quickly as invoices that are addressed correctly.
The City of Charlotte is not exempt from sales tax. Please include all applicable State and
County sales taxes on your invoices. Taxes must be on a separate line(s) on the invoice and
not combined with the cost of goods.
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If you have a contract with the City, the contract number must appear on each invoice. Also,
sales tax statements are now required with every contract invoice or payment request. If a
purchase order has been issued to you, the purchase order number must appear on each
invoice. Not having a contract number or purchase order number on invoices, when
appropriate, may delay your payment.
Contract invoices will be paid according to the terms of the contract. Purchase order invoices
will be paid by the terms of the purchase order. All other invoices will be paid by invoice
terms, but no sooner than net 30 days.
4.4
Accounting and Auditing. The Company shall maintain complete and accurate
records, using Generally Accepted Accounting Principles (GAAP), of all costs related to this
Agreement. Such records shall be open to inspection and subject to audit and/or
reproduction, by the City’s agent or authorized representative to the extent necessary to
adequately permit evaluation and verification of any invoices, payments, or claims submitted
by the Company or any of his payees in connection with this Agreement. Records subject to
examination will include, but are not limited to, those records necessary to evaluate and verify
direct and indirect costs (including overhead allocations) as they may apply to costs
associated with this Agreement.
For the purpose of such inspections, the City’s agent or authorized representative shall have
access to said records from the Effective Date of this Agreement, for the duration of the
Services, and until three (3) years after the date of final payment by the City to the Company
pursuant to this Agreement.
If, as a result of an audit hereunder, the Company is determined to have charged the City for
amounts that are not allocable or verifiable, the Company shall promptly reimburse the City for
said amount.
ARTICLE 5 – PERSONNEL
5.1
Personnel. City has the right to require any additional personnel it deems necessary
for the Project. The City also has the right to require removal and replacement of any
personnel it deems unsatisfactory.
The Company’s employees, agents and sub-consultants who normally and regularly come in
direct contact with the public shall be clearly identifiable by name badges, name tags, or
identification cards. Company and Company’s employees, agents and sub-consultants will
abide by all the safety and security rules and regulations at the Airport.
The Company shall assure that its employees, agents and sub-consultants serve the public in
a courteous, helpful, and impartial manner. All employees of the Company in both field and
office shall refrain from belligerent behavior and/or profanity. Correction of any such behavior
or language shall be the responsibility of the Company.
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5.2
Sub-contracting. Company shall not subcontract the Services without prior written
approval of City.
5.3
Change in Control. The Company shall notify the City within ten (10) days of the
occurrence of a change in control. As used in this Agreement, the term "control" shall mean
the possession, direct or indirect, of either:
a.
The ownership of or ability to direct the voting of, as the case may be, fifty-one
percent (51%) or more of the equity interests, value or voting power in the Company; or
b.
The power to direct or cause the direction of the management and policies of
the Company whether through the ownership of voting securities, by contract or
otherwise.
ARTICLE 6 - NOTIFICATION
The City and the Company shall cooperate with one another to fulfill their respective
obligations under this Agreement.
Any notice, demand, consent or other formal
communication required or contemplated by this Agreement shall be in writing and shall be to
City and to Company at the respective addresses set forth below:
For the City:
Aviation Department
City of Charlotte
5601 Wilkinson Blvd.
Charlotte, NC 28208
PO Box 19066
Charlotte, NC 28219
Attn: ________________
Phone: 704
Fax: 704
For the Company:
Insert address, etc.
Attn: ___________________
Phone:
Fax:
Each party may change its address for notification purposes by giving the other party
written notice of the new address and the date upon which it shall become effective.
ARTICLE 7- INSURANCE
The Company shall purchase and maintain during the life of this Agreement with an insurance
Company acceptable to the City authorized to do business in the State of North Carolina the
following insurance:
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7.1
Automobile Liability. Bodily injury and property damage liability covering all owned,
non-owned and hired automobiles for limits of not less than $1,000,000 bodily injury each
person, each accident and $1,000,000 property damage, or $1,000,000 combined single limit
each occurrence/aggregate. The policy shall be occurrence-based and shall name the City
as additional insured.
7.2
Commercial General Liability. Bodily injury and property damage liability as shall
protect the Company and any subcontractor performing work under this Agreement from
claims of bodily injury or property damage which arise from operation of this Agreement
whether such operations are performed by the Company, any subcontractor, or any person
directly or indirectly employed by either. The amounts of such insurance shall not be less
than $1,000,000 bodily injury each occurrence/aggregate and $1,000,000 property damage
each occurrence/aggregate or $1,000,000 bodily injury and property damage combined single
limits each occurrence/aggregate. This insurance shall include coverage for
products/completed operation, personal injury liability and contractual liability assumed under
the indemnity provision of this Agreement. The policy shall be occurrence-based and shall
name the City as additional insured.
7.3
Workers’ Compensation Insurance and Employers Liability.
meet or exceed the statutory requirements of the State of North Carolina.
The amount must
7.4
Professional Liability Insurance. In an amount of not less than $1,000,000 each
claim and $1,000,000 aggregate. The policy may be claims-based, provided Company
continuously maintains the policy from the date of the first NTP until six (6) calendar years
after the date of substantial completion of the construction of the Project.
7.5
Deductibles. The City shall be exempt from, and in no way liable for, any sums of
money that may represent a deductible in any insurance policy. The payment of such
deductible shall be the sole responsibility of the Company and/or sub-consultant providing
such insurance.
7.6
Evidence of Insurance. Certificates of all required insurance shall be furnished to the
City and shall contain the provision that the City will be given 30 day written notice of any
intent to amend or terminate by either the insured or the insuring Company.
ARTICLE 8- INDEMNIFICATION
The Company shall indemnify, defend and hold harmless the City, the Airport Advisory
Committee, and the City’s officers, agents and employees from and against any and all
claims, losses, damages, obligations, liabilities and expenses, including but not limited to
reasonable attorneys' fees, to the extent that they arise out of or result, or are alleged to have
done so, from Company’s performance or lack thereof under this Agreement, gross
negligence, or any willful misconduct. In any case in which Company provides a defense to
the City pursuant to this indemnity, the defense will be provided by attorneys reasonably
acceptable to the City. The provisions of this Article on indemnification shall survive the
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expiration or early termination of this Agreement.
ARTICLE 9- COVENANTS AND REPRESENTATIONS
The Company covenants and represents that it shall exercise a customary degree of care and
diligence in performing all services under this Agreement. The Company shall render
services under this Agreement in accordance with the customary professional standards
prevailing for major international airports in the United States.
The Company further covenants and represents that:
a.
To the best of Company’s knowledge, information, and belief, the services
performed by it under this Agreement do not violate any contracts with third parties or
any third party rights in any patent, trademark, copyright, trade secret or similar right;
b.
The services performed hereunder shall be performed in a professional manner
and by qualified staff and shall satisfy the requirements set forth in this Agreement; and
c.
It has sufficient expertise and resources to perform under this Agreement.
The Company further represents and covenants that:
a.
It is a corporation duly incorporated, validly existing, and in good standing under
the laws of North Carolina;
b.
It has all the requisite corporate power and/or authority to execute, deliver and
perform its obligations under this Agreement;
c.
The execution, delivery, and performance of this Agreement have been duly
authorized by the Company;
d.
No approval, authorization, or consent of any governmental or regulatory
authority is required to be obtained or made by it in order for it to enter into and perform
its obligations under this Agreement; and
e.
In connection with its obligations under this Agreement, it shall comply with all
applicable federal, state and local laws and regulations and shall obtain all applicable
permits and licenses.
f. It and each of its subcontractors have complied and shall comply with all federal,
state and local laws and regulations relating to the performance of this Agreement
and/or to the products and services delivered hereunder, including but not limited to EVerify, and shall obtain all applicable verifications, permits and licenses.
Any defective designs or specifications furnished by the Company and any failure of any
services performed by the Company to comply with any requirements set forth in this
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Agreement shall be promptly corrected by the Company at no cost to the City, or, at City’s
sole discretion, City shall have the work corrected and Company shall reimburse City for the
resulting expense. The City's approval, acceptance, use of, or payment for all or any part of
the Company's services or of the Project itself shall in no way alter the Company's obligations
or the City's rights under this Agreement.
ARTICLE 10 - OWNERSHIP AND USE OF WORK PRODUCT
10.1 Ownership. The City shall own title to and all intellectual property rights in and to all
documents, reports, specifications, designs, developments, computations, and other materials
prepared, obtained or delivered under the terms of this Agreement (collectively the
“Deliverables”). The City may use, transfer, copy and distribute the Deliverables without
restriction or limitation. The City accepts responsibility for any changes made by the City to
these Deliverables after final submittal by the Company.
10.2 Instruments of Professional Service. The City acknowledges that the Deliverables
are instruments of professional service. The City acknowledges and agrees that the
Company may retain one copy of each Deliverable and use the Deliverable solely for its
internal general reference.
10.3 Modification or Reuse Risk. Any modification of the Deliverables by the City without
the involvement of the Company shall be at the sole risk of the City.
10.4 Other Items. The Company shall cooperate with and provide reasonable assistance
to the City as necessary to obtain or enforce any patents, copyrights or other proprietary
rights in the Deliverables and to execute all Deliverables necessary to give the City full legal
ownership of such Deliverables. The Company shall also take all necessary actions to ensure
that all employees and approved subcontractors engaged by the Company in connection with
the Agreement are bound by the terms of this Section. The Company shall, as required for
the performance under this Agreement and otherwise upon the request of the City or upon
expiration or termination of this Agreement, deliver to the City all Deliverables.
10.5 Confidentiality. All or substantial portions of the following documents may not be
considered to be public records pursuant to applicable provisions of North Carolina law:
Company’s work product under this Agreement; and all plans, drawings and other documents
containing security plans and arrangements and/or detailed plans and drawings of any facility
of the Owner. Such work product, security arrangements, and/or detailed plans and drawings
are herein referenced as Sensitive Document(s). Without limiting the foregoing, it is expressly
understood and agreed that Sensitive Document(s) is not limited to documents related to this
Agreement and includes any and all documents herein described concerning any facility of
the Owner regardless of the type of facility and regardless of the manner in which the
Company acquired possession of such documents. The Owner retains sole authority and
discretion to determine whether all or any portion of any Sensitive Document is a public
record pursuant to applicable provisions of North Carolina law. Under no circumstances will
the Company provide the original or copy of any portion of any Sensitive Document (without
regard to the status of such Sensitive Document as in preliminary, draft or final form) to any
16
person or entity unless directed by the Owner or unless reasonably necessary to satisfy
Company’s obligations pursuant to this Agreement. The Company will maintain and
implement such rules and procedures governing the conduct of its officers, employees,
agents and subcontractors and the maintenance, handling and use of Sensitive Documents
as may be reasonably necessary to prevent the release of any Sensitive Document in
violation of this provision. Such rules and procedures will be subject to review by the Owner
and such changes as the Owner determines to be reasonably necessary, including without
limitation maintaining a log identifying any Sensitive Document provided to any person or
entity that includes at a minimum, identification of the Sensitive Document provided, name of
person releasing the Sensitive Document, name of person receiving the Sensitive Document,
State Driver’s License number of person receiving Sensitive Document, reason for releasing
Sensitive Document, and date Sensitive Document released. Without exception, every
person or entity receiving a Sensitive Document must agree not to copy or release such
Sensitive Document to any other person or entity, unless otherwise approved by the Owner in
writing. Such log need not include the release of any document to an officer or employee of
the Company or to any employee of the Owner. A violation of any provision of this section is
a serious violation of this Agreement and will be the basis for immediate termination of this
Agreement for cause, notwithstanding any other provision of this Agreement to the contrary.
10.6 Confidentiality Requirements. The parties acknowledge that they are bound by all
terms and conditions contained in the Confidentiality Requirements with respect to any
confidential information which either of them obtains access to in connection with this
Agreement. By signing this Agreement you acknowledge that you will comply with all
provisions of the Confidentiality Requirements as set forth in Exhibit D hereto.
ARTICLE 11 – TERMINATION AND SUSPENSION
11.1 Termination for Convenience. The City may terminate this Agreement immediately
for any reason or no reason by giving written notice to the Company. The notice shall specify
the date upon which such termination becomes effective.
11.2 Termination for Default by Either Party. By giving written notice, either party may
terminate this Agreement if the other party violates or fails to perform any covenant, provision,
obligation, term, or condition contained in this Agreement but, unless otherwise provided,
such failure or violation shall not be cause for termination if the defaulting party cures such
default within thirty (30) days of receipt of written notice of default from the other party. The
notice of default shall state the party’s intent to terminate this Agreement if the default is not
cured within the specified time period.
11.3 Additional Grounds for Termination for Default by the City. The City may
terminate this Agreement immediately by written notice to the Company upon the occurrence
of one or more of the following events, each of which shall also constitute a non-exclusive
Event of Default:
a.
The Company makes or allows to be made any material written
misrepresentation or provides any materially misleading written information in
connection with this
Agreement, the Company's proposal, or any covenant,
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agreement, obligation, term, or condition contained in the Agreement;
b.
The Company ceases to do business as a going concern, makes an assignment
for the benefit of creditors, admits in writing its inability to pay debts as they become
due, files a petition in bankruptcy or has an involuntary bankruptcy petition filed against
it (except in connection with a reorganization under which the business of such party is
continued and performance of all its obligations under this Agreement shall continue),
or if a receiver, trustee or liquidator is appointed for it or any substantial part of the
other party's assets or properties.
11.4 Obligations upon Expiration or Termination. Upon expiration or termination of the
Agreement, the Company shall promptly provide or return to the City:
a.
All Deliverables, in whatever form;
b.
Documentation to evidence completion of matters covered by this Agreement
and setting forth progress in developing the Deliverables to the date of termination; and
c.
All equipment, materials, documents, or data, whether in written, graphic,
machine readable or other form, supplied by the City in connection with this
Agreement, in as good condition as when delivered, reasonable wear and tear
excepted.
Upon the request of the City, the Company agrees to provide reasonable assistance and
cooperation to the City and City contractors for a period of up to twelve (12) months after
expiration or termination of this Agreement at its then-current rates.
In the event of Termination for Convenience, City shall pay Company for Services rendered
and reimbursable expenses incurred prior to the effective date of termination and no amount
shall be allowed for anticipated profit on unperformed services.
In the event of Termination for Default, the City may take over the work and prosecute the
same to completion by contract or otherwise. In such case, the Company shall be liable to
the City for any additional cost occasioned to the City thereby.
If it is later conclusively determined that the Company had not in fact defaulted, the
termination shall be deemed to have been effected for the convenience of the City and the
Company shall be paid as provided for a Termination for Convenience.
11.5 No Effect on Taxes, Fees, Charges or Reports. Any termination of this Agreement
shall not relieve the Company of the obligation to pay any fees, taxes, or other charges then
due to the City, nor relieve the Company of the obligation to file any daily, monthly, quarterly,
or annual reports covering the period to termination nor relieve the Company from any claim
for damages previously accrued or then accruing against the Company.
11.6 Substitute Performance. In the event the Company fails to perform any part of the
Scope of Services within the time frame set forth in this Agreement without good cause, then,
without limiting any other remedies available to the City, the City may take either or both of
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the following actions:
a.
Employ such means as it may deem advisable and appropriate to continue work
until the matter is resolved and the Company is again able to carry out operations
under this Agreement; and
b.
Deduct any and all operating expenses incurred by the City from any money
then due or to become due the Company and, should the City's cost of continuing the
operation exceed the amount due the Company, collect the amount due from the
Company.
11.7 Cancellation of Orders and Subcontracts. In the event this Agreement is terminated
by the City for any reason, the Company shall upon the effective date of termination (unless
the City's notice of termination directs otherwise), immediately discontinue all service in
connection with this Agreement and promptly cancel all existing orders and subcontracts
which are chargeable to this Agreement. As soon as practical after receipt of notice of
termination, the Company shall submit a statement to the City showing in detail the services
performed under this Agreement to the date of termination.
11.8 Other Remedies. Upon termination of this Agreement, each party may seek all legal
and equitable remedies to which it is entitled. The remedies set forth herein shall be deemed
cumulative and not exclusive and may be exercised successively or concurrently, in addition
to any other available remedies.
11.9 Suspension. At any time, the City may suspend Company’s Services by providing
written notice of suspension to the Company.
In the event of suspension, Company shall be paid for the Services performed prior to
suspension, plus reimbursable expenses incurred prior to suspension.
If such suspension continues for more than (six) 6 months for reasons beyond Company’s
control, Company may terminate this Agreement immediately upon written notice to City.
ARTICLE 12 – PUBLICITY AND STATEMENTS TO THE PRESS
Advertising, sales promotion or other materials of the Company or its agents or
representatives shall limit the identification or reference to this Agreement to the general
physical description and location of the approved final design/product of the Project.
Descriptions of conceptual or alternative designs/products considered for the Project shall not
be included in advertising, sales or other materials. As a condition of entering into this
Agreement, the Company further agrees to refrain from the following, absent the City’s prior
written approval: (1) making any statement to the media or public regarding the subject matter
of this Agreement or the City’s position on any issue relating to this Agreement; or (2) making
any statement to the media or public on any issue which, in the City’s judgment, is likely to
cast doubt on the competence or integrity of the City or the Company. Failure to comply with
this Article by the Company shall constitute a material breach and, without limiting any other
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remedies the City may have, shall entitle the City to terminate this Agreement for default.
ARTICLE 13- DRUG FREE WORKPLACE REQUIREMENTS
The Company shall provide a drug-free workplace during the performance of this Agreement.
This obligation is met by:
a.
Notifying employees that the unlawful manufacture, distribution, dispensation,
possession, or use of a controlled substance is prohibited in the Company’s workplace
and specifying the actions that will be taken against employees for violations of such
prohibition;
b.
Establishing a drug-free awareness program to inform employees about (i) the
dangers of drug abuse in the workplace, (ii) the Company’s policy of maintaining a
drug-free workplace, (iii) any available drug counseling, rehabilitation, and employee
assistance programs and (iv) the penalties that may be imposed upon employees for
drug abuse violations;
c.
Notifying each employee that as a condition of employment, the employee will (i)
abide by the terms of the prohibition outlined in this ARTICLE and (ii) notify the
Company of any criminal drug statute conviction for a violation occurring in the
workplace not later than five (5) days after such conviction;
d.
Notifying the City within ten (10) days after receiving from an employee a notice
of a criminal drug statute conviction or after otherwise receiving actual notice of such
conviction, unless otherwise forbidden to communicate such information to third parties
under the Company’s drug-free awareness program or other restrictions;
e.
Imposing a sanction on, or requiring the satisfactory participation in a drug
counseling, rehabilitation or abuse program by an employee convicted of drug crime;
f.
Making a good faith effort to continue to maintain a drug-free workplace for
employees; and
g.
Requiring any party to which it subcontracts any portion of the work under the
Agreement to comply with the provisions above.
If the Company is an individual, the requirement is met by not engaging in the unlawful
manufacture, distribution, dispensation, possession, or use of a controlled substance in the
performance of this Agreement.
Failure to comply with the above drug-free workplace requirements during the performance of
the Agreement shall be grounds for suspension, termination or debarment.
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ARTICLE 14 - GENERAL COMPLIANCE WITH LAWS
The Company shall comply with all Federal, State, and local laws, ordinances, and
regulations applicable to the services provided herein. If, due to conflicts between two or
more such ordinances, statutes, laws, rules, and regulations (the "Regulations") or due to
conflicts in the interpretation or enforcement of such Regulations by courts or governing
bodies having jurisdiction over the project, the Company is unable to comply with such
Regulations, the Company shall exercise usual and customary professional care in complying
with such conflicting Regulations.
The Company further agrees that it will at all times during the term of this Agreement be in
compliance with all applicable Federal, State and/or local laws regarding employment
practices. Such laws include, but shall not be limited to workers' compensation, the Fair
Labor Standards Act (FSLA), the Americans with Disabilities Act (ADA), the Family and
Medical Leave Act (FMLA), and all Occupational Safety and Health Administration (OSHA)
regulations applicable to the work.
