REQUEST FOR QUALIFICATIONS
FAR Part 150 Noise Exposure
Map Update
Charlotte Douglas International Airport of Charlotte, North Carolina (the “Airport”) is seeking to select
a qualified firm to provide professional planning consultant services for the Airport’s FAR Part 150
Noise Exposure Map Update. This project will update the existing maps approved by the City of
Charlotte and Federal Aviation Administration (“FAA”) in 1996 as a part of the FAR Part 150 Noise
Compatibility Program. Under the guidance of Federal Aviation Regulations and Advisory Circulars,
the consultant will provide Noise Exposure Maps (NEMs) that depict the current conditions of Airport
operations. Alongside airport management, the consultant will define the scope of the NEM Update,
review previous Part 150 Noise Compatibility Studies, and establish and coordinate a technical
working group for the development of the Update. The consultant will also work in conjunction with
the Federal Aviation Administration (FAA) to complete the Update and submit for approval. Specific
elements of the Update include reviewing existing conditions, developing NEMs, determining impacts,
and conducting public meetings.
The Airport is currently in the process of completing an Airfield Capacity Enhancement Plan (ACEP).
This project will run concurrently with the NEM Update. The selected consultant must be able to
coordinate with the ACEP consultant to share and obtain data across projects.
QUALIFICATIONS PACKAGE EVALUATION CRITERIA:
Qualifications Packages will be evaluated on the firm’s demonstrated ability to and experience in
providing the professional services described herein. Evaluation criteria are as follows:

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;

Proven airport planning 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;

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;

Ability to provide plans in GIS and provide the City with files (See attached “CAD-GIS Data
Standard Guidelines”) per CLT Airport CAD specifications;

Qualifications and experience of proposed sub-consultants with comparable projects;

Qualifications package responsiveness, appearance and presentation;

Compliance with DBE program;

References.
The DBE goal for federally funded projects will be 10%.
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ADDITIONAL REQUIREMENTS
The City reserves the right to defer, cancel or add projects, to revise the final scope of requested
services and to determine the final schedule for all projects.
Submittals must be no more than twenty-five (25) pages. Pages may be no larger than 8.5”x11.”
If the company wishes to submit a company brochure, this can be done under separate cover. The
brochure will not be used in the selection process and may be retained in the City files.
Questions may be submitted by January 10, 2014 via e-mail to: lmscott@cltairport.com
Qualified firms interested in providing these services are invited to submit (6) copies of their
Statement of Qualifications and one digital copy to:
Lauren Scott
Associate Airport Planner
Charlotte Douglas International Airport
CLT Center
5601 Wilkinson Blvd
Charlotte, NC 28208
Proposals shall be received at the above address no later than 12:00 pm EST,
Friday, January 17, 2014.
By submitting a Statement of Qualifications in response to this RFQ, consultants certify that they have
reviewed the Charlotte Douglas Airport, City of Charlotte, standard contract for professional services,
including insurance requirements and if selected, will execute the City’s required contract without
modification or exceptions. A copy is attached to this RFQ for your reference.
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AGREEMENT FOR PROFESSIONAL SERVICES
PROJECT:
[Insert Project Description]
OWNER:
City of Charlotte
c/o Aviation Department
COMPANY:
[Insert Name]
Rev. 12.12.13
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AGREEMENT FOR PROFESSIONAL SERVICES
BETWEEN THE CITY OF CHARLOTTE AND [INSERT 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
Scope of Services
EXHIBIT B
Timetable
EXHIBIT C
Fee Detail
EXHIBIT D
EXHIBIT E
EXHIBIT F
EXHIBIT G
Confidentiality Requirements
CAD Standards
Mandatory Federal Provisions
Disadvantaged Business Enterprises Program
AGREEMENT FOR PROFESSIONAL SERVICES
BETWEEN THE CITY OF CHARLOTTE AND [INSERT 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 [Insert Project Description] (“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
expiration or early termination of this Agreement.
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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
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
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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
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
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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,
agreement, obligation, term, or condition contained in the Agreement;
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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
the following actions:
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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
remedies the City may have, shall entitle the City to terminate this Agreement for default.
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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.
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
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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
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
17
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.
16.7 Approvals. All approvals or consents required under this Agreement must be in
writing.
16.8
Waiver. No delay or omission by either party to exercise any right or power it has
18
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
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.
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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. If subject to these laws, 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 NCGS
§64. 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 [Type of
Services] for [Insert 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: ____________________
21
EXHIBIT A
SCOPE OF SERVICES
22
EXHIBIT B
TIMETABLE
23
EXHIBIT C
FEE DETAIL
24
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.
K.
Building plans of City-owned buildings or structures, as well as any detailed security
25
plans.
2.
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 seek a protective order or
other appropriate relief to prevent or restrict and protect any disclosure of Confidential
Information.
G.
All materials which constitute, reveal or derive from Confidential Information shall be
26
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.
3.
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.
27
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 counterclockwise.
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:
28
Kerry Norton
Senior CAD Technician
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
29
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
30
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.
b)
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, fictitious or
fraudulent certification may render the maker subject to prosecution under Title 18, United
31
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 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:
32
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 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.
33
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 (Name of Sponsor), 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 Federally-Assisted
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.
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
34
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 Nondiscrimination 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 Federally-Assisted
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);
 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
35





