APPENDIX A SCOPE OF WORK 1. PRE-CONSTRUCTION...

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APPENDIX A

SCOPE OF WORK 1. PRE-CONSTRUCTION SERVICES

TASK ORDER

NUMBER DESCRIPTION OF ANTICIPATED TASK

1 Consult with; advise, assist and provide recommendations to SFMTA and Design Team on civil and utility elements as requested by SFMTA.

2 Consult with; advise, assist and provide recommendations to SFMTA and Design Team on systems elements as requested by SFMTA.

3 Consult with, advise, assist and provide recommendations to SFMTA and the Design Team on traffic management and control as requested by SFMTA.

4 Prepare a Traffic Control Plan acceptable to Caltrans and the SFMTA for use during construction.

5 Prepare a Supplemental Archeological Mitigation Plan acceptable to the California State Historic Preservation Office.

6

Provide full time services of the proposed Project Manager for up to eight months from NTP. The Project Manager will be co-located with SFMTA at the local project office. The anticipated scope of work will include, but not be limited to, design review, cost estimating, project coordination between systems, civil and architectural, public meetings, and schedule preparation. The Project Manager will be involved with and spend time on all of the other Task Orders listed; however, he or she will not charge his time to those Task Orders. All Project Manager time will be charged only to this Task Order and will be paid at the agreed upon monthly rate.

7 Provide, and submit a written report of value engineering and constructability recommendations based on the 65% Design drawings in Appendix P.1 and the 95% final design drawings.

8

Submit a preliminary and a final Construction Plan to SFMTA. The preliminary plan will be reviewed by all interested parties and used to establish the final plan. In each plan, the CM/GC shall address proposed construction phasing; staging; sequencing of work; duration of work within work zones; field office needs; parking requirements during construction; construction equipment storage and use of public roadways; coordination of work with the public, including utility disruptions; protection of private and public properties; dirt/debris mitigation; storm water drainage management; temporary facilities; construction zone pedestrian and vehicular traffic management, including signage; noise and vibration control; work hours, including number of shifts and weekend work; temporary road closures or detours; emergency vehicle provisions; maintaining access to all properties; public and worker safety protections; construction restrictions during special events; and security and maintenance of construction work zones. The final plan will be used as a basis for establishment of the GMP and the management of the construction following NTP.


9

Submit a report in compliance with San Francisco’s construction recycling ordinance, identifying materials that may be cost-effectively recycled during construction, including an estimate of potential cost increases or decreases from the baseline estimate (Recycling Plan).

10

Perform a quality assurance review of the 65% and 95% final design and construction drawings and specifications; identify revisions to improve clarity for bidding, and propose revisions that reduce construction costs as necessary to meet budget.

11

Work with SFMTA to finalize a Contracting Plan that maximizes SBE opportunities, in accordance with the SBE program identified in Appendix B. Prepare for implementation of the SBE Trucking Set-Aside program. Include a proposed management plan to oversee SBE program implementation.

12 Identify any long-lead items immediately after completion of 100% final design so that the milestone schedule can be met.

13

Work with SFMTA to finalize and submit a Contracting Plan for accomplishment of all construction, including systems work. Recommend packaging of the work to facilitate bidding and award of trade contracts. The Contracting Plan shall at a minimum present the number of packages, a description of the scope of work for each package, the sequence and schedule for procurement, the Engineer’s Estimate for each trade work package, and an outreach plan. With respect to work that the CM/GC and Core Subcontractors will be performing, explain how competitive pricing will be accomplished.

14

Prepare, submit, and maintain for SFMTA approval a detailed, baseline, cost-loaded CPM schedule using Primavera 6 that can be integrated into the SFMTA’s Capital Projects Control System. The schedule will be used for schedule management during design and construction, and progress payments during construction.

15 Provide outreach services to the public, attend public meetings, and prepare outreach materials, as requested by SFMTA, to assist in resolution of any Project-related issues.

16

Prepare and submit to SFMTA construction cost estimates of the 65% and 95% final design and construction documents. If SFMTA’s preliminary construction cost estimate is exceeded, identify feasible cost-reducing options, including projected cost savings offset with any additional design costs, to bring construction costs within SFMTA’s budget.

17 Prepare and submit for SFMTA approval a public and worker safety plan (Safety Plan), in cooperation with and subject to approval by, SFMTA’s Safety Division, for use during construction.

18

Prepare and submit for SFMTA approval a Project-specific Quality Assurance Process/Quality Control Plan, in compliance with SFMTA’s QA/QC program, for use during construction, as explained in the Technical Specifications.

19 Prepare and submit for SFMTA approval a plan to handle both anticipated and unanticipated hazardous materials that may be encountered during construction (HazMat Plan).

20 Work with SFMTA to finalize a Workforce Development Plan in accordance with SFMTA’s workforce training and hiring program requirements, including a construction management trainee plan.


21

Prepare and submit a plan to manage stormwater runoff during construction in accordance with the requirements of all applicable federal, state and local governing agencies, including Caltrans and the City’s PUC (Stormwater Plan).

22 Work with SFMTA as requested to prepare a Safety Certification Plan for use during and for closeout of construction.

23

Work with SFMTA to prepare and submit a Risk Management Plan, including risk identification, allocation and mitigation. This first draft of the Plan shall be based on 65% drawings and the final draft shall be based on 95% drawings. Review site conditions, site surveys, and soils reports. Advise the SFMTA as to anticipated site challenges (other than those that would properly be addressed through CM/GC means and methods) and recommended mitigation measures.

24

Following completion of 100% final design and construction documents, prepare and submit a Guaranteed Maximum Price (GMP). The GMP shall be prepared in compliance with the sample construction services agreement in Appendix D. If the initial GMP construction cost estimate appears to be exceeding SFMTA’s established construction budget, the contractor shall notify SFMTA accordingly and propose how to complete the work within budget.

25

Monitor market conditions for the Project with subcontractors and material suppliers to (a) determine workloads, bonding capacity availability, and worker/mechanic availability; (b) develop interest in the Project and in bidding on the Work; and (c) adjusting/fine tuning the Project schedule.


2. CONSTRUCTION SERVICES

Construction services will be authorized under a modification to the Contract for pre-construction services and generally shall be provided under the terms set forth in Appendix D. At a minimum, the CM/GC will perform construction services congruent with those of a general contractor who submits a competitive bid with its own list of subcontractors to perform all of the construction work under a contract, including, but not limited to, construction design value engineering/integration services, construction management, contract administration, cost control, subcontractor procurement, scheduling, coordination, testing, shop drawing development, processing/review, and distribution of product warranties/related documentation, and project closeout. Representative activities and responsibilities include, but are not limited to, the activities described below, and are set forth here so that the CM/GC can appropriately submit a price for a Fixed Fee for Phase 2 construction services . See also the General Provisions and Division 1 of the Technical Specifications.

1. Implement the Contracting Plan approved by SFMTA as part of Pre-Construction Services. Solicit bidding for the trade construction work that will not be performed by the CM/GC + CS Team.

2.

Maintain a full-time Project Manager and field superintendent on-site with the needed staff to coordinate, direct and manage the work. Provide all necessary on-site construction management, supervisory, safety and clerical staff for the proper management of the construction.

3. Provide any updates to the Traffic Control Plan, as may be required during construction by the City or Caltrans.

4. Finalize a cost-loaded baseline CPM schedule. Maintain and update it monthly for progress payments, monitoring project progress, managing the work, and tracking changes. Keep SFMTA fully advised of the work status through submission of a monthly report identifying any delays or impacts to scheduled progress. Prepare detailed weekly look-a-head work schedules that accomplish work in accordance with the overall CPM schedule.

5.

Make available to SFMTA all construction cost estimates, including supporting data, takeoffs, bids and other cost records. Provide monthly reports in format agreed to by SFMTA of actual costs and work progress as compared to estimated cost projections, scheduled work progress, and as a percent of Project completion. Explain significant variations and provide information as requested by SFMTA.

6.

Implement an effective QA/QC plan for all construction, in accordance with the plan developed during the Pre-Construction Services phase. Assume responsibility for the quality of work of all tiers, supplying inspection and testing forces.

7. Maintain current, hard copies of as-built drawings, including those from subcontractors, and submit as-built information monthly to SFMTA. SFMTA will input as-built information into CAD.

8. Work with SFMTA to establish and implement procedures for tracking, expediting and processing all submittals, change orders, and requests for information.


9. Implement an effective public and worker safety program, in accordance with the plan developed during the pre-construction phase and SFMTA’s construction safety manual.

10. (j)

Implement the SBE and workforce training requirements, including the construction management trainee plan. Identify a coordinator(s) to monitor and implement the programs. Provide monthly status reports, attend monthly meetings to confirm program compliance, and submit all required payment and other information to maintain compliance.

11. (k)

Review and process all applications for payment by Subcontractors and material Suppliers. Review and resolve all Subcontractors’ and/or material Suppliers’ payment requests in accordance with the agreed-upon GMP. Develop overall progress payment requests for submittal to the SFMTA for approval and payment.

12.

This Contract will be assisted with grants from the FTA. The CM/GC will be expected to provide separate cost tracking reports in order to assist the SFMTA with federal reporting requirements, which call for cost tracking to conform to the FTA’s Standard Cost Categories (SCC). See Tech. Specs., Scheduling, Section 01320.

13. (l)

Conduct weekly job meetings with the SFMTA. Prepare and distribute minutes of each meeting within 48 hours after the meeting.