ARTICLE 15 – NON-DISCRIMINATION PROVISION FOR ALL CITY CONTRACTS
As a condition of entering into this agreement, the Company represents and warrants that it
will fully comply with the City's commercial non-discrimination policy, as described in Section
2, Article V of the City Code, and consents to be bound by the award of any arbitration
conducted thereunder. As part of such compliance, the Company shall not discriminate on the
basis of race, gender, religion, national origin, ethnicity, age, or disability in the solicitation,
selection, hiring, or treatment of subcontractors, vendors, suppliers, or commercial customers
in connection with a city contract or contract solicitation process, nor shall the Company
retaliate against any person or entity for reporting instances of such discrimination. The
Company shall provide equal opportunity for subcontractors, vendors and suppliers to
participate in all of its subcontracting and supply opportunities on city contracts, provided that
nothing contained in this clause shall prohibit or limit otherwise lawful efforts to remedy the
effects of marketplace discrimination that has occurred or is occurring in the marketplace. The
Company understands and agrees that a violation of this clause shall be considered a
material breach of this agreement and may result in termination of this agreement,
disqualification of the Company from participating in city contracts or other sanctions.
As a condition of entering into this agreement, the Company further agrees to:
a.
Promptly provide to the city all information and documentation that may be
requested by the city from time to time regarding the solicitation, selection, treatment
and payment of subcontractors in connection with this agreement; and
b.
If requested, provide to the city within sixty days after the request a truthful and
complete list of the names of all subcontractors, vendors, and suppliers that Company
has used on city contracts in the past five years, including the total dollar amount paid
by contractor on each subcontract or supply contract. The Company further agrees to
fully cooperate in any investigation conducted by the city pursuant to the city's
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commercial non-discrimination policy as set forth in Section 2, Article V of the City
Code, to provide any documents relevant to such investigation that are requested by
the city, and to be bound by the award of any arbitration conducted under such policy.
The Company understands and agrees that violation of this clause shall be considered
a material breach of this agreement and may result in contract termination,
disqualification of the Company from participating in city contracts and other sanctions.
ARTICLE 16 - MISCELLANEOUS CONDITIONS
16.1 Relationship of the Parties. The relationship of the parties established by this
Agreement is solely that of independent contractors, and nothing contained in this Agreement
shall be construed to (i) give any party the power to direct or control the day-to-day activities
of the other; or (ii) constitute such parties as partners, joint venturers, co-owners or otherwise
as participants in a joint or common undertaking.
16.2 Governing Law and Jurisdiction. The parties acknowledge that this Agreement is
made and entered into in Charlotte, North Carolina. The parties further acknowledge and
agree that North Carolina law shall govern all rights, obligations, duties, and liabilities of the
parties to this Agreement, and that North Carolina law shall govern interpretation of this
Agreement and any other matters relating to this Agreement (all without regard to North
Carolina conflicts of laws principles).
The parties further agree that any and all legal actions or proceedings relating to this
Agreement shall be brought in a state or Federal court sitting in Mecklenburg County, North
Carolina. By execution of this Agreement, the parties submit to the jurisdiction of said courts
and hereby irrevocably waive any and all objections that they may have with respect to venue
in any of the above courts.
16.3 Amendment. No amendment or change to this Agreement shall be valid unless in
writing and signed by both parties to this Agreement.
16.4 Binding Nature and Assignment. This Agreement shall bind the parties and their
successors and permitted assigns. Neither party may assign this Agreement without the prior
written consent of the other. Any assignment attempted without the written consent of the
other party shall be void.
16.5 Severability. The invalidity of one or more of the phrases, sentences, clauses or
sections contained in this Agreement shall not affect the validity of the remaining portion of
the Agreement so long as the material purposes of the Agreement can be determined and
effectuated. If any provision of this Agreement is held to be unenforceable, then both parties
shall be relieved of all obligations arising under such provision, but only to the extent that such
provision is unenforceable, and this Agreement shall be deemed amended by modifying such
provision to the extent necessary to make it enforceable while preserving its intent.
16.6 CAD Standards. Company shall use and abide by the Airport’s CAD standards,
attached hereto as Exhibit E and incorporated herein by reference.
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16.7 Approvals.
writing.
All approvals or consents required under this Agreement must be in
16.8 Waiver. No delay or omission by either party to exercise any right or power it has
under this Agreement shall impair or be construed as a waiver of such right or power. A
waiver by either party of any covenant or breach of this Agreement shall not constitute or
operate as a waiver of any succeeding breach of that covenant or of any other covenant. No
waiver of any provision of this Agreement shall be effective unless in writing and signed by the
party waiving the rights.
16.9 Interest of the Parties. The Company covenants that its officers, employees,
shareholders and sub-consultants have no interest and shall not acquire any interest, direct or
indirect, which would conflict in any manner or degree with the performance of services
required to be performed under this Agreement.
16.10 Taxes. The Company shall pay all applicable Federal, State and local taxes that may
be chargeable against the performance of the Services.
16.11 No Bribery or Lobby. The Company certifies that to the best of its knowledge,
information, and belief, neither it, any of its affiliates or subcontractors, nor any employees of
any of the forgoing has bribed or lobbied, or attempted to bribe or lobby, an officer or
employee of the City in connection with this Agreement.
16.12 Survival of Provisions. Those Articles of this Agreement and the Exhibits that by
their nature would reasonably be expected to continue after the termination of this Agreement
shall survive the termination of this Agreement.
16.13 Endorsement of Documents. The Company shall sign and seal, or shall cause to be
signed and sealed, with the appropriate North Carolina Professional Seal, all plans,
specifications, calculations, reports, plats, and construction documents prepared by the
Company.
16.14 Entire Agreement. This Agreement is the entire agreement between the parties with
respect to its subject matter, and there are no other representations, understandings, or
agreements between the parties relative to such subject matter. This Agreement supersedes
all prior agreements, negotiations, representations, and proposals (“prior agreements”),
written or oral, except to the extent such prior agreements are incorporated by reference into
this Agreement.
ARTICLE 17- MANDATORY FEDERAL PROVISIONS
Federal laws and regulations prescribe that certain provisions be included in federally funded
contracts and subcontracts. The additional federal provisions mandatory for this Agreement
are attached hereto as Exhibit F and incorporated herein by reference. Company must
comply with all provisions of Exhibit F. Furthermore, the City has set a goal for Company as
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part of City’s Disadvantaged Business Enterprise Program. The goal and requirements are
set forth in Exhibit G, attached hereto and incorporated herein by reference.
ARTICLE 18- COMPLIANCE WITH SECURITY MEASURES.
Company acknowledges and agrees that:
a.
The City of Charlotte’s Aviation Department has offices in the secured area of
the Terminal, access to which is subject to security measures imposed by the United
States (“Security Plan”) and enforced by the Transportation Security Administration;
b.
Access to the Aviation Department or the airfield by Company’s officers and
employees shall be limited to and conditioned upon compliance with the Security Plan
as it exists upon the effective date of this agreement, and as may be modified from
time to time;
c.
Company’s officers and employees who need regular access to the Leased
Premises will have to apply for and qualify for security identification badges (“Security
Badges”) issued by the Aviation Director; and
d.
City shall not be liable to Company for any diminution or deprivation of
Company’s rights hereunder on account of the inability or delay of Company or his
officers or employees to obtain a Security Badge, regardless of the reason.
ARTICLE 19 - COMPLIANCE WITH E-VERIFY.
The Company understands that “E-Verify” refers to the federal E-Verify program operated by
the United States Department of Homeland Security and other federal agencies, or any
successor or equivalent program used to verify the work authorization for newly hired
employees pursuant to federal law and in compliance with the requirements of Article 2 of
Chapter 64 of the North Carolina General Statutes. Employers subject to these laws must
use E-Verify prior to entering into any contract with the City. Each employer, after hiring an
employee to work in the United States, shall verify the work authorization of the employee
through E-Verify in accordance with Article 2 of Chapter 64 of the North Carolina General
Statutes. Subcontractors/subconsultants must also comply with E-Verify and the Company
will ensure compliance by any subcontractors/subconsultants hired by the Company. By
executing this Agreement, the Company affirmatively attests to compliance with the E-Verify
program.
REMAINDER OF THIS PAGE INTENTIONALLY LEFT BLANK.
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THIS AGREEMENT, entered into as of the day and year first written above for [Environmental
Planning Services] for [Project name] in an amount not to exceed $X.
[INSERT FIRM’S NAME]
Federal Tax I.D. No. _______________
By: _____________________________
Printed Name: ____________________
Title: ___________________________
Date: ___________________________
CITY OF CHARLOTTE
By: _____________________________
Printed Name: ____________________
Title: ___________________________
Date: ___________________________
This instrument has been pre-audited in the manner required by the "Local Government
Budget and Fiscal Control Act".
________________________________
Deputy Finance Officer
Date: ____________________
25
EXHIBIT A
SCOPE OF SERVICES
26
EXHIBIT B
TIMETABLE
27
EXHIBIT C
FEE DETAIL
28
EXHIBIT D
CONFIDENTIALITY REQUIREMENTS
Company hereby agrees to comply with all confidentiality requirements set forth below in
connection with this Agreement.
1.
Confidential Information
Confidential Information includes any information, not generally known in the relevant
trade or industry, obtained from the City or its vendors or licensors or which falls within
any of the following general categories:
A.
Trade secrets. For purposes of this Agreement, trade secrets consist of
information of the City or any of its suppliers, contractors or licensors: (a) that
derives value from being secret; and (b) that the City has taken reasonable steps
to keep confidential. Examples of trade secrets include information relating to
proprietary software, new technology, new products or services, flow charts or
diagrams that show how things work, manuals that tell how things work and
business processes and procedures.
B.
Information of the City or its suppliers, contractors or licensors marked
“Confidential” or “Proprietary.”
C.
Information relating to criminal investigations conducted by the City, and records
of criminal intelligence information compiled by the City.
D.
Information contained in the City/County’s personnel files, as defined by N.C.
Gen. Stat. 160A-168. This consists of all information gathered and/or maintained
by the City about employees, except for that information which is a matter of
public record under North Carolina law.
E.
Citizen or employee social security numbers collected by the City.
F.
Computer security information of the City, including all security features of
electronic
data
processing,
or
information
technology
systems,
telecommunications networks and electronic security systems. This
encompasses but is not limited to passwords and security standards,
procedures, processes, configurations, software and codes.
G.
Local tax records of the City that contains information about a taxpayer’s income
or receipts.
H.
Any attorney / client privileged information disclosed by either party.
I.
Any data collected from a person applying for financial or other types of
assistance, including but not limited to their income, bank accounts, savings
accounts, etc.
J.
The name or address of individual homeowners who, based on their income,
have received a rehabilitation grant to repair their home.
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2.
K.
Building plans of City-owned buildings or structures, as well as any detailed
security plans.
L.
Billing information of customers compiled and maintained in connection with the
City providing utility services.
M.
Other information that is exempt from disclosure under the North Carolina public
records laws. Categories A through L above constitute “Highly Restricted
Information,” as well as Confidential Information. The Company acknowledges
that certain Highly Restricted Information is subject to legal restrictions beyond
those imposed by these requirements, and agrees that: (a) all requirements set
forth herein applicable to Confidential Information shall apply to Highly Restricted
Information; and (b) the Company will also comply with any more restrictive
instructions or written policies that may be provided by the City from time to time
to protect the confidentiality of Highly Restricted Information.
Restrictions
The Company shall keep the Confidential Information in the strictest confidence, in the
manner set forth below:
A.
It shall not copy, modify, enhance, compile or assemble (or reverse compile or
disassemble), or reverse engineer Confidential Information.
B.
It shall not, directly or indirectly, disclose, divulge, reveal, report or transfer
Confidential Information of the other to any third party or to any individual
employed by the Company, other than an employee, agent, subcontractor or
vendor of the City or Company who: (i) has a need to know such Confidential
Information, and (ii) has executed a confidentiality agreement incorporating
substantially the form of this Section and containing all protections set forth
herein.
C.
It shall not use any Confidential Information of the City for its own benefit or for
the benefit of a third party, except to the extent such use is authorized by City as
set forth herein, or is for the purpose for which such Confidential Information is
being disclosed.
D.
It shall not remove any proprietary legends or notices, including copyright
notices, appearing on or in the Confidential Information of the other.
E.
The Company shall use its best efforts to enforce the proprietary rights of the City
and the City’s vendors, licensors and suppliers (including but not limited to
seeking injunctive relief where reasonably necessary) against any person who
has possession of or discloses Confidential Information in a manner not
permitted by City.
F.
In the event that any demand is made in litigation, arbitration or any other
proceeding for disclosure of Confidential Information, the Company shall assert
these provisions as grounds for refusing the demand and, if necessary, shall
30
seek a protective order or other appropriate relief to prevent or restrict and
protect any disclosure of Confidential Information.
G.
3.
All materials which constitute, reveal or derive from Confidential Information shall
be kept confidential to the extent disclosure of such materials would reveal
Confidential Information, and unless otherwise agreed, all such materials shall be
returned to the City or destroyed upon satisfaction of the purpose of the
disclosure of such information.
Exceptions
The parties agree that the Company shall have no obligation with respect to any
Confidential Information which the Company can establish:
A.
Was already known to the Company prior to being disclosed by the disclosing
party;
B.
Was or becomes publicly known through no wrongful act of the Companny;
C.
Was rightfully obtained by the Company from a third party without similar
restriction and without breach hereof;
D.
Was used or disclosed by the Company with the prior written authorization of the
City;
E.
Was disclosed pursuant to the requirement or request of a governmental agency,
which disclosure cannot be made in confidence, provided that, in such instance,
the Company shall first give to the City notice of such requirement or request;
F.
Was disclosed pursuant to the order of a court of competent jurisdiction or a
lawfully issued subpoena, provided that the Company shall take use its best
efforts to obtain an agreement or protective order providing that, to the greatest
possible extent possible, the confidentiality requirements set forth herein will be
applicable to all disclosures under the court order or subpoena.
4.
Unintentional Disclosure
Notwithstanding anything contained herein in to the contrary, in the event that the
Company is unintentionally exposed to any Confidential Information of the City, the
Company agrees that it shall not, directly or indirectly, disclose, divulge, reveal, report or
transfer such Confidential Information to any person or entity or use such Confidential
Information for any purpose whatsoever.
5.
Remedies
The Company acknowledges that the unauthorized disclosure of the Confidential
Information of the City will diminish the value of the proprietary interests therein.
Accordingly, it is agreed that if the Company breaches its obligations hereunder, the
City shall be entitled to equitable relief to protect its interests, including but not limited to
injunctive relief, as well as monetary damages.
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EXHIBIT E
CAD STANDARDS
-
-
-
-
-
-
-
-
Digital files shall be provided in AutoCAD R2004 format or newer.
The Airport is to be given the most current digital version of any project drawing (contract
documents or record drawings) including revisions and addendum. At any time during the
design process the Airport may request project files (or portion thereof) for internal use.
The Airport’s layering convention is to be used for all drawings. Copies of this convention
will be provided upon request.
All ModelSpace entities are to be oriented according to NC SPCS (NAD83; N-E US foot).
ModelSpace entities with an explicit elevation (e.g. topographic contour lines) shall have
the corresponding Z coordinate. ModelSpace entities are not to be cut, trimmed, moved,
scaled or rotated for plotting or for any other purpose.
All plotted sheets shall be plotted using PaperSpace. All entities associated only with the
plotted sheet shall be in PaperSpace. This includes title blocks, sheet borders, legends,
general notes, north arrows, vicinity maps, professional certifications and seals, graphic
scales, page break lines, and company logos. The Airport’s project number shall be
clearly displayed on each sheet along with the file name. Details, sections, and profiles are
not to be placed in ModelSpace but are to be placed in PaperSpace (either as an external
reference or insert on a dedicated layer) and scaled as necessary to fit the sheet or portion
thereof. The only exception to this would be drawings that are strictly dedicated to details,
sections, or profiles (no entities with real world coordinates). Text in ModelSpace is
acceptable only where it is associated with an adjacent entity (e.g. street name near the
street, sewer line sizes near the sewer line, metes and bounds, stationing text).
Dimensions are not to be exploded.
External referencing of data is mandatory where reduction of drawing size is possible. If
used, referenced files such as external references (XREFs), and images shall be supplied
with drawings as referenced in host drawing. Special fonts (any font not provided w/
AutoCad 2004) shall be provided with drawings. Only standard AutoCad linetypes and
hatch patterns shall be used. Shapefiles should be included also.
The Airport shall be provided with all that is needed to reproduce hardcopies to their
original form from the digital data. Plot supporting files such as PCP, PC2, PC3, CTB, and
STB files shall be provided with drawing files.
All unreferenced layers, blocks, styles, and linetypes shall be purged from drawings.
Blocks shall be inserted on a layer indicative of the block or related entities (e.g., SS
manhole block insert on SS layer). Blocks are not to be nested.
System variable settings:
Insbase 0.0, 0.0, 0.0
Visretain 1
Elevation 0.0
Linetype “Bylayer”
Thickness 0.0
Color “Bylayer”
UCS set to World Coordinate System
Direction for angle 0 degrees is East or three o'clock position with positive rotation being
counter-clockwise.
All polylines shall be 2D polylines except where variations in Z coordinate requires use of
3D polylines. All polylines shall have linetype setting of "ON" (Intermittent linetypes
generate without respect to number and proximity of vertices).
Point of Contact:
Kerry Norton
Senior CAD Technician
32
Charlotte/Douglas International Airport
Aviation Director's Office
5501 Josh Birmingham Parkway
Charlotte, NC 28214
704-359-4019 (voice)
704-359-4950 (fax)
kknorton@charlotteairport.com
33
EXHIBIT F
MANDATORY FEDERAL PROVISIONS (updated 10.9.2013)
***The following federal contract provisions apply to all professional services contracts funded in
whole or in part by AIP grant funds:
1.
ACCESS TO RECORDS AND REPORTS
The Contractor must maintain an acceptable cost accounting system. The Contractor agrees
to provide the Sponsor, the Federal Aviation Administration and the Comptroller General of the
United States or any of their duly authorized representatives access to any books, documents,
papers, and records of the contractor which are directly pertinent to the specific contract for the
purpose of making audit, examination, excerpts and transcriptions. The Contractor agrees to
maintain all books, records and reports required under this contract for a period of not less
than three years after final payment is made and all pending matters are closed.
2.
BUY AMERICAN CERTIFICATION
The contractor agrees to comply with 49 USC § 50101, which provides that Federal funds
may not be obligated unless all steel and manufactured goods used in AIP-funded projects
are produced in the United States, unless the FAA has issued a waiver for the product; the
product is listed as an Excepted Article, Material Or Supply in Federal Acquisition Regulation
subpart 25.108; or is included in the FAA Nationwide Buy American Waivers Issued list.
A bidder or offeror must submit the appropriate Buy America certification (below) with all bids
or offers on AIP funded projects. Bids or offers that are not accompanied by a completed Buy
America certification must be rejected as nonresponsive.
Type of Certification is based on Type of Project:
There are two types of Buy American certifications.
• For projects for a facility, the Certificate of Compliance Based on Total Facility
(Terminal or Building Project) must be submitted.
• For all other projects, the Certificate of Compliance Based on Equipment and Materials
Used on the Project (Non-building construction projects such as runway or roadway
construction; or equipment acquisition projects) must be submitted.
*****
Certificate of Buy American Compliance for Total Facility
(Buildings such as Terminal, SRE, ARFF, etc.)
As a matter of bid responsiveness, the bidder or offeror must complete, sign, date, and submit
this certification statement with their proposal. The bidder or offeror must indicate how they
intend to comply with 49 USC § 50101 by selecting one of the following certification
statements. These statements are mutually exclusive. Bidder must select one or the other
(i.e. not both) by inserting a checkmark () or the letter “X”.
