Lump Sum Request for Proposal (“RFP”)
Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Insert RFP Issue Date
Throughout this RFP “Respondent” or “you” means the prime firm responding to this RFP.
PRE-PROPOSAL MEETING
The University has scheduled / will not have a
Pre-Proposal Meeting. The time and location
of meeting(s) are as follows:
Insert time, day and date
Building Name
Room Number / Meeting Location
Street Address
City, State and Zip Code
PROPOSAL SUBMITTAL
REQUIREMENTS
The University Must Receive
Your Proposal No Later Than:
_______, 20__ at 2:00 P.M.
(Minnesota time) per the time clock
in Purchasing Services
The University will not consider late
Proposals.
Attendance at this meeting is NonSUBMIT BY E-MAIL
Mandatory / Mandatory. The University
will not accept Proposals from Respondents Proposals shall be submitted via e-mail to the
contact listed below. Submit one signed copy
that do not attend.
of your entire Proposal, with all attachments,
Maps, driving directions, and parking
in Adobe® Portable Document Format (.pdf).
information for the various campuses of the
University are available at:
The subject line of the e-mail shall include
http://campusmaps.umn.edu/
the words “Proposal Submission, Project
Number and Project Name” for this RFP.
UNIVERSITY CONTACT FOR RFP SUBMISSIONS / QUESTIONS:
Chip Foster via e-mail: foste048@umn.edu
Kevin Sullivan via e-mail: sull0198@umn.edu
Denis Larson via e-mail: dpl@umn.edu
The person named above shall be the only contact for all questions regarding any aspect of this
RFP and its requirements. Submit all communications by e-mail to contact listed above unless
instructed to do so in this RFP or in writing by the University contact designated above. If any
Respondent attempts any unauthorized communication or does not adhere to the “Proposal
Submittal Requirements” listed above, the University may, in its sole discretion, reject that
Respondent’s Proposal.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 2 of 31
TABLE OF CONTENTS
1.0
2.0
PROJECT INFORMATION .................................................................................. 4
1.1
Background ................................................................................................... 4
1.2
Project Description ......................................................................................... 4
1.3
University-Provided Information ....................................................................... 4
1.4
Contract Sum................................................................................................. 4
1.5
Critical Project Schedule Dates .......................................................................... 5
1.6
Form of Contract between the University and the Selected Respondent ...................... 5
PROPOSAL REQUIREMENTS AND EVALUATION CRITERIA ............................... 5
2.1
Tentative Schedule of Selection Process .............................................................. 5
2.2
Pre-Proposal Meeting ...................................................................................... 6
2.3
Evaluation Criteria .......................................................................................... 6
2.4
RFP Cover Page and Declaration ....................................................................... 7
2.5
Respondent’s Team Qualification ...................................................................... 7
2.6
Project Approach and Work Plan ....................................................................... 7
2.7
Project Schedule............................................................................................. 7
2.8
Project Cost................................................................................................... 7
2.9
Targeted Business and Urban Community Development and Workforce Utilization ...... 7
2.10
Responsible Contractor Verification Of Compliance .............................................. 8
2.11
Safety .......................................................................................................... 9
2.12
Interviews ..................................................................................................... 9
All checked Attachments listed below are part of the RFP.
X
X
X
X
X
X
X
Attachment A:
Attachment B:
Attachment C:
Attachment D:
Attachment E:
Attachment F:
Attachment G:
RFP Cover Page and Declaration
Respondent’s Team Qualifications
Project Approach and Work Plan
Project Schedule
Project Cost
Targeted Business & Urban Community Development Questionnaire
Responsible Contractor Verification Of Compliance
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 3 of 31
1.0
PROJECT INFORMATION
1.1
Background
The Board of Regents of the University Of Minnesota (the “University”) is requesting
Proposals to provide construction services for Insert a short description of the Project
background. (Why is the University undertaking this Project?) (the “Project”).
1.2
Project Description
Insert a summary description of the Project (including square footage, types of space,
tenants, and Project location)
Insert the name of the A/E is the Architect/Engineer of Record for the Project.
Due to the funding source, this Project requires the use of American-made steel (2014
Minnesota Session Law, Chapter 294). At the University’s request, Respondent shall
promptly furnish proof of origin of steel materials. Failure of the Respondent to timely
provide the requested information may result in disqualification. (Delete if not required)
1.3
University-Provided Information
The University has assembled the following information (available to view online at
http://purchasing.umn.edu/construction/advertisements.html) about the Project
(collectively, the “RFP Documents”) for review by the Respondent:




This RFP and all Attachments
RFP Instructions, Requirements, and Rights Reserved by the University
Current Prevailing Wage Rates
Insert a list of additional RFP Documents for the Project.
The University has assembled the following additional RFP Documents (available to
view online at www.cppm.umn.edu) for review by the Respondent:


The Contract
The University’s Standards and Procedures for Design
However, note the RFP Documents are subject to change. The University will provide
notice of any changes to the RFP via addenda. Any information provided to Respondents
during the course of the RFP process, including the documents enumerated in this Section
1.3, is provided only for your use in preparing your Proposal. Respondents shall
independently evaluate the information for their use in preparing the Proposal and shall
be solely responsible for their use or interpretation of the information.