14. (m)

Resolve all disputes and claims that may arise between Subcontractors and/or Suppliers as a result of construction. Work to minimize potential claims to the extent possible.

15. (n)

Obtain any necessary permits or reviews by City departments or the State for construction.

16. (o)

Provide all necessary resources to complete overall work, milestones, and all construction within work zones in accordance with the agreed-upon schedule and the GMP.

17. (p)

Serve as general (prime) contractor from award of the contract to closeout of contract, and manage, supervise and coordinate all work in accordance with the agreed-upon Construction Plan.

18. (q)

Implement the approved Hazardous Materials Plan. Implement the Recycling Plan as completed, as developed in Phase 1.

19. (r)

Manage stormwater run-off during construction in accordance with the plan developed during Phase 1, and in compliance with federal, state and local requirements.

20. (s)

Manage applicable construction work so that it is completed in accordance with the Safety Certification Plan.

21. (t)

Complete all construction work for a price not to exceed the established GMP.

22. (u)

Provide all requested materials as may be required by FTA and its Project Management Oversight Contractor (PMOC).

23. (v)

Prepare and submit final contract closeout information as required by SFMTA.


24. (x)

Ensure that the all Subcontractors are maintaining CAL OSHA-mandated safety requirements and are conducting regular tailgate safety meetings.

25. (y)

Prepare occasional presentations to the SFMTA and other organizations, as requested by the SFMTA, regarding construction issues of special importance.

26. (z)

Review submittals from Subcontractors to identify any coordination conflicts between trade work to ensure appropriateness and conformance with the Contract Documents before forwarding submittals to the Engineer.

27. (aa)

Review, assess and make best efforts to resolve Requests for Information (RFIs) from Subcontractors before submitting RFIs to the SFMTA. The CM/GC will be responsible for tracking RFIs through the field office. The SFMTA will be responsible for interpretations and clarifications of the plans and specifications, and will prepare sketches for clarification when necessary. The CM/GC will manage the distribution to its Subcontractors of clarifications and interpretations prepared by the SFMTA and any other communication or direction by the SFMTA.

28. (ab)

Coordinate the scheduling of work and the operational logistics that have an impact on the safety and operations of adjacent buildings, the community and local businesses, and access to Van Ness Avenue.

29. (ac)

Act as the single point of contact between Subcontractors, inspectors, and the SFMTA.

30. (ad)

Conduct, jointly with City representatives, a pre-construction conference for the Subcontractors and the Engineer. The CM/GC's responsibilities will include (a) preparing a conference agenda; (b) preparing job procedures for clarifications, change orders, shop drawings, progress payments, field-testing and inspections, and safety; and (c) preparing and distributing pre-construction conference minutes or notes.

31. (ae)

Prepare a recommendation for final acceptance of the Work after the Subcontractors have corrected deficient work and satisfied all Contract conditions. The CM/GC will prepare a final payment request and final report. The CM/GC will provide a complete set of contract files to the Program Manager and necessary closeout documents including, but not limited to, as-built drawings, maintenance manuals, additional materials, and warranties.

32. Manage and coordinate the training, start-up and commissioning requirements for the Project.

33. Respond to questions and promptly address complaints and concerns from the public.

Revised 11/3/14 Contract No. 1289 (CCO 15-1331) SBE - i

APPENDIX B

SMALL BUSINESS ENTERPRISE (SBE) PROGRAM FOR FEDERALLY FUNDED CONSTRUCTION CONTRACTS

TABLE OF CONTENTS

PART ONE PAGE SMALL BUSINESS ENTERPRISE PROGRAM SBE-1 I. POLICY SBE-1 A. Applicability SBE-1 B. Objectives SBE-1

C. Administration of Program SBE-2 D. Prohibited Discrimination SBE-2

E. Non-Discrimination in Employment SBE-3

II. DEFINITIONS SBE-3 A. Small Business Enterprise (SBE) SBE-3

III. SBE PARTICIPATION AND SUBCONTRACTING REQUIREMENTS SBE-3 A. SBE Participation Goal SBE-3 B. SBE Income Thresholds For Certain Types of Contracts SBE-4 C. SBE Participation SBE-5

1. Nature of SBE Participation SBE-5 2. Function SBE-5 3. Determining the Amount of SBE Participation SBE-5

a. SBE Prime Contractor SBE-6 b. SBE Subcontractor SBE-6 c. SBE Joint Venture Partner SBE-6 d. SBE Regular Dealer SBE-6 e. Supplier of Specially Manufactured Items SBE-6 f. Other SBEs SBE-7 g. SBE Trucking Company SBE-7

Revised 11/3/14 Contract No. 1289 (CCO 15-1331) SBE - ii

h. SBE Participation Credit SBE-8

D. Meeting the SBE Participation Goal SBE-8

E. Submission of Certification for SBEs SBE-8

IV. EVALUATION OF BID PROPOSAL SBE-9

A. CCO Evaluation SBE-9 1. Evaluation of SBE Certification Status SBE-9

2. Determination of Amount of SBE Participation SBE-10 3. Demonstrating Good Faith Efforts SBE-10 B. Recommendation for Award of Contract SBE-11 1. Evaluation of Bids SBE-11 2. CCO's Recommendation for Award SBE-12 C. Successful Bidder SBE-12 1. Contract Assurances SBE-12

2. Substitution of Subcontractors and Suppliers SBE-12 3. Addition of Subcontractors and Suppliers SBE-12 4. Prompt Payment to Subcontractors SBE-13

5. Reporting Requirements SBE-13 6. Administrative Remedies SBE-13 a. Monitoring SBE Participation SBE-13 b. Enforcement Mechanisms SBE-14 D. Confidentiality SBE-14 V. DBE FINANCIAL INSTITUTIONS SBE-14 PART TWO SUBMISSION OF FORMS AND INSTRUCTIONS SBE-15 I. REQUIRED FORMS SBE-15 II. INSTRUCTIONS SBE-16

A. TO BE SUBMITTED ON PROPOSAL/BID DAY SBE-16

SFMTA SBE Form No. 1 – Contractor/Joint Venture

Revised 11/3/14 Contract No. 1289 (CCO 15-1331) SBE - iii

Partner and Subcontractor Participation Report SBE-16

SFMTA SBE Form No. 2 – SBE Contractor/Subcontractor Participation – Good Faith Efforts SBE-16

SFMTA SBE Form No. 2A – Bidders List SBE-17

SFMTA SBE Form No. 2B SBE – Contractor/Joint Venture Partner/Subcontractor Gross Revenue Declaration SBE-17

SFMTA SBE Form No. 4 – Subcontractor Participation Declaration SBE-17

SFMTA SBE Form No. 5 – Small Business Enterprise Acknowledgement Declaration SBE-17

Schedule B – Joint Venture Participation Form (if applicable)

B. CONTRACTORS POST-AWARD FORMS

SFMTA SBE Form No. 3 – Construction Employment Information SBE-17

SFMTA SBE Form No. 6 – Progress Payment Report SBE-18

SFMTA SBE Form No. 7 – Subcontractor Payment Declaration SBE-18

SFMTA SBE Form No. 8 – Declaration – Modification of Construction Contract SBE-18

SFMTA SBE Form No. 9 – Contractor Exit Report and Declaration SBE-19

PART THREE EMPLOYMENT WORKFORCE GOALS SBE-20 I. GENERAL SBE-20 II. EMPLOYMENT GOALS FOR TRADE PARTICIPATION SBE-20 III. GOOD FAITH EFFORTS SBE-21

Revised 11/3/14 Contract No. 1289 (CCO 15-1331) SBE - iv

IV. COLLECTIVE BARGAINING AGREEMENT PROVISIONS SBE-21 V. WORKING ENVIRONMENT SBE-21 VI. FACILITIES SBE-22 VII. OUTREACH SBE-22 VII. LABOR CODE 1777.5 RATIO SBE-22 IX. COMPLIANCE REVIEW MEETINGS SBE-22

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MUNICIPAL TRANSPORTATION AGENCY SMALL BUSINESS ENTERPRISE PROGRAM

FOR FEDERALLY-FUNDED CONSTRUCTION CONTRACTS

PART ONE

SMALL BUSINESS ENTERPRISE PROGRAM I. POLICY

The Municipal Transportation Agency ("Agency") of the City and County of San Francisco is committed to a Small Business Enterprise (SBE) Program (“Program”) for the participation of SBEs in contracting opportunities to comply with the federal regulations in 49 CFR Part 26, issued March 4, 1999, as amended from time to time (the “Regulations”). The Regulations are incorporated into this Program as though fully set forth herein. It is the intention of the Agency to create a level playing field on which SBEs can compete fairly for contracts and subcontracts relating to the construction activities of the San Francisco Municipal Transportation Agency ("SFMTA"). A. APPLICABILITY

Under 49 CFR Sections 26.3 and 26.51, and in response to the Federal Transit Administration's ("FTA") March 23, 2006, publication of the Department of Transportation's ("DOT") guidance concerning the federal Disadvantaged Business Enterprise (“DBE”) program that applies to grant recipients within the Ninth Circuit, the SFMTA, a recipient of federal financial assistance from the FTA, is required to implement race-neutral means of facilitating DBE participation. The SFMTA's SBE Program is in accordance with DOT's guidance that, absent a disparity study, the SFMTA must meet its overall annual DBE goal using race-neutral means. This Program applies to the following types of SFMTA contracts that are funded, in whole or in part, by DOT financial assistance: Construction – Building, Heavy; Construction – Dredging and surface Cleanup; Construction (specialty trades); General Freight Trucking; Hazardous Waste Collection, Trucking: Remediation; Testing Labs; Computer Programming and Design; Architecture & Engineering Services; Surveying and Mapping; Drafting (design services); Landscape Architecture; Building Inspection; Machinery and Equipment Rental (construction); Merchant Wholesalers, Durable Goods; Public Relations; and Telecommunications.