 Bidder or offeror hereby certifies that it will comply with 49 USC. 50101 by:
a) Only installing steel and manufactured products produced in the United States; or
34
b)
Installing manufactured products for which the FAA has issued a waiver as
indicated by inclusion on the current FAA Nationwide Buy American Waivers
Issued listing; or
c) Installing products listed as an Excepted Article, Material or Supply in Federal
Acquisition Regulation Subpart 25.108.
By selecting this certification statement, the bidder or offeror agrees:
1. To provide to the Owner evidence that documents the source and origin of the
steel and manufactured product.
2. To faithfully comply with providing US domestic products
3. To refrain from seeking a waiver request after establishment of the contract,
unless extenuating circumstances emerge that the FAA determines justified.
 The bidder or offeror hereby certifies it cannot comply with the 100% Buy American
Preferences of 49 USC § 50101(a) but may qualify for either a Type 3 or Type 4
waiver under 49 USC § 50101(b). By selecting this certification statement, the
apparent bidder or offeror with the apparent low bid agrees:
1. To the submit to the Owner within 15 calendar days of the bid opening, a
formal waiver request and required documentation that support the type of
waiver being requested.
2. That failure to submit the required documentation within the specified
timeframe is cause for a non-responsive determination may results in rejection
of the proposal.
3. To faithfully comply with providing US domestic products at or above the
approved US domestic content percentage as approved by the FAA.
4. To furnish US domestic product for any waiver request that the FAA rejects.
5. To refrain from seeking a waiver request after establishment of the contract,
unless extenuating circumstances emerge that the FAA determines justified.
Required Documentation
Type 3 Waiver - The cost of components and subcomponents produced in the United
States is more that 60% of the cost of all components and subcomponents of the
“facility”. The required documentation for a type 3 waiver is:
a) Listing of all manufactured products that are not comprised of 100% US domestic
content (Excludes products listed on the FAA Nationwide Buy American Waivers
Issued listing and products excluded by Federal Acquisition Regulation Subpart
25.108; products of unknown origin must be considered as non-domestic
products in their entirety)
b) Cost of non-domestic components and subcomponents, excluding labor costs
associated with final assembly and installation at project location.
c) Percentage of non-domestic component and subcomponent cost as compared to
total “facility” component and subcomponent costs, excluding labor costs
associated with final assembly and installation at project location.
Type 4 Waiver – Total cost of project using US domestic source product exceeds the
total project cost using non-domestic product by 25%. The required documentation for a
type 4 of waiver is:
a) Detailed cost information for total project using US domestic product
b) Detailed cost information for total project using non-domestic product
False Statements: Per 49 USC § 47126, this certification concerns a matter within
the jurisdiction of the Federal Aviation Administration and the making of a false,
35
fictitious or fraudulent certification may render the maker subject to prosecution under
Title 18, United States Code.
Date
Signature
Company Name
Title
*****
Certificate of Buy American Compliance for Manufactured Products
(Non-building construction projects, equipment acquisition projects)
As a matter of bid responsiveness, the bidder or offeror must complete, sign, date, and submit
this certification statement with their proposal. The bidder or offeror must indicate how they
intend to comply with 49 USC § 50101 by selecting one on the following certification
statements. These statements are mutually exclusive. Bidder must select one or the other
(not both) by inserting a checkmark () or the letter “X”.
 Bidder or offeror hereby certifies that it will comply with 49 USC § 50101 by:
a) Only installing steel and manufactured products produced in the United States,
or;
b) Installing manufactured products for which the FAA has issued a waiver as
indicated by inclusion on the current FAA Nationwide Buy American Waivers
Issued listing, or;
c) Installing products listed as an Excepted Article, Material or Supply in Federal
Acquisition Regulation Subpart 25.108.
By selecting this certification statement, the bidder or offeror agrees:
1. To provide to the Owner evidence that documents the source and origin of the
steel and manufactured product.
2. To faithfully comply with providing US domestic product
3. To furnish US domestic product for any waiver request that the FAA rejects
4. To refrain from seeking a waiver request after establishment of the contract,
unless extenuating circumstances emerge that the FAA determines justified.
 The bidder or offeror hereby certifies it cannot comply with the 100% Buy American
Preferences of 49 USC § 50101(a) but may qualify for either a Type 3 or Type 4
waiver under 49 USC § 50101(b). By selecting this certification statement, the
apparent bidder or offeror with the apparent low bid agrees:
1. To the submit to the Owner within 15 calendar days of the bid opening, a
formal waiver request and required documentation that support the type of
waiver being requested.
2. That failure to submit the required documentation within the specified
timeframe is cause for a non-responsive determination may result in rejection
of the proposal.
3. To faithfully comply with providing US domestic products at or above the
approved US domestic content percentage as approved by the FAA.
4. To refrain from seeking a waiver request after establishment of the contract,
unless extenuating circumstances emerge that the FAA determines justified.
Required Documentation
Type 3 Waiver - The cost of the item components and subcomponents produced in
36
the United States is more that 60% of the cost of all components and subcomponents
of the “item”. The required documentation for a type 3 waiver is:
a) Listing of all product components and subcomponents that are not comprised of
100% US domestic content (Excludes products listed on the FAA Nationwide Buy
American Waivers Issued listing and products excluded by Federal Acquisition
Regulation Subpart 25.108; products of unknown origin must be considered as
non-domestic products in their entirety)
b) Cost of non-domestic components and subcomponents, excluding labor costs
associated with final assembly at place of manufacture.
c) Percentage of non-domestic component and subcomponent cost as compared to
total “item” component and subcomponent costs, excluding labor costs
associated with final assembly at place of manufacture.
Type 4 Waiver – Total cost of project using US domestic source product exceeds the
total project cost using non-domestic product by 25%. The required documentation for
a type 4 of waiver is:
a) Detailed cost information for total project using US domestic product
b) Detailed cost information for total project using non-domestic product
False Statements: Per 49 USC § 47126, this certification concerns a matter within the
jurisdiction of the Federal Aviation Administration and the making of a false, fictitious or
fraudulent certification may render the maker subject to prosecution under Title 18, United
States Code.
Date
Signature
Company Name
Title
3.
GENERAL CIVIL RIGHTS PROVISIONS
The contractor agrees that it will comply with pertinent statutes, Executive Orders and such
rules as are promulgated to ensure that no person shall, on the grounds of race, creed, color,
national origin, sex, age, or handicap be excluded from participating in any activity conducted
with or benefiting from Federal assistance.
This provision binds the contractors from the bid solicitation period through the completion of
the contract. This provision is in addition to that required of Title VI of the Civil Rights Act of
1964.
This provision also obligates the tenant/concessionaire/lessee or its transferee for the period
during which Federal assistance is extended to the airport through the Airport Improvement
Program, except where Federal assistance is to provide, or is in the form of personal property;
real property or interest therein; structures or improvements thereon.
In these cases the provision obligates the party or any transferee for the longer of the following
periods:
(a) the period during which the property is used by the airport sponsor or any transferee for
a purpose for which Federal assistance is extended, or for another purpose involving the
37
provision of similar services or benefits; or
(b) the period during which the airport sponsor or any transferee retains ownership or
possession of the property.
4.
CIVIL RIGHTS – TITLE VI ASSURANCES
A.
Title VI Solicitation Notice
(Source: Appendix 4 of FAA Order 1400.11, Nondiscrimination in Federally-Assisted
Programs at the Federal Aviation Administration)
Title VI Solicitation Notice:
The Owner, in accordance with the provisions of Title VI of the Civil Rights Act of 1964
(78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all
bidders that it will affirmatively ensure that any contract entered into pursuant to this
advertisement, disadvantaged business enterprises will be afforded full and fair
opportunity to submit bids in response to this invitation and will not be discriminated
against on the grounds of race, color, or national origin in consideration for an award.
B.
Title VI Clauses for Compliance with Nondiscrimination Requirements
(Source: Appendix A of Appendix 4 of FAA Order 1400.11, Nondiscrimination in FederallyAssisted Programs at the Federal Aviation Administration)
Compliance with Nondiscrimination Requirements
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the “contractor”) agrees as follows:
1. Compliance with Regulations: The contractor (hereinafter includes consultants) will
comply with the Title VI List of Pertinent Nondiscrimination Statutes and
Authorities, as they may be amended from time to time, which are herein incorporated
by reference and made a part of this contract.
2. Non-discrimination: The contractor, with regard to the work performed by it during the
contract, will not discriminate on the grounds of race, color, or national origin in the
selection and retention of subcontractors, including procurements of materials and leases
of equipment. The contractor will not participate directly or indirectly in the discrimination
prohibited by the Acts and the Regulations, including employment practices when the
contract covers any activity, project, or program set forth in Appendix B of 49 CFR part
21.
3. Solicitations for Subcontracts, Including Procurements of Materials and
Equipment: In all solicitations, either by competitive bidding, or negotiation made by the
contractor for work to be performed under a subcontract, including procurements of
materials, or leases of equipment, each potential subcontractor or supplier will be notified
by the contractor of the contractor’s obligations under this contract and the Acts and the
Regulations relative to Non-discrimination on the grounds of race, color, or national
origin.
38
4. Information and Reports: The contractor will provide all information and reports
required by the Acts, the Regulations, and directives issued pursuant thereto and will
permit access to its books, records, accounts, other sources of information, and its
facilities as may be determined by the sponsor or the Federal Aviation Administration to
be pertinent to ascertain compliance with such Acts, Regulations, and instructions.
Where any information required of a contractor is in the exclusive possession of another
who fails or refuses to furnish the information, the contractor will so certify to the sponsor
or the Federal Aviation Administration, as appropriate, and will set forth what efforts it has
made to obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor’s noncompliance with the
Non-discrimination provisions of this contract, the sponsor will impose such contract
sanctions as it or the Federal Aviation Administration may determine to be appropriate,
including, but not limited to:
a. Withholding payments to the contractor under the contract until the contractor
complies; and/or
b. Cancelling, terminating, or suspending a contract, in whole or in part.
6. Incorporation of Provisions: The contractor will include the provisions of paragraphs
one through six in every subcontract, including procurements of materials and leases of
equipment, unless exempt by the Acts, the Regulations and directives issued pursuant
thereto. The contractor will take action with respect to any subcontract or procurement
as the sponsor or the Federal Aviation Administration may direct as a means of enforcing
such provisions including sanctions for noncompliance. Provided, that if the contractor
becomes involved in, or is threatened with litigation by a subcontractor, or supplier
because of such direction, the contractor may request the sponsor to enter into any
litigation to protect the interests of the sponsor. In addition, the contractor may request
the United States to enter into the litigation to protect the interests of the United States.
C.
Title VI List of Pertinent Nondiscrimination Authorities
(Source: Appendix E of Appendix 4 of FAA Order 1400.11, Nondiscrimination in FederallyAssisted Programs at the Federal Aviation Administration)
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the “contractor”) agrees to comply with the following nondiscrimination statutes and authorities; including but not limited to:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin);
• 49 CFR part 21 (Non-discrimination In Federally-Assisted Programs of The Department
of Transportation—Effectuation of Title VI of The Civil Rights Act of 1964);
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
(42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property
has been acquired because of Federal or Federal-aid programs and projects);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended,
(prohibits discrimination on the basis of disability); and 49 CFR part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
39
•
•
•
•
•
•
•
Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as
amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope,
coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age
Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by
expanding the definition of the terms “programs or activities” to include all of the
programs or activities of the Federal-aid recipients, sub-recipients and contractors,
whether such programs or activities are Federally funded or not);
Titles II and III of the Americans with Disabilities Act of 1990, which prohibit
discrimination on the basis of disability in the operation of public entities, public and
private transportation systems, places of public accommodation, and certain testing
entities (42 U.S.C. §§ 12131 – 12189) as implemented by Department of Transportation
regulations at 49 CFR parts 37 and 38;
The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123)
(prohibits discrimination on the basis of race, color, national origin, and sex);
Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations, which ensures discrimination against
minority populations by discouraging programs, policies, and activities with
disproportionately high and adverse human health or environmental effects on minority
and low-income populations;
Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance with
Title VI, you must take reasonable steps to ensure that LEP persons have meaningful
access to your programs (70 Fed. Reg. at 74087 to 74100);
Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. 1681 et
seq).
5. DISADVANTAGED BUSINESS ENTERPRISES
Contract Assurance (§ 26.13) - The contractor or subcontractor shall not discriminate on the
basis of race, color, national origin, or sex in the performance of this contract. The contractor
shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of
DOT assisted contracts. 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 recipient deems appropriate.
Prompt Payment (§26.29) - The prime contractor agrees to pay each subcontractor under this
prime contract for satisfactory performance of its contract no later than seven (7) days from the
receipt of each payment the prime contractor receives from Owner. The prime contractor
agrees further to return retainage payments to each subcontractor within seven (7) days after
the subcontractor's work is satisfactorily completed. Any delay or postponement of payment
from the above referenced time frame may occur only for good cause following written
approval of the Owner. This clause applies to both DBE and non-DBE subcontractors.
6.
FAIR LABOR STANDARDS ACT
All contracts and subcontracts must comply with the provisions of the Fair Labor Standards
40
Act, including the recordkeeping standards of the Act.
7.
LOBBYING AND INFLUENCING FEDERAL EMPLOYEES
The bidder or offeror certifies by signing and submitting this bid or proposal, to the best of his
or her knowledge and belief, that:
1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
bidder or offeror, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
2) If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure
Form to Report Lobbying,” in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less
than $10,000 and not more than $100,000 for each such failure.
8.
OCCUPATIONAL SAFETY AND HEALTH ACT OF 1970
The United States Department of Labor Occupational Safety & Health Administration (OSHA)
oversees the workplace health and safety standards wage provisions from the Occupational
Safety and Health Act of 1970. All contracts and subcontracts must meet comply with the
Occupational Safety and Health Act of 1970.
9.
RIGHT TO INVENTIONS
All rights to inventions and materials generated under this contract are subject to requirements and
regulations issued by the FAA and the Sponsor of the Federal grant under which this contract is
executed.
10.
TRADE RESTRICTION
The contractor or subcontractor, by submission of an offer and/or execution of a contract,
certifies that it:
a. is not owned or controlled by one or more citizens of a foreign country included in the list of
countries that discriminate against U.S. firms published by the Office of the United States
41
Trade Representative (USTR);
b. has not knowingly entered into any contract or subcontract for this project with a person that
is a citizen or national of a foreign country on said list, or is owned or controlled directly or
indirectly by one or more citizens or nationals of a foreign country on said list;
c. has not procured any product nor subcontracted for the supply of any product for use on the
project that is produced in a foreign country on said list.
Unless the restrictions of this clause are waived by the Secretary of Transportation in
accordance with 49 CFR 30.17, no contract shall be awarded to a contractor or subcontractor
who is unable to certify to the above. If the contractor knowingly procures or subcontracts for
the supply of any product or service of a foreign country on said list for use on the project, the
Federal Aviation Administration may direct through the Sponsor cancellation of the contract at
no cost to the Government.
Further, the contractor agrees that, if awarded a contract resulting from this solicitation, it will
incorporate this provision for certification without modification in each contract and in all lower
tier subcontracts. The contractor may rely on the certification of a prospective subcontractor
unless it has knowledge that the certification is erroneous.
The contractor shall provide immediate written notice to the sponsor if the contractor learns
that its certification or that of a subcontractor was erroneous when submitted or has become
erroneous by reason of changed circumstances. The subcontractor agrees to provide written
notice to the contractor if at any time it learns that its certification was erroneous by reason of
changed circumstances.
This certification is a material representation of fact upon which reliance was placed when
making the award. If it is later determined that the contractor or subcontractor knowingly
rendered an erroneous certification, the Federal Aviation Administration may direct through the
Sponsor cancellation of the contract or subcontract for default at no cost to the Government.
Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render, in good faith, the certification required by this provision. The
knowledge and information of a contractor is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
This certification concerns a matter within the jurisdiction of an agency of the United States of
America and the making of a false, fictitious, or fraudulent certification may render the maker
subject to prosecution under Title 18, United States Code, Section 1001.
42
***The following federal contract provisions apply only to professional services contracts funded in
whole or in part by AIP grant funds that exceed $10,000:
1.
TERMINATION OF CONTRACT
a. The Sponsor may, by written notice, terminate this contract in whole or in part at any time,
either for the Sponsor's convenience or because of failure to fulfill the contract obligations.
Upon receipt of such notice services must be immediately discontinued (unless the notice
directs otherwise) and all materials as may have been accumulated in performing this contract,
whether completed or in progress, delivered to the Sponsor.
b. If the termination is for the convenience of the Sponsor, an equitable adjustment in the
contract price will be made, but no amount will be allowed for anticipated profit on unperformed
services.
c. If the termination is due to failure to fulfill the contractor's obligations, the Sponsor may take
over the work and prosecute the same to completion by contract or otherwise. In such case,
the contractor is be liable to the Sponsor for any additional cost occasioned to the Sponsor
thereby.
d. If, after notice of termination for failure to fulfill contract obligations, it is determined that the
contractor had not so failed, the termination will be deemed to have been effected for the
convenience of the Sponsor. In such event, adjustment in the contract price will be made as
provided in paragraph 2 of this clause.
e. The rights and remedies of the sponsor provided in this clause are in addition to any other
rights and remedies provided by law or under this contract.
43
***The following federal contract provisions apply only to professional services contracts funded in
whole or in part by AIP grant funds that exceed $25,000:
1.
DEBARMENT AND SUSPENSION
A. Certification Regarding Debarment and Suspension (Bidder or Offeror)
By submitting a bid/proposal under this solicitation, the bidder or offeror certifies that at the
time the bidder or offeror submits its proposal that neither it nor its principals are presently
debarred or suspended by any Federal department or agency from participation in this
transaction.
B. Certification Regarding Debarment and Suspension (Successful Bidder Regarding Lower Tier
Participants)
The successful bidder, by administering each lower tier subcontract that exceeds $25,000 as a
“covered transaction”, must verify each lower tier participant of a “covered transaction” under
the project is not presently debarred or otherwise disqualified from participation in this federally
assisted project. The successful bidder will accomplish this by:
1. Checking the System for Award Management at website: http://www.sam.gov
2. Collecting a certification statement similar to the Certificate Regarding Debarment and
Suspension (Bidder or Offeror), above.
3. Inserting a clause or condition in the covered transaction with the lower tier contract
If the FAA later determines that an lower tier participant failed to tell a higher tier that it was
excluded or disqualified at the time it entered the covered transaction, the FAA may pursue
any available remedy, including suspension and debarment.
44
***The following federal contract provisions apply only to professional services contracts funded in
whole or in part by AIP grant funds that exceed $100,000:
1.
BREACH OF CONTRACT TERMS
Any violation or breach of terms of this contract on the part of the contractor or its subcontractors
may result in the suspension or termination of this contract or such other action that may be
necessary to enforce the rights of the parties of this agreement. The duties and obligations
imposed by the Contract Documents and the rights and remedies available thereunder are in
addition to, and not a limitation of, any duties, obligations, rights and remedies otherwise imposed
or available by law.
2.
CLEAN AIR AND WATER POLLUTION CONTROL
Contractors and subcontractors agree:
1. That any facility to be used in the performance of the contract or subcontract or to benefit
from the contract is not listed on the Environmental Protection Agency (EPA) List of Violating
Facilities;
2. To comply with all the requirements of Section 114 of the Clean Air Act, as amended, 42
U.S.C. 1857 et seq. and Section 308 of the Federal Water Pollution Control Act, as amended,
33 U.S.C. 1251 et seq. relating to inspection, monitoring, entry, reports, and information, as
well as all other requirements specified in Section 114 and Section 308 of the Acts,
respectively, and all other regulations and guidelines issued thereunder;
3. That, as a condition for the award of this contract, the contractor or subcontractor will notify
the awarding official of the receipt of any communication from the EPA indicating that a facility
to be used for the performance of or benefit from the contract is under consideration to be
listed on the EPA List of Violating Facilities;
4. To include or cause to be included in any construction contract or subcontract which
exceeds $ 100,000 the aforementioned criteria and requirements.