5.
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).
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 {specify number} days from the
receipt of each payment the prime contractor receives from {Name of recipient}. The prime contractor
agrees further to return retainage payments to each subcontractor within {specify the same number
as above} 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 {Name of Recipient}. 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 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
36
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 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;
37
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.
38
***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.
39
***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.
40
***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 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
41
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.
42
EXHIBIT G
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM
43
NON-DISCRIMINATION CERTIFICATION FORM
Non-Discrimination Policy
Project:
Bidder:
Section 2.101. Mandatory non-discrimination Contract clause.
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 Charlotte 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 the Contracts or other sanctions.
Section 2.102 Contractor bid requirements
All requests for bids or proposals issued for City Contracts shall include a certification to be completed by the bidder or
proposer in substantially the following form:
The undersigned Bidder or Proposer hereby certifies and agrees that the following information is correct:
1. In preparing the enclosed bid or proposal, the Bidder or Proposer has considered all bids and proposals submitted
from qualified, potential subContractors and suppliers, and has not engaged in discrimination as defined in
Section 2.
2. For purposes of this section, 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 otherwise unlawful form of discrimination. Without limiting the foregoing,
discrimination also includes retaliating against any person or other entity for reporting any incident of
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 or
proposal submitted with this certification, and terminate any Contract awarded based on such bid or proposal It
shall also constitute a violation of the City’s Commercial Non-Discrimination Ordinance and shall subject the
Bidder or Proposer 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 or Proposer 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 suppliers and 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 or proposal and to any
Contract awarded on such bid or proposal. It shall also constitute a violation of the City’s Commercial Non44
Discrimination Ordinance, and shall subject the Bidder or Proposer to any remedies that are allowed thereunder.
5. As part of its bid or proposal, the Bidder or Proposer shall provide to the City a list of all instances within the past
ten years where a complaint was filed or pending against Bidder or Proposer in a legal or administrative
proceeding alleging that Bidder or Proposer 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 bid or proposal to the City, the Bidder or Proposer 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.
NAME OF COMPANY
DATE
SIGNATURE OF AUTHORIZED OFFICIAL
TITLE
45
Identification of Subcontracting Opportunities
Bidder Name:
Project Name:
Noise Exposure Map - RFQ
Project Number:
N/A
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:
E-mail:
Laura Dahlberg
ladahlberg@charlotteairport.com
Fax Number:
704-359-4030
Phone Number:
704-359-1910
Completed
By:
Date:
46
DBE Solicitation Form
(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.
Bidder Name:
Bid Date:
Project Name:
Project Number:
DBE Firm:
Contact Person:
Scope of Work:
Work Code:
Initial Contact:
Date:
Method:
Email
Fax
Follow-up:
Date:
Method:
Phone
In person
Response:
No response
Not bidding
Selected?
YES
NO
DBE Firm:
Mail
Courier
Other (explain)
Is bidding $
Contact Person:
Scope of Work:
Work Code:
Initial Contact:
Date:
Method:
Email
Fax
Follow-up:
Date:
Method:
Phone
In person
Response:
No response
Not bidding
Selected?
YES
NO
Mail
Other (explain)
Is bidding $
DBE Firm:
Contact Person:
Scope of Work:
Work Code:
Initial Contact:
Date:
Method:
Email
Fax
Follow-up:
Date:
Method:
Phone
In person
Response:
No response
Not bidding
Selected?
YES
NO
Mail
Contact Person:
Scope of Work:
Work Code:
Initial Contact:
Date:
Method:
Email
Fax
Follow-up:
Date:
Method:
Phone
In person
No response
Not bidding
Selected?
YES
NO
Is bidding $
Courier
Other (explain)
Is bidding $
DBE Firm:
Response:
Courier
Mail
Courier
Other (explain)
Company
Signature of Authorized Official
Title
Submittal Date
47
Subcontractor / Supplier Utilization Commitment
This form MUST be submitted at the time of Bid Opening/Proposal Submission
Copy this Form 3 as needed, to document additional DBE commitments. Indicate page number range: Page _____ of _____
Bidder Name:
Bidder Address:
Less than $500K 
Bidder Annual Gross Receipt:
$500K-$1M  $1M-$2M  $2-5M 
More than $5M 
Bidder Age (in years):
Project Name:
Noise Exposure Map - RFQ
Project Number:
N/A
1.
Established DBE Goal:
List below all DBEs that you intend to use on this contract