B. OBJECTIVES The objectives of this program are to:

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1. Remove barriers to SBE participation in the bidding, award and

administration of SFMTA contracts; 2. Assist SBEs to develop and compete successfully outside of the

Program; 3. Ensure that the Program is narrowly tailored in accordance with 49

CFR Part 26; 4. Ensure that only SBEs meeting the eligibility requirements are

allowed to participate as SBEs; 5. Identify business enterprises that are qualified as SBEs and are

qualified to provide SFMTA with required materials, equipment, supplies and services; and to develop a good rapport with the owners, managers and sales representatives of those enterprises;

6. Develop communications programs and procedures which will

acquaint prospective SBEs with SFMTA's contract procedures, activities and requirements and allow SBEs to provide SFMTA with feedback on existing barriers to participation and effective procedures to eliminate those barriers; and

7. Administer the Program in close coordination with the various

divisions within SFMTA so as to facilitate the successful implementation of this Program.

C. ADMINISTRATION OF PROGRAM

The Director of Transportation of the SFMTA is responsible for adherence to this policy. The Contract Compliance Office (CCO) shall be responsible for the development, implementation, and monitoring of this program. All SFMTA personnel shall adhere to the provisions and the spirit of the program. Virginia Harmon, Agency Oversight Senior Manager, is the DBE Liaison Officer (DBELO) for the SFMTA, located at 1 So. Van Ness Avenue, 6th Floor, San Francisco, CA 94103, telephone number (415) 701-4404, electronic mail address [email protected].

D. PROHIBITED DISCRIMINATION

SFMTA does not exclude persons from participation in, deny benefits to, or otherwise discriminate against any persons in connection with the award and performance of any contract governed by the Regulations on the basis of race, color, sex or national origin. The City and County of San Francisco also prohibits discrimination on the fact or perception of a

mailto:[email protected]

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person’s race, color, creed, religion, national origin, ancestry, age, sex, sexual orientation, gender identity, domestic partner status, marital status, disability or Acquired Immune Deficiency Syndrome or HIV status (AIDS/HIV status). SFMTA does not directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of this program with respect to individuals in the groups or categories or having the characteristics listed above. SFMTA has signed the federal assurances regarding non-discrimination required under 49 CFR Section 26.13.

E. Non-Discrimination in Employment

SFMTA will evaluate the bidder's response to the Construction Employment Information (SFMTA SBE Form No. 3) to determine whether the bidder is in compliance with the Nondiscrimination Requirements.

Should SFMTA deem it necessary, the SFMTA will seek a written commitment from the proposer to use good faith efforts to provide equal employment opportunities during the term of the contract. One measure that SFMTA may use to evaluate such a written commitment from the proposer would be to compare the utilization of women and minorities to the relevant labor market to improve parity between the composition of the proposer's workforce and the available labor market. The bidder may be required to provide SFMTA with the relevant data regarding its labor market.

II. DEFINITIONS

Any terms used in this Program shall have the meaning set forth below:

A. Small Business Enterprise (SBE)

An SBE is a for-profit, small business concern with three-year average gross revenues that do not exceed the thresholds set forth in Section III. B for construction or professional services type work and either: 1) is certified under any of the following programs: the State of California's Small Business Program ("State Program"), the City and County of San Francisco's LBE Program ("City Program"), or the California Unified Certification Program (“Federal DBE program”), or 2) has received written confirmation from CCO that it meets the SFMTA’s program eligibility requirements.*

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*Please note that firms not certified under one of the identified programs must submit a Small Business Verification Form to CCO in order to be determined eligible to meet the SBE Program requirements (i.e., the three-year average gross revenues do not exceed the thresholds in Section III.B). Failure to do so may result in the firm’s work not being counted toward the established SBE goal. In addition, professional services firms certified under the State Program should contact CCO in order to verify that their three-year average gross revenues do not exceed the appropriate size standard for the type of work the firm seeks to perform. Contact Sheila Evans-Peguese at [email protected] or (415) 701-4436 to obtain a Small Business Verification Form.

III. SBE PARTICIPATION AND SUBCONTRACTING REQUIREMENTS

A. SBE Participation Goal

SBE participation goals for this Contract are specified in the Request for Proposals. This SBE goal will apply to the following types of contracts or scope of work in the contract: Construction – Building, Heavy; Construction – Dredging and Surface Cleanup; Construction (specialty trades); General Freight Trucking; Hazardous Waste Collection, Trucking: Remediation; Testing Labs; Computer Programming and Design; Architecture & Engineering Services; Surveying and Mapping; Drafting (design services); Landscape Architecture; Building Inspection; Machinery and Equipment Rental (construction); Merchant Wholesalers, Durable Goods; Public Relations; and Telecommunications. To be determined responsive, a bidder must demonstrate in its submittal that it will meet this goal in the performance of this contract; or if it is unable to meet the goal, the bidder must submit SBE Contractor/Subcontractor Participation Report – Good Faith Efforts (SFMTA SBE Form No. 2) with its proposal that it performed good faith efforts to meet this goal prior to submission of the bid or proposal. A bidder that is not responsive shall be ineligible for award of the contract. If no goal has been set for this contract, SFMTA encourages bidder to use good faith efforts to solicit SBEs for this contract if available. NOTE: Website links for finding Certified DBEs/SBEs/LBEs: ● Certified Disadvantaged Businesses Enterprises (“Federal DBE

Program”) http://www.dot.ca.gov/hq/bep/find_certified.htm ● Certified Small Businesses Enterprises (“State Program”) http://www.bidsync.com/DPXBisCASB ● Certified GSA Local Business Enterprises (“City Program”)

mailto:[email protected]

http://www.dot.ca.gov/hq/bep/find_certified.htm

http://www.bidsync.com/DPXBisCASB

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http://mission.sfgov.org/hrc_certification/ Contact Sheila Evans-Peguese at (415) 701-4436 should you need assistance with accessing the databases.

B. SBE Income Thresholds for Certain Types of Contracts

The total average gross revenue thresholds for the past three years must not exceed the current SBA business size standard appropriate to the type(s) of work the firm seeks to perform as set forth below. Even if it meets the appropriate SBA size standard, a firm is not eligible if it (including its affiliates) has had average annual gross receipts over the firm's previous three fiscal years, in excess of $23.98 million. 1. Construction – Building, Heavy $23.98

Million 2. Construction – Dredging and Surface Cleanup $23.98

Million 3. Construction (specialty trades) $15.0 Million 4. General Freight Trucking $23.98

Million 5. Hazardous Waste Collection, Trucking $23.98

Million 6. Remediation $20.5 Million 7. Testing Labs $15.0 Million 8. Merchant Wholesalers $23.98

Million and no more than 100 employees

9. Engineering Services $15.0 Million 10. Surveying and Mapping $15.0 Million 11. Drafting $7.5 Million 12. Architectural Services $7.5 Million The bidder must collect and submit to SFMTA with its bid the SBE Contractor/Joint Venture Partner/Subcontractor Gross Revenue Declaration(s) (SFMTA SBE Form No. 2B) from all potential SBE participants attesting that its total average gross revenues for the past three years are equal to or below the income threshold for that specific category of contract. For more information about SBA size standards or if your firm’s work category does not appear on the list above, please contact CCO or refer to the SBA’s webpage: http://www.sba.gov/content/table-small-business-size-standards

http://mission.sfgov.org/hrc_certification/

http://www.sba.gov/content/table-small-business-size-standards

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C. SBE Participation

SFMTA strongly encourages the prime contractor to make every good faith effort to include SBEs to perform meaningful work in all aspects of the project. To accomplish these efforts, the following guidance is provided:

1. Nature of SBE Participation

SBE participation includes contracts (other than employee contracts) with SBEs for any goods or services specifically required for the completion of the work under the contract. An SBE may participate as a prime contractor, subcontractor, joint venture partner with a prime contractor, vendor of material or supplies incorporated or expended in the work, or a supplier of other services such as shipping, transportation, testing, equipment rental, insurance services, and other support services necessary to fulfill the requirements of the contract.

2. Function

An SBE must perform a commercially useful function, i.e., must be responsible for the execution of a distinct element of work and must carry out its responsibility by actually performing, managing and supervising the work. However, an SBE may contract out a portion of the work if it is considered to be a normal industry practice. If an SBE contractor subcontracts a significantly greater portion of the work of the contract than would be expected on the basis of normal industry practices, the SBE shall be presumed not to be performing a commercially useful function.

3. Determining the Amount of SBE Participation

SBE participation includes that portion of the contract work actually performed by a certified SBE with its own forces. An SBE may participate as a prime contractor, subcontractor, joint venture partner, or vendor or supplier of materials or services required by the contract.

An SBE’s participation can only be counted if it is performing a commercially useful function on the contract as defined in 49 CFR Section 26.55(c). An SBE is performing a commercially useful function when it actually performs, manages and supervises a portion of the work involved. There is a rebuttable presumption that if the SBE is not responsible for at least 30% of the work with its

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own forces, or subcontracts a greater portion of the work than the normal industry standard, it is not performing a commercially useful function. An SBE trucking company is performing a commercially useful function if it is responsible for the overall management and supervision of the transportation services involved and uses at least one truck that is owned, insured and operated by its own employees.