3.
CONTRACT WORKHOURS AND SAFETY STANDARDS ACT REQUIREMENTS
1. Overtime Requirements.
No contractor or subcontractor contracting for any part of the contract work which may require
or involve the employment of laborers or mechanics shall require or permit any such laborer or
mechanic, including watchmen and guards, in any workweek in which he or she is employed
on such work to work in excess of forty hours in such workweek unless such laborer or
mechanic receives compensation at a rate not less than one and one-half times the basic rate
of pay for all hours worked in excess of forty hours in such workweek.
2. Violation; Liability for Unpaid Wages; Liquidated Damages.
In the event of any violation of the clause set forth in paragraph (1) above, the contractor and
any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such
45
contractor and subcontractor shall be liable to the United States (in the case of work done
under contract for the District of Columbia or a territory, to such District or to such territory), for
liquidated damages. Such liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and guards, employed in violation of the
clause set forth in paragraph 1 above, in the sum of $10 for each calendar day on which such
individual was required or permitted to work in excess of the standard workweek of forty hours
without payment of the overtime wages required by the clause set forth in paragraph 1 above.
3. Withholding for Unpaid Wages and Liquidated Damages.
The Federal Aviation Administration or the Sponsor shall upon its own action or upon written
request of an authorized representative of the Department of Labor withhold or cause to be
withheld, from any monies payable on account of work performed by the contractor or
subcontractor under any such contract or any other Federal contract with the same prime
contractor, or any other Federally-assisted contract subject to the Contract Work Hours and
Safety Standards Act, which is held by the same prime contractor, such sums as may be
determined to be necessary to satisfy any liabilities of such contractor or subcontractor for
unpaid wages and liquidated damages as provided in the clause set forth in paragraph 2
above.
4. Subcontractors.
The contractor or subcontractor shall insert in any subcontracts the clauses set forth in
paragraphs 1 through 4 and also a clause requiring the subcontractor to include these clauses
in any lower tier subcontracts. The prime contractor shall be responsible for compliance by
any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs 1 through
4 of this section.
46
EXHIBIT G
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
THE DBE GOAL FOR THIS PROJECT IS __TBD____.
This Contract is subject to the requirements of 49 CFR Part 26 Participation by DBE in
Department of Transportation Financial Assistance Programs
I.
CONTACT
Questions regarding the City’s DBE Contract Provisions and Forms should be directed to:
Laura Dahlberg, Airport DBE Liaison Officer (DBELO)
P.O. Box 19066
Charlotte, NC 28219
Telephone: (704) 359-1910
Facsimile: (704)359-4950
Email: ladahlberg@cltairport.com
II.
APPLICATION
The City’s Disadvantaged Business Enterprise Program (“DBE Program”) is
incorporated into and made a part of the Proposal Documents and resulting Contract.
Copies of the DBE Program may be obtained online at www.cltairport.com.
Pursuant to 49 CFR Part 26 and the DBE Program, all Proposers must affirmatively
ensure that in any contract entered into with the City for applicable projects, DBEs will
be afforded equal opportunity to participate in subcontracting opportunities.
Failure by any contractor to comply with the DBE Program after award shall constitute a
breach of the Contract. Failure to cure the breach within fifteen (15) days after written
notice of the breach shall entitle the City to terminate the Contract and or exercise other
appropriate rights and remedies including, without limitation, withholding of funds until
such time as Contractor complies with all the DBE requirements.
The Proposer shall thoroughly examine and be familiar with provisions of 49 CFR Part
26 and the DBE Program.
Submission of a Proposal shall constitute an
acknowledgment upon which the City may rely that the Proposer has thoroughly
examined, and is familiar with said regulations and Contract requirements. Failure or
neglect of a Proposer to receive or examine any of these government regulations and
contract requirements shall in no way relieve him from any obligations with respect to
his Proposal or this Contract.
III.
DEFINITIONS
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1. Disadvantaged Business Enterprise (DBE) is defined as “A for-profit small business
concern – (1) That is at least 51 percent owned by one or more individuals who are
both socially and economically disadvantaged or, in the case of a corporation, in
which 51 percent of the stock is owned by one or more such individuals; and (2)
Whose management and daily business operations are controlled by one or more of
the socially and economically disadvantage individuals who own it.
2. Socially and economically disadvantaged individuals means any individual who is a
citizen (or lawfully admitted permanent resident) of the United States who is –
A. Any individual who a recipient finds to be a socially and economically
disadvantage individual on a case-by-case basis.
B. Any individual in the following groups, members of which are rebuttably
presumed to be socially and economically disadvantaged:
i.
“Black Americans”, which includes persons having origins in any of the Black
racial groups of Africa;
IV.
ii.
"Hispanic Americans, includes persons of Mexican, Puerto Rican, Cuban,
Dominican, Central or South American, or other Spanish or Portuguese
culture or origin, regardless of race;
iii.
"Native Americans, includes persons who are American Indians, Eskimos,
Aleuts, or Native Hawaiians;
iv.
"Asian-Pacific Americans”, which includes persons whose origins are from
Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia
(Kampuchea), Thailand, Malaysia, Indonesia, The Philippines, Brunei,
Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of
Palau)the Commonwealth of the Northern Marianas Islands, Macao, Fiji,
Tonga, Kirbati, Juvalu, Nauru, Federated States of Micronesia, or Hong
Kong;
v.
"Subcontinent Asian Americans”, which includes persons whose origins are
from India, Pakistan and Bangladesh, Bhutan, the Maldives Islands, Nepal, or
Sri Lanka;
vi.
Women;
vii.
Any additional groups whose members are designated as socially and
economically disadvantaged by the SBA, at such time as the SBA designation
becomes effective.
REQUIRED DOCUMENTATION
The DBE participation for this contract will be negotiated with the selected proposer.
The negotiated goal will be made part of your Contract.
The required forms are listed below.
48
1. The Proposer should submit its proposed DBE utilization on DBE Form 3
(Subcontractor / Supplier Utilization Commitment Form) listing subcontractors and
suppliers that will be providing goods or services and their respective scope of
work/service to be performed. No Dollar ($) amount required. Submit DBE Form 3
with your proposal.
A copy of each DBE company’s NCDOT Directory (www.ncdot.gov) printout may be
attached to the form as backup documentation for proof of certification.
Blank forms will be deemed to represent zero participation.
2. This section was left blank intentionally.
3. For this contract, The Letter of Intent (DBE Form 4) must be completed for EACH
North Carolina Department of Transportation (NCDOT) certified DBE listed on DBE
Form 3. Letter of Intents are not required to be submitted with the Proposal,
however the apparent low Bidder/selected Proposer will be required to submit
Letters of Intent within 3 business days from the time the City makes the request.
4. The City requires Proposers to replace a DBE participant that is unable to perform
successfully with another DBE, to the best of their ability. The Proposer shall not
terminate, replace, or reduce the scope of work of a DBE subcontractor listed on
Proposal without the DBE Liaison Officer’s (DBELO) prior consent. To terminate,
replace, or reduce the scope of work of a DBE subcontractor, the Proposer must
follow the procedure stated in Section 26.53(f) of the DBE Program.
Any alterations, substitutions, deletions, etc., to data provided to the City must have
prior approval of the DBELO.
V.
This Section was left blank intentionally
VI.
DBE PARTICIPATION TOWARDS DBE GOAL
The degree of DBE goal l attainment should be calculated as follows:
1. When a DBE participates in a contract, only the value of the work actually performed
by the DBE will count toward the DBE goal including:
A. The cost of supplies and materials purchased or leased by the DBE for the
work of the Contract (except supplies and equipment the DBE subcontractor
purchases or leases from the prime contractor or its affiliate).
B. Fees or commissions charged by a DBE for providing a bona fide service,
such as professional, technical, consultant, or managerial services, or for
providing bonds; provided such fees and/or commissions are reasonable and
not excessive as compared with fees and/or commissions customarily
allowed for similar services.
C. When a DBE subcontracts part of the work of its contract to another firm, the
value of the subcontracted work may be counted toward DBE goals only if the
49
DBE’s subcontractor is itself a DBE. Work that a DBE subcontracts to a nonDBE firm does not count toward DBE goal.
2. When a DBE is a participant in a joint venture, only the value of the work and/or
services actually performed by the DBE shall be counted toward the DBE goal.
3. Only those expenditures made by the DBE that correspond to a commercially useful
function in the work of a contract will count towards the DBE goal. If a DBE
subcontracts a significantly greater portion of the work of the contract than would be
expected on the basis of normal industry practices, the DBE will not be considered
to be performing a commercially useful function.
4. Proposers will receive 60% credit toward goal attainment for use of DBE suppliers
(i.e., where a Proposer proposes to purchase $100,000 worth of construction
materials from a DBE Supplier, $60,000 will be credited toward the Proposer's DBE
participation goal). However, where the supplier is the manufacturer of the product
supplied, Proposers will receive DBE credit for 100% of the dollar amount of the
supply contract.
5. Agreements between a Proposer and a DBE in which the DBE promises not to
provide subcontracting quotations to other Proposers are prohibited.
VII.
DBE REPORTING AND RECORD KEEPING REQUIREMENTS
Once a Proposer has been awarded a Contract, there are continuing obligations under
the DBE Program. The City shall verify the veracity and accuracy of representations
made by contractors as well as to ensure their compliance with these requirements.
Failure by the Contractor to comply with these requirements will result in the remedies
mentioned in Section IX of these provisions. These procedures will include, but not be
limited to, the following:
1. The Contractor shall submit a signed contract for each subcontractor the Contractor
uses in relation to this contract. The subcontract must show that the nondiscrimination, retainage, and prompt payment assurances (mentioned in Section
VIII of this provisions) have been included. The Contractor should highlight the areas
were these assurance are mentioned in each agreement. The contract(s) should be
submitted before the said subcontractor starts doing work for this contract.
NOTE: These subcontracts might be considered public records. You may redact all
financial information before submitting to the City, as this information is not relevant
to our review.
2. The Contractor shall submit DBE Utilization Progress Reports (DBE Form 6) once a
month attached to his request for payment from the City.
3. The Contractor shall bring to the attention of the DBELO any situation in which
regularly scheduled progress payments are not made to DBE subcontractors.
50
4. The City will require prime contractors to maintain records and documents of
payments to DBEs for three years following the performance of the Contract. These
records will be made available for inspection upon request by any authorized
representative of the City or USDOT. This reporting requirement also extends to
any certified DBE subcontractor.
5. The City requires prime Contractors to replace a DBE participant that is unable to
perform successfully, to the best of their ability, with another DBE. The Contractor
shall not terminate, replace, or reduce the scope of work of a DBE subcontractor
listed on the contract without the DBELO’s prior consent. To terminate, replace, or
reduce the scope of work of a DBE subcontractor, the Contractor must follow the
procedure stated in Section 26.53(f): Good Faith Efforts When a DBE is
terminated/replaced on a contract of the DBE Program.
6. Any alterations, substitutions, deletions, etc., to data provided to the City must have
prior approval of the DBELO.
7. The City will monitor the progress of DBE work through on-site visits, communication
with DBEs, and review reports regarding employment as well as DBE participation.
The City may, in its sole discretion, perform audits of contract payments to DBEs.
The audit will review payments to DBE subcontractors to ensure that the actual
amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in
the schedule of DBE participation.
VIII.
CONTRACT ASSURANCE CLAUSES
The Contractor shall include in each subcontract the Contractor signs with a
subcontractor the following provisions:
Non-Discrimination
“The contractor, sub recipient or subcontractor shall not discriminate on the basis of
race, color, national origin, or sex in the performance of this contract. The contractor
shall carry out applicable requirements of 46 CFR Part 26 in the award and
administration of DOT-assisted contracts. 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 recipient deems
appropriate.”
Prompt Payment
“The prime contractor agrees to pay each subcontractor under this prime contract for
satisfactory performance of its contract no later than seven (7) days from the receipt
of each periodic or final payment the full amount the prime contractor receives from
the City of Charlotte for each subcontractor’s work and materials under the
subcontract. Any delay or postponement of payment from the above referenced time
frame may result in liquidated damages and/or sanctions as stipulated in bid/contract
documents. Exceptions may occur only for good cause following written approval by
the City. This clause applies to both DBE and non-DBE subcontractors”.
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Retainage
“The prime contractor agrees to return retainage payments to each subcontractor
within seven (7) days after the subcontractor’s work is satisfactorily completed. Any
delay or postponement of payment from the above referenced time frame may occur
only for good cause following written approval of the City. This clause applies to both
DBE and non-DBE subcontractors”
IX.
MONITORING AND ENFORCEMENT
Failure by the Contractor to comply with any portion of the City’s DBE Program shall
constitute a breach of Contract, exposing the Contractor to a potential termination of
the Contract or other appropriate remedy, including withholding of funds, until such
time as the contractor complies with all the DBE requirements of this Program, which
include the prompt payment of subcontracts, and return of retainage payments.
X.
DBE FINANCIAL INSTITUTIONS
The City encourages prime contractors on FAA-assisted contracts to make use of
DBE financial institutions. For a list of DBE financial institutions, please contact the
DBELO.
XI.
POLICY STATEMENT
The City of Charlotte, North Carolina (City) has established a Disadvantaged Business
Enterprise (DBE) Program in accordance with regulations of the United States
Department of Transportation (USDOT), 49 CFR Part 26. The City has received direct
Federal financial assistance from the USDOT, for the Charlotte Douglas International
Airport (CLT) and the Charlotte Area Transit System (CATS), as well as indirect Federal
financial assistance for the Charlotte Department of Transportation (CDOT) as a subrecipient through the North Carolina Department of Transportation (NCDOT). The
City’s department of Engineering and Property Management (E&PM) on a per project
basis also receives funding as a sub-recipient to NCDOT and other direct recipients, or
acts as the project administrator for other direct recipient City departments receiving
USDOT funding. As a condition of receiving this assistance, the City has signed an
assurance that it will comply with 49 CFR Part 26. Should any other City department
become a recipient of USDOT funding they will act in compliance with 49 CFR Part 26,
and will operate within the following Program’s parameters.
It is the policy of the City to ensure that DBEs, as defined in 49 CFR Part 26, have an
equal opportunity to receive and participate in USDOT-assisted contracts. It is also our
policy:
1. To ensure nondiscrimination in the award and administration of USDOT-assisted
contracts;
2. To create a level playing field on which DBEs can compete fairly for USDOTassisted contracts;
3. To ensure that the DBE Program is narrowly tailored in accordance with
applicable law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are
52
permitted to participate as DBEs;
5. To help remove barriers to the participation of DBEs in USDOT-assisted contracts;
and
6. To assist the development of firms that can compete successfully in the market
place outside the DBE Program.
The Office of the City Clerk shall maintain the original DBE Program document. CATS,
CLT, CDOT and E&PM shall each assign a Disadvantaged Business Enterprise Liaison
Officer (DBELO) who is responsible for implementing all aspects of the City’s USDOT
DBE Program in their respective departments. Day to day DBE responsibilities will be
delegated to each department's DBELO.
After Proposal Submission
Proposal
Submission
Document
Document Description
Submission Requirements
DBE Form 3
Utilization
Commitment
Identifies all subcontractors,
suppliers,
manufacturers,
brokers and/or members of a
joint venture to be utilized on
the contract.
DBE Form 4
Letter of Intent
Proposers must submit a
separate Letter of Intent
executed by each DBE firm
listed on DBE Form 3 that
the Proposer will use on the
Contract
Copy of
subcontract
Agreements
Copy of signed contract for Before
the
said
each
subcontractor
the subcontractor starts doing
Contractor uses in this work for this contract
contract. Highlight text that
mentions
the
nondiscrimination,
retainage,
and
prompt
payment
assurances.
DBE Form 6
Payment Affidavit
Contractor shall provide a
payment affidavit showing
payments made to all
subcontractors,
suppliers,
manufacturers, brokers, and
members of a joint venture
in connection with the
Contract (DBEs and non
DBEs).
53
With Proposal Package
The City will request this
form from finalist for contract
award. Must submit within
three (3) business days after
requested by the City.
Upon award of Contract,
submitted on a monthly
bases with the pay request
to the City, for duration of
the
project.
List
ALL
subcontractors (DBEs and
non-DBEs).
Implementation of the DBE Program is accorded the same priority as compliance with
all other legal obligations incurred by the City in its financial assistance agreements
with both the Federal Aviation and Federal Transit Administrations, as well as
municipal agreements with NCDOT where Federal financial assistance is involved.
CLT and CATS each establish annual goals as direct recipients of USDOT funding,
monitor their DBE projects throughout the federal fiscal year and report on
achievements. CDOT & (when applicable) E&PM, as indirect recipients of USDOT
funding, are only required to monitor and report to NCDOT or other direct recipients
on a per project basis.
The City does disseminate this policy statement to the governing Boards of the City,
Mecklenburg County, the Metropolitan Transit Authority, the Airport Advisory
Committee, and all the relevant departments of City government. The City will maintain
copies of this Policy Statement in the office of the City Clerk, as well as CATS, CLT,
E&PM and CDOT offices, where it is available to all interested citizens and
organizations. The Policy will be publicized to the DBE and non-DBE business
communities that perform work on its USDOT-assisted contracts through a variety of
means, including through established print media outlets, minority and women business
association newsletters, advertisements, and DBE Program workshops and seminars.
54
DBE Form 3 - Subcontractor / Supplier Utilization Commitment
This form MUST be submitted at the time of Bid Opening. Copy this Form 3 as needed, to document additional DBE
commitments. Indicate page number range: Page _____ of _____
Bidder Name:
Bidder Address:
Bidder Annual Gross Receipt:
Less than $500K 
$500K-$1M  $1M-$2M  $2-5M 
More than $5M 
Bidder Age (in years):
Project Name:
Project Number:
Established DBE Goal:
1. List below all DBEs that you intend to use on this contract
DBE Vendor Name &
Address
Annual Gross Receipt:
500K-1M
Description of work / materials
Work Code
Total Projected
Utilization ($)
 < $500K
1M-5M
>$5M
Firm Age (in years):
Annual Gross Receipt:  < $500K
500K-1M
1M-5M
Annual Gross Receipt:
500K-1M
>$5M
Firm Age (in years):
< $500K
1M-5M
>$5M
Firm Age (in years):
2. List below all Non-DBEs (if any) that you intend to use on this contract
Vendor Name & Address
Description of work / materials
Work Code
< $500K
1M-5M
>$5M
Total Projected
Utilization ($)
Annual Gross Receipt:
500K-1M
< $500K
1M-5M
>$5M
Firm Age (in years):
Annual Gross Receipt:
500K-1M
Firm Age (in years):
A. Total Subcontractor/Supplier Utilization (DBEs and Non-DBEs):
B. Total DBE Utilization:
$
%
D. Percent DBE Util. (B÷C):
$
C. Total Bid Amount: $
Must be rounded to two (2) decimal places
Signature: Your signature below indicated that the undersigned Company certifies and agree that:
a) It has complied with all provisions of the DBE Program;
b) Failure to properly document such compliance in the manner and within the time periods established by the Aviation DBE Coordinator may constitute
rejection of bid.
______________________ ____________________ _________________ _______________
Signature of Authorized Official
Printed Name
Title
55
Submitted Date
DBE Form 4 – Letter of Intent
Letter of Intent must be executed by both the DBE subcontractor and the Bidder
Project Name:
Project Number:
To be completed by the Bidder
Name of Bidder:
Address:
Contact Person:
Email:
Telephone:
Fax:
Identify in complete details the scope of work to be performed or item(s) to be supplied by the DBE. On
unit price bids, identify the bid line item the DBE’s scope of work or supply corresponds:
__________________________________________________
Cost of work to be performed by DBE:
Cost of work to be performed by DBE as a percentage of total amount of
t t
$
%
To be completed by DBE
Name of DBE:
Address:
Owner’s
Ethnicity/
Gender:
Black American
Hispanic American
Asian-Pacific American
Native American
Non-M inority Women
Subcont. Asian American
Other
Contact Person:
Email:
Telephone:
Fax:
The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out applicable requirements of 46 CFR part 26 in the award and
administration of DOT-assisted contracts. 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 recipient deems appropriate.