1.4
Contract Sum
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 4 of 31
The selected Respondent will perform the Work for a Contract Sum that shall be a fixed,
lump sum that shall include all costs necessary to complete the Work in accordance with
the Contract Documents, including Respondent’s overhead and profit.
The total construction budget for this Project is Insert dollar amount (current dollars, no
escalation).
1.5
Critical Project Schedule Dates
The University requires the Project to be substantially complete by no later than Insert the
intended date of Substantial Completion (e.g. July 1, 2010).
Insert any other critical dates that pertain to the construction schedule or any other
important dates/deadlines that must be met throughout the Project
The schedule required to meet the date(s) noted above must include all University
reviews required by this RFP or the then-current University’s Standards and Procedures
for Design (www.cppm.umn.edu/standards.html).
1.6
Form of Contract between the University and the Selected Respondent
1.6.1 The Contract between the selected Respondent and the University will be the
University’s Construction Agreement, OGC-SC900 (available at
http://www.cppm.umn.edu/proposals.html), which is incorporated into this RFP (the
“Contract”). By submitting a Proposal, Respondent acknowledges and agrees that it
received, read, understands, and shall be bound by and comply with the Contract. No
exceptions or deviations to the Contract will be considered.
1.6.2 The Contract will incorporate by reference this RFP and any RFP Attachments, the
General Conditions of the Contract for Construction, American Institute of Architects,
Inc. (AIA) Document AIA A201-2007, as modified by the University (available at
http://www.cppm.umn.edu/proposals.html), and any RFP modifications agreed to by the
University. The University may attach to the Contract as Supplementary Conditions
Respondent’s Proposal, selected provisions of Respondent’s Proposal or modifications to
Respondent’s Proposal agreed to by University and Respondent.
2.0
PROPOSAL REQUIREMENTS AND EVALUATION CRITERIA
2.1
Tentative Schedule of Selection Process
The University’s intended schedule for selection of the awarded Respondent is set forth
below.
ACTIVITY
RFP Available for Distribution
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
DATE
Date
Page 5 of 31
Pre-Proposal Meeting (If Applicable)
Date
Deadline for RFP Questions
Date at Noon
Proposal Due Date
Date at 2:00 PM
Shortlist for Interviews (If Applicable)
Date
Interviews (If Applicable)
Date
Identification of Potential Awarded Respondent
Date
Anticipated Authorization to Proceed
Date
2.2
Pre-Proposal Meeting
A Pre-Proposal Meeting has been scheduled at the location and time noted on page 2 of
this RFP. Attendance at this Pre-Proposal Meeting is Non-Mandatory / Mandatory for
prime firms that are interested in responding to this RFP. The University will not accept
Proposals from Respondents that are not listed on the Pre-Proposal Meeting Sign-in
Sheet, which is posted online with the RFP Documents as stated in section 1.3.
Insert any other necessary Pre-Proposal Meeting information.
The University has not scheduled a Pre-Proposal Meeting for this RFP. (Delete if
required)
2.3
Evaluation Criteria
2.3.1 The University will evaluate Proposals against the evaluation criteria for the degree to
which each Proposal meets the criteria as follows:
Attachment / Section
Description
Value
Attachment A
RFP Cover Page and Declaration
Attachment B
Respondent’s Team Qualifications
Value
Attachment C
Project Approach and Work Plan
Value
Attachment D
Project Schedule
Value
Attachment E
Project Cost
Value
Attachment F
Targeted Business & Urban Community
Economic Development
Value
Attachment G
Responsible Contractor Verification Of
Compliance
Pass / Fail
Section 2.11
Safety
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Pass / Fail
Value
Page 6 of 31
Section 2.12
Interview
Value
2.3.2 In order to be considered responsive, each Respondent must complete and submit all
required Attachments without any modifications to the RFP Documents.
2.3.3 The University will evaluate and score each Proposal. The Respondent selected for an
award will be the one whose Proposal is responsive, responsible, and is the most
advantageous to the University, as determined by the University in its sole discretion.
2.3.4 Submission of a Proposal indicates the Respondent's acceptance of the evaluation criteria.
2.4
RFP Cover Page and Declaration
The Respondent will prepare and submit the RFP Cover Page and Checklist. This
completed document should be the cover page of the Respondent’s Proposal. Failure to
answer the questions in the checklist or sign the cover page may result in disqualification.
2.5
Respondent’s Team Qualification
The Respondent will prepare and submit information pertaining to their Team’s
Qualification which will identify the experience of the Respondent and its Team
Members. A lack of prior experience and/or working together on comparable projects
may hinder your overall score. Failure to complete may result in disqualification.
2.6
Project Approach and Work Plan
The Respondent will prepare and submit information regarding their approach / plan to
working on the Project. Failure to complete may result in disqualification.
2.7
Project Schedule
The Respondent will prepare and submit information regarding their proposed schedule
for the Project. The Respondent must take into account any critical dates identified in
section 1.5 when building their schedule. Failure to complete may result in
disqualification.
2.8
Project Cost
The Respondent will prepare and submit information regarding their proposed Project
cost and change order mark-up. Failure to complete may result in disqualification.
2.9
Targeted Business and Urban Community Development and Workforce Utilization
Respondents will prepare and submit as part of their Proposal, University Form 00658-A.