The Contractor shall determine the amount of SBE participation for each SBE performing work on the contract in terms of both the total value of the work in dollars and the percentage of the total contract bid price. The Contractor shall also determine the total amount of SBE participation for the entire contract. The Contractor shall count SBE participation according to the following guidelines:

a. SBE Prime Contractor - Count the entire dollar amount of the work performed or services provided by the SBE’s own forces, including the cost of materials and supplies obtained for the work and the reasonable fees and commissions charged for the services. Do not count any work subcontracted to another firm as SBE participation by the SBE Prime Contractor.

b. SBE Subcontractor - Count the entire amount of the work performed or services provided by the SBE’s own forces, including the cost of materials and supplies obtained for the work (except for materials and supplies purchased or leased from the Prime Contractor) and reasonable fees and commissions charged for the services. Do not count any work subcontracted by an SBE subcontractor to another firm as SBE participation by said SBE subcontractor. If the work has been subcontracted to another SBE, it will be counted as SBE participation by that other SBE.

c. SBE Joint Venture Partner - Count the portion of the work that is performed solely by the SBE’s forces or if the work is not clearly delineated between the SBE and the joint venture partner, count the portion of the work equal to the SBE’s percentage of ownership interest in the joint venture.

d. SBE Regular Dealer - Count 60% of the costs of materials and supplies obtained from an SBE regular dealer that owns,

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operates or maintains a store or warehouse in which the materials and supplies are regularly bought, kept in stock and sold or leased to the public in the usual course of business (except regular dealers of bulk items such as petroleum, cement and gravel who own and operate distribution equipment in lieu of maintaining a place of business). This applies whether an SBE is a prime contractor or subcontractor. A bidder or proposer who supplies Specially Manufactured Items, as defined in subsection e., will not receive SBE credit as a Regular Dealer for the cost of such items except as described in subsection e.

e. Supplier of Specially Manufactured Items - The Invitation for Proposals, Instructions for Preparation and Execution of Forms, and/or other bid or contract documents may list materials, articles, equipment or other manufactured items that the SFMTA has designated as Specially Manufactured Items for the purposes of the SBE participation goal. A Specially Manufactured Item is an item that is either typically purchased by the prime contractor directly from the manufacturer or not supplied by suppliers or construction subcontractors in the usual course of business. If the bid or contract documents expressly identify one or more Specially Manufactured Items, the Contract Compliance Office will calculate SBE participation credit for such items according to the following rules: i. If a Specially Manufactured Item is manufactured and

purchased from an SBE that is certified as a manufacturer, 100% of the purchase order amount will be credited towards meeting the SBE goal, regardless of who installs the item.

ii. If a Specially Manufactured Item is purchased from an

SBE Regular Dealer or Other SBE, count the entire amount of fees or commissions charged for assistance in procuring or delivering the Specially Manufactured Item. The cost of the Specially Manufactured Item will not be counted.

iii. A bidder may receive full SBE participation credit for

consulting services in work classifications associated with Specially Manufactured Items (e.g., engineering, design, testing, etc.), provided that the consulting

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services are performed by an SBE that is certified as a consultant in such work classification.

iv. A bidder may receive full (100%) SBE participation

credit for any labor associated with the installation of a Specially Manufactured Item (regardless of the source of supply), provided the installation is performed by an SBE that is certified as a construction contractor in accordance with normal industry practice.

f. Other SBEs - Count the entire amount of fees or

commissions charged for assistance in procuring or delivering materials and supplies when purchased from a SBE that is not a manufacturer or regular dealer. Do not count the cost of the materials and supplies.

g. SBE Trucking Company - Count the entire amount of the transportation services provided by an SBE trucking company that performs the work using trucks it owns, insures, and operates with its own employees.

Count the entire amount of the transportation services provided by an SBE trucking company that performs the work using trucks it leases from another SBE (including an owner-operator) provided that it is responsible for the overall management and supervision of the service and that it uses at least one truck that it owns, insures, and operates with it own employees on the contract.

Count the entire amount of fees and commissions charged for providing the management and supervision of transportation services using trucks it leases from a non-SBE trucking company (including owner-operator), provided that it is responsible for the overall management and supervision of the service and that it uses at least one truck that it owns, insures, and operates with it own employees on the contract.

h. SBE Participation Credit - For purposes of evaluating SBE

participation credit, only the committed contract amount will be counted toward meeting the SBE goal. This amount must be properly indicated on the proper SFMTA forms, submitted on a timely basis, and verified by SFMTA Contract Compliance.

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D. Meeting the SBE Participation Goal

By submitting the Contractor/Joint Venture Partner and Subcontractor Participation Report (SFMTA SBE Form No. 1), a bidder certifies that it is committed to using the identified SBEs in the performance of the contract. Detailed instructions for completing this and other required forms are found in Part Two II.

E. Submission of Certification for SBEs

1. Prime contractors and subcontractors must be certified under the State Program, City Program, or the Federal DBE Program on the proposal/bid due date to qualify to meet the SBE subcontracting goal(s). Firms may obtain information on how to become certified as SBEs from either SFMTA or from the State or City at the following addresses:

Federal DBE Program, or general information about other programs and assistance with accessing the databases:

Municipal Transportation Agency (SFMTA) Contract Compliance Office One South Van Ness Avenue, 6th Floor San Francisco, California 94103 (415) 701-4436 Attn: Sheila Evans-Peguese, CCO Certification Unit Firms that wish to be certified as DBEs under the federal program can obtain DBE certification applications from SFMTA at the address listed above. Completed DBE certification applications can be returned to SFMTA or another certifying agency. A list of certifying agencies can be obtained by calling (415) 701-4436 or by going to the following website: http://www.dot.ca.gov/hq/bep/ucp.htm

State Program: California Department of General Services Office of Small Business and DVBE Services, Room 1-400 P.O. Box 989052 West Sacramento, CA 95798-9052 (916) 375-4940 http://www.pd.dgs.ca.gov/smbus/certapps.htm#RenReq City Program:

http://www.dot.ca.gov/hq/bep/ucp.htm

http://www.pd.dgs.ca.gov/smbus/certapps.htm#RenReq

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General Services Agency Contract Monitoring Division 30 Van Ness Ave. Suite 200 San Francisco, CA 94102 Attn: Certification Unit (415) 581-2310 http://sfgsa.org/index.aspx?page=6129

2. Project-by-project certification will not be required; however, if the status of the SBE changes during the certification period, the certification may no longer be valid. In such cases, a newly completed certification application should be submitted.

IV. EVALUATION OF BID PROPOSAL

A. CCO Evaluation

After the bid opening, CCO shall evaluate all bids with regard to the SBE requirements to determine a recommendation to the Director of Transportation for award of the contract. In the case of sealed bid procurements, the responsible and responsive bidder with the lowest apparent bid price that also meets the contract-specific goal or demonstrates good faith efforts to meet the goal, shall be eligible for award of the contract.

Should CCO determine that additional information is needed to evaluate a bidder’s submission with regard to the SBE program requirements, CCO shall request the bidder or listed SBE to submit the required information.

1. Evaluation of SBE Certification Status

SFMTA requires that any SBEs listed by bidder for participation in the contract be certified by proposal due date. CCO shall review the bidder’s Contractor/Joint Venture and Subcontractor Participation Report (SFMTA SBE Form No. 1) to confirm the certification status of each SBE. SFMTA will accept current certifications by (a) SFMTA and other DOT recipients in California authorized under the federal DBE regulations; (b) the State Program, or (c) the City Program.

The SBE contractor and listed SBE subcontractors or suppliers must declare under penalty of perjury under the laws of the State of

http://sfgsa.org/index.aspx?page=6129

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California that its total average gross revenues for the past three years are equal to or below the income threshold for that specific category of contract (See SFMTA SBE Form 2B).

2. Determination of Amount of SBE Participation

CCO shall review the total dollar value of the work and the percentage of the total contract bid price reported on the bidder’s Contractor/Joint Venture Partner and Subcontractor Participation Report (SFMTA SBE Form No. 1) for accuracy and shall compare it to the contract-specific goal established for the contract.

3. Demonstrating Good Faith Efforts

If the amount of SBE participation does not meet the contract-specific goal, CCO shall review the good faith efforts report submitted by the bidder with its bid. CCO shall determine whether, prior to submission of bid, the bidder has performed the quality, quantity, and intensity of efforts that demonstrates a reasonably active and aggressive attempt to meet the contract-specific goal.

A bidder must submit a report explaining the steps taken and the reasons the efforts were not successful to obtain SBE participation. The following is a list of types of actions that you should consider as part of the bidder's good faith efforts to obtain SBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases.

a. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising and/or written notices) the interest of all certified SBEs who have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the SBEs to respond to the solicitation. The bidder must determine with certainty if the SBEs are interested by taking appropriate steps to follow up initial solicitations.

b. Selecting portions of the work to be performed by SBEs in order to increase the likelihood that the SBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate SBE participation, even when the prime contractor

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might otherwise prefer to perform these work items with its own forces.

c. Providing interested SBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation.

d. i. Negotiating in good faith with interested SBEs. It is the bidder's responsibility to make a portion of the work available to SBE subcontractors and suppliers and to select those portions of the work of material needs consistent with the available SBE subcontractors and suppliers, so as to facilitate SBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of SBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for SBEs to perform the work.

ii. A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including SBE subcontractors, and would take a firm's price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using SBEs is not in itself sufficient reason for a bidder's failure to meet the contract SBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from SBEs if the price difference is excessive or unreasonable.

e. Not rejecting SBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (e.g. union vs. non-union employee status) are not

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legitimate causes for the rejection or non-solicitation of bids in the contractor's efforts to meet the project goal.

f. Making efforts to assist interested SBEs in obtaining necessary equipment, supplies, materials, or related assistance or services.

g. Effectively using the services of available minority/women

community organizations; minority/women contractors' groups; local, state, and federal minority/women and small business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and placement of SBEs.