Upon execution of a Contract with the City for the above referenced project, the Bidder certifies that it intends to utilize the DBE listed
above, and that the description, cost and percentage of work to be performed by the DBE as described above is accurate. The DBE
Firm certifies that it has agreed to provide such work/supplies for the amount stated above.
Bidder:
DBE Firm:
Date:
Signature and Title
Date:
Signature and Title
56
COMMERCIAL NON-DISCRIMINATION CERTIFICATION
Project:
Name of Company
(Bidder):
The undersigned Bidder hereby certifies and agrees that the following information is correct:
1.
In preparing the enclosed bid, the Bidder has considered all bids submitted from qualified,
potential subcontractors and suppliers and has not engaged in discrimination as defined in
Section 2.
2.
For purposes of this certification discrimination means discrimination in the solicitation,
selection, or treatment of any subcontractor, vendor, supplier or commercial customer on the
basis of race, ethnicity, gender, age, religion, national origin, disability or any other unlawful
form of discrimination. Without limiting the foregoing, discrimination also includes retaliating
against any person or other entity for reporting any incident of prohibited discrimination.
3.
Without limiting any other remedies that the City may have for a false certification, it is
understood and agreed that, if this certification is false, such false certification will constitute
grounds for the City to reject the bid submitted with this certification and terminate any contract
awarded based on such bid. It shall also constitute a violation of the City’s Commercial NonDiscrimination Ordinance and shall subject the Bidder to any remedies allowed thereunder,
including possible disqualification from participating in City contracts or bid processes for up to
two years.
4.
As a condition of contracting with the City, the Bidder agrees to promptly provide to the City all
information and documentation that may be requested by the City from time to time regarding
the solicitation and selection of subcontractors in connection with this solicitation process.
Failure to maintain or failure to provide such information shall constitute grounds for the City to
reject the bid submitted by the Bidder and terminate any contract awarded on such bid. It shall
also constitute a violation of the City’s Commercial Non-Discrimination Ordinance and shall
subject the Bidder to any remedies allowed thereunder.
5.
As part of its bid, the Bidder shall provide to the City a list of all instances within the past ten
years where a complaint was filed or pending against the Bidder in a legal or administrative
proceeding alleging that the Bidder discriminated against its subcontractors, vendors, suppliers,
or commercial customers, and a description of the status or resolution of that complaint,
including any remedial action taken.
6.
As a condition of submitting a proposal to the City, the Bidder agrees to comply with the City’s
Commercial Non-Discrimination Policy as described in Section 2, Article V of the Charlotte City
Code, and consents to be bound by the award of any arbitration conducted thereunder.
By:
Signature of Authorized Official
Title:
57
IV.
SMALL BUSINESS AND DISADVANTAGED BUSINESS
ENTERPRISE PROGRAM REQUIREMENTS
58
CITY OF CHARLOTTE – SMALL BUSINESS OPPORTUNITY PROGRAM
59
SBO PROVISIONS AND FORMS (Revised December 2009)
1. CONTACT
Laura Dahlberg
Aviation Department
P.O. Box 19066
Charlotte, NC 28219
Telephone: (704) 359.1910
Fax: (704) 359-4030
2. APPLICATION:
The City of Charlotte’s Small Business Opportunity Program Policy (SBO Policy) is incorporated into
and made a part of this solicitation and the resulting contract (the “Contract”). Copies of the SBO
Policy may be obtained on-line at http://smallbiz.charmeck.org or from the SBO Program Office,
Old City Hall, 600 E. Trade Street, 3rd Floor, Charlotte, North Carolina 28202, Phone 704-336-2473.
Capitalized terms used in this document shall have the meanings set forth in Part A, Appendix 1 of
the SBO Policy. Each reference to “you” or “your” in these provisions refers to any entity that
submits a bid, proposal or statement of qualifications on a City contract, and any entity that enters
into a contract with the City.
The SBO Policy requires that you either (a) meet the SBE Utilization Goal, as listed in Section 2
below; or (b) comply with the Good Faith Efforts and Good Faith Negotiation requirements
referenced in Section 3 below. Failure to comply with the SBO Policy in the bid phase constitutes
grounds for rejection of your bid. Failure to comply after contract award may result in
assessment of damages or termination of your contract.
3. THE SBE UTILIZATION GOAL FOR THIS CONTRACT HAS BEEN SET AT:
%
You must submit your proposed SBE utilization on SBOP Form 3 (Subcontract/Supplier Utilization
Commitment Form) listing subcontractors and suppliers that will be providing goods or services.
SBOP Form 3 MUST be submitted with your bid.
Bidders must state the projected dollar amount for each SBE and indicate the total dollar value of
SBE participation for the contract. Blank forms will be deemed to represent zero participation. The
City will only give Bidders credit toward the SBE Goal for those SBEs that:
a) Are an actively Certified SBE as of the Bid Opening and that meet the requirements
pursuant to Part B Section 3.2 of the SBO Policy; and
b) Have been committed to be utilized on the project, as documented on SBOP Form 3
submitted with the Bid; and
c) Have signed an SBOP Form 4 (Letter of Intent form) which is submitted to the City within (3)
Business Days after the City requests it (or within such longer time as may be agreed by the
City in writing).
Bids submitted which do not have the above required SBE information indicated on Form 3 may
cause the Bid to be considered non-responsive and it may be rejected.
Notwithstanding the above, if a Bidder achieves 75% or more of the SBE Goal prior to Bid Opening
60
and documents it on Form 3 as described above, the Bidder shall be given the opportunity to
achieve the remaining 25% portion of the SBE Goal and document it on SBOP Form 3-A. A Bidder
will be deemed to have met the SBE Goal established for the project, if it provides Form 4 Letters of
Intent for the full 100% of the SBE Goal within (3) Business Days after requested by the City.
The City will request your Letters of Intent if you are a finalist for contract award, and you must
submit a separate Form 4 for each SBE identified on Form 3 within (3) Business Days after the City
requests it.
4. GOOD FAITH EFFORTS:
IF YOU DO NOT MEET THE SBE UTILIZATION GOAL, then you must meet the Good Faith Efforts
requirements set forth in Part B Section 5 of the SBO Program. These are summarized below:
Documenting Good Faith Efforts. To demonstrate Good Faith Efforts (GFE) compliance, you must
complete and submit SBOP Form 5 (Good Faith Efforts and Statement of GFE Compliance). Form
5 states the minimum required GFE points for this Contract, and lists the number of points
attainable for each type of Good Faith Effort. The City will request SBOP Form 5 if you are a finalist
for contract award, and you must submit Form 5 including documentation, within (3) Business Days
after the City requests it
It is important that you carefully review Part B Section 5 of the SBO Program as soon as possible so
as to put yourself in a position to provide related GFE forms and any other documentation, as
requested by the City. Failure to comply with the requirements set forth in this section shall
constitute grounds for rejecting a bid.
4.1 SBE Contacts (GFE 5.3.2):
In order to receive credit for this Good Faith Effort, at least (7) Calendar Days prior to Bid
Opening, you must contact at least
SBE firms (the “Minimum Contacts”) as listed in the SBE
Source List provided with this bid packet, or that can be found on the Small Business
Opportunity Program website:
http://www.charmeck.org/Departments/Economic+Development/Small+Business+Opportun
ities/Find+a+Vendor/
Please refer to Part B Section 5.3.2 of the SBO Program regarding how these Minimum Contacts
must be made and documented. Minimum Contacts are to be recorded on SBOP Form 2 (SBE
Solicitation Form), and submitted within (3) Business Days after requested by the City.
4.2 Additional SBE Outreach (GFE 5.3.15):
As part of your GFE opportunities, you may choose to contact additional SBE firms, beyond the
number required to meet the eligibility requirements for Minimum Contacts. To receive credit
for GFE 5.3.15, at least (7) Calendar Days prior to Bid Opening, you must contact at least
Additional SBEs. Additional SBE contacts are also to be recorded on SBOP Form 2, and
submitted in the same manner as described above.
Good Faith Negotiation.
You must negotiate in good faith with all interested SBE firms. Part B Section 4.4 of the SBO
Policy defines what negotiating in “good faith” means. Among other things, it means that if an
61
SBE is low bid on a contract for construction or for the procurement of goods, then you must
contract with that SBE unless it is not “Qualified” within the meaning of the SBO Policy.
You must submit to the City a separate Good Faith Negotiation Form (SBOP Form B) for each
subcontracting opportunity identified by the City for which a low bid by an SBE is not accepted.
Bidders must provide such forms and information within (3) Business Days after requested by
the City.
4.3 Self-Performance. Bidders that do not meet the SBE Utilization Goal and elect to self perform
all or part of a Contract where the City has identified subcontracting or subconsulting
opportunities, must nevertheless demonstrate that they complied with the Good Faith
Negotiation and Good Faith Efforts requirements as provided in Part B Section 4 and 5 of the
SBO Policy. If a Bidder contends that a SBEs Bid exceeds the Bidder’s cost of performing such
work, the Bidder must provide with its Bid documentation sufficient to demonstrate to the
City’s reasonable satisfaction the validity of such assertions.
4. PROJECT DOCUMENTS / PLANS AND SPECIFICATIONS
Bid documentation associated with this Contract may be viewed at the following locations:
Key Business Unit Office Online Posting –
Other Locations:
Richa Graphics,
Inc.
800 N. College
Street
Charlotte, NC
28208
5. MANDATORY SUBCONTRACTING REQUIREMENTS
Per Part B Section 2.5 of the SBO Policy, City Council has the authority to establish mandatory
subcontracting requirements for certain contracts. The blank checked below indicates whether
such requirements have been established for this Contract:
City Council has established a mandatory subcontracting requirement of
percent
(
%) for this Contract.
City Council has not established a mandatory subcontracting requirement for this Contract.
6. SBO PROGRAM PROVISIONS APPLICABLE AFTER CONTRACT AWARD
If you are awarded a Contract with the City, note in particular the following Sections of the SBO Policy that
relate to post award requirements and activity:
(i) Compliance with committed SBE utilization level throughout the Contract (Part D, Section 2)
(ii) Terminating or Replacing an SBE on a contract (Part D, Section 5)
(iii) New Subcontractor Opportunities/Additions to Scope, Contract Amendments (Part D, Section 6)
(iv) Payments to SBEs (Part D, Section 8)
(v) Utilization Reports and Documentation of Payments (Part D, Section 9)
62
7. SBO CONTRACT PROVISIONS
The following provisions are incorporated into any contract that may result from this solicitation.
Small Business Opportunity Program. The City has adopted a Small Business Opportunity Program
Policy (“SBO Policy”), which is posted on the City’s website and available in hard copy form upon
request to the City.
The parties agree that:
(i) The terms of the SBO Policy, as revised from time to time, together with all rules and guidelines
established under the Small Business Opportunity Program are incorporated into this
Agreement by reference; and
(ii) A violation of the SBO Policy shall constitute a material breach of this Agreement, and shall
entitle the City to exercise any of the remedies set forth in Part D of the SBO Policy, including
but not limited to liquidated damages; and
(iii) Without limiting any of the other remedies the City has under the SBO Policy, the City shall be
entitled to withhold periodic payments and final payment due to the Contractor under this
Agreement until the City has received in a form satisfactory to the City all claim releases and
other documentation required by the City’s SBO Policy, and in the event payments are withheld
under this provision, the Contractor waives any right to interest that might otherwise be
warranted on such withheld amount under G.S. 143-134.1; and
(iv) The remedies set forth in Part D Section 14 of the SBO Policy shall be deemed cumulative and
not exclusive and may be exercised successively or concurrently, in addition to any other
available remedy; and
(v) The City will incur costs if the Contractor violates the SBO Policy, and such costs are difficult to
ascertain due to their indefiniteness and uncertainty. Accordingly, the Contractor agrees to pay
the City liquidated damages at the rates set forth in Part D of the SBO Policy.
(vi) The Contractor agrees to participate in any dispute resolution process specified by the City from
time to time for the resolution of disputes arising from the SBO Policy.
(vii)
Nothing in this Section shall be construed to relieve a Contractor from any obligation it
may have under N.C. Gen. Stat. 143-134.1 regarding the payment of subcontractors.
Remedies for Violation of SBO Policy. A violation of the SBO Policy by a Contractor shall constitute
a material breach of the Contract, and shall entitle the City or private owner to:
(i) Exercise all rights and remedies that it may have at law or at equity for violation of the SBO
Policy;
(ii) Terminate the Contract for default;
(iii) Suspend the Contract for default;
(iv) Withhold all payments due to the Contractor under the Contract until such violation has been
fully cured or the City and the Contractor have reached a mutually agreeable resolution;
(v) Assess liquidated damages as provided in Part D Section 14.2; and/or
(vi) Offset any liquidated damages and/or any amounts necessary to cure any violation of the SBO
Policy from any retainage being held by the City on the Contract, or from any other amounts
due to the Contractor under the Contract.
The remedies set forth herein shall be deemed cumulative and not exclusive, and may be exercised successively or
concurrently, in addition to any other available remedy.
63
Liquidated Damages. The City and the Contractor acknowledge and agree that the City will incur
costs if the Contractor violates the SBO Policy in one or more of the ways set forth below, including
but not limited to loss of goodwill, detrimental impact on economic development and diversion of
internal staff resources. The parties further acknowledge and agree that the City will incur
damages as a result of such failure, but that the costs the City might reasonably be anticipated to
accrue as a result of such failures are difficult to ascertain due to their indefiniteness and
uncertainty. Accordingly, the Contractor agrees to pay the City liquidated damages assessed by the
City at the rates set forth below for each specified violation of the SBO Policy. The Contractor
further agrees that for each specified violation the agreed upon liquidated damages are reasonably
proximate to the loss the City will incur as a result of such violation:
(i) Failure to meet the SBE Goal. If the City determines upon completion or termination of a
Contract that the Contractor did not meet the Committed SBE Goal and that such failure is not
otherwise excused under Part D Section 2, the City may assess the lesser of: (a) $30,000 or (b)
the dollar difference between the Committed SBE Goal and the Contractor’s actual SBE
utilization;
(ii) Using SBE as a Conduit. If the Contractor lists an SBE to receive credit toward a Committed SBE
Goal with knowledge that the SBE will be acting as a Conduit or will not be performing a
Commercially Useful Function reasonably commensurate with the payment amount for which
the Contractor will be seeking credit, the City may assess the lesser of: (a) $20,000 or (b) the
dollar amount the Contractor indicated that it would pay such SBE in the SBEs contract (or if no
contract has been signed, the SBE’s Letter of Intent);
(iii) Wrongful Termination or Replacement of SBE Services. If the Contractor terminates or
replaces an SBE in violation of the SBO Policy, the City may assess the lesser of: (a) $20,000 or
(b) the dollar amount of the work remaining to be performed by the terminated SBE at the time
it was terminated (or if the SBE was not terminated because it was never retained, then, the
dollar amount that the Contractor indicated it would pay the SBE in the SBE’s letter of intent)
or ;
(iv) Failure to Comply with SBO Policy upon Termination or Withdrawal by SBE. If the Contractor
fails to comply with the Modified Good Faith Efforts requirements (Part D, Section 5 of the SBO
Policy) in replacing an SBE that is terminated or withdraws from work on a project, the City may
assess the lesser of: (a) $20,000 or (b) the dollar amount of the work remaining to be
performed by the SBE that withdrew or was terminated at the time of the termination or
withdrawal;
(v) Failure to Comply with SBO Policy to Add New Subcontractors. If the Contractor fails to
comply with the Modified Good Faith Efforts requirements (Part D, Section 5 of the SBO Policy)
in adding new subcontractors to a Contract, or when the scope of work of a contract changes so
as to create a new SBE subcontracting opportunity, the City may assess the lesser of: (a)
$20,000; or (b) the dollar amount of the new or additional work;
64
(vi) False Statements and Misrepresentations. If the Contractor makes a false statement or
material misrepresentation regarding any matter relevant to the SBO Policy (including but not
limited to information provided regarding payments made to SBEs), the City may assess the
lesser of: (a) $25,000; or (b) the dollar difference between what the Contractor represented
and the truth;
(vii)
Failure to Respond to Request for Information. If the Contractor fails to provide any
report, documentation, affidavit, certification or written submission required under the SBO
Policy within the time period ser forth therein, the City may assess $25 per day for each day
that such report, documentation or written submission is overdue.
8. SBO FORMS
Bidders shall submit the following SBO forms within the timeframes indicated below:
Form Name
Notification of Subcontractor / Purchasing Opportunities.
fies the subcontracting or supplier opportunities intended to be
utilized by the Bidder on the Contract.
Submission Requirements m Number
Submission is optional as a GFE opportunity.
If submitted,
st be received by the City fourteen (14) Calendar Days
before the Bid Opening date.
OP FORM 1
SBE Solicitation Form.
ifies all SBEs the Bidder contacted or those that contacted the
meeting the SBE Goal submitted within (3) Business OP FORM 2
Bidder and the scope of work for which they were contacted.
Days after requested by the City.
Includes date and method of contact for SBE firms.
Subcontractor / Supplier Utilization Commitment.
ies all subcontractors, suppliers, manufacturers, brokers and/or
members of a joint venture to be utilized on the contract and
dollar amounts committed to SBEs.
rs must include all subcontractors known at the time the Bid is
submitted.
DUE AT BID OPENING
OP FORM 3
ontractor / Supplier Utilization Commitment. - AMENDMENT
es additional SBE commitments made after Bid Opening, ONLY if e submitted within (3) Business Days after requested P FORM 3-A
75% or more of SBE Goal is documented on Form 3.
by the City
Letter of Intent.
City will request this form from finalists for contract
s must submit a separate Letter of Intent executed by each SBE
award. Must submit within three (3) Business Days OP FORM 4
listed on SBOP Form 3 and 3-A that the Bidder will use on the
after requested by the City.
Contract.
Good Faith Efforts (GFE) / Statement of GFE Compliance.
s the minimum GFE points required for this solicitation and the
number of points attributable to each GFE item.
meeting the SBE Goal submitted within (3) Business OP FORM 5
Days after requested by the City.
65
der must check each GFE item for which it earned points, as
described in Part B Section 5.3 of the SBO Program.
Payment Affidavit.
actor shall provide with each pay request to the City a payment ward of contract, submitted with each pay request to OP FORM 6
affidavit showing payments made to all subcontractors,
the City, for duration of Project.
suppliers, manufacturers, brokers, and / or members of a joint
nal payment period, check the box indicating “Final
venture in connection with the contract.
Payment”
Good Faith Negotiation Report.
ach scope of work identified by the City bidder must provide an meeting the SBE Goal submitted within (3) Business
explanation for rejecting the lowest bid if submitted by an SBE.
Days after requested by the City.
Bidders must submit a separate Construction Opportunities
Good Faith Negotiation Report for each low bid submitted by
and SBE that is rejected.
Form B
All SBO Forms are also available on-line at http://smallbiz.charmeck.org. Forms must be received by fax, e-mail or US
Mail.
9.
Please find below a list of activities that the City has identified as potential Small Business Enterprise (SBE) subcontracting opportunities.
** NOTE: This is a potential listing, not all inclusive. Bidders may identify additional or different opportunities.
NIGP Code
Description
See source list
A SBE vendor source list targeting the estimated areas of subcontracting listed above is also
included herein.
The full list of SBE vendors can be accessed at the following Website:
http://www.charmeck.org/Departments/Economic+Development/Small+Business+Opportunities
/Find+a+Vendor/
66
Notification of Subcontracting Opportunities
SBO FORM 1
1
§Per Part B, Section 5.3.1 of the SBO Policy (v.2009) , to receive credit for this Good Faith Effort, a Bidder must provide to
the City no later than 14 Days before Bid Opening a list of the areas in which the Bidder intends to seek subcontractors and
suppliers.