The University will evaluate completed forms as outlined in the Targeted Business and
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 7 of 31
Urban Community Development Guidelines (Form 00658-B). Failure to complete may
result in disqualification.
Respondent acknowledges that the University adopted a policy to establish and
implement Targeted Business, Urban Community Economic Development and Small
Business Programs (the “TGB Programs”), which is available at:
http://regents.umn.edu/sites/regents.umn.edu/files/policies/Equity_Diversity_EO_AA.pdf
Respondent hereby acknowledges that it has a copy of this policy. Respondent agrees that
as a material consideration for the University entering into the Contract, Respondent will
fulfill its commitments with regard to the TGB requirements set forth on University Form
00658-A and upon the University’s request provide substantiation of compliance.
If a potentially awarded Respondent has not met the minimum requirements for
successfully passing this portion of the RFP, the University may:


Consider their Proposal non-responsive.
Work with the Respondent to help them achieve a passing score.
Section intentionally omitted as it does not apply to this RFP. (Delete if Project value is
less than $100,000 or TGB exemption has been approved)
2.10
Responsible Contractor Verification Of Compliance
Respondent acknowledges that the University has elected to voluntarily comply with
Minnesota Statutes, Section 16C.285, which sets forth minimum criteria that Respondent
must meet to establish itself as a responsible contractor. “Responsible contractor” means
a Respondent that conforms to the responsibility requirements in this RFP and verifies
that it meets the minimum criteria set forth in Minnesota Statute, Section 16C.285,
Subdivision 3 (“Minimum Criteria”). The Minimum Criteria are included in the
“Responsible Contractor Certification of Compliance” attached as Attachment G
(“Compliance Certificate”). If Respondent or any subcontractor does not meet the
Minimum Criteria or fails to verify that it meets the Minimum Criteria, it is not a
responsible contractor and is not eligible to be awarded a contract for the Project or to
perform work on the Project. A false statement under oath verifying compliance with
any of the Minimum Criteria shall render Respondent or a subcontractor that makes the
false statement ineligible to be awarded a contract on the Project and may result in
termination of a contract awarded to Respondent or a subcontractor that submits a false
statement.
Respondent must submit the Compliance Certificate and “List of First-Tier
Subcontractors” (University Document 00900) as evidence that it and its first-tier
subcontractors meet the Minimum Criteria. Failure to complete these submissions may
result in disqualification. Respondent must obtain Compliance Certificates from each of
its first-tier subcontractors in the forms attached as Attachment G and Attachment G-1.
If Respondent retains additional subcontractors on the Project after submitting
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 8 of 31
Attachment G-1, Respondent shall submit the “List of Additional Subcontractors”
attached as Attachment G-2 (University Document 00901) within 14 days of retaining the
additional subcontractors. Respondent shall submit to the University upon request copies
of the signed Compliance Certificates from all subcontractors of any tier.
Respondent may be required to furnish information or evidence as requested by the
University to support or otherwise verify the statements in the Compliance Certificate(s).
Such information shall be submitted within 3 business days of receipt of the University’s
request. Failure of the Respondent to timely provide the requested information may
result in the Respondent’s response being rejected.
2.11
Safety
The purpose of the Safety Rating is to confirm that the Respondents performing work for
the University are meeting or exceeding applicable safety, health and environmental
laws, statutes, regulations, ordinances, rules, directives, procedures, and orders and the
requirements of the University‘s Construction Standards.
Respondents will prepare and submit a Safety Questionnaire per the instructions stated in
the Contractor Safety Guidelines, which is available on-line at
http://purchasing.umn.edu/construction/safety.html. The resulting Safety Rating will be
considered when evaluating this Project. Only those Respondents with a Safety Score of
5.0 or greater will be considered for this Project.
The Respondent can view their Safety Rating on-line at
http://purchasing.umn.edu/construction/safety.html. Only the Respondent’s safety score
will be evaluated in this process--safety scores of the sub-contractors will not be
evaluated. The Respondent must take the processing time noted in the Guide into account
when submitting their Safety Questionnaire.
If the Respondent currently has a Safety Rating on file at the University for the current
calendar year, they do NOT need to submit their safety information with their Proposal.
2.12
Interviews
If necessary, the University may shortlist and interview the top rated Respondents.
The University may request that the Respondent’s critical team members attend the
interview on the date specified in this RFP. Only those individuals identified in the
Respondent’s Proposal may be allowed to attend the interview. Individuals who fail to
participate in the interview may jeopardize the Respondent’s competitiveness. At the
University’s discretion, substitutes, proxies, phone interviews, or electronic interviews
may be allowed.
The University may request additional information prior to interviews.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 9 of 31
The University does not intend to conduct interviews for this RFP. (Delete if required)
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 10 of 31
ATTACHMENT A: RFP COVER PAGE AND DECLARATION
1. Does the Respondent acknowledge they are using this Attachment
as their Proposal Cover Page and that they have NOT modified ☐ Yes ☐
or re-formatted the additional RFP Attachments?
No
2. Does the Respondent acknowledge they have read, understand,
and agree to ALL applicable items noted in the RFP
Instructions, Requirements, and Rights Reserved by the
University document?
☐ Yes ☐ No
3. Will the Respondent sign the Contract referenced in this RFP?
☐ Yes ☐ No
4. Will the Respondent be able to provide an acceptable Certificate
of Insurance and Payment and Performance Bonds that meets
the University’s requirements?