B. Recommendation for Award of Contract

1. Evaluation of Bids

CCO shall review all of the information submitted by bidders to determine a recommendation to the Director of Transportation for award of the contract to the lowest responsive and responsible bidder. The bidder shall cooperate with CCO if a request for additional information is made during this evaluation process (e.g. supplying copies of subcontractors’ or suppliers bid quotations).

2. CCO’s Recommendation for Award

Following the determination of the lowest responsive and responsible bidder, CCO shall prepare a report on the bidder’s compliance with the SBE Program requirements for submission to the SFMTA Board of Directors. SFMTA will follow the award of contract and protest procedures described in the bid documents.

C. Successful Bidder

1. Contract Assurances

The Contractor and its subcontractors shall not discriminate on the basis of race, color, national origin, or sex in the performance of the contract. The Contractor and its subcontractors shall carry out applicable requirements of 49 C.F.R. 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

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remedy as the recipient deems appropriate, which may include, but is not limited to:

(1) Withholding monthly progress payments; (2) Assessing sanctions; (3) Liquidated damages; and/or (4) Disqualifying the contractor from future bidding as non-

responsible.

2. Substitution of Subcontractors and Suppliers

The Contractor shall not terminate an SBE subcontractor or supplier for convenience and then perform the work with its own forces. The Contractor must make good faith efforts to substitute another SBE for an original SBE subcontractor or supplier to meet the contract goal when the original SBE subcontractor or supplier is terminated or fails to complete the work on the contract. The Contractor shall notify SFMTA in writing of any request to substitute a SBE subcontractor or supplier and provide CCO with any documentation requested to support the substitution. CCO must approve the request in writing in order for the substitution to be valid. The substitution may also have to be approved by the SFMTA Board of Directors.

3. Addition of Subcontractors and Suppliers

The Contractor shall notify CCO prior to any addition of an SBE or non-SBE subcontractor or supplier to the project and submit a Subcontractor Participation Declaration (SFMTA SBE Form No. 4) from each new subcontractor or supplier. Any new SBE subcontractor or supplier approved by CCO also must submit a Subcontractor Participation Declaration (SFMTA SBE Form No. 5).

4. Prompt Payment to Subcontractors/Suppliers

In accordance with SFMTA's SBE Program, no later than three (3) working days from the date of Contractor’s receipt of progress payments by SFMTA, the Contractor shall pay any subcontractors for work that has been satisfactorily performed by said subcontractors, unless the prime contractor notifies the DBE Liaison Officer in writing within 10 working days prior to receiving payment from the City that there is a bona fide dispute between the prime contractor and the subcontractor. Within five (5) days of such payment, Contractor shall provide City with a declaration under

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penalty of perjury that it has promptly paid such subcontractors for the work they have performed. Failure to provide such evidence shall be cause for City to suspend future progress payments to Contractor.

Contractor may withhold retention from subcontractors if City withholds retention from Contractor. Should retention be withheld from Contractor, within thirty (30) days after the City’s payment of retention to Contractor for satisfactory completion of all work required of a subcontractor, Contractor shall release any retention withheld to the subcontractors. Satisfactory completion shall mean when all the tasks called for in the subcontract with subcontractor have been accomplished and documented as required by City.

If the Contractor does not pay its subcontractor as required under the above paragraph, it shall pay interest to the subcontractor at the legal rate set forth in California Code of Civil Procedure Section 685.010(a).

5. Reporting Requirements

The Contractor shall maintain records of all SBE/Non-SBE participation in the performance of the contract, including subcontracts entered into with certified SBEs/Non-SBEs and all materials purchased from certified SBEs. The Contractor shall supply CCO with copies of all contracts with SBE and non-SBE subcontractors and suppliers.

The Contractor shall submit SBE/Non-SBE participation reports to SFMTA on a monthly basis, or as otherwise directed by CCO. The reports shall identify the name and address of each SBE/Non-SBE performing work on the project, and show the total dollar amount requested for payment and the total dollar amount actually paid to each SBE/Non-SBE. Within thirty (30) days of completion of the contract, or as otherwise directed by CCO, the Contractor shall submit a final summary SBE report to CCO.

6. Administrative Remedies

a. Monitoring SBE Participation

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CCO will monitor and track the actual SBE participation through contractor and subcontractor reports of payments, site visits and other appropriate monitoring. CCO will ensure that SBE participation is counted towards contract goal(s) and the overall annual goal in accordance with the Regulations.

CCO will require prime contractors to maintain records and documents of payments to SBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of SFMTA or DOT. This requirement also extends to any certified SBE subcontractor.

CCO will keep a running tally of actual payments to SBE firms for work committed to them at the time of contract award.

CCO will perform interim audits of contract payments to SBEs. The audit will review payments to SBE subcontractors to ensure that the actual amount paid to SBE subcontractors equals or exceeds the dollar amount stated in the schedule of SBE participation.

b. Enforcement Mechanisms

SFMTA will bring to the attention of DOT any false, fraudulent, or dishonest conduct in connection with the Program so that DOT can take the steps (e.g. referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in Section 26.109. Contractor may also be subject to penalties and/or a debarment action under the San Francisco Administrative Code, or liquidated damages for failure to meet particular contract SBE requirements. Failure to comply with the requirements of the SBE Program constitutes a material breach of contract and will be grounds for termination of the contract. Funds may also be withheld under the Contract pending investigation of a complaint of violation of the SBE Program.

D. Confidentiality SFMTA will safeguard from disclosure from third parties information that may reasonably be regarded as trade secrets, consistent with federal,

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state, and local laws. Notwithstanding any contrary provisions of state or local law, SFMTA will not release personal financial information submitted in response to the personal net worth requirement to a third party other than DOT without the written consent of the person submitting the information.

V. DBE FINANCIAL INSTITUTIONS The SFMTA encourages prime contractors and subcontractors to use the services of DBE financial institutions. For a current list of DBE financial institutions in the SFMTA’s geographic area, please contact the Contract Compliance Office.

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PART TWO

SUBMISSION OF FORMS AND INSTRUCTIONS

I. REQUIRED FORMS

BIDDERS ARE WARNED THAT FAILURE TO COMPLY WITH THE REQUIREMENTS FOR SUBMISSION OF FORMS, WITHIN THE TIMES PRESCRIBED, MAY RESULT IN REJECTION OF THE BID UNLESS A LATER TIME IS AUTHORIZED BY CCO.

Forms that are included in the bid documents consist of the following:

SFMTA SBE Form No. 1

Contractor/Joint Venture Partner and Subcontractor Participation Report


SBE Contractor /Subcontractor Participation – Good Faith Efforts

SFMTA SBE Form No. 2A

Bidders List

SFMTA SBE Form No. 2B

SBE Contractor/Joint Venture Partner/Subcontractor Gross Revenue Declaration


Construction Employment Information


Subcontract Participation Declaration


Small Business Enterprise Acknowledgment Declaration


Progress Payment Report


Subcontractor Payment Declaration


Declaration - Modification of Construction Contract


Contractor Exit Report and Declaration

SCHEDULE B Joint Venture Participation Form

(Call CCO for form if needed)

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II. INSTRUCTIONS

Note: These instructions are included for the convenience of bidders in preparing their bids and for contractors to monitor SBE participation appropriately. If there is a conflict between these instructions and the provisions elsewhere in the specifications, the latter will prevail. If either these instructions or provisions elsewhere in the specifications conflict with federal, state or city requirements, the relevant statutory requirements will prevail.

A. TO BE SUBMITTED ON BID DAY:

The following forms must be executed in full and submitted with the bid package or as otherwise specified; if not, the bid may be rejected.

SFMTA SBE Form No. 1 – Contractor/Joint Venture Partner and Subcontractor Participation Report

All bidders are required to complete this form and include the names of the SBEs being used, a description of the work the SBEs will perform, the services or supplies that will be provided by each SBE, and the dollar value of each SBE transaction. (Note: The SBE subcontractors listed on SFMTA SBE Form No. 1 are also required to be listed on the Subcontractors List (Page 9 of the bid documents) when the amount of the subcontractor's bid is in excess of ½ of 1% of the base bid.) This completed form must be submitted with the bid package or the bid shall be rejected.

Bidders whose form indicates that the SBE goal has not been met must submit a written report with supporting documents that demonstrates all actions taken by the bidder to meet the SBE goal prior to bid proposal submittal. The bidder should pay close attention to the Good Faith Efforts section (IV.A.3, pages 10-11) prior to completing the written report. If CCO requires further information following its review of the report, the bidder shall submit the requested information within five days.

SFMTA SBE Form No. 2 – SBE Contractor/Subcontractor Participation – Good Faith Efforts

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Each Bidder shall submit with its proposal a written report (SFMTA Form No. 2) with supporting documentation covering all actions taken by the bidder to meet the SBE goal prior to the submittal of the proposal. This form must be submitted regardless of whether the proposer’s Contractor/Joint Venture and Subcontractor Participation Report (SFMTA Form No. 1) indicates that the SBE goal has been met. If CCO requires further information following its review of the report, the bidder shall submit the requested information within five days.