Bidder Name:
Bid Date:
Project Name:
Project Number:
Identify the portions of the contract for which there are intended subcontractor, supplier, or service
provider opportunities.
NIGP
Commodity Code
Description of Subcontracting / Supplier Opportunity
Submit this form to: Laura Dahlberg
E-mail: ladahlberg@cltairport.com
Fax Number: 704-359-4030
Phone Number: 704-359-1910
Completed By:
1
Date:
SBO Policy v.2009 amended August 2009
67
SBE Solicitation SBO Form 2
(page 1 of 2)
Copy this side of Form 2 as needed, to document SBE contacts.
1
§Per Part B, Section 5.3.2 of the SBO Policy (v.2009) , to receive credit for this Good Faith Effort, a Bidder must make the
required contacts no less than 7 Days before Bid Opening adhering to the Solicitation Method and Solicitation Content
defined.
A Bidder must submit SBOP Form 2 within the time specified in the City Solicitation Documents. If no time period is
specified in the City Solicitation Documents, a Bidder must submit Form 2 within (3) Business Days after the City requests
it.
ALL supporting documentation, reflecting the Solicitation methods and content, must be submitted at the same time as
SBOP Form 2.
Bidder Name:
Project Name:
Project Number:
Bid Date:
MINIMUM SBE Contacts:
SBE Firm:
Contact
Scope of
Work:
NIGP Commodity
Code:
Initial
2
Follow-up: 3
Response:
Selected?
SBE Firm:
Scope of
Initial
Follow-up: 3
Response:
Selected?
SBE Firm:
Scope of
Initial
Follow-up: 3
Response:
Selected?
SBE Firm:
Scope of
Initial
Follow-up: 3
Response:
Selected?
SBE Firm:
Scope of
Initial
Follow-up: 3
Response:
Date:
Method:
Email
Fax
Date:
Method:
Phone
In person
No response
YES
Date:
Date:
No response
YES
Date:
Date:
No response
YES
Date:
Date:
No response
YES
Date:
Date:
Not bidding
Is bidding $
Mail
Other (explain)
NO
Method:
Method:
Not bidding
NO
Method:
Method:
Not bidding
NO
Method:
Method:
Not bidding
NO
Method:
Method:
68
Contact
NIGP Commodity
Email
Fax
Phone
In person
Is bidding $
Other (explain)
Contact
NIGP Commodity
Email
Fax
Phone
In person
Is bidding $
Mail
Other (explain)
Contact
NIGP Commodity
Email
Fax
Phone
In person
Is bidding $
Mail
Mail
Other (explain)
Contact
NIGP Commodity
Email
Fax
Phone
In person
Mail
Selected?
No response
YES
Not bidding
NO
Is bidding $
Other (explain)
SBE Solicitation SBO Form 2
(page 2 of 2)
As part of a Bidder’s Good Faith Efforts (GFE) documentation, this Form 2 allows Bidders to record
SBE firms contacted, negotiated, and/or contracted with. Per Part B, Section 4.3 of the SBO Policy
(v.2009):
Good Faith Negotiation All Bidders that fail to meet the SBE Goal (including Bidders that
desire to self-perform) must negotiate in good faith with each SBE that responds to the
Bidder’s solicitations and each SBE that contacts the Bidder on its own accord. (“Interested
SBEs”)
Interested SBEs listed on Form 2 whom the Bidder does not ultimately contract with, may need to
be documented on an accompanying Good Faith Negotiation Form (SBOP Form B), providing the
rationale as defined in Part B, Section 4.4 of the SBO Policy (v.2009). The documentation of Form B
should occur in the following manner:
-
One (1) Form B will need to be completed for each subcontracting opportunity in which
SBE(s) submitted bids for, and for which an SBE was not chosen to perform that work.
-
Bidders must provide such forms and information within the time period specified by the
City.
-
Failure to comply with these requirements shall constitute grounds for rejecting a Bid.
Follow-Up Contacts: SBE contacts listed on this Form 2, for which the “Follow Up” check-box is
marked would also need to comply with Part B: Section 5.3.15 of the SBO Policy (v.2009) in order to
qualify for the Good Faith Effort points available for that effort.
The undersigned certifies that the information submitted on this SBOP Form 2 is true and
accurate as of the date indicated below. The undersigned further certifies that contacts by U.S.
Postal Service, telephone conversations and in person contacts documented on this Form 2 were
made in accordance with the requirements of Part B, Section 5.3.2 and 5.3.15 of the SBO Policy
and that this shall satisfy as the affidavit confirming such contacts.
69
Company
Signature of Authorized Official
Title
Submittal Date
Subcontractor / Supplier Utilization Commitment
SBO FORM 3
(page of )
This form MUST be submitted at the time of Bid Opening
Copy this Form 3 as needed, to document additional SBE commitments. Indicate page number range above.
1
§Per Part B, Section 3.6 of the SBO Policy the Subcontractor/Supplier Utilization Commitment (Form 3), captures
information regarding the SBEs and other subcontractors and suppliers that the Bidder intends to use on the
Contract.
Failure to properly complete and submit Form 3 with the Bid constitutes grounds for rejection of the Bid
Bidder Name:
Project Name:
Bid Opening:
Project Number:
Established SBE Goal:
3.
List below all SBEs that you intend to use on this contract
SBE Vendor Name
Description of work /
materials
NIGP
Commodity
Code
VMS
(Vendor) #
Total Projected
Utilization ($)
NOTE: You will only receive credit for SBEs who have an active Certification with the City, as of the
Bid Opening Date.
4.
List below all non-SBEs that you intend to use on this contract
Firm Name
Description of work /
materials
NIGP
Commodity
Code
VMS
(Vendor) #
Total Subcontractor / Supplier Utilization (including SBEs and Non-SBEs)
Total SBE Utilization
70
Projected
Utilization (if
known)
($)
$
$
Total Bid Amount (including Contingency) $
Percent SBE Utilization* (Total SBE Utilization divided by Total Bid
%
* The SBE Utilization percentage stated here MUST be rounded to (2)
decimal places.
Additional SBE Commitments after Bid Opening
§Per Part B, Section 3.5 of the SBO Policy1, if a Bidder achieves 75.00% or more of the SBE Goal
(rounding up not allowed) prior to Bid Opening and documents it as required on this Form, the
Bidder shall be deemed to have met the SBE Goal if it provides SBOP Form 4 Letters of Intent for the
remaining 25% of the SBE Goal within three (3) Business Days after the City requests the Bidder’s
Good Faith Efforts Compliance Form (SBOP Form 5). Additional SBE commitments must be
documented on SBOP Form 3-A within the City’s specified timeframe.
Subcontractor / Supplier Utilization Commitment SBO FORM 3
(page
This form MUST be signed and submitted at the time of Bid Opening
above.
of
)
Indicate page number range
Letters of Intent submitted upon notice from the City
§Per Part B, Section 3.7 of the SBO Policy1, within three (3) Business Days after receiving a
request from the City (or within such longer time as may be communicated by the City in
writing), Bidders must submit a separate Letter of Intent (SBOP Form 4) for each SBE listed on
SBOP Form 3 and for any additional SBEs for which the Bidder seeks credit under the last
sentence of Part B, Section 3.5. Each Letter of Intent must be executed by both the SBE and
the Bidder. The City shall not count proposed SBE utilization for which it has not received a
Letter of Intent by this deadline unless the SBE certifies to the City that it originally agreed to
participate in the Contract at the level reported by the Bidder, but subsequently declined to do
so.
Adding subcontractors or suppliers after submitting this form
Nothing in this certification shall be deemed to preclude you from entering into
subcontracting arrangements after submission of this form. However, per Part D of the SBO
Policy1, you must comply with the following:
•
•
•
•
You must maintain the level of SBE participation proposed on this form throughout
the duration of the Contract, except as specifically allowed in Part D, Section 2.2.
If you need to terminate or replace an SBE, you must comply with Part D, Section 5.
If the scope of work on the Contract increases, or if you elect to subcontract any
portion of work not identified on this form as being subcontracted, then you must
comply with Part D, Section 6.
A Letter of Intent (SBOP Form 4) must also be submitted for each SBE you add
subsequent to contract award.
All Subcontractors and Suppliers must be registered with the City of Charlotte.
Pursuant to the City’s Vendor Registration Policy, each subcontractor or supplier (non-SBE
and SBEs) that you use on this contract must be registered in the City’s vendor management
system (VMS) database, indicated by a VMS Number. You will need to provide the VMS # for
71
each subcontractor or supplier used on this contract as a condition for receiving final
payment on this Contract.
Signature
Your signature below indicates that the undersigned Company certifies and agrees that:
(a) It has complied with all provisions of the SBO Program;
(b) Failure to properly document such compliance in the manner and within the time periods established by the SBO
Program shall constitute a forfeiture of the Company’s bid bond, and shall entitle the City to recover under the bid bond;
and
(c) In the absence of a bid bond, such failure shall entitle the City to recover damages for breach of contract.
Signature of Authorized
Official
Printed Name
Title
Subcontractor / Supplier Utilization Commitment
72
Submittal Date
(page 1 of 1)
FORM 3 – AMENDMENT SBO FORM 3-A
In order to submit additional SBE commitments, SBOP Form 3 MUST have been submitted at Bid
Opening with 75.00% or more of the Established SBE Goal documented for this Project
Additional SBE Commitments after Bid Opening
§Per Part B, Section 3.5 of the SBO Policy (v.2009), if a Bidder achieves 75.00% or more of the SBE Goal
(rounding up not allowed) prior to Bid Opening and documents it on SBOP Form 3, the Bidder shall be
deemed to have met the SBE Goal if it provides SBOP Form 4 Letters of Intent for the remaining 25% of
the SBE Goal within (3) Business Days after the City requests the Bidder’s Good Faith Efforts Compliance
Form (SBOP Form 5).
Bidder Name:
Project Name:
Project Number:
Bid Date:
Established SBE Goal:
List below the additional SBE commitments that you intend to use on this contract, committed postBid Opening.
SBE Name
Description of work / materials
NIGP
VMS #
Total Projected
1
Commodity
Utilization ($)
Code
1
Bid shopping is prohibited. Do not list scopes of work and NIGP codes on this Form 3-A that have
already been listed on SBOP Form 3, unless the work is associated with an SBE already listed on
SBOP Form 3, or if you document a reason, other than price, for bringing an additional SBE to
perform the same scope as an SBE you have already identified.
Form 3-A SBE Utilization $
ignature
Initial Form 3 SBE Utilization
Cumulative SBE Utilization (Form 3 & Form 3-A)
Total Bid Amount (including Contingency)
Percent SBE Utilization (Cumulative SBE Utilization divided by Total Bid Amount)
$
$
$
Your signature below indicates that the undersigned Company certifies and agrees that:
(a) it has complied with all provisions of the SBO Program; (b) failure to properly document such compliance in the
manner and within the time periods established by the SBO Program shall constitute a forfeiture of the Company’s bid
bond, and shall entitle the City to recover under the bid bond; and (c) in the absence of a bid bond, such failure shall
entitle the City to recover damages for breach of contract.
Signature of Authorized
Official
Printed Name
Title
73
Submittal Date
%
Letter of Intent SBO FORM 4
1
§Per Part B, Section 3.7 of the SBO Policy (v.2009) , within (3) Business Days after receiving a request from the City (or
within such longer time as may be communicated by the City in writing), Bidders must submit a separate Letter of Intent
for each SBE listed on SBOP Form 3 and for any additional SBEs for which the Bidder seeks credit under the last sentence
of Part B, Section 3.5. Each Letter of Intent must be executed by both the SBE and the Bidder.
Per Part D, Section 5.3.1, in the event Modified GFEs are incorporated into a Project, Bidders shall be required to provide
a FORM 4 for each SBE added to a Contract subsequent to Contract award.
Project Name:
Project Number:
To be completed by the Bidder
Name of Bidder:
VMS
#:
Address:
Contact Person:
Email:
Telephone:
Fax:
I, the bidder, have provided a Quick Pay Commitment to this SBE for the work identified below. I
have submitted, either previously or with this Form 4, a copy of said Agreement.
YES
NO
Identify in complete details the scope of work to be performed or item(s) to be supplied by the SBE. On unit price
bids, identify the bid line item the SBE’s scope of work or supply corresponds:
Cost of work to be performed by SBE:
$
Cost of work to be performed by SBE as a percentage of total amount of City
contract:
To be completed by SBE
Name of SBE:
%
VMS #:
Address:
Contact Person:
Email:
Telephone:
Fax:
NOTE: SBEs must be actively Certified with the City, as of the Bid Opening, in order to be counted towards the
Established SBE Goal for the project.
Upon execution of a Contract with the City for the above referenced project, the Bidder certifies that it intends to utilize the
SBE listed above, and that the description, cost and percentage of work to be performed by the SBE as described above is
accurate. The SBE Firm certifies that it has agreed to provide such work/supplies for the amount stated above.
Bidder:
Signature and Title
SBE Firm:
1
Signature and Title
SBO Policy v.2009 amended August 2009
74
Date:
Date:
Good Faith Efforts (GFE) and Statement of GFE Compliance
SBO FORM 5
(Page 1 of 3)
Bidder Name:
Bid Date:
Project Name:
Project Number:
§Per Part B, Section 5 of the SBO Policy(v.2009)1, if a Bidder has not fully met the SBE Goal, then it must
document it has met the GFE requirements by completing this Form. The Bidder must submit Form 5 within
3 Business Days after the City requests it, unless specified otherwise in the City Solicitation Documents.
Below is a list of Good Faith Efforts as defined in Part B: Section 5.3. To the left of each item is the number of
points assigned to that item for this project. Please place an “X” in the first column for each item you are
claiming credit.
Failure to submit Form 5 in the time specified or failure to achieve the minimum number of Good Faith
Efforts points stated in the blank below constitutes grounds for rejection of your bid.
Minimum Number of GFE Points
165
Required:
10
10
Section 5.3.1: Notification of Subcontracting Opportunities. To receive credit for this GFE, a
Bidder must provide to the City no later than 14 Days before Bid Opening a list of the areas in
which the Bidder intends to seek subcontractors and suppliers. The Bidder may report this
information on Form 1 or on another document providing the same information as Form 1.
Section 5.3.2: SBE Contacts: A Bidder must make the required contacts not less than 7 Days
before Bid Opening to receive credit. Refer to Part B, Section 5.3.2 of the SBO Policy for
requirements of the Solicitation Method, Solicitation Content, and Solicitation
Documentation.
To receive credit for this GFE, a Bidder must submit an SBE Solicitation Form (“Form 2”) within
the time specified in the City Solicitation Documents. If no time period is specified in the City
Solicitation Documents, a Bidder must submit Form 2 within 3 Business Days after the City
requests it.
75
10
15
10
15
15
1
Section 5.3.3: Making Plans Available. *(see note) To receive credit for this GFE, the Bidder
must: (a) make “Project Documents” (as defined below) available to Interested SBEs no less
than 7 Days before Bid Opening in one of the 3 ways described below; and (b) notify all SBEs
contacted under GFE 5.3.2 of the way in which Project Documents will be made available. As
used herein, Project Documents means any project descriptions, construction plans,
specifications or requirements that are necessary for SBEs to bid on the project. The 3 ways a
Bidder may make Project Documents available to SBEs are:
provide Interested SBEs with a hard copy of the Project Documents via email, fax, regular mail
or other means of document transfer; or provide necessary physical access and adequate time
for SBEs to fully review the Project Documents at the Bidder’s place of business within the
Charlotte Regional Area; or, if the Bidder has no place of business within the Charlotte
Regional Area, at an alternate location within the Charlotte Regional Area where the
information can be reviewed at no cost to the SBEs; or post the Project Documents on a
website that SBEs can access at no cost.
To receive credit for this GFE, the Bidder’s notice to SBEs must identify: (a) a telephone
number or email address for requesting copies of the Project Documents or, (b) the locations
(including the address) where Project Documents can be reviewed or, (c) the website link on
which they are posted.
Section 5.3.4: Breaking Down Work. *(see note) To receive credit for this GFE, the Bidder
must: (a) notify SBEs as part of a Bidder’s SBE contacts under Section 5.3.2 that the Bidder is
willing to divide or combine elements of work into economically feasible units on a case-bycase basis to facilitate SBE participation and (b) negotiate in good faith with any SBEs that
request such divisions or combinations
Section 5.3.5: Attendance at Pre-Bid. To receive credit for this GFE, the Bidder must attend
any pre-bid meetings scheduled by the City for the Contract in question.
Section 5.3.6: Conducting a Pre-Bid for SBEs. *(see note) To receive credit for this GFE, the
Bidder must conduct a pre-bid meeting for SBEs no less than 3 Business Days before Bid
Opening. The pre-bid meeting must take place within Mecklenburg County, or, if the
Proposer has no place of business within Mecklenburg County, at an alternate location within
the Charlotte Regional Area. No less than 48 hours before the pre-bid meeting, the Bidder
must communicate the time and location of the meeting to the SBEs that the Bidder is
required to contact to earn GFE points under Section 5.3.2
Section 5.3.7: Training. To obtain credit for this GFE, the Bidder must provide training or
mentoring to at least 2 SBEs within 12 months before Bid Opening, and the Bidder must have
the training or mentoring certified by the Program Manager. The Program Manager shall
have the discretion to deny credit for training or mentoring that in the Program Manager’s
sole discretion is not significant or not reasonably likely to assist the SBE in developing its
capabilities.
SBO Policy v.2009 amended August 2009
Good Faith Efforts (GFE) and Statement of GFE Compliance
Good Faith Efforts (GFE) and Statement of GFE Compliance
76
SBO FORM 5
(Page 2 of 3)
(Page 2of 3)
25
20
20
Section 5.3.8: SBOP Mentor-Protégé Program. The Bidder may receive credit for this GFE if
the Bidder demonstrates that it is participating in the City’s SBO Mentor-Protégé program,
and that it is a mentor in good standing. The Program Manager shall have the discretion to
deny credit for this GFE if the mentor is not in good standing.
Section 5.3.9: Working with SBE Assistance Organizations. To receive credit for this GFE,
the Bidder must document that it has performed one of the following within the 12 month
period before Bid Opening for an SBE Assistance Organization (as defined below):
(a) Provide location for SBE Assistance Organization Event: Providing a meeting location
for the SBE Assistance
Organization to host a regular meeting or special event at no cost or at a reduced
rate.
(b) Provide training for SBE Assistance Organization members: Providing training or
facilitating workshops aimed
at increasing the capacity or skill level or the SBE Assistance Organization members,
or participating in training or a
workshop sponsored by the SBE Assistance Organization.
(c ) Contracting with new SBE: Documenting that the SBE Assistance Organization
helped to identify an SBE with
whom the Bidder subsequently subcontracted work (whether on a City Construction
Contract or other contract). The
KBU will not give the Bidder credit for this GFE if the Bidder contracts with an SBE
that the Bidder has used on
previous projects.
Section 5.3.10: Bonding or Insurance Assistance on Construction Contract. To receive credit
for this GFE, the Bidder must assist an SBE in obtaining its own bond or insurance coverage
for a City contract or another contract by (a) providing direct assistance within the 6 months
preceding the Bid Opening, and (b) showing that the SBE did not have access to the bond or
insurance coverage before the Bidder’s assistance.
To document satisfaction of this GFE, the Bidder must submit: (a) the name of the SBE; (b) a
description of the assistance the Bidder provided; (c) the date the Bidder provided the
assistance; (d) the name of a contact person with the SBE who can verify that the Bidder
provided the assistance; and (e) any additional information requested by the City.
Section 5.3.11: Entering Into Joint Venture with SBEs. To receive credit for this GFE, the
Bidder must document the existence of a Joint Venture agreement between the Bidder and
an SBE that increases opportunities for SBE business participation, whether on City Contracts
or other contracts.