☐ Yes ☐ No
5. Does the Respondent understand and agree to meet the
Prevailing Wage Rate requirements for this Project?
☐ Yes ☐ No
6. Does the Respondent understand and agree to meet the
American-made Steel requirements for this Project?
☐ Yes ☐ No
7. Did the Respondent have a representative from their firm present
at the Mandatory Pre-Proposal Meeting?
☐ Yes ☐ No
8. Respondent acknowledges receipt of the following total number
of addenda that were issued with this RFP:
I hereby authorize the University to request from any individual or firm any information it deems
necessary to verify any information provided by the Respondent in its Proposal and to determine
the Respondent’s capacity and responsibility as a prospective contractor with the University. I
certify under penalty of perjury that I am a duly authorized representative of the Respondent
listed below, I have carefully examined all RFP Documents and documents referenced in this
RFP, I understand all instructions, requirements, specifications, terms and conditions, and all
statements, information, costs, and schedules submitted in response to the RFP are current,
complete, true and accurate.
Respondent’s Legal Name of Firm
Printed Name of Respondent’s Representative
E-mail Address
Date of Submission
Signature of Respondent’s Representative
Phone Number
Mailing Address
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 11 of 31
ATTACHMENT B: RESPONDENT’S TEAM QUALIFICATIONS
1. Complete the following Critical Team Member Experience Matrix (Attachment B-1)
identifying the experience and responsibilities of the identified team members. Note the
following when documenting this information:
a. Submit information for only the Project Roles specified in the Matrix. Do NOT
add additional roles.
b. List only ONE individual per role.
c. The comparable completed project(s) must have been completed within the last
FIVE years and should be similar to the University’s Project.
d. Attach a 1-page resume for EACH individual listed in the Matrix.
2. Complete the following Additional Team Member Matrix (Attachment B-2) identifying
the other key Team Members / Subcontractors that will contribute to the success of the
Project. Note the following when documenting this information:
a. Attach a 1-page resume for EACH individual listed in the Matrix.
3. Complete and submit the following Project Data Sheet(s) (Attachment B-3) identifying
the specific project experience of the Respondent and their Critical Team Members. Note
the following when documenting this information:
a. A separate Project Data Sheet must be prepared for EACH project with only one
project allowed per sheet.
b. Submit up to, and no more than, THREE total projects.
c. Listed project(s) must have been completed within the last FIVE years and should
be similar to the University’s Project.
d. Listed project(s) must have been managed by the Respondent or any other firm’s
on the Respondent’s team.
e. It is recommended that you list projects completed by the Team Members
identified in Attachment B-1.
f. Attach any photos or additional information (no more than two pages worth) with
each Project Data Sheet.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 12 of 31
ATTACHMENT B-1: CRITICAL TEAM MEMBER EXPERIENCE
Project Role
Project Manager
Site Superintendent
Cost Estimator
City, State
City, State
City, State
Years working within Firm
#
#
#
Years working within Industry
#
#
#
Name of Individual
E-mail Address
Individual’s Firm Name
Individual’s Firm Location
Current job function within Firm
Number of projects completed
with other Team Members
Identify the name, cost, and
completion date for up to three
comparable completed projects
1. Site Superintendent: #
2. Cost Estimator: #
1. Project Manager: #
2. Cost Estimator: #
1. Project Manager: #
2. Site Superintendent: #
1a. Project Name
1b. Project Cost
1c. Completion Date
1a. Project Name
1b. Project Cost
1c. Completion Date
1a. Project Name
1b. Project Cost
1c. Completion Date
2a. Project Name
2b. Project Cost
2c. Completion Date
2a. Project Name
2b. Project Cost
2c. Completion Date
2a. Project Name
2b. Project Cost
2c. Completion Date
3a. Project Name
3b. Project Cost
3c. Completion Date
3a. Project Name
3b. Project Cost
3c. Completion Date
3a. Project Name
3b. Project Cost
3c. Completion Date
Briefly describe the Individual’s
Responsibilities for this Project
Percent of Time on Project
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
#%
#%
#%
Page 13 of 31
ATTACHMENT B-2: ADDITIONAL TEAM MEMBER
Project Role / Subcontractor
Individual Name
Firm Name
Firm Location (City, State)
Electrical Subcontractor
Mechanical Subcontractor
Roofing Subcontractor
Other
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 14 of 31
ATTACHMENT B-3: PROJECT DATA SHEET
1.
Construction Firm:
2.
Project Name:
3.
Project Location:
4.
Project Description:
5.
Project Owner:
6.
Construction Cost:
7.
Construction Start Date:
8.
Construction End Date:
9.
Size (i.e., capacity, tonnage, lineal feet, square feet, etc.):
10.
Describe how this project is comparable to the University’s Project?
11.
Identify up to three constructability issues encountered by your firm on this project and
briefly describe your firm's approach to resolving each of such issues:
12.
Identify the type of Service(s) provided for this project by placing an “X” in the
appropriate box(es):
Preconstruction Phase Services: ☐
Construction Phase Services: ☐
13.
Identify the Construction Delivery Method provided for this project by placing an “X”
in the appropriate box(es):
Design-Build: ☐
Construction Manager at Risk: ☐
Construction Manager - Agent: ☐
Design-Bid-Build: ☐
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 15 of 31
Other: ☐
14.