SFMTA SBE Form No. 2A – Bidders List

SFMTA will create and maintain a Bidders List consisting of all firms bidding on prime contracts and bidding or quoting on subcontracts on DOT-assisted projects. For every firm, the following information must be included: firm name, firm address, firm status as an SBE or non-SBE, the age of the firm,

SFMTA SBE Form No. 2B – SBE Contractor/Joint Venture Partner/Subcontractor – Gross Revenue Declaration

An SBE contractor/joint venture partner and listed SBE subcontractor or supplier, including lower tier subcontractors, must complete this form. The prime contractor shall collect the completed form(s) and submit with its proposal on the proposal due date. The SBE Contractor and listed SBE subcontractors or suppliers will need to submit this form attesting, under penalty of perjury, that its total average gross revenues for the past three years are equal to or below the income threshold for the specific category of the contract.

SCHEDULE B – Joint Venture Participation Form

A Joint Venture that claims SBE participation at the prime contractor level must submit a Joint Venture Participation Form (Schedule B) plus a joint venture agreement. Each joint venture partner must have an appropriate valid contractor license as required in the contract documents. Contact CCO to obtain a copy of Schedule B.

SFMTA SBE Form No. 4 – Subcontractor Participation

Declaration

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This form is to be submitted by the prospective prime contractor and subcontractor, as appropriate, to confirm and identify the use of SBEs.

Subcontractors using SBEs as lower tier subcontractors, suppliers, or service agents shall also submit this form.

SFMTA SBE Form No. 5 – Small Business Enterprise

Acknowledgement Declaration

Each listed SBE subcontractor or supplier, including lower tier subcontractors, must submit the completed forms to the apparent low bidder.

B. CONTRACTOR POST-AWARD FORMS

SFMTA SBE Form No. 3 – Construction Employment

Information

The successful Contractor (including each joint venture partner), and every listed subcontractor with a subcontract of $10,000 or more shall complete this form no less than 30 days prior to Contractor commencing work on site. Subcontractors are required to sign this form under penalty of perjury.

SFMTA SBE Form No. 6 – Progress Payment Report This form shall be completed by the Contractor, including each joint

venture partner, and submitted to the Resident Engineer and CCO with monthly progress payment applications after contract award. Contractors must provide information and documentation indicated in Part 2 of the form for the preceding period for SBE joint venture partners and all subcontractors, suppliers, and truckers that are utilized.

SFMTA SBE Form No. 7 – Subcontractor Payment Declaration

The Contractor shall pay its subcontractors for work that has been satisfactorily performed no later than three (3) days after the Contractor’s receipt of progress payments from the SFMTA. Within five (5) working days of such payment, Contractor shall provide City with satisfactory evidence that it has promptly paid subcontractors for the work they have performed. Failure to provide such evidence shall be cause for the City to suspend progress payments to the Contractor.

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SFMTA SBE Form No. 8 – Declaration-Modification of

Construction Contract

The Contractor shall complete this form when processing all modifications, supplements or change orders that cumulatively increase the original amount of the contract. All prime contractors, individual joint venture partners, subcontractors and any other vendors participating in any modification must be listed.

SFMTA SBE Form No. 9 – Contractor Exit Report And

Declaration Contractors, including all joint venture partners, if any, shall

complete and submit this form to CCO and the Resident Engineer Office with its final progress payment application. Contractor must have this form signed by all SBE joint venture partners and all subcontractors, suppliers, and truckers.

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PART THREE

EMPLOYMENT WORKFORCE GOALS

I. GENERAL

Executive Order 11246, as amended, including the implementing regulations in 41 CFR Parts 60-1 through 60-50, prohibits discrimination and requires affirmative action to ensure equal employment opportunity without regard to race, color, sex, and/or national origin. In order to be eligible to bid or have a bid considered for the work or works of improvement contemplated by this contract, each bidder shall, by affixing his/her signature on the bid proposal or contract document, agree to abide by a nondiscrimination program in employment that conforms to the requirements. (These requirements apply to contractors with a covered Federal contract in excess of $10,000).

Further, Federal law requires that contractors adhere to Section 102 of the Americans With Disabilities Act, as amended, 42 USC § 12112, and implementing regulations at 20 CFR Part 1630, pertaining to employment of persons with disabilities

II. EMPLOYMENT GOALS FOR TRADE PARTICIPATION

This provision applies to all solicitations or bids on construction contracts in excess of $10,000:

Notice of Requirement for Affirmative Action to Ensure Equal Employment

Opportunity (Executive Order 11246)

1. The Offeror’s or Bidder’s attention is called to the “Equal Opportunity Clause” and the “Standard Federal Equal Employment Specifications” set forth herein.

2. The goals for minority and female participation, expressed in percentage

terms for the Contractor’s aggregate workforce in each trade on all construction work in the covered area, are as follows:

Goals for Minority Participation in Each Trade

Goals for Female Participation in Each Trade

25.6% 6.9%

These goals are applicable to all the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the

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goals established for such geographical area where the work is actually performed. With regard to this second area, the contractor also is subject to the goals for both its federally involved and non-federally involved construction.

The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

3. The Contractor shall provide written notification to the Director of the

Office of Federal Contract Compliance Programs within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address and telephone number of the subcontractor; employer identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed.

4. As used in this Notice, and in the contract resulting from this solicitation,

the "covered area'' is the San Francisco-Oakland Standard Metropolitan Statistical Area.

III. GOOD FAITH EFFORTS

Contractor and its subcontractors shall make good faith efforts to eradicate and prevent barriers to equal employment opportunity. The contractors should engage in outreach and other efforts to broaden the pool of qualified candidates to include minorities and women. These goals are targets for recruitment and outreach and should be reasonably attainable by means of applying good faith efforts.

IV. COLLECTIVE BARGAINING AGREEMENT PROVISIONS

Neither the provisions of a collective bargaining agreement, nor the failure by a union with whom the contractor has a collective bargaining

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agreement, to refer either minorities or women shall excuse the contractor’s obligations under the contract specifications. See 41 CFR § 60-4.3 (a) 7.d in part requires the contractor/subcontractor to notify the Office of Federal Contract Compliance Programs when the contractor/subcontractor has information that the union referral process has impeded the contractor’s efforts to meet its EEO and affirmative action obligations.

V. WORKING ENVIRONMENT

Contractors and subcontractors must maintain a work environment free of harassment, intimidation, and coercion at all sites and in all facilities at which the contractor’s employees are assigned. (41 CFR 60-4.3(a) 7.a.)

Contractors must also take specific steps to ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the company’s contractual obligation to maintain such a working environment, with specific attention to minorities and women at all work sites and facilities. In addition, contractors that assign more than one woman to each construction project should retain records of such assignments.

VI. FACILITIES

Contractors and subcontractors must ensure that all facilities and company activities are non-segregated except that separate or single-user toilets and necessary changing facilities designed to assure privacy between the sexes shall be provided. (41 CFR 60-4.3 (a) 7.n.)

VII. OUTREACH

Contractor will utilize the outreach groups designated or approved by SFMTA for recruiting minorities and women for apprenticeship to the fullest extent permitted by any collective bargaining agreement or other contract or understanding to which Contractor is a party, and will notify every joint apprenticeship committee covering its workforce. Furthermore, contractors/subcontractors must send notice to its recruitment sources for women and minorities announcing acceptance of applications for apprenticeship or other training.

VIII. LABOR CODE 1777.5 RATIO

Contractor agrees that the ratio of apprentices to journey persons employed by the Contractor on this job will comply with the ratio required on public works projects by California Labor Code Section 1777.5.

IX. COMPLIANCE REVIEW MEETINGS

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An authorized representative of the Contractor, its subcontractors and suppliers will actively participate in periodic compliance review meetings with a representative of CCO to review progress and problems concerning the implementation of these requirements. The authorized representative of the company in attendance must have authority to commit the organization. Contractor shall be responsible to notify and to require the attendance of its subcontractors at such meetings. In addition, CCO may ask to see documented evidence of a contractor’s compliance efforts and provide input or suggestions on how best to remedy any discriminatory practices or regulatory violations.

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BIDDER: ___________________ Submit with the Bid

SFMTA SBE FORM No. 1

CONTRACTOR/JOINT VENTURE PARTNER AND SUBCONTRACTOR

PARTICIPATION REPORT

Is bidder a Small Business Enterprise? _______YES _______NO Is bidder a joint venture with SBE partners? _______YES _______NO Percentage of SBE participation in joint venture: _______________*

SBE SUBCONTRACTOR**

FIRM: NAME & ADDRESS

WORK DESCRIPTION

ESTIMATED* DOLLAR AMOUNT

CERTIFICATION TYPE (i.e., Local, CUCP, Cal. SBE, SFMTA verified);

CERTIFICATION NO.

* The proportionate interest of the SBE joint venture partner will be used in calculating goal achievement.

See Part One, Sec.III.C.3, page SBE 5. ** SBE subcontractors should also be listed on the Subcontractors Form (page 9 of the bid documents),

in compliance with the California Subletting and Subcontracting Fair Practices Act.

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SUPPLIERS - REGULAR DEALERS (60% CREDIT)

SBE SUPPLIER FIRM:

NAME & ADDRESS

MATERIALS SUPPLIED

ESTIMATED DOLLAR AMOUNT

CERTIFICATION TYPE (i.e., Local, CUCP, Cal. SBE, SFMTA verified); CERTIFICATION NO.