DBE Vendor Name & Address
Description of work / materials
Work Code
500K-1M
1M-5M
>$5M
1M-5M
TBD
>$5M
Firm Age (in years):
TBD
Annual Gross Receipt: < $500K
500K-1M
1M-5M
Total Projected
Utilization (%)
Firm Age (in years):
Annual Gross Receipt:  < $500K
500K-1M
Total Projected
Utilization ($)
TBD
Annual Gross Receipt:  < $500K
2.
10%
>$5M
Firm Age (in years):
List below all Non-DBEs (if any) that you intend to use on this contract
Vendor Name & Address
Description of work / materials
Annual Gross Receipt: < $500K
1M-5M
>$5M
500K-1M
Work Code
Total Projected
Utilization ($)
Total Projected
Utilization (%)
TBD
Firm Age (in years):
TBD
Annual Gross Receipt: < $500K
1M-5M
>$5M
500K-1M
Firm Age (in years):
A. Total Subcontractor/Supplier Util. (DBEs and Non-DBEs):
B. Total DBE Utilization:
$TBD
D. Percent DBE Util. (B÷C):
$TBD
Total DBE Util.
(Percentage):
$TBD
C. Total Bid
Amount:
$
%
TBD
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
_______________
Submitted Date
48
Letter of Intent
Letter of Intent must be executed by both the DBE subcontractor and the Bidder
Project Name:
Noise Exposure Map - RFQ
Project Number:
N/A
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:
Date:
Signature and Title
DBE Firm:
Date:
Signature and Title
49
SCHEDULE OF DBE UNAVAILABILITY
PROJECT NAME
Noise Exposure Map - RFQ_____________
PROJECT NO.
N/A
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
Date
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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:
Noise Exposure Map - RFQ
Contractor Name:
Payment / Invoice #
Contract Number:
Invoice Amount:
Fro
m
Payment Period:
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
Payment
this Period
Cumulative
Payments
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.
Thi
s
day
of
20
Signature
Print Name and Title
To be completed by KBU for FINAL PAYMENT
DBE Goal:
%
Total Paid to Contractor:
$
DBE Goal Commitment:
%
Total Paid to DBEs:
$
DBE Goal Attainment:
%
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THE DBE GOAL FOR THIS PROJECT IS ___10%___
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
Email: ladahlberg@cltairport.com
II.
APPLICATION
The City’s Disadvantaged Business Enterprise Program (“DBE Program”) is incorporated into and made
a part of the Bid/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 Bidders/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.
A Bid/Proposal will not be considered responsive unless the Bidder/Proposer 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/Proposal. 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 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 Bidder/Proposer shall thoroughly examine and be familiar with provisions of 49 CFR Part 26 and
the DBE Program. Submission of a Bid/Proposal shall constitute an acknowledgment upon which the
City may rely that the Bidder/Proposer has thoroughly examined, and is familiar with said regulations
and Contract requirements. Failure or neglect of a Bidder/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 Bid/Proposal or this Contract.
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III.
DEFINITIONS
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 applicable forms in this section MUST be completed and included with the Bid/Proposal or
specified timeframe if a Bidder/Proposer is to be considered responsive. If these forms are not
submitted as such, the Bidder/Proposer may be considered non-responsive and the Bid/Proposal may
be rejected. The required forms are listed below.
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1. The Bidder/Proposer 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
subcontract, and the dollar value of total DBE participation for the Contract.
NOTE: For Request for Qualifications (RFQ), list the cost of work to be performed by the
subcontractor(s) as a percentage of the total amount of the contract. Do not write the dollar
amount.
DBE Form 3 must be submitted with your Bid/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. Forms without a signature will be
considered non-responsive.
2. If the information submitted in DBE Form 3 indicates that the goal has not been met, the
Bidder/Proposer shall also submit evidence sufficient to show that the Bidder/Proposer has in good
faith made every reasonable effort, in the City’s judgment, to obtain DBE participation prior to
Contract Award. DBE Form 5 (Schedule of DBE Unavailability) must be completed to show DBE
firms that were contacted, but not utilized. All columns in this form must be completed.
Bidders/Proposers may 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 contact efforts, or create a custom spreadsheet for the
information listed in DBE Form 2.
All Documentation of efforts made to attain DBE goal must be provided within 3 business days
from the time the City makes the request to the apparent low Bidder/Proposer as well as
subsequent Bidders/Proposers if requested (For Bids, request usually happens 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 documents that would indicate to the City that good faith efforts were, in fact, made.
3. 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/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 (For Bids, this usually happens at Bid Opening).