Identify which proposed team member(s) worked on this project by placing an “X” in
the appropriate box(es):
Project Manager: ☐
Site Superintendent: ☐
Cost Estimator: ☐
Project Owner Contact Name:
Project Owner Title:
Project Owner Telephone Number:
Project Owner E-mail Address:
Architect/Engineer of Record:
Architect/Engineer of Record Contact Name:
Architect/Engineer of Record E-mail Address:
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 16 of 31
ATTACHMENT C: PROJECT APPROACH AND WORK PLAN
NOTE: Your response to this Attachment must NOT exceed 5 pages
1. Describe your anticipated approach to this Project, including specifically project
supervision, management, scheduling and accounting methods you intend to employ.
2. List all permits you expect will be required for each component of the Project:
Permit Required
Project Component
Permitting Authority
3. Itemize and describe any difficulties, challenges or risks your firm foresees in providing
services to the University on this Project, how you expect to manage those difficulties,
challenges or risks, and what assistance will be required from the University. In
particular, address site security, safety, traffic management and other issues related to
minimizing disruption on campus while performing the Work.
4. Itemize and describe any value-added services, product characteristics, or other benefits
or advantages that will be afforded to the University in selecting the Respondent for the
Project.
5. Identify any concerns you noted in your review of the RFP Documents (as defined in the
RFP) for this Project.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 17 of 31
ATTACHMENT D: PROJECT SCHEDULE
1. Respondent must attach a DRAFT Critical Path Method (“CPM”) Schedule for the
Project. The CPM schedule should identify tasks to be performed and/or deliverables to
be provided and time frames to complete performance of the identified tasks and the
expected time frame in which the Project would be completed. For readability purposes,
the CPM schedule may be submitted in an 11 by 17 format. When preparing the CPM
schedule, assume the following:
a) University Project team reviews will occur as required by the current Construction
Document Distribution Matrix, which can be found on the University Capital
Planning and Project Management website at www.cppm.umn.edu/standards.html.
While progress on design can be made during the review periods, reviewers have two
weeks to provide responses.
b) Permitting is required for various components of this Project. The University's
Project Manager will cooperate in the application for building and other permits. The
selected Respondent will be required to obtain and pay for all required permits,
assessments, and governmental fees, licenses, and inspections, excluding Sewer
Availability Charges and Water Access Charges assessed by the Metropolitan Waste
Control Commission.
c) For Projects greater than $500,000, the Facilities Committee of the Board of Regents
must review and approve schematic plans for the Project. The schedule shall include
one month for this process. Board of Regents yearly schedule can be found at:
http://www1.umn.edu/regents/meetings.html
2. Include a written narrative that provides a detailed description of the scheduling logic and
assumptions that were used when preparing the CPM Schedule.
3. State what events or issues, if any, could impede your ability to achieve the substantial
completion date (or any other critical dates) stated in Section 1.5 of the RFP.
4. Identify specific strategies to avoid and/or mitigate project construction delays. Provide
an estimate of the earliest start date following execution of a Contract and indicate what
could delay the start of the Project.
NOTE: The Respondent MUST use the authorization to proceed date stated in Section 2.1
as the starting point of their Project schedule. Respondent should not be doing any Project
work prior to this authorization to proceed date.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 18 of 31
ATTACHMENT E: PROJECT COST
Total Lump Sum Cost
$
Maximum Change Order Mark-up*
%
Alternate # 1:
Lump Sum
$
Add / Deduct
Alternate # 2:
Lump Sum
$
Add / Deduct
Alternate # 3:
Per Unit
$
Add / Deduct
Unit Price # 1:
Per Unit
$
N/A
Unit Price # 2:
Per Foot
$
N/A
Unit Price # 3:
Per Yard
$
N/A
*For the purposes of and subject to the limitations set forth in Section 7.3.7 of the AIA A2012007 General Conditions, as modified by University, the Respondent must propose a Maximum
Change Order Mark-up as a percentage of the Cost of the Change Order Work.
Note that the General Conditions of the Contract caps the mark-up percentage for change order
work, whether self-performed or performed by subcontractors, at 8%.
By proposing this Maximum Change Order Mark-up, Respondent understands and agrees that
this mark-up percentage will be the lesser of 8% or the mark-up percentage proposed above.
Refer to the AIA A201-2007 General Conditions, as modified by the University, for specific
terms and conditions regarding change order mark-up.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 19 of 31
ATTACHMENT F: TARGETED BUSINESS & URBAN COMMUNITY
DEVELOPMENT AND WORKFORCE UTILIZATION
Definitions
For University purposes, a Targeted Business (“TGB”) firm is one which is:

51% owned and controlled by a minority, women, or person with a disability.
Minorities are defined as:





African-American persons who have origins in any of the black racial groups of Africa;
Hispanic-American persons of Spanish or Portuguese culture with origins in Mexico,
South or Central America or the Caribbean Island;
Asian-American persons having origins in the Far East, Southeast Asia, the Indian
Subcontinent, or the Pacific Islands;
American Indians;
Alaskan Natives persons having origins in any of the original peoples of North America.