OTHERS

NAME AND ADDRESS

DESCRIPTION OF SERVICE

AMOUNT OF FEE

OR COM-MISSION

ESTIMATED TOTAL

DOLLAR AMOUNT

CERTIFICATION TYPE (i.e., Local, CUCP, Cal. SBE, SFMTA verified); CERTIFICATION NO.

(Attach additional copies of this form if more space is needed.) By signing this form, I declare under penalty of perjury under the laws of the State of California that the foregoing constitutes the listing of SBEs which my company will utilize if it is awarded the contract, for a total dollar value of ____________ or ________ percent of the total base bid. I agree that my company will achieve the level of SBE participation specified above for the entire work under this contract, including any amendments to the contract.

Signature Date Name of Firm (print) Name and Title (print) Address Phone Number Email

END OF FORM

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BIDDER: _____________________ Submit with the Bid


SBE CONTRACTOR/SUBCONTRACTOR PARTICIPATION – GOOD FAITH EFFORTS

This form must be completed and submitted along with compelling documentation detailing the good faith

efforts made to meet the SBE participation goal if the information submitted on SFMTA SBE Form No. 1

indicates that the SBE goal has not been met.

If the SBE participation goal is not met, and if this form, along with compelling documentation detailing the

good faith efforts made to meet the goal, is not completed and returned with the proposal, the proposal shall

be deemed non-responsive and rejected.

Even if bidder’s SFMTA SBE Form No. 1 indicates the SBE goal has been met, bidders should still submit the

following information to protect their eligibility for the contract. This is because SFMTA’s Contract Compliance

office may determine that bidders have not met the goal for various reasons, e.g., if an SBE subcontractor

submitted by the prime contractor was not SBE/DBE/LBE certified on the proposal due date. In these cases,

SFMTA’s SBE Form No. 1 will not normally provide sufficient information to demonstrate that the bidder made

good faith efforts.

Contract Name:

______________________________ Contract Number: ______________________

Bidder’s Name:

______________________________

Please supply information regarding the following:

1. Attending any presolicitation or proposal meetings scheduled by the awarding department to inform all

bidders of SBE Program requirements for the project for which the contract is awarded.

2. List below the names and dates of all certified SBEs solicited by direct mail for this project or print out a list

of SBE contacted via the States’ SBE website, City’s GSA website, or UCP DBE website. List the dates

and methods used for following up initial solicitations to determine with certainty whether the SBEs were

interested. Attach copies of letters and supporting documentation.

3. Summarize below the items of work for which the Bidder requested subcontractor services supplied by

SBEs, the information furnished interested SBEs regarding work requirements and any breakdown of tasks

into economically feasible units to facilitate SBE participation. Where there are SBEs available for doing

portions of the work normally performed by the bidder with its own staff, the bidder will be expected to

make portions of such work available for SBEs.

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4. List below the names of SBEs solicited for any of the work indicated above and which were not utilized, and a

summary of the bidder’s discussions and/or negotiations with them.

a. List the names of rejected SBEs:

b. Summarize below discussions and/or negotiations:

5. List the names of subcontractors that were selected over the rejected SBEs listed above and the reasons for

that choice.

6. Summarize below assistance that the bidder has extended to rejected SBEs identified above to remedy the

deficiency in their sub-proposals.

7. If insurance is a reason for rejecting any potential SBE, a complete explanation must be provided as follows.

a. List the names and phone numbers of insurance firms contacted by the bidders and/or other involved

parties:

b. List the names and phone numbers of public assistance agencies contacted and their responses (for

example, the City’s Bonding and Insurance Assistance Program):

NOTE: Use additional sheets of paper if necessary. Appropriate documentation such as copies of newspaper ads,

letters soliciting bids, & telephone logs should accompany this form.


END OF FORM

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BIDDER: __________________ Submit with the Bid

SFMTA SBE FORM No. 2A

BIDDERS LIST

Supply the following information for all firms bidding or quoting on this contract. If any information is not included, specify reason why you could not obtain the information. Use additional sheets if necessary.

Name/

Federal I.D. or State I.D. No.

Address Phone

DBE Certified Yrs. in

Business

Annual Gross Receipts of

Firm Yes

No

END OF FORM

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BIDDER: ______________________ Submit with the Bid

SFMTA SBE FORM No. 2B

SBE CONTRACTOR/JOINT VENTURE PARTNER/SUBCONTRACTOR GROSS REVENUE DECLARATION

TO BE COMPLETED BY SBE PRIME CONTRACTOR/JOINT VENTURE

PARTNER/SUBCONTRACTOR.

An SBE prime contractor and each listed SBE subcontractor or supplier, including lower tier subcontractors, must submit the completed declarations to the prime contractor. The prime contractor shall submit completed declarations with its proposal to the Contract Compliance Office. The SBE attests, under penalty of perjury, that its total average gross revenues for the past three years are equal to or below the income threshold for the specific category of the contract in order to be counted towards the SBE goal.

Contract Number: Contract Title:

SECTION I

Name: Vendor Number: ___________________

Address:

Phone: Type of Contractor's License(s): Federal I.D. No.:

SECTION II

(Check Ownership and Certification Type check all that apply)

□ Sole Proprietor □ DBE (Issued by Calif. Unified Certification Prog.)

□ Partnership □ SBE (Issued by Calif. Dept. of General Services)

□ Corporation, S-Corp, LLC □ LBE (Issued by SF General Services Agency)

□ Verified as SBE-Eligible by SFMTA Contract Compliance Office (Confirmation

attached)

Income Thresholds For Certain Types of Contracts (Check category for your business)

The total average gross revenue for the past 3 years must be equal to or below the following category thresholds:

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□ Construction – Building, Heavy $23.98

Million

□ Construction – Dredging and Surface Cleanup $23.98

Million

□ Construction (specialty trades) $15.0 Million

□ General Freight Trucking $23.98

Million

□ Hazardous Waste Collection, Trucking $23.98

Million

□ Remediation $20.5 Million

□ Testing Labs $15 Million

□ Merchant Wholesalers $23.98

Million and no more than 100 employees

□ Other ____________________________________

DECLARATION

The undersigned declares under penalty of perjury under the laws of the State of California that its total average gross revenues for the past three years are equal to or below the income threshold for the category checked above.


END OF FORM

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BIDDER: _________________


CONSTRUCTION EMPLOYMENT INFORMATION

The Contractor shall submit these forms directly to SFMTA Contract Compliance Office no less than 30 days prior to commencing work on site.

Subcontractors are also required to sign this form. Contract Number: Contract Title:

SECTION I

Name: Vendor Number: ___________________

Address:

Phone: Type of Contractor's License(s): Federal I.D. No.:

SECTION II

1. Submit copies of the last 4 quarters of the California Quarterly Payroll Tax Record. List all employees

that you plan to utilize on this project.

Date of

most

recent

hire

EMPLOYEE NAME1 TRADE

[Carpenter, admin.

sales]

CLASSIFICATION

[Journeyperson,

apprentice/secretary, outside

sales]

RACE2 SEX

1 Mark with an asterisk all those employees that will be assigned to this project.

2 Indicate which of the following: AI/AN = American Indian or Alaskan Native, A/PI = Asian or Pacific Islander, B =

Black, F = Filipino, H = Hispanic, or W = White.

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2. List below how many people you will assign to this project and in what trades (contractors only). Instructions for completing the tabulated data below are as follows:

a. Obtain SFMTA goals from Paragraph (______________________________).

b. Multiply column 4 by column 6 and insert into column 7.

c. Multiply column 5 by column 6 and insert into column 8.

1 2 3 4 5 6 7 8

Trade Number

of

People

Number of

Estimated

New Hires

Goal for

Minority

Participatio

n

(%)

Goal

for

Women's

Participatio

n

(%)

Total

Hours

Estimated

in Each

Trade

# Minority

Hours*

# Woman Hours*

3. Explain in detail your method of hiring and the provisions of your collective bargaining agreement

(if applicable) that concern hiring procedures. This explanation should make quite clear the

procedures to be followed when job applicants are referred to your company.

SECTION III

I will ensure that my firm complies fully with the provisions of Chapter 12B of the San Francisco

Administrative Code. I acknowledge and am hereby advised that upon a finding of non-compliance with

the provisions of Chapter 12B, the City is authorized to impose penalties which may include financial

penalties and disqualification from providing goods and services to the City and County of San Francisco

for a period not to exceed two years.

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I declare that the above provisions are true and correct under penalty of perjury under the laws of the

State of California.


END OF FORM

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BIDDER: ______________________


SUBCONTRACTOR PARTICIPATION DECLARATION

,

(Name and Title of Authorized Prime Contractor Representative)

declares as follows: That contingent upon award of

(Name of Project)

will award subcontracts or

(Name of Prime Contractor)

purchase orders to the following Small Business firms: (If the firm is a joint venture, you must attach a copy of the joint venture agreement.)

Name and Address of

SBE

SBE Certified (Type)

Lic. #

Gender

Ethnicity Type of Work

(Describe)

$ Amount

of Sub-Contract

% of Contract M F

Total dollar value of SBE work: $ = __________% of SBE Participation

Total dollar of Bid Price $

I declare under penalty of perjury under the laws of the State of California that the above information is true and correct.