4. The City requires Bidders/Proposers to make good faith efforts to replace a DBE participant that is
unable to perform successfully with another DBE. The Bidder/Proposer shall not terminate, replace,
or reduce the scope of work of a DBE subcontractor listed on Bid/Proposal without the DBE Liaison
Officer’s (DBELO) prior consent. To terminate, replace, or reduce the scope of work of a DBE
subcontractor, the Bidder/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
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of the DBELO.
V.
DOCUMENTATION OF GOOD FAITH EFFORTS
Good Faith Efforts (as described in IV.2 of this contract provisions) 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 proposals 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 DBE participation;
5. Efforts to negotiate with DBEs for specific sub-Bids including at a minimum:
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.
VI.
DBE PARTICIPATION TOWARDS DBE GOAL
The degree of DBE goal 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.
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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.
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. Bidders/Proposers will receive 60% credit toward goal attainment for use of DBE suppliers (i.e.,
where a Bidder/Proposer proposes to purchase $100,000 worth of construction materials from a
DBE Supplier, $60,000 will be credited toward the Bidder/Proposer's DBE participation goal).
However, where the supplier is the manufacturer of the product supplied, Bidders/Proposers will
receive DBE credit for 100% of the dollar amount of the supply contract.
5. Agreements between a Bidder/Proposer and a DBE in which the DBE promises not to provide
subcontracting quotations to other Bidders/Proposers are prohibited.
VII.
DBE REPORTING AND RECORD KEEPING REQUIREMENTS
Once a Bidder/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 non-discrimination, 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 with 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.
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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 make good faith efforts to replace a DBE participant that is
unable to perform successfully 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”.
Retainage
“The prime contractor agrees to return retainage payments to each subcontractor within seven (7)
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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 contract 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 subrecipient 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
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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 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.
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DBE Form 1
Identification
of
Subcontracting
Opportunities
After-Bid Opening / Proposal Review
Document Description
Submission Requirements
Used to document GFE efforts. Identifies
the subcontracting or supplier
opportunities intended to be utilized by
the Bidder/Proposer on the Contract.
Required when Bidder/Proposer is not meeting
the DBE goal. As part of documenting Good
Faith Efforts. Due within three (3) business
days after requested by the City.
DBE Form 2
Solicitation
Form
Used to document GFE efforts. Identifies
all DBEs the Bidder/Proposer contacted or
those who contacted the Bidder. It also
describes scope of work for which they
were contacted. Includes date and method
of contact for DBE firms.
Required when Bidder/Proposer is not meeting
the DBE goal. As part of documenting Good
Faith Efforts. Due within three (3) business
days after requested by the City.
DBE Form 5
Schedule of
DBE
Unavailability
Used to document GFE efforts. Identifies
DBE firms that were contacted, but were
not able to submit a bid
Required when Bidder/Proposer is not meeting
the DBE goal. As part of documenting Good
Faith Efforts. Due within three (3) business
days after requested by the City.
Bid
Opening/
Proposal
Submission
Prepared before Bid Opening/Prop. Review
Due after Bid Opening/Prop. Review
Document
DBE Form 3
Utilization
Commitment
Identifies all subcontractors, suppliers,
manufacturers, brokers and/or members
of a joint venture to be utilized on the
contract, percentages and dollar amounts
committed to DBEs.
DBE Form 4
Letter of Intent
Bidders/Proposers must submit a separate
Letter of Intent executed by each DBE firm
listed on DBE Form 3 that the
Bidder/Proposer will use on the Contract
The City will request this form from finalist for
contract award. Must submit within three (3)
business days after requested by the City.
Copy of
subcontract
Agreements
Copy of signed contract for each
subcontractor the Contractor uses in this
contract. Highlight text that mentions the
non-discrimination, retainage, and prompt
payment assurances.
Before the said subcontractor starts doing
work for this contract
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).
Upon award of Contract, submitted once a
month, with the pay request to the City, for
duration of the project. List ALL subcontractors
(DBEs and non-DBEs).
With Bid/Proposal Package
End of Document
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