Persons with disabilities are defined as:

Persons who satisfy the definition of qualified disabled persons according to The
Americans Disabilities Act (P.L. 101-336)
University Recognized Certifications:

US Small Business Administration, State of Minnesota, National or Minnesota Minority
Supplier Development Council, City of St. Paul Central Certification (CERT) Program,
Women’s Business Development Center-MN (WBDC-MN).
General Program Requirements
Respondent will demonstrate its commitment to achieve meaningful levels of participation with
Targeted Businesses, by the percentage of work actually awarded to these businesses on this
Project. A meaningful level of participation is a level that is considered reasonable for the size
and type of project.
The following goals and requirements apply for this Project:

Participation of Targeted Businesses equal to or greater than thirteen percent (13%) of the
Base Bid/Proposal costs. (The University encourages Respondents to provide
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 20 of 31


approximately one-half of the stated TGB participation to minority owned businesses and
approximately one-half to women and/or disabled owned businesses).
Any level of participation that is not per se reasonable may be determined reasonable if
the Respondent provides objective evidence that participation at the per se reasonable
level is not available for the Project.
No less than 75% of the work performed or the material purchased shall be provided by
the Targeted Business Enterprise(s) identified on Document 00658-A for this Project.
Submittal Requirements
Respondent shall submit, along with their Proposal, the following Targeted Business and Urban
Community Economic Development Questionnaire (Document 00658-A). Proposals that are not
accompanied with this completed document may be deemed non-responsive.
The awarded Respondent must submit the following information to the Office for Business and
Community Economic Development on a monthly basis throughout the Project:
1. Copies of invoices verifying any supply or material purchases from TGBs;
2. Copies of all subcontract agreements issued with TGBs;
3. Workforce Utilization report (Document 00659) from prime contractors and
subcontractors.
The awarded Respondent will be required to submit the following affidavits to the Office for
Business and Community Economic Development as a condition of the final payment after all
work has been performed on the Project:
1. TGB Total Payment Affidavit (Document 00660);
2. TGB Verification of Completed Work Affidavit (Document 00661).
Workforce Utilization
SMSA (Standard Metropolitan Statistical Area) workforce levels of participation for this Project
are:



32% Minority Employees;
6% Female Employees;
2% Disabled Employees.
Preventing Discrimination in Employment:



A Respondent demonstrates its commitment to prevent discrimination by its permanent
employment of minorities, women, and disabled persons.
A Respondent demonstrates its commitment to prevent discrimination by its planned
workforce on this project.
A Respondent demonstrates its commitment to prevent discrimination by its Equal
Employment Opportunity / Affirmative Action Policy Statement.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 21 of 31

A Respondent demonstrates its commitment to prevent discrimination by an approval or
Certification by the State of Minnesota or by a Minnesota municipality (Minneapolis, St.
Paul, Duluth, etc.) of its Affirmative Action Plan.
Urban Community Economic Development
A Respondent demonstrates its commitment to improve the urban communities in which the
University construction projects are located by:


Its current practice of funding, providing personnel to and/or soliciting employees from
programs designed to train residents of the targeted areas designated by each city
pursuant to Minnesota Statute Section 469.202.
Its agreement to participate during this project with the University to fund, provide
personnel to, and/or solicit employees from programs designed to train residents of the
targeted areas designated by each city pursuant to Minnesota Statute Section 469.202.
Program Administration
The University of Minnesota’s Small Business and Urban Development Program is
administered by:
Sharon Banks
Project Manager, Business & Community Economic Development
University of Minnesota
2221 University Office Plaza, Suite 136
Minneapolis, MN 55414
Phone: (612) 626-8043
Fax: (612) 625-9056
Email: banks016@umn.edu
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 22 of 31
UNIVERSITY DOCUMENT 00658-A: TARGETED BUSINESS AND URBAN
COMMUNITY ECONOMIC DEVELOPMENT QUESTIONNAIRE
Respondent’s Name:
Mailing Address:
Contact Name:
Phone Number:
E-mail Address:
Each Respondent shall answer the following questions and include completed document with
their Proposal. Failure to complete may result in disqualification. Responses to the following
questions will be scored in accordance with the following Targeted Business Questionnaire
Scoring Guidelines (Document 00658-B).
1. What percent of the Base Bid for this Project will be provided by a Targeted Businesses as a
prime contractor, subcontractor, and/or supplier? _____%
Proposed Targeted Business Names may be provided after award is made, % is required at time of bid.
Name of Targeted Business Enterprise(s)
Type of Work or Supplies
Dollar Amount
2. Percent of Respondent’s permanent workforce who are minorities, women or disabled
persons. _____%
3. Percent of the Respondent’s permanent workforce for this Project will be minorities.
______%
4. Percent of the Respondent’s workforce for this Project will be women. ______%
5. Respondent has more than 40 full time employees and included a copy of their Equal
Employment Opportunity Plan or Affirmative Action Certificate with bid documents. OR,
Respondent has less than 40 full time employees and included a letter confirming total
number of employees for the past two calendar years.
Documents are attached: YES _______ NO ________
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 23 of 31
6. Describe your efforts to support programs for protected classes as defined by the University’s
Targeted Business Program and in accordance with Minnesota Statute Section 469.202,
complete the following:
Program Name
Location /
Neighborhood
Amount of
Funds Provided
(last 12 months)
Amount of Time
(hours) Provided
(last 12 months)
Number of
Persons Hired
NOTE: UNION PARTICIPATION IS NOT AN ACCEPTABLE RESPONSE TO QUESTION #6.