________________________________________ ____________________

Owner or Authorized Representative (Signature) Date

END OF FORM

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BIDDER: ___________________


SMALL BUSINESS ENTERPRISE ACKNOWLEDGMENT DECLARATION

declares that (Small Business Owner or Authorized Representative and Title) will award a subcontract in the (Name of Prime Contractor)

amount of $ , or a purchase order in the amount of

$ to (Name of Small Business Firm) License No. _________________. Nature of work to be performed by SBE:

FORM OF OWNERSHIP FOR SMALL BUSINESS ENTERPRISE

Sole Proprietorship Partnership Joint Venture

Corporation _______ Limited Liability Partnership _______Limited Liability Corporation

_______

Type of SBE Certification _______________

LIST OWNERS

Name Ethnicity* Gender % of Ownership _______




Percentage of SBE Stockholders: * Ethnicity Codes: AI/AN = American Indian or Alaskan Native, A/PI = Asian or Pacific Islander, B = Black, F = Filipino, H = Hispanic, and W = White.

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LIST INSURANCE POLICIES AND BONDING ARRANGEMENTS

Name of Policy Party Insured

Name of Policy Party Insured Name of Policy Party Insured For Contractors and Subcontractors Only: List the firm's annual gross receipts for the last three fiscal years: 20________ $_________________, 20________ $________________, 20________ $_________ For Suppliers Only: List the number of employees for the last three fiscal years: 20________ Number________, 20________ Number________, 20________ Number_______ ADDITIONAL SUBCONTRACTING BY SUBCONTRACTOR: a. We will not subcontract any portion of work to another subcontractor/sub consultant. b. We will subcontract % of our work to (Name of Subcontractor)

in the amount of $ . Indicate owners' ethnicity and gender . I declare under penalty of perjury under the laws of the State of California that the above information is true and correct; and that our firm is a certified SBE as defined under the SFMTA’s SBE Program.


END OF FORM

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Post Award SFMTA SBE FORM No. 6

PROGRESS PAYMENT REPORT

To be completed by Contractor with its monthly progress payment report. TRANSMITTAL TO: Resident Engineer Copy To: Contract Compliance Office

From: Contractor: ________________________________ Date Transmitted:

PART 1: Fill in all blanks and check the box below.

Contract Number:

Contract Title:

Reporting Period (Month and Year): __________________________________ Corresponding Progress Payment No.: _________________________________ Note: The information submitted on Parts 1 and 2 of this form is accurate for the progress payment period immediately preceding that of the current payment application attached herewith. 1. Amount of Prime Contract

$

2. Amount of Certified Modifications and Approved Options to Date $

3. Total Contract to Date including Modifications (Line 1 + Line 2) $

4. Amount Invoiced this Reporting Period (Including Retention) $

5. Total Amount Invoiced as of Last Progress Payment Request (Including Retention and Excluding Line 4)

$

6. Total Amount of Progress Payments Invoiced to Date (Line 4 + Line 5) $

7. Percent Complete (Line 6 Line 3)

Prime contractor, including each joint venture partner, must sign this form.

_____________________________________ ______________________________________

Owner/Authorized Representative (Signature) Owner/Authorized Representative (Signature)

_____________________________________ ______________________________________

Name & Title (Print) Name & Title (Print)

_____________________________________ ______________________________________

Firm Name Date Firm Name Date

_____________________________________ ______________________________________

Telephone Email Telephone Email

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PROGRESS PAYMENT REPORT PART 2: Provide complete information in the following table for Contractor, each SBE joint venture partner and all subcontractors. Make copies of this sheet as needed. Attach copies of all invoices from subcontractor supporting the information tabulated on this form and Contractor’s invoice and Contractor Payment Authorization for the immediately preceding progress payment period. NOTE: Failure to submit all required information may lead to partial withholding of progress payment.

A Name of Firm (list the prime contractor, JV partners, all

subcontractors, suppliers and truckers, and indicate if the firm is

an SBE)

B Description of Work

C Amount of

Subcontract or Purchase

Order

D Amount of Certified

Modificaions and

Approved Options To

Date

E Current Contract

Amount to Date (C+D)

F Amount Invoiced

This Reporting

Period (including Retention)

G Total

Amount Invoiced as

of Last Progress Payment Request

(including Retention)

H Percentag

e of Contract

Completion ([F+G]/E)

Prime Contractor and 1st Tier

Subs

2nd Tier Subs

3rd Tier Subs

Totals

END OF FORM

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Post-Award


SUBCONTRACTOR PAYMENT DECLARATION Contractor shall submit this form to SFMTA CCO within five (5) working days following actual payment to subcontractor.

TRANSMITTAL TO: Contract Compliance Office Copy To: Resident Engineer

From: Contractor: ________________________________ Date Transmitted: _

Provide the following information for each progress payment received from SFMTA. Use additional sheets to

include complete payment information for all subcontractors and vendors utilized on this Contract including

each joint venture partner. Failure to submit all required information may lead to partial withholding of

progress payment.

Contract No.: _________________ Contract Title: ___________________________________________ Contract Awarding Department: SFMTA Progress Payment No.: ___________ Period Ending: __________________________________ Amount Received: $___________________ Date: ____________ Warrant/Check No.: ____________

Prime/JV/Subcontractor/

Vendor Name Business Address

Amount

Paid

Payment Date Check Number

I/We declare under penalty of perjury under the laws of the State of California that the above information is complete, and

that the tabulated amounts paid to date are accurate and correct.

Prime Contractor, including each joint venture partner, must sign this form.

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_____________________________________ ______________________________________


_____________________________________ ______________________________________


_____________________________________ ______________________________________


_____________________________________ ______________________________________

Telephone Email Telephone

Email

END OF FORM

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Post Award


DECLARATION - MODIFICATION OF CONSTRUCTION CONTRACT

This form is to be completed by the prime contractor for all modifications to this contract. The prime contractor, each joint venture partner (if applicable), subcontractors and any other vendors participating in

the modifications must be listed.

CONTRACT NO.: CONTRACT MOD NO.:

CONTRACT TITLE:

ORIGINAL AMOUNT: $ SBE GOAL:

CONTRACT MODIFICATION AMOUNT:

$

CONTRACTOR:

CONTACT PERSON: PHONE:

ADDRESS:

CITY: STATE: ZIP CODE:

JV/P/S: Indicate if contractor is Joint Venture Partner, Prime or Sub.

JV/P/S NAME SERVICES PERFORMED

% OF

TOTAL

MOD

MODIFICATION

AMOUNT

%

SBE

I declare, under penalty of perjury under the laws of the State of California, that the information contained on this

form is true and correct.

Owner/Authorized Representative (Signature) Date

Owner/Authorized Representative (Print) Title

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Information is needed for each firm listed on Page 1 (prime contractors, joint venture partners, subcontractors and suppliers). Firms that have previously worked on City contracts may already have a vendor number. You may enter the vendor or federal I.D. number instead of completing the rest of the information. Use additional sheets if necessary.

FIRM NAME

ADDRESS:

CITY: FEDERAL I.D.

NO.:

VENDOR NO.

STATE: ZIP:

PHONE NO.: FAX NO: ETHNIC OWNERSHIP:

SERVICE: $ AMOUNT:

FIRM NAME

ADDRESS:

CITY: FEDERAL I.D.

NO.

VENDOR NO.

STATE: ZIP:

PHONE NO.: FAX NO: ETHNIC OWNERSHIP:

SERVICE: $ AMOUNT:

FIRM NAME

ADDRESS:

CITY: FEDERAL I.D.

NO.

VENDOR NO.

STATE: ZIP:

PHONE NO.: FAX NO.: ETHNIC OWNERSHIP:

SERVICE: $ AMOUNT:

FIRM NAME

ADDRESS:

CITY: FEDERAL I.D.

NO.

VENDOR NO.

STATE: ZIP:

PHONE NO.: FAX NO.: ETHNIC OWNERSHIP:

SERVICE: $ AMOUNT:

END OF FORM

POST AWARD


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CONTRACTOR EXIT REPORT AND DECLARATION To be completed by Contractor, including all joint venture partners, if any, with its final progress

payment report.

TRANSMITTAL TO: Resident Engineer COPY TO: Contract Compliance Office

From: Contractor: _______________________ Date Transmitted: ________________ Contract Name: Contract Number:

Contractor must complete this form and have it signed by all SBE joint venture partners and all subcontractors, suppliers, and truckers. Reporting Date: ______________________________________________ I/We declare, under penalty of perjury under the laws of the State of California, that the information on Page 2 of this form is complete, that the tabulated amounts paid to date are true and correct, and that the tabulated amounts owing will be paid within 30 days after the date of the City's final payment under the Contract.

Prime contractor, including each joint venture partner, must sign this form.

_____________________________________ ______________________________________


_____________________________________ ______________________________________


_____________________________________ ______________________________________


_____________________________________ ______________________________________

Telephone Email Telephone Email

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Note: Failure to submit all required information may lead to partial withholds of progress payments. See 49 CFR Sections 26.29, 26.37.

Name of Firm (List Prime Contractor, including each joint venture partner, and all subcontractors, and indicate if the firm is a

SBE.)

Description of

Portion of Work

Amount of Progress

Payments Paid to Date

Amount Owing under the Contract including

all Change Orders, Amendments and

Modifications

Owner/Authorized

Representative Signature (Prime Contractor,

including each joint venture partner, and all

subcontractors)

TOTALS

END OF FORM

APPENDIX A SCOPE OF WORK 1. PRE-CONSTRUCTION...

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Transcript of APPENDIX A SCOPE OF WORK 1. PRE-CONSTRUCTION...