20
To document satisfaction of this GFE, Bidders must document that they have entered into
such an agreement within the 12 months before the Bid Opening, and such documentation
must include; (a) the name of the SBE; (b) a description of the Joint Venture; (c) evidence of
the date the Bidder and the SBE entered into the agreement; and (d) the name of a contact
person with the SBE who can verify the terms of the agreement. If requested by the City, the
Bidder must also provide a copy of the Joint Venture agreement.
77
Section 5.3.12: Financial Assistance. To receive credit for this GFE, the Bidder must provide
one of the following types of assistance to an SBE during the 12 months before Bid Opening:
(a) assistance in obtaining equipment, a loan, capital, lines of credit, (b) joint pay agreements
or guaranties to secure loans, the purchase of supplies, or letters of credit, including waiving
credit that is ordinarily required; or (c) assistance in obtaining the same unit pricing with the
Bidder’s suppliers as the Bidder. Such assistance may be in connection with a City
Construction Contract or any other contract, but must have a value in excess of $2,000. To
receive credit for this GFE, Bidders must document: (a) the name of the SBE; (b) the
description of the assistance the Bidder provided; (c) the date the Bidder provided the
assistance; (d) the name of a contact person with the SBE who can verify that the Bidder
provided the assistance was provided; and (e) that the assistance provided had a value in
excess of $2,000. The Bidder shall provide any other documentation of proof, as requested
by the City.
Section 5.3.13: Quick Pay Agreements On The Construction Contract Up For Award. *(see
note) For purposes of this Section, the term “Quick Pay Commitment” means a commitment
to pay all SBEs participating in the Construction Contract within 20 Days after the Contractor
confirms that the SBE has properly performed and the SBE’s work has been properly
completed. To receive credit for this GFE, Bidders must: (a) provide the City with a copy of a
policy containing the above-referenced Quick Pay Commitment that the Bidder has adopted
for the project and document that the Bidder informed each SBE about the Quick Pay
Commitment as part of the Bidder’s SBE contacts under Section 5.3.2; or (b) document that
prior to Bid Opening the Bidder made a written Quick Pay Commitment to each SBE that will
participate in the Construction Contract up for award. Including a statement in a Bid
solicitation letter indicating that the Bidder will consider entering into quick pay agreements
will not suffice.
20
25
Good Faith Efforts (GFE) and Statement of GFE Compliance
20
20
15
SBO FORM 5
(Page 3 of 3)
Section 5.3.14: Attendance at City Workshops or Networking Sessions. To receive credit for
this GFE, the Bidder must document that within 12 months prior to Bid Opening the Bidder
attended a workshop, seminar or networking session held by the City to (a) educate
contractors or SBEs about the requirements of the SBO Program and how Bidders can comply
with the Program; or (b) increase the capacity or skill level of SBEs; or (c) provide networking
opportunities for SBEs.
Section 5.3.15: Follow-up Contacts. *(see note) To receive credit for this GFE, the Bidder
must follow-up with each SBE that the Bidder contacted under Section 5.3.2 that did not
reply that it was unwilling to participate in the Construction Contract. Additionally, the
Bidder must: (a) make each follow-up contact subsequent to the initial contact and at least
48 hours before Bid Opening; (b) make each follow-up contact by telephone or in person, and
(c) document the contact with affidavit stating the name of the SBE representative with
whom the Bidder spoke and certifying that the contact met the content requirement of
Section 5.3.2.2.
Section 5.3.16: Achieving 50% of SBE Participation Goal. To receive credit for this GFE, the
Bidder’s Committed SBE Goal must be at least 50% of the SBE Goal established by the City for
the Contract.
78
15
20
25
20
350
Section 5.3.17: Additional SBE Outreach. *(see note) To receive credit for this GFE, a Bidder
must do the following no less than 7 Days before the Bid Opening: (a) contact the minimum
number of “additional outreach” SBEs specified in the City Solicitation Documents (which
number will be higher than the minimum contacts required to satisfy GFE 5.3.2); and (b)
document compliance with the solicitation requirements outlined in Section 5.3.2.1, Section
5.3.2.2 and Section 5.3.2.3, and (c) supply such additional documentation as the City may
require.
Section 5.3.18: SBE Participation On Non-City Contracts. To receive credit for this GFE, the
Bidder must document that during the 24 month period before Bid Opening, the Bidder paid
SBEs on non-City contracts more than the Bidder would have to pay SBEs to meet the SBE
Goal for the Construction Contract at issue. To receive credit for this item, Bidders must
document for each non-City SBE subcontract: (a) the name of the project and the parties to
the contract; (b) the name of the SBEs the Bidder paid on the project; (c) the amount the
Bidder paid to each SBE during such 24 month period; and (d) any additional documentation
requested by the Program Manager for verification purposes. To count a payment to an SBE
under this GFE, the SBE must have been certified by the City at the time the payment was
made.
Section 5.3.19: Working With a New SBE. To receive credit for this GFE, the Bidder must: (a)
commit to hire a “New SBE” (as defined below) to provide goods or services totaling at least
$10,000 on the Contract at issue, and (b) calculate and document the New SBE commitment
in the manner set forth in Sections 3.2 through 3.7 of the SBO Policy Part D. As used herein,
“New SBE” means an SBE that was certified as an SBE for the first time during the year prior
to Bid Opening.
Section 5.3.20: Exceeded SBE Goal by More Than 50% on Past Project. To receive credit for
this GFE, the Bidder must document that during the 2 years prior to Bid Opening the Bidder
exceeded the SBE Goal on a City Contract of equal or greater value by more than 50%. This
GFE is measured by actual payments to SBEs as opposed to commitments. A Bidder “exceeds
the SBE Goal” for purposes of this GFE when its total payments to SBEs on the Contract
exceed the SBE Goal by more than 50% of the SBE Goal (the “50% Payment Threshold”). A
Bidder may receive credit for this GFE during the time period that begins when the 50%
Payment Threshold is first reached and extends for 2 years after completion of the applicable
project.
Total Available GFE Points
Total GFE Points Attained (to be completed by City)
NOTE: In order to earn GFE points for GFEs 5.3.3; 5.3.4; 5.3.6; 5.3.13(a); 5.3.15; and 5.3.17,
you must also have earned the GFE points for 5.3.2.
79
Payment Affidavit - Subcontractor / Supplier Utilization SBO FORM 6
To be submitted with each request for payment from the City of Charlotte. Copy this form as needed.
Project Name:
Contractor
N
Contract
N
b
Payment
P i d
FINAL PAYMENT
Payment / Invoice
#
Invoice Amount: $
Fro
City KBU:
To
(D
t
t)
Check this box only when submitting Final Pay request.
Section 1: Payments to SUBCONTRACTORS
Complete the chart below for all subcontractors used on the Project/Contract regardless of dollar amount.
All subcontractors must be registered in the City’s Vendor Management System.
City VMS
Payment
Cumula
Subcontractor’s
Description of Work
NIGP
Number
this
tive
Payments
Name
Performed
Code
Period
Section 2: Payments to SUPPLIERS
All suppliers providing goods under City contracts must be listed on the Sales Tax Statement submitted
with each pay request. The City may request on a case-by-case basis that the Contractor require certain
suppliers to be registered in the City’s Vendor Management System and may withhold payment of any
amounts due the Contractor in the event the Contractor fails to comply with such request.
The undersigned Company certifies the preceding chart is a true and accurate statement of all payments
that have been or will be made to subcontractors and suppliers on this Project/Contract. If no
subcontractors or suppliers are listed on the preceding chart, the Company certifies that no subcontractors
or suppliers were used in performing the Project/Contract for the payment period indicated. Failure to
provide accurate and truthful information is a violation of the Small Business Opportunity Program and is
subject to the sanctions prescribed therein.
day
This
of
200
Signature
To be completed by KBU for FINAL PAYMENT
Total Paid to
Contractor: $
Total Paid to SBEs: $
Print Name and Title
SBE Goal:
SBE Goal
Commitment:
SBE Goal
Attainment:
80
%
%
%
DISADVANTAGE BUSINESS ENTERRPISE PROGRAM
81
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM – PROVISIONS AND FORMS
THE DBE GOAL FOR THIS PROJECT IS: xx%
This Contract is subject to the requirements of 49 CFR Part 26 Participation by DBE in Department of
Transportation Financial Assistance Programs
XII.
CONTACT
Laura Dahlberg, Airport DBE Liaison Officer
P.O. Box 19066
Charlotte, NC 28219
Telephone: (704) 359-1910
Facsimile: (704) 359-4030
Email: ladahlberg@cltairport.com
XIII.
APPLICATION
The City’s Disadvantaged Business Enterprise Program (“DBE Program”) is incorporated into
and made a part of the Bid Documents and resulting Contract. Copies of the DBE Program may
be obtained online at www.cltairport.com.
Pursuant to 49 CFR Part 26 and the DBE Program, all Bidders must affirmatively ensure that in
any contract entered into with the City for applicable projects, DBEs will be afforded equal
opportunity to participate in subcontracting opportunities.
A Bid will not be considered responsive unless the Bidder complies with 49 CFR Part 26, and
the DBE Program. Failure to carry out the pre-award requirements stated in the DBE Contract
Provisions will be sufficient grounds to reject the Bid. Moreover, failure by any contractor to
comply with the DBE Program after award shall constitute a breach of the Contract. Failure to
cure the breach within fifteen (15) days written notice of the breach shall entitle the City to
terminate the Contract and or exercise other appropriate rights and remedies including, without
limitation, withholding of funds until such time as Contractor complies with all the DBE
requirements.
The Bidder shall thoroughly examine and be familiar with provisions of 49 CFR Part 26 and the
DBE Program. Submission of a Bid shall constitute an acknowledgment upon which the City
may rely that the Bidder has thoroughly examined, and is familiar with said regulations and
contract requirements. Failure or neglect of a Bidder to receive or examine any of these
government regulations and contract requirements shall in no way relieve him from any
obligations with respect to his Bid or this Contract.
XIV. DEFINITIONS
3. Disadvantaged Business Enterprise (DBE) is defined as “A for-profit small business concern
– (1) That is at least 51 percent owned by one or more individuals who are both socially and
economically disadvantaged or, in the case of a corporation, in which 51 percent of the stock
is owned by one or more such individuals; and (2) Whose management and daily business
82
operations are controlled by one or more of the socially and economically disadvantage
individuals who own it.
4. Socially and economically disadvantaged individuals means any individual who is a citizen
(or lawfully admitted permanent resident) of the United States who is –
C. Any individual who a recipient finds to be a socially and economically disadvantage
individual on a case-by-case basis.
D. Any individual in the following groups, members of which are rebuttably presumed to be
socially and economically disadvantaged:
viii. “Black Americans”, which includes persons having origins in any of the Black racial
groups of Africa;
XV.
ix.
"Hispanic Americans, includes persons of Mexican, Puerto Rican, Cuban,
Dominican, Central or South American, or other Spanish or Portuguese culture or
origin, regardless of race;
x.
"Native Americans, includes persons who are American Indians, Eskimos, Aleuts, or
Native Hawaiians;
xi.
"Asian-Pacific Americans”, which includes persons whose origins are from Japan,
China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea),
Thailand, Malaysia, Indonesia, The Philippines, Brunei, Samoa, Guam, the U.S. Trust
Territories of the Pacific Islands (Republic of Palau)the Commonwealth of the
Northern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru, Federated
States of Micronesia, or Hong Kong;
xii.
"Subcontinent Asian Americans”, which includes persons whose origins are from
India, Pakistan and Bangladesh, Bhutan, the Maldives Islands, Nepal, or Sri Lanka;
xiii.
Women;
xiv.
Any additional groups whose members are designated as socially and economically
disadvantaged by the SBA, at such time as the SBA designation becomes effective.
REQUIRED DOCUMENTATION
The applicable forms in this section MUST be completed and included with the Bid or specified
timeframe if a Bidder is to be considered responsive. If these forms are not submitted as such,
the Bidder may be considered non-responsive and the Bid may be rejected. The required forms
are listed below.
5. The Bidder must submit its proposed DBE utilization on DBE Form 3 (Subcontractor /
Supplier Utilization Commitment Form) listing subcontractors and suppliers that will be
providing goods or services, their respective scope of work/service to be performed, the
dollar values of each DBE subcontract, and the dollar value of total DBE participation for the
Contract.
DBE Form 3 must be submitted with your Bid. A copy of each DBE company’s NCDOT
Directory printout may be attached to the form as backup documentation for proof of
certification.
83
Blank forms will be deemed to represent zero participation. Forms without a signature will
be considered non-responsive.
6. If the information submitted in DBE Form 3 indicates that the City’s goal will not be met, the
Bidder shall also submit evidence sufficient to show to the City’s satisfaction that the Bidder
has in good faith made every reasonable effort, in the City’s judgment, to meet such goal
prior to contract award. DBE Form 5 (Schedule of DBE Unavailability) must be completed
to show DBE firms that were contacted, but were not utilized. All columns in this form must
be completed. You can use DBE Form 1 (Identification of Subcontracting Opportunities) to
identify the portions of the contract for which there are subcontracting, supplier, or service
provider opportunities, DBE Form 2 to track your contact efforts, or you can develop your
own spreadsheet form with the information listed in DBE Form 2.
All Documentation as to efforts made to attain the goal must be provided within 3 business
days from the time the City makes the request to the apparent low Bidder as well as
subsequent Bidders if requested (which is usually at the time of bid opening).
Documentation can include, but is not limited to, the following: copies of documents of
solicitations, logs of telephone calls to DBE firms, records of meetings with DBE firms, and
any other data which would indicate to the City that good faith efforts were, in fact, made.
7. The Letter of Intent (DBE Form 4) must be completed for EACH North Carolina Department
of Transportation (NCDOT) certified DBE listed on DBE Form 3. Letter of Intents are not
required to be submitted with the Bid, however the apparent low Bidder will be required to
submit letters of intent within 3 business days from the time the City makes the request.
8. The City requires bidders to make good faith efforts to replace a DBE participant that is
unable to perform successfully with another DBE. The Bidder shall not terminate a DBE
subcontractor listed on Bid without the DBE Liaison Officer’s (DBELO) prior consent. To
terminate a DBE subcontractor, the Bidder must follow the procedure stated in Section
26.53(f) of the DBE Program.
9. Any alterations, substitutions, deletions, etc., to data provided to the City must have prior
approval of the DBELO
XVI. DOCUMENTATION OF GOOD FAITH EFFORTS
Good Faith Efforts (as described in III.2) to obtain DBE participation may be satisfied in one or
more of the following ways. This list is not intended to be exclusive or exhaustive:
1. Attend a pre-Bid meeting, if any, scheduled by the City to inform DBEs of subcontracting
opportunities under a given solicitation and/or to inform potential participants of the DBE
Program requirements;
2. Advertise in general circulation media, trade association publications, and disadvantaged
focus media for at least twenty (20) days before Bids or proposal are due. If twenty (20)
days are not available, publication for a shorter reasonable time is acceptable;
3. Written notification to DBEs of subcontracting opportunities;
4. Efforts made to select portions of the Work proposed to be performed by DBEs in order to
increase the likelihood of achieving the stated DBE goal;
5. Efforts to negotiate with DBEs for specific sub-Bids including at a minimum:
84
A. The names, addresses and telephone numbers of DBEs that were contacted;
B. A description of the information provided to DBEs regarding the plans and specifications
of portions of the work to be performed; and
C. A statement of why additional subcontracts with DBE's were not reached.
6. Identify each DBE that was contacted but rejected as unqualified, and explain the reasons for
the DBE’s rejection; and
7. Efforts made to assist DBEs in obtaining bonding or insurance required by the City.
XVII. DBE PARTICIPATION TOWARDS DBE GOAL
In accordance with 49 CFR Part 26 and the DBE Program, the City, as owner and operator of the
Airport has an Overall Annual DBE Utilization Goal for FAA-assisted contracts for the federal
fiscal year. The City may set mandatory, contract specific goals so that, over the period to which
the overall goal applies, it will cumulatively result in meeting any portion of the overall goal that
is not projected to be met through neutral subcontract solicitation and equal opportunity outreach
efforts.
The degree of goal attainment by DBE contractors and DBE suppliers should be calculated as
follows:
6. When a DBE participates in a contract, only the value of the work actually performed by the
DBE will count toward the DBE goal including:
A. The cost of supplies and materials purchased or leased by the DBE for the work of the
Contract (except supplies and equipment the DBE subcontractor purchases or leases
from the prime contractor or its affiliate).
B. Fees or commissions charged by a DBE for providing a bona fide service, such as
professional, technical, consultant, or managerial services, or for providing bonds;
provided such fees and/or commissions are reasonable and not excessive as compared
with fees and/or commissions customarily allowed for similar services.
C. When a DBE subcontracts part of the work of its contract to another firm, the value of
the subcontracted work may be counted toward DBE goals only if the DBE’s
subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does
not count toward DBE goal.
7. When a DBE is a participant in a joint venture, only the value of the work and/or services
actually performed by the DBE shall be counter toward the DBE goal.
8. Only those expenditures made by the DBE that correspond to a commercially useful function
in the work of a contract will count towards the DBE goal. If a DBE subcontracts a
significantly greater portion of the work of the contract than would be expected on the basis
of normal industry practices, the DBE will not be considered to be performing a
commercially useful function.
9. Bidders will receive 60% credit toward goal attainment for use of DBE suppliers (i.e., where
a Bidder proposes to purchase $100,000 worth of construction materials from a DBE
Supplier, $60,000 will be credited toward the Bidder's DBE participation goal). However,
where the supplier is the manufacturer of the product supplied, Bidders will receive DBE
credit for 100% of the dollar amount of the supply contract.
85
10. Agreements between a Bidder and a DBE in which the DBE promises not to provide
subcontracting quotations to other Bidders are prohibited.
XVIII. DBE REPORTING AND RECORD KEEPING REQUIREMENTS
Once a Bidder has been awarded a Contract, there are continuing obligations under the DBE
Program. The City shall verify the veracity and accuracy of representations made by contractors
as well as to ensure their compliance with these requirements. These procedures will include,
but not be limited to, the following:
8. The Contractor shall submit DBE Utilization Progress Reports (DBE Form 6) with each
request for payment from the City.
9. The Contractor shall bring to the attention of the DBE Liaison Officer any situation in which
regularly scheduled progress payments are not made to DBE subcontractors.
10. The City will require prime contractors to maintain records and documents of payments to
DBEs for three years following the performance of the Contract. These records will be made
available for inspection upon request by any authorized representative of the City or USDOT.
This reporting requirement also extends to any certified DBE subcontractor.
11. The City requires prime Contractors to make good faith efforts to replace a DBE participant
that is unable to perform successfully with another DBE. The Contractor shall not terminate
a DBE subcontractor listed on the contract without DBELO’s prior consent. To terminate a
DBE subcontractor, the Contractor must follow the procedure stated in Section 26.53(f):
Good Faith Efforts When a DBE is terminated/replaced on a contract of the DBE Program.
12. Any alterations, substitutions, deletions, etc., to data provided to the City must have prior
approval of the Airport DBE Liaison Officer.
13. The City will monitor the progress of DBE work through on-site visits, communication with
DBEs, and review reports regarding employment as well as DBE participation.
14. The City will perform interim audits of contract payments to DBEs. The audit will review
payments to DBE subcontractors to ensure that the actual amount paid to DBE
subcontractors equals or exceeds the dollar amounts stated in the schedule of DBE
participation.
XIX. CONTRACT ASSURANCE CLAUSE
The Contractor shall include in each subcontract the Contractor signs with a subcontractor the
following assurance:
“The contractor, sub recipient or subcontractor shall not discriminate on the basis of
race, color, national origin, or sex in the performance of this contract. The contractor
shall carry out applicable requirements of 46 CFR Part 26 in the award and
administration of DOT-assisted contracts. Failure by the contractor to carry out
these requirements is a material breach of this contract, which may result in the
86
termination of this contract or such other remedy as the recipient deems
appropriate.”
XX.