7. Do you anticipate utilizing apprentices or interns from community training programs on this
Project? Yes __________ No _________ if so, provide details:
Program Name
Discipline
Number of
Apprentice
Number of Interns
Projected
Hours/Months
NOTE: UNION PARTICIPATION IS NOT AN ACCEPTABLE RESPONSE TO QUESTION #7.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 24 of 31
UNIVERSITY DOCUMENT 00658-B: TARGETED BUSINESS QUESTIONNAIRE
SCORING GUIDELINES
1.
Percent of the Base Bid for this Project subcontracted to Targeted Businesses.
13% & Above
12 – 12.99%
11 – 11.99%
10 – 10.99%
9 – 9.99%
8 – 8.99%
7 – 7.99%
6 – 6.99%
0 – 5.99%
2.
=
=
=
=
=
=
5 Points
4 Points
3 Points
2 Points
1 Points
0 Points
Percent of Respondent’s workforce for this Project will be minorities.
32% & Above
26 – 31.99%
21 – 25.99%
17 – 20.99%
13 – 16.99%
9 – 12.99%
0 – 8.99%
4.
30 Points
25 Points
20 Points
15 Points
10 Points
9 Points
8 Points
7 Points
0 Points
Percent of Respondent’s permanent workforce who are minorities, women or
disabled persons.
7% & Above
5 – 6.99%
3 – 4.99%
2 – 2.99%
1 – 1.99%
0 – 0.99%
3.
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
=
15 Points
13 Points
11 Points
9 Points
7 Points
6 Points
0 Points
Percent of Respondent’s workforce for this Project will be women.
6% & Above
4 – 5.99%
3 – 3.99%
2 – 2.99%
1 – 1.99%
0 – 0.99%
=
=
=
=
=
=
10 Points
4 Points
3 Points
2 Points
1 Points
0 Points
5. Attached Equal Employment Opportunity Plan, Affirmative Action Certificate, or letter
confirming less than 40 full time employees for the past two calendar years.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 25 of 31
Yes
No
=
=
5 Points
0 Points
6. Adequately described efforts to support programs for protected classes.
Yes
No
=
=
5 Points
0 Points
7. Adequately described efforts to include apprentice or interns from community training
programs on this Project.
Yes
No
=
=
5 Points
0 Points
MAXIMUM POINTS AVAILABLE: 75
1. For Project exceeding $1,000,000: A General Contractor having 55 or more points will
successfully pass this process and demonstrate its commitment to the University’s
policies and procedures for Targeted Business inclusion.
2. For Project under $1,000,000: A General Contractor having 45 or more points will
successfully pass this process and demonstrate its commitment to the University’s
policies and procedures for Targeted Business inclusion.
3. A Specialty Contractor (i.e., roofing, HVAC, Elevator, etc.) having 35 or more points
will successfully pass this process and demonstrate its commitment to the University’s
Targeted Business Program.
4. A General Contractor proposing on Projects outside of the 7 county metro area having 25
or more points will successfully pass this process and demonstrate its commitment to the
University’s policies. If the value of a Project outside of the 7 county metro areas is $5
million or more, Respondent must have a score of 30 or more points to successfully pass
this process and demonstrate its commitment to the University’s Targeted Business
Program.
5. If a potential awarded Respondent has not met the minimum requirements in the
immediately preceding paragraphs 1-4 above, the University may, but is not obligated to,
either i) work with Respondent to help Respondent achieve the minimum requirements,
or ii) based upon a review of the facts and circumstances, including without limitation the
nature of the work, the extent to which Respondent typically self-performs, and
Respondent’s efforts to achieve the goals, make a determination that Respondent made a
good faith effort to achieve the goals and, based upon that determination, waive the
minimum scoring requirements. Respondent will not be allowed to change their cost or
schedule during this process.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 26 of 31
ATTACHMENT G: RESPONSIBLE CONTRACTOR VERIFICATION OF
COMPLIANCE (UNIVERSITY DOCUMENT 00900)
Minnesota Statutes, Section 16C.285, subdivision 3. Responsible Contractor, Minimum Criteria.
“Responsible Contractor” means a contractor that conforms to the responsibility requirements in the
solicitation document for its portion of the work on the project and verifies that it meets the following
minimum criteria:
1. The Contractor:
i.
ii.
iii.
iv.
is in compliance with workers' compensation and unemployment insurance requirements;
is currently registered with the Department of Revenue and the Department of
Employment and Economic Development if it has employees;
has a valid federal tax identification number or a valid Social Security number if an
individual; and
has filed a certificate of authority to transact business in Minnesota with the secretary of
state if a foreign corporation or cooperative.
2. The contractor or related entity is in compliance with and, during the three-year period before
submitting verification, has not violated section 177.24, 177.25, 177.41 to 177.44, 181.13, 181.14,
or 181.722, and has not violated United States Code, title 29, sections 201 to 219, or United States
Code, title 40, section 3141 to 3148. For purposes of this clause, a violation occurs when a
contractor or related entity:
i.
ii.
iii.
iv.
v.
vi.
repeatedly fails to pay statutorily required wages or penalties on one or more separate
projects for a total underpayment of $25,000 or more within the three-year period;
has been issued an order to comply by the commissioner of labor and industry that has
become final;
has been issued at least two determination letters within the three-year period by the
Department of Transportation finding an underpayment by the contractor or related entity
to its own employees;
has been found by the commissioner of labor and industry to have repeatedly or willfully
violated any of the sections referenced in this clause pursuant to section 177.27;
has been issued a ruling or findings of underpayment by the administrator of the Wage
and Hour Division of the United States Department of Labor that have become final or
have been upheld by an administrative law judge or the Administrative Review Board; or
has been found liable for underpayment of wages or penalties or misrepresenting a
construction worker as an independent contractor in an action brought in a court having
jurisdiction.
Provided that, if the contractor or related entity contests a determination of underpayment by the
Department of Transportation in a contested case proceeding, a violation does not occur until the
contested case proceeding has concluded with a determination that the contractor or related
entity underpaid wages or penalties;*
3. The contractor or related entity is in compliance with and, during the three-year period before
submitting the verification, has not violated section 181.723 or chapter 326B. For purposes of this
clause, a violation occurs when a contractor or related entity has been issued a final
administrative or licensing order;*
4. The contractor or related entity has not, more than twice during the three-year period before
submitting the verification, had a certificate of compliance under section 363A.36 revoked or
suspended based on the provisions of section 363A.36, with the revocation or suspension
becoming final because it was upheld by the Office of Administrative Hearings or was not
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 27 of 31
appealed to the office;*
5. The contractor or related entity has not received a final determination assessing a monetary
sanction from the Department of Administration or Transportation for failure to meet targeted
group business, disadvantaged business enterprise, or veteran-owned business goals, due to a lack
of good faith effort, more than once during the three-year period before submitting the
verification;*
*Any violations, suspensions, revocations, or sanctions, as defined in clauses 2 to 5 occurring
prior to July 1, 2014, shall not be considered in determining whether a contractor or related entity
meets the minimum criteria.
6. The contractor or related entity is not currently suspended or debarred by the federal government
or the state of Minnesota or any of its departments, commissions, agencies, or political
subdivisions; and
7. All subcontractors that the contractor intends to use to perform project work have verified to the
contractor through a signed statement under oath by an owner or officer that they meet the
minimum criteria listed in clauses 1 to 6.
Certification
By signing this document, I am certifying that I am an owner or officer of the contractor and am
verifying under oath that:
1. Contractor is in compliance with Minnesota Statutes, Section 16C.285,
2. I have included Attachment G-1 with contractor’s solicitation response, and
3. if contractor is awarded a contract, I or another owner or officer will also submit
Attachment G-2 as required.
Contractor Company Name
Date
Authorized Signature of Owner or Officer
Printed Name
Title
State of
County of
)
)
)
Signed and sworn to before me on
the
,
20
,
by
of
Signature of notarial officer
Title (and Rank)
Commission Expiration Date
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 28 of 31
ATTACHMENT G-1: LIST OF FIRST-TIER SUBCONTRACTORS
SUBMIT WITH CONTRACTOR RESPONSE
Minnesota Statutes, Section 16C.285, subdivision 5. A prime contractor or subcontractor shall include in
its verification of compliance . . . a list of all of its first-tier subcontractors that it intends to retain for
work on the project.
NAMES OF FIRST TIER SUBCONTRACTORS
(Legal name of company as registered with the
Secretary of State)
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Company Address
Work To Be
Performed
Page 29 of 31
ATTACHMENT G-2: LIST OF ADDITIONAL SUBCONTRACTORS
(UNIVERSITY DOCUMENT 00901)
SUBMIT AS SUBCONTRACTORS ARE ADDED TO THE PROJECT
This form must be completed and e-mailed to the Purchasing Department at usp@umn.edu.
Minnesota Statutes, Section 16C.285, subdivision 5. If a prime contractor or any subcontractor retains
additional subcontractors on the project after submitting its verification of compliance, the prime
contractor or subcontractor shall obtain verifications of compliance from each additional subcontractor
with which it has a direct contractual relationship and shall submit a supplemental verification confirming
compliance with subdivision 3, clause (7), within 14 days of retaining the additional subcontractors.
NAMES OF ADDITIONAL SUBCONTRACTORS
(Legal name of company as registered with the
Secretary of State)
Company Address
Work To Be
Performed
See AIA A201 General Conditions of the Contract for Construction, 2007 Edition as modified by
the University, Subsections 5.2.1 and 5.3.2, for further information regarding additional
subcontractors.
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 30 of 31
Certification
By signing this document I am certifying that I am an owner or officer of the contractor and am
verifying under oath that all subcontractors that the contractor intends to use to perform project
work have verified to the contractor through a signed statement under oath by an owner or officer
that they meet the Minimum Criteria in Minnesota Statutes, Section 16C.285.
Contractor Company Name
Date
Authorized Signature of Owner or Officer
Printed Name
Title
State of
County of
)
)
)
Signed and sworn to before me on
the
,
20
,
by
of
Signature of notarial officer
Title (and Rank)
Commission Expiration Date
University Project Name: Insert Project Name
University Project Number: xx-xxx-xx-xxxx
Page 31 of 31