POLICY STATEMENT
The City of Charlotte, North Carolina (City) has established a Disadvantaged Business
Enterprise (DBE) Program in accordance with regulations of the United States Department of
Transportation (USDOT), 49 CFR Part 26. The City has received direct Federal financial
assistance from the USDOT, for the Charlotte Douglas International Airport (CLT) and the
Charlotte Area Transit System (CATS), as well as indirect Federal financial assistance for the
Charlotte Department of Transportation (CDOT) as a sub-recipient through the North Carolina
Department of Transportation (NCDOT). The City’s department of Engineering and Property
Management (E&PM) on a per project basis also receives funding as a sub-recipient to NCDOT
and other direct recipients, or acts as the project administrator for other direct recipient City
departments receiving USDOT funding. As a condition of receiving this assistance, the City has
signed an assurance that it will comply with 49 CFR Part 26. Should any other City department
become a recipient of USDOT funding they will act in compliance with 49 CFR Part 26, and will
operate within the following Program’s parameters.
It is the policy of the City to ensure that DBEs, as defined in 49 CFR Part 26, have an equal
opportunity to receive and participate in USDOT-assisted contracts. It is also our policy:
1. To ensure nondiscrimination in the award and administration of USDOT-assisted
contracts;
2. To create a level playing field on which DBEs can compete fairly for USDOT-assisted
contracts;
3. To ensure that the DBE Program is narrowly tailored in accordance with applicable
law;
4. To ensure that only firms that fully meet 49 CFR Part 26 eligibility standards are permitted
to participate as DBEs;
5. To help remove barriers to the participation of DBEs in USDOT-assisted contracts; and
6. To assist the development of firms that can compete successfully in the market place outside
the DBE Program.
The Office of the City Clerk shall maintain the original DBE Program document. CATS, CLT,
CDOT and E&PM shall each assign a Disadvantaged Business Enterprise Liaison Officer
(DBELO) who is responsible for implementing all aspects of the City’s USDOT DBE Program
in their respective departments. Day to day DBE responsibilities will be delegated to each
department's DBELO.
Implementation of the DBE Program is accorded the same priority as compliance with all other
legal obligations incurred by the City in its financial assistance agreements with both the
Federal Aviation and Federal Transit Administrations, as well as municipal agreements with
NCDOT where Federal financial assistance is involved. CLT and CATS each establish annual
goals as direct recipients of USDOT funding, monitor their DBE projects throughout the
federal fiscal year and report on achievements. CDOT & (when applicable) E&PM, as indirect
recipients of USDOT funding, are only required to monitor and report to NCDOT or other
direct recipients on a per project basis.
The City does disseminate this policy statement to the governing Boards of the City,
Mecklenburg County, the Metropolitan Transit Authority, the Airport Advisory Committee, and
87
all the relevant departments of City government. The City will maintain copies of this Policy
Statement in the office of the City Clerk, as well as CATS, CLT, E&PM and CDOT offices,
where it is available to all interested citizens and organizations. The Policy will be publicized to
the DBE and non-DBE business communities that perform work on its USDOT-assisted
contracts through a variety of means, including through established print media outlets, minority
and women business association newsletters, advertisements, and DBE Program workshops and
seminars.
XXI. INFORMATION
Prepared before Bid
Opening
If you have any questions concerning the required documentation listed above, or concerning the
DBE requirements in general, contact Laura Dahlberg, DBE Program Administrator, Charlotte
Douglas International Airport, Post Office Box 19066, Charlotte, NC 28219. Ms. Dahlberg may
be contacted by calling (704) 359-1910, or by visiting The Aviation Director’s Office on the
third floor of the main terminal building, Charlotte Douglas International Airport. Due to TSA
Security requirements, please call in advance to make arrangements for access approval.
DBE Form
DBE Form 1
Identification of
Form Description
Submission Requirements
Used to document GFE efforts. Identifies
the
subcontracti
ng or
supplier
opportunitie
s intended to
be utilized
by the
Bidder on
the Contract.
Required when Bidder is not meeting the
DBE goal.
As part of
documentin
g
Good
Faith
Efforts. Due
within three
(3) business
days after
requested
by the City.
88
DBE Form 2
Solicitation Form
Post-Bid Opening
Bid
Openin
DBE Form 5
Schedule of DBE
DBE Form 3
Utilization
Commitment
DBE Form 4
Letter of Intent
DBE Form 6
Payment Affidavit
Used to document GFE efforts. Identifies
all DBEs the
Bidder
contacted of
those
that
contacted
the Bidder.
It
also
describes
scope
of
work
for
which they
were
contacted.
Includes
date
and
method of
contact for
DBE firms.
Used to document GFE efforts. Identifies
DBE firms
that
were
contacted,
but were not
able
to
submit a bid
Identifies all subcontractors, suppliers,
manufacturers, brokers and/or members of
a joint venture to be utilized on the
contract and dollar amounts committed to
DBEs.
Bidders must submit a separate Letter of
Intent executed by each DBE firm listed
on DBE Form 3 that the Bidder will use
on the Contract
Contractor shall provide with each pay
request to the City a payment affidavit
showing
payments
made
to
all
subcontractors, suppliers, manufacturers,
brokers, and members of a joint venture in
connection with the Contract.
End of Document
89
Required when Bidder is not meeting the
DBE goal.
As part of
documentin
g
Good
Faith
Efforts. Due
within three
(3) business
days after
requested
by the City.
Required when Bidder is not meeting the
DBE goal.
As part of
documentin
g
Good
Faith
Efforts. Due
within three
(3) business
days after
requested
by the City.
With Bid Package
The City will request this form from
finalist for contract award. Must submit
within three (3) business days after
requested by the City.
Upon award of Contract, submitted with
each pay request to the City, for duration
of the project.
Charlotte Douglas International Airport
Notification of Subcontracting Opportunities
Bidder Name:
DBE Form 1
Bid Date:
Project Name:
Project Number:
Identify the portions of the contract for which there are intended subcontractor, supplier, or service provider
opportunities.
Description of Subcontracting / Supplier Opportunity
Submit this form to: Laura Dahlberg
E-mail:
ladahlberg@charlotteairport.com
Fax Number: 704-359-4030
Completed By:
Phone Number: 704-359-1910
Date:
90
Charlotte Douglas International Airport
DBE Form 2
DBE Solicitation Form
Bidder Name:
(an excel spreadsheet with the same information can be used in lieu of this form)
Copy this side of Form 2 as needed, to document DBE contacts.
Bid Date:
Project Name:
Project Number:
DBE Firm:
Scope of
Initial
Follow-up:
Response:
Selected?
DBE Firm:
Scope of
Initial
Follow-up:
Response:
Selected?
DBE Firm:
Scope of
Initial
Follow-up:
Response:
Selected?
DBE Firm:
Scope of
Initial
Follow-up:
Response:
Selected?
Date:
Date:
No response
YES
Date:
Date:
No response
YES
Date:
Date:
No response
YES
Date:
Date:
No response
YES
Method:
Method:
Not bidding
NO
Method:
Method:
Not bidding
NO
Method:
Method:
Not bidding
NO
Method:
Method:
Not bidding
NO
Contact
Work Code:
Email
Phone
Is bidding $
Fax
Mail
In person
Other (explain)
Contact
Work Code:
Email
Phone
Is bidding $
Fax
Mail
In person
Other (explain)
Contact
Work Code:
Email
Phone
Is bidding $
Fax
Mail
In person
Other (explain)
Contact
Work Code:
Email
Phone
Is bidding $
Fax
Mail
In person
Other (explain)
Company
Signature of Authorized Official
Title
Submittal Date
91
Charlotte Douglas International Airport
Subcontractor / Supplier Utilization Commitment
DBE Form 3
This form MUST be submitted at the time of Bid Opening
Copy this Form 3 as needed, to document additional DBE commitments. Indicate page number range.
Failure to properly complete and submit Form 3 with the Bid constitutes grounds for rejection of the Bid
Bidder Name:
Bid Opening:
Project Name:
Project Number:
Established DBE Goal:
5. List below all DBEs that you intend to use on this contract
DBE Vendor Name
Description of work / materials
Work Code
Total Subcontractor / Supplier Utilization (including DBEs and Non-DBEs)
Total DBE Utilization
Total Bid Amount (including Contingency)
Percent DBE Utilization* (Total DBE Utilization divided by Total Bid Amount)
Total Projected
Utilization ($)
$
$
$
* The DBE Utilization percentage stated here MUST be rounded to (2) decimal places.
Signature
Your signature below indicated that the undersigned Company certifies and agree that:
c) It has complied with all provisions of the DBE Program;
d) Failure to properly document such compliance in the manner and within the time periods
established by the Aviation, DBE Coordinator, may constitute rejection of bid.
______________________ ____________________ _________________
Signature of Authorized Official Printed Name
Title
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Charlotte Douglas International Airport
DBE Form 4
Letter of Intent_______________________________
Letter of Intent must be executed by both the DBE subcontractor and the Bidder
Project Name:
Project Number:
To be completed by the Bidder
Name of Bidder:
Address:
Contact Person:
Email:
Telephone:
Fax:
Identify in complete details the scope of work to be performed or item(s) to be supplied by the DBE. On
unit price bids, identify the bid line item the DBE’s scope of work or supply corresponds:
Cost of work to be performed by DBE:
Cost of work to be performed by DBE as a percentage of total amount of
contract:
$
%
To be completed by DBE
Name of DBE:
Address:
Contact Person:
Email:
Telephone:
Fax:
The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out applicable requirements of 46 CFR part 26 in the award and
administration of DOT-assisted contracts. 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 recipient deems appropriate.
Upon execution of a Contract with the City for the above referenced project, the Bidder certifies that it intends to utilize the DBE
listed above, and that the description, cost and percentage of work to be performed by the DBE as described above is accurate.
The DBE Firm certifies that it has agreed to provide such work/supplies for the amount stated above.
Bidder:
DBE Firm:
Date:
Signature and Title
Date:
Signature and Title
Charlotte Douglas International Airport
DBE Form 5
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SCHEDULE OF DBE UNAVAILABILITY
PROJECT NAME
______________
PROJECT NO.
______________________
NAME OF PRIME CONTRACTOR
NAME OF DBE
CONTRACTOR
___________________________________________
DBE Contact
Name
AND
Phone Number
TYPE OF WORK
REASON FOR UNAVAILABILITY
ALL COLUMNS MUST BE COMPLETE
The Undersigned certified that the above Disadvantaged Business Enterprise(s) was (were)
contacted, in good faith, and that said DBE(s) was (were) unable to submit a bid.
___________________________
________________________
_______________
Authorized Signature
Printed Name
Title
94
____________________
Date
Charlotte Douglas International Airport
DBE Form 6
Payment Affidavit - Subcontractor / Supplier Utilization
To be submitted with each request for
payment from the City of Charlotte. Copy this form as needed.
Project Name:
Contractor Name:
Payment / Invoice #
Contract Number:
Invoice Amount:
Payment Period:
From
FINAL PAYMENT
$
To
Check this box only when submitting Final Pay request.
Section 1: Payments to SUBCONTRACTORS
Complete the chart below for all subcontractors used on the Project/Contract regardless of dollar amount.
Subcontractor’s Name
Description of Work Performed
Work
Code
Cumula
tive Payments
Payment
this Period
The undersigned Company certifies the preceding chart is a true and accurate statement of all payments that have been or will be made to subcontractors and
suppliers on this Project/Contract. If no subcontractors or suppliers are listed on the preceding chart, the Company certifies that no subcontractors or suppliers
were used in performing the Project/Contract for the payment period indicated.
This
day of
20
Signature
To be completed by KBU for FINAL PAYMENT
Total Paid to
Contractor: $
Total Paid to DBEs: $
Print Name and Title
DBE Goal:
DBE Goal
Commitment:
DBE Goal
Attainment:
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%
%
V.
AIRPORT SECURITY REQUIREMENTS
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SECURITY PROGRAM
A.
The Airport has been secured to prevent unauthorized access into the Security Identification
Display Area (SIDA). Contractor shall cooperate to the fullest extent with the Aviation
Department to maintain the integrity of the SIDA.
B.
Construction Security Requirements. In order to comply with the Aviation Department's security
requirements, the Contractor shall meet all training and operational requirements of Federal Air
Regulation (FAR) Part 139 and Transportation Safety Regulation (TSR) 1542 as contained in the
Code of Federal Regulations (CFR), and other rules, regulations and requirements as established
by the Aviation Director. The Contractor shall keep informed as to current requirements, and
shall remain current throughout the contract. Exact requirements may vary, but, in general, the
requirements are as follows:
1.
If a Contractor performs Work on the AOA, a Security Identification Display Area Badge
must be obtained. The following steps must be followed:
a.
The Contractor requesting badges at the Airport shall submit to the Airport
Security Office a Compliance Agreement and Authorized Signature Letter on
company letterhead a signature letter, listing those personnel authorized to sign
requests for identification badges along with a sample of each signature. The
Contractor may not designate more than four signatories. The signature on the
badge request form certifies that the employer accepts responsibility for all badge
holders they sponsor to include subcontractors and suppliers.
b.
The badge application packet includes a list of disqualifying crimes. Each applicant
must review this list of disqualifying crimes. In the ten (10) year period ending on
the date of investigation or fingerprint check, if the individual was convicted (or
found not guilty by reason of insanity) of any of these crimes, the applicant cannot
be given unescorted access privileges.
c.
Prior to the issuance of a SIDA Badge, each eligible applicant’s fingerprints will be
taken and transmitted electronically to the FBI for a criminal history records check.
In addition, each person designated as an authorized signatory must be
fingerprinted and have a criminal history records check conducted. Whenever
fingerprinting is conducted for any one employee, another badged employee from
the same company must be present as a witness. The Contractor shall submit a
completed SIDA Badge Request form for each of their employees, subcontractor’s
employees, and suppliers, to the Owner prior to fingerprinting of employees.
d.
The SIDA Badge package shall include the Authorization Letter and Notice of
Upcoming Contract forms shall be submitted to the Owner as follows:
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Charlotte Douglas International Airport
Department
f.
Attn: Planning and Development - Aviation
Post Office Box 19066
Charlotte, NC 28208
Upon receipt of notification from the FBI that the applicant has not been convicted
of any of the disqualifying crimes and has passed a Security Threat Assessment, a
SIDA Badge will be issued, giving the applicant unescorted access privileges at
Charlotte/Douglas International Airport.
2.
The Contractor shall mark each of his vehicles and his/her subcontractor's vehicles and
pieces of equipment with a company name or logo on the sides of the vehicles and
equipment. (For the purpose of this specification, a vehicle shall be defined as any device,
including cars, trucks, buses or other conveyances, which is required to carry a state
license tag. All other devices, which are primarily used in construction activities, will be
classified as equipment). No private vehicles are allowed on the AOA. All vehicles must
be registered in a Company name and carry the necessary insurance as required herein.
3.
No person will be allowed to operate a vehicle in the active AOA unescorted without
successfully completing the airport approved Driver Training Program. The Contractor will
not be authorized driving privileges unless the work requires access into the active AOA
and cannot be accomplished otherwise and then only with the approval of the Aviation
Director.
4.
The Contractor shall station a badged security guard at each access point into the SIDA
shown on the plans at all times during which access is required by the Contractor. The
security guard(s) shall be approved by the Aviation Director and shall have a company
radio unit at the access point.
5.
The Contractor shall allow only persons with the required identification badge issued by
the Aviation Department passage into the SIDA through project access points. Should the
Contractor wish to allow visitors, vendors, or delivery vehicles through project access
points, he shall provide an escort for each person or vehicle. The Contractor will be
subject to a fine of up to $25,000 for any unauthorized entry that occurs at an access
point while it is under his/her control.
6.
All vehicles must display and use a rotating amber-colored beacon while operating within
the AOA.
7.
Any of the Contractor’s employees, subcontractors, or suppliers who are within the SIDA
must have an identification badge issued by the Aviation Department. In an effort to
ensure this requirement is observed, the Contractor will be liable for an assessment of
$100 for each and every occurrence of any of his employees, subcontractors, or suppliers
within the SIDA without said badge. This assessment will be deducted from monies owed
the Contractor under this contract by the Owner.
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8.
If for any reason an identification badge is lost or stolen and must be replaced, the
Contractor will be charged a fee of $50, $100 and $150 for the first, second and third
occurrence respectively for each replaced badge for any of his employees, subcontractors,
or suppliers. Airport Operations must be notified immediately when a badge is lost or
stolen. Also, if a badge is damaged and must be repaired or replaced, the Contractor
must return the damaged badge in exchange for a new badge. There will be a charge of
$10.00 for this exchange.
9.
Upon completion of the project, all identification badges obtained by the Contractor‘s
employees, subcontractors, or suppliers must be returned to the Aviation Department.
The Contractor will be assessed $100.00 for each badge not returned. This assessment
will be deducted from monies owed the Contractor under this contract at the time of
final payment.
10.
In the event a Contractor’s badged employee sees another employee on the AOA with
no visible badge and does not know the person (not part of his/her team or project
member), he/she must challenge the person by asking the person to present his/her
badge. If the unknown person is unable to present a badge, it is the responsibility of the
badged person to report this to the Airport Operations staff. Airport Operations can be
reached by calling 359-4012. If the badged person does not have access to some form
of communication, then we ask that they report the information to any badged person
in the vicinity who may have access to a telephone or radio. It is everyone’s
responsibility to ensure the Airport remains safe and secure at all times. This is
accomplished by challenging any individual with no visible identification.
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Instructions for Obtaining Airport Identification Badges
The Airport badging process requires submittal of the following five forms:
1.
2.
3.
4.
5.
6.
Compliance Agreement
Authorized Signature Letter
Criminal History Records Check (CHRC) / Security Threat Assessment (STA) Request form
– Employee Form
CHRC/STA – Employer Form
Badge Request Form
Key Request Form
The current versions of these forms are available on the Airport’s website at
operations.charlotteairport.com. Each of these forms must be typed of completed on a computer.
These instructions provide an overview of the requirements for each form; applicants are strongly
encouraged to visit the website for additional information on the badging process and the completion
of these forms.
1. COMPLIANCE AGREEMENT: The Airport requires any organization requesting badges to complete
and return to Airport Operations a Compliance Agreement stating that the organization understands
and agrees to abide by all regulations governing unescorted access to the restricted areas of the
Airport. These regulations are summarized on the form. This form must be completed (typed), signed
by a legal representative of the Contractor, and returned.
2. AUTHORIZED SIGNATURE LETTER: The Authorized Signature Letter must be typed on company
letterhead. Each person named as an authorized signature must place their signature besides their
printed name. Each person listed on the letter will have the authority to request criminal history
records (fingerprints), ID badges and access media for that organization. All employees designated as
authorized signers must have a criminal history records check conducted prior to being allowed to sign
for employees. This letter must be dated and signed by someone who can legally represent the
organization.
3. CHRC / STA FORMS: These forms authorize the Airport to conduct a criminal history records check. It
is the responsibility of the employer to make sure the employee completes and submits the CHRC/STA
Employee form. Each employee must carefully review the list of disqualifying criminal offenses and
respond accordingly. The employee must sign and date the completed form. The employer must fill
out the CHRC/STA Employer form. For companies subject to TSR 1542, the identity of the applicant
must be verified at the time the fingerprints are obtained, using two forms of identification; one of
which is a photo ID. Both the originals and copies must be presented at the time of fingerprinting.
Forms of valid identification are: U.S. Passport, Driver’s License, Social Security Card, State ID Card,
Employment Authorization Card, I-94 Form, Non-Immigrant Visa, Birth Certificate, or Naturalization
Certificate.
4. BADGE REQUEST FORM: This form authorizes the issuance of the airport identification badge. This
form is completed when the employer is notified the criminal history records revealed NO RECORD for
the employee. When the employee presents this form, properly filled out and signed by an authorized
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signature, the SIDA training will be conducted and identification badge will be issued.
5. Key Request Form: This form must be submitted if an employer requires key access to specific areas
of the Airport. As stated on the form, only employees identified on the Authorized Signature Letter
may request Airport keys